Dynamic Records Management in SharePoint


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  • Just one short year ago, one of the worst winter storms in Central Texas history swept across the state. The area was hit by snow and sleet, which led to some happy snowmen and some cranky drivers. Of course, Texans had mostly no idea how to cope with this kind of weather. Other than to huddle up in their homes and crank up that furnace. As a result, some Texas cities, Austin in particular, soon started to get hit with some rolling blackouts. And while that was somewhat of an inconvenience for most of us, it was gigantic problem for one of our clients. You see that client oversees all independent power operators for the state of texas. And when home started to lose power, the state legislation launched an investigation to see if any operators were exploiting the situation for financial gain. Luckly, we at Catapult had just wrapped up an implementation of a records management solution in SharePoint. This greatly simplified their discovery process, and saved them over $1 million in potential legal fees, several times the cost of the project.
  • So why are we here? Why are you here? And most importantly what can you go back to people at your organization and tell them why records management is important?
  • We will first going to go over an introduction to records management. I know we all come from a wide range of backgrounds so I just want to make sure we are on the same page with regards to some key concepts and terminology. Next we are going to talk about some of the out of the box RM features of SP2010. Third we will talk about the solution we were able to implement and give a demo of their environment. We’lll also talk about experiences after the project went live, including how they were able to see a 300% return on investment within months of the project going live. Lastly, we will take a quick look at some of the new records management features of SharePoint 2013If there is time afterwards we can have Questions and Answers, but again, please jump in at any time.
  • So let’s talk about Records Management…
  • Anything that you’ve ever thought, “I should probably save this in a filing cabinet/Outlook folder/special place on my hard drive” is PROBABLY a record. And this is actually the problem because those records are important to a lot of people, not just you
  • The idea behind records management is that important documents or records undergo a lifecycle, and specific activities and processes need to occur at each of these stages.At each of these stages, from draft, to document, to record, to expired record, there are considerations for who can see it, who can edit it, who can find it, and how to get rid of it
  • So why records management? Well there are three primary reasons. At least 2 should be pretty familiar to you: Legal Liability and Compliance. The thing is, you don’t have to be guilty of anything to face enormous risk, because when you are faced with litigation or an investigation, you are responsible for producing all pertinent documents, even if you are not aware they exist. Usually this amounts to hiring a team of lawyers at several hundred dollars per hour to sift through documents. The last reason is IT costs. A recent study showed that it costs organizations $180,000 per month per TB in maintenance, hardware, and support. Now who here can already think of areas in their SharePoint environments or shared drives there are just tons and tons of documents that no one ever looks at and probably should be deleted but no one’s ever gone back and actually done it? Well SharePoint can help you address issues like that.
  • To the left side is a heirarchy or taxonomy of all documents used. The right side is all the retention periods for each of the individual record types.
  • So what are some of the RM features of SharePoint?
  • So one of the key components to RM in SP is the retention policy. You calculate an expiration date and then designate one or more actions to follow: move, delete, kick off a workflowThe ONLY base dates you get out of the box are Create, Last Modified, Date Declared a Record. The biggest problem that we run into is Event Based Retention. If you have this, you’re gonna have to get creative. The good news is, if you are using O365 or SP 2013, it will allow you to base the retention off a date property in the content type, so you have a lot more flexibility and things to play with.
  • The next two features talk about different approaches to records management. Records Center collects and organizes all records in a centralized locationContent Organizer Rules are used to route incoming documents to appropriate records libraryRetention Policies can be applied either by content type or by folderIdeal for central access and control to all records in an organization
  • New feature of 2010 that is very popular
  • Ask how comfortable people are with:Retention PoliciesRecord CentersContent Organizer RulesCreate Content Type “Contoso Expense Report” (add column “Fiscal year”)Create Retention Policy (Create + 3) Go to Record CenterCreate “Expense Reports” Record Library, add Expense Report CTCreate Content Organizer Rule for “Contoso Expense Report” route to “Expense Reports” libraries
  • Some records managers and business executives will tell you that the design of their RM solution is going to be “straight forward” since they have all of the requirements already documented. This is not the case though, because ultimately the Records Managers need to agree on the experience. Who declares the records? This is important because you need to look at who the actors are and how familiar they are with the RRSWhat really happens after expiration? Most RM policies will say something like “Records should immediately be destroyed after expiration” but I have never met a real life Records Manager who was cool with that. Most of the time you’ll say “so after records are expired, we’ll just have SharePoint immediately delete the record and it’s gone forever, ok?” And they’ll say “No way! I need to be the one to have final say.” And you’ll say “ok so do you want to receive a notification every time a record expires” And they’ll say “Well no…” so you need to find somewhere in the middle.
  • Decided to go with In placeWanted to keep records where they were, also end users were responsibleHowever, it was a bit tricky because they don’t use content types, so we had a custom menu that prompted user for information, such as what department and what kind of document it was
  • What this allowed them to do was to be able to make changes to the retention schedule at any time, in cases of new policies or regulation, without having to have IT go back into the code and
  • Inaccessible to everyone but the RM. As far as the company is concerned, they are destroyed.
