Building a Records Management

System in SharePoint 2010

Agenda

• Understand Your Business

• ECM Assessment Project
• What is a Record?
• Records Architecture
• Build RM in SharePoint
• Decision Points
About the Speaker

• Bill English, MVP

– 11 years as a SharePoint Server MVP
– Author on 14 books (whew!)
– Co-Owner of Mindsharp and the Best Practices
Conference
– Blog: sharepoint.mindsharpblogs.com/bill
– Twitter: @minnesotabill
– LinkedIn: Bill English
– Email: bill@mindsharp.com
– Current Position: CEO of Mindsharp
– Hometown: Maple Grove, MN
• Latitude: 45.129793; Longitude: -93.47391
 Who is Mindsharp?

Training

Best
Practices
Industry Conferences
Leadership
The Only Peer-Sharing SharePoint Conference
for Business Leaders & Stakeholders
May 15-17, 2013
Minneapolis
What is Minnesota Known For?
Snow!
Cold!
Vikings!
Not the Packers!
Summer: 6 Best Days/Year!
Section I

UNDERSTAND BUSINESS
Section II

ECM ASSESSMENT
ECM Architecture
Assessment
WHAT IS A RECORD?
National Institutes of Health
Records management means the planning,
controlling, directing, organizing, training,
promoting, and other managerial activities
involved with respect to records creation,
maintenance, use, and disposition in order to
achieve adequate and proper documentation
of the policies and transactions of the
Federal Government and effective and
economical management of agency
operations.
ARMA

A record is recorded information that supports

the activity of the business or organization that
created it. It can take the form of:
• paper documents such as a hand-written
memo or a hardcopy report
• electronic records such as databases or e-
mail
• graphic images such as drawings or maps;
these may be in photographic, electronic, or
hard-copy formats
International Standards Organization

• ISO 15489: “information created, received,

and maintained as evidence and
information by an organization or person,
in pursuance of legal obligations or in the
transaction of business”.
BUILD YOUR RECORDS
ARCHITECTURE
• Information Architecture & Design Overview
Information
Databases Better ROI on Information
Better ROI on Microsoft Investments

Use of
Find it! Governance & Maintenance
Tools

Findability &
Files MMS Hub Design
Compatible Putability Tools
Docs Development Content Types Development

Tagging Information Design per “group”

Web GAAP Global Taxonomy

Ledger $£€ (Global MMS Hub)
2.0 SEC

Software Information Architecture

Architecture vs. Design

Architecture Design
• Based on Information- • Global & Federated
Type Taxonomy taxonomies
• Articulation of the • Input forms and tools
software platforms • Governance
• Platforms tied to one or • Content Lifecycles
more information types • Indexing topology and
– All types articulated
Search tools
– No orphans
• Transparent to end-user
Pragmatic Decisions

• Documents a Decision
• Documents a change in corporate
governance
• Documents a process
• Documents compliance to
– Process
– Government law or regulation
• Documents illegal or legal behavior
Pragmatic Decisions

• Documents an action that relates to an

investigation or review
• Documents a change in policy
• Documents HR enforcement action
• Documents a contract or agreement
• Documents thought history to a decision
• Documents a corporate board action
Pragmatic Decisions

• Documents a critical event

• Documents risk management efforts
• Who declares the record?
 <Record Code>

Record
Creation

Disposition
Consumption
Content Owner
File Plan

Security Level

Repository

Recoverability

Tool(s)

Education

Policies

Metadata
(Descriptors)

Workflow

Consuming
Audience

Content Type
What is a Record?

• Document
• Email
• Video
• Audio
• Database (i.e. key card access)
• Server logs
• Past, Present and/or Future
KM According to Dilbert
Putability: Key to Records
Management

29
What is Putability?
• Definition:
– The quality of putting content in the correct
location with the correct metadata
– The degree to which we put quality information
into our information management system
• Truths:
– What goes in, must come out: garbage in,
garbage out
– Our users will resist taking the time to put quality
information into the system (tag the content)
– Findability is directly impacted by our Putability
practices
30
Who is responsible for tagging?

• Authors: 40%
• Records Managers: 29%
• SME’s: 25%
• Anyone: 23%
• Don’t know: 12%
• No one: 16%
• This means that many don’t know who is
responsible for tagging information to make it
more findable.
• Result of not having information governance
• Can’t have SharePoint governance without IG
31
Putability Pushback

• No time to enter metadata

• Don’t want to worry about where a
document is
• I wasn’t hired to manage information
• This is IT’s job
• I don’t want to be responsible if I enter the
wrong metadata
• I don’t see the need, so why do it?
32
Personal vs. Business Devices

• How do people manage electronic

records?
• How do people access records?
Roles & Responsibilities

• Who
• When
• Where
• How
• What
• Why
Putability is the Key to
Records Management

35
SharePoint Elements

1. MMS 5. Routing web part

2. Content Types 6. In Place Records
3. Administration 7. Information Policies
4. Records Center
 Demo

BUILDING RECORDS
MANAGEMENT IN
SHAREPOINT
37
Decision Points

• Define roles & responsibilities

• Define business & personal platform use
• Define what a record is
• Define how a record is declared
• Define when a record is declared
• Define lifecycle once a record is declared
RM Stakeholders

• Legal
• Process
• Managers
• Users
• Executives
• *Everyone*