Manage Records Effectively with SharePoint

© 2014 Cambridge Technology Partners, Proprietary & Confidential1
Record Management
How can we use it affectively and to our advantage?
10 December 2014, maarten.boonen@ctp.com

© 2014 Cambridge Technology Partners, Proprietary & Confidential
Record Management in a nutshell
Record Management
in a nutshell

What is
Record Management?

 AIIM (Association for Information and
Image Management) defines RM as,
the field of management responsible
for the efficient and systematic control
of the creation, receipt, maintenance,
use and disposition of records.
What is Record Management
According to AIIM
 RM is part of the ECM (Enterprise
Content Management) feature set in
SharePoint Enterprise and Office 365.
 SharePoint provides a set of policies
and a repository to easily manage your
records.
Records Management
and SharePoint
Why is it so important to
Manage the Records?Ok, but what are Records?
 Retrieve information in a quick way to
make decisions and save money.
 Supports in legal matters.
 Necessary to obtain a special industry
certification.
 A record can be anything of importance
to your company.
 The type of records and how to
manage them are describe in a “File
plan”.

Content Lifecycle Journey
Classify
Capture
Store
Retreive
Archive

Must haves
A modern Record Management System must have a bare minimum of
1 2 3

Standards and Certification
Standards and
Certification

Standards and Certification
 Can we reproduce more than a 100.000 times the same item or process with the same quality?
 Do we have a plan and process in place so we’re capable of doing the statement as mentioned
above and verify it?
We all probably heard of ISO (The International Standards Organization) or AIIM
(Association for Information and Image Management) and some companies
even provide their certifications on their website.
But why do you want to be certified and what does it really mean?
To really simplify it and actually it’s a bit more then this. It all comes down to two
things.
For some companies it’s necessary to provide services to an other. This way
you can prove you passed a high standard and are able to do business with
others who depend on it.
This is very common for, Pharmaceuticals, Airlines, Military, Government,
Banking.
Certification

User Adoption and pitfalls
User adoption
and pitfalls

Traditional Record Management and why it fails
 Compliance focused, Categorize, Retain, Dispose
 Driven by Risk mitigation, Regulatory, Legislative, Legal
 Enforce via a File plan
Traditional Record management is all focused on driving compliance true
the organization.
We want to know our content still has it's business value and prove we've done it correctly.
We do this by creating a file plan and hierarchical structure.
 Categorizing our content
 Retaining our content
 Dispositioning and Disposing our
content

So why does it fail?
People
Lots of people, who all have different
personalities, visions and ways to work.

Ah, End-users who not collaborate!
Don’t forget we’re one of them!

Ok, User Adoption is about User Acceptance
 It's not about the technical solution but about change and the way people work.
 The technical tool given to people is static but for the End-user it’s about what
they experience in their business activities.
The end-users don't see or feel the value of Record Management in their daily
activities so why do they have to run the extra mile?
 More work
 More steps
 More burden
Most of the time the goals for Record Management are driven from a different
perspective then how they work.
Traditional Record Management solutions have a extraordinary high failure
rate

People are smart and computers are…..
 It’s clear if the system not work for their job they don’t use it’s.
 Everyone is using a different method to file their records.
 The way to record the records are mandatory and not flexible enough.
So we ask users to make choices and the record will be declared from the point of view from
the end-user what he thinks is wright. In the end it still can be a mess and the value of the
records go quickly down to zero.
This causes friction and leads to failure.
If the system not work well for them to do their job, they will go back to what
their used too or find a way around it.
Facts

Business Alignment
Business Alignment

The big question is, “How we go from static
systems to a flexible one”?
 Business Alignment
People, Processes, Location
 Automation
Record Identification, Categorization,
Declaration
 Informational Trust
Vital Information, Centralization
 User Experience
Simple, Seamless, Transparent
The answer is simple.
Communication, we ask them.
Success Strategies
Take technology out of the equation and start
aligning business processes.
Align the way people work to lead to the same
result they try to achieve.
So let's adapt to the way they work.

Learning the behavior
 Who are your end-users?
 What are they doing all day?
 Why is it so important to them?
Business Alignment is about listening
and asking the right questions!
Process and End-user Discovery
Every step is User Centric and should
be visualized in a roadmap
 What tools are they already familiar with?
 What tools do we already have and can use
better?
 Can minor upgrades or third party products help
with the daily activities.
 Is the new technical solution intuitive enough?
 How can the Technical Solution support the work?
Technology

Implementation Strategy
Implementation
Strategy

Implementation
approach
Strategy
Vision
Goal
Business
case
After you win their hearth’s and trust
it’s time to plan the strategy and
implement the technology.