  • Calculated savings on a single investigation or eDiscovery case more than outweighed the initial project investment. This is many times the case in RM projects and a huge selling point to management.
  • So before we take a quick look into 2013, does anyone have any questions?
  • I was able to take a look on a very limited preview, but here are some screenshots as to what it looks like. Single Discovery Center manages multiple cases
  • Cases comprised of Discovery Sets and Queries Specify Custodian
  • Sources include both SharePoint and Exchange, file sharesQuery Language, includes stemming, de-dupeingStart Date, End Date, Author/Sender
  • In-Place hold or Export
  • I wanted to close today by just asking: who do you guys think are the #1 customers of electronic records management solutions? It’s organizations who were very recently sued or involved in an investigation and don’t want to go through that same experience ever again. We’d like to think that as public or regulated entities, as long as we have good business practices and keep our noses clean, we’ll never need to worry about any of this. But some times litigation can hit you just like a winter storm. And then the question isn’t about what you could have done to prevent it, but instead how prepared you are to weather it through.
  • Dynamic Records Management in SharePoint

    1. 1. Dynamic Records Management in SharePoint Justin Ong Twitter: @justinong1 #SPSSA SharePoint Practice Lead Catapult Systems - Austinwww.SharePointSaturday.org/SA for schedule + updates
    2. 2. Thanks Gold Sponsors! And thanks Silver Sponsors!
    3. 3. Central Texas Snow Storm 2011
    4. 4. Agenda• Records Management 101• RM Features of SharePoint 2010• Case Study and Solution Overview• Sneak Peek at Records Management in SharePoint 2013
    5. 5. Records Management 101
    6. 6. What is a Record?• Records are evidence of what an organization does; they capture business activities and transactions• Examples include contracts, interoffice memos, shareholder communication, etc.• Records can come in many formats: – Physical paper – Emails – Electronic documents (Word files, PDFs, Power Point presentations)
    7. 7. What is Records Management?• Records Management is the identification of records, and the control of those records throughout their lifecycle• Records Management includes: – Storing and retaining records – Retrieving records upon request – Controlling who has access to records – Destroying records when their retention period has expired Draft Document Record Expired
    8. 8. Why Records Management?• Legal Liability – Both deleting records too early and holding on to records too long can be a source of legal exposure (ex. Enron)• Compliance – Some companies are mandated by law or by industry regulation to manage their records with specific requirements (ex. Sarbanes-Oxley, HIPPA, DoD 5015.2)• IT Costs – Eliminating unnecessary documents reduces support, maintenance, and storage costs
    9. 9. Key Records Management Terminology• Retention Period – The length of time that a record must be kept, typically a base date plus offset (i.e. Fiscal Year + 7 years)• File Plan – Full outline of all the documents used within an organization• Records Retention Schedule – Assigns a retention period to each type of document
    10. 10. Example RRS/File Plan
    11. 11. RM Features of SharePoint 2010
    12. 12. Retention Policies• Set base date and offset – Created – Last Modified – Declared Record – Custom• Multiple stages
    13. 13. Record Center
    14. 14. In-Place Records Management
    15. 15. In-Place Records Management vs. Record CenterRecords Center In-PlaceEasier to view all records in an Easier to maintain original security andorganization findabilityCentralized control Distributed responsibilityManual upload or custom “Send To” “Declare Record” button in ribbonaction, plus Content Organizer RulesContent Type-based or Folder-based Content Type-based retention onlyretention
    16. 16. Demo
    17. 17. SharePoint RM Design Methodology • Who should declare records?Declaration • What is the process for declaration? • Who should access records?Retention • What activities go on during retention? • What really happens after expiration?Disposition
    18. 18. Declaration
    19. 19. Retention
    20. 20. Disposition• At the end of retention period, expired documents are sent to “Records Graveyard” document library• Documents are permanently deleted on a rolling 30 day cycle
    21. 21. Demo
    22. 22. Cost Benefit AnalysisType SummaryProject Cost ($580,000)Recurring Cost ($29,000)Direct Savings $55,000Efficiencies $1,200,000Cost Avoidance $730,000Total $1,400,000
    23. 23. New RM Features of SharePoint 2013• Discovery Center• Site/Site Collection Retention• Edit records AFTER declaration
    24. 24. Discovery Center
    25. 25. Discovery Center: Case Site
    26. 26. Discovery Center: Query
    27. 27. Discovery Center: Discovery Sets
    28. 28. Don’t get caught in the storm
    29. 29. QUESTIONS?Justin OngSharePoint Practice Lead – AustinCatapult SystemsEmail: justin.ong@catapultsystems.comTwitter: @justinong1LinkedIn: http://www.linkedin.com/in/justinong1Text ‘22333’Rating: jon1 – jon5Comments: “jong you rocked!”