What do we need to give the business users
to do their jobs
The goal is, to have a solution to
affectively manage company records.
SharePoint is more then just the default
record management site collection.
If we combine other ECM features, like
metadata, workflows, search the true
power will reveal itself.
Most features are also in the cloud and
with an hybrid environment you can even
manage information from other Line-Of-
Business systems.
One of the great powers of SharePoint is
that its extendable and customizable to all
needs.
Third Party ProductsSharePoint
SharePoint gives you many functionalities to
help you build your company record
management solution but it’s not the holy
grail.
One extension that really improves
productivity is, Collabware CLM it helps you in
a step-by-step process to divine the content
policies and manage the records. It’s a true
end-to-end solution and a good ROI.
Compare SharePoint Out-Of-The-Box
features with the extra CLM extension.

Bake the
solution

Implementation plan
and things to-do
 Identify your records in the business processes
 Devine a file plan
 Align clear functional requirements
 Understand the business process
 Create and configure a Records Center repository
 Create and merge libraries to manage records
 Add an existing content type to a list or library
 Make use of smart tags and labels
 Create workflows to automate the process
 Convert search in to find
 Create and add site columns to lists, libraries or content types
 Create information management policies for records
dispositioning
 Hold a thorough user Acceptance Test, because adoption is key

The file plan
Start small and as soon as the end-users get used
to the process divine more record types to declare.
 Type of record
 Declare to which Record Pool
 Record owner
 Retention period Content Lifecycle
What’s in the file plan?
 Category
 Record State
 And more……..

Designing the solution
Determine whether to create a records archive, to manage content in-
place, or to use a combination of the two. Define content types, libraries,
policies, and, metadata that determines to which location to route a
document.
It’s possible to store records within a single
library and let the retention rules do their thing
in their. It’s called in-place record
management.
The other option is a Record Center which is
mainly used as a Records repository. Content
will be routed from a site and end up in the
Record Center as an archive.
In-place vs Record Center
 Is the governance of the collaboration site
appropriate for managing records?
 Is your industry subject to regulatory
requirements that mandate records be
separated from active documents?
 Should the administrator of a collaboration
site be trusted to manage a site that
contains records?
Questions and choices

In-place RM vs Record Center

Create and Configure the
Records Management Solution
The Record will be declared from the End-users
own collaboration site and the Content Originator
rule will reroute the document to the Record Center
to be archived.
This will be the first stage of the Content Lifecycle.
The preferred approach will be an archived RM solution.
For this choice a Record Center will be created. In a later phase a
hybrid solution would be nice to have the working state of the
record inside your process.

Create a new Site
Collection from
Central Administration
and choose the
Record Center site
template on the
Enterprise tab.

Under Site Settings
choose Manage
Records Center and
follow the guide.

Create a library for all Records divined in your file plan. A prefix can be handy for
categorization.
What is the divergence between a Record Library and a normal library?
A Records Library is a document library but with a Records Management slant. It is available in the Records Center site by
default but won`t be available in any of the other site templates. Automatic Declaration Enabled and Source of Retention on
Library and Folders are configured.
http://technet.microsoft.com/en-us/library/cc262215(v=office.14).aspx
http://www.sharepointanalysthq.com/2010/05/how-to-create-a-records-library-2/

Create a Content Types for all the Records you want to declare and are in your file plan.
Use site columns to make sure everything is reusable and is getting a default Managed
Property which you can use for Search. Group your Content Types logically so it will be easy
to manage.
Add the Content Type
to the library
Add from new site columns

Information Management Policy settings.
Here you define what can happen to the
record after a certain period.

Content Organizer and Routing
rules are the final part to setup.

How Content becomes a Record
 Manually declaring a document to be a record.
 Defining a policy that declares a document to be a record or sends a document to a
Records Center site at a specified time.
 Creating a workflow that sends a document to a Records Center site.
 Using a custom solution that is based on the SharePoint object model.
You can use the following techniques to convert active documents to records
Whit in the Content Organizer you
can set routing decisions what
happens to the content and where to
store it.

Take it to the next level

Time to put the color on the canvas
Key takeaways
for success

Demo

Get IT
right

Manage Records Effectively with SharePoint

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