Presenter: Saguenay Baruss, AvePoint Client Services Senior Solutions Architect Event: SharePoint Summit Vancouver 2014 Date: Tuesday, October 28, 2014 Description: This session is intended for organizations that have made a significant investment in SharePoint and are required to provide enterprise records management. It considers the capabilities of SharePoint as a records management system, and shares strategies for extending SharePoint-based collaboration to also include the management of corporate records, both with and without the integration of existing Enterprise Content Management (ECM) systems. More from AvePoint: http://www.avepoint.com/community

1. SharePoint as a Records Management
System
Session 8.1
October.28.2014

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Speaker Introduction
Introduction
Saguenay ( Sag ) Baruss
Senior Solutions Architect, AvePoint Client Services
Sag.Baruss@avepoint.com
ca.linkedin.com/in/sbaruss
www.sapling.ca/blog
@SBaruss
10+ years of experience as an enterprise architect
Based in Calgary, AB

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Session Overview
Introduction
This session is intended for organizations that have made a
significant investment in SharePoint and have a requirement
to provide enterprise records management.
This is a 200 / 300-level session intended for the Business
Leadership, Information Architects, Business Analysts, IT
Managers, and Senior IT Professionals responsible for the
management of critical data and / or corporate records.

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Session Objectives
Introduction
To understand the requirements of an enterprise records
management system.
To consider the capabilities of SharePoint as a records
management system.
To discuss strategies for extending SharePoint from a
collaboration system to a records management system.

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Session Agenda
Introduction
Introduction 5 min
Understanding Records Management
SharePoint as a Records Management System
Implementing SharePoint-Based Records Management
Case Study
Closing Thoughts 10 min
10 min
20 min
10 min
10 min

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Understanding Records
Management
Section 2

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What is a Record?
Understanding Records Management
“A record is a document or other electronic or physical entity
in an organization that serves as evidence of an activity or
transaction performed by the organization.”
Reference: http://technet.microsoft.com/en-us/library/cc261982%28v=office.15%29.aspx

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What is Records Management?
Understanding Records Management
Records management is the process by which an
organization:
• Determines what kinds of information should be
considered records.
• Determines how active documents become records.
• Determines how long each record should be retained.
• Ensures compliance with records management
obligations.
• Protects, locates, and provides records as required.
• Disposes of records which have expired.

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Requirements of a Records Management System
Understanding Records Management
Provide reliable storage for each record,
including in the event of a failure or
disaster.
Index records and provide mechanisms for
the location, access and retrieval of
records.
Provide appropriate disposal of expired
records.
Support the controlled override of disposal
policies.
Provide a secure audit trail of all activities
occurring for each record and within the
system in general.
Provide a mechanism for ingesting items
identified as records.
Uniquely identify each record.
Associate contextual information
( metadata ) with each record.
Support the classification and grouping of
records.
Assign retention and disposition rules to
each record.
Insure the integrity of each record by
preventing unauthorized access and
modification.

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SharePoint as a Records
Management System
Section 3

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Functionality Provided by SharePoint
SharePoint as a Records Management System
Content types and managed metadata
Record Center site template
In-place records management
Workflow
Retention policies
Search
eDiscovery
‘Vault’ capability
Audit collection

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SharePoint ‘Gaps’
SharePoint as a Records Management System
Lack of certification.
Single administrator.
Limited retention policies.
Lack of native scalability.
Insufficient data protection.
Auditing and reporting is difficult.
No systems management.
Limited automation of governance and administration
activities.

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In-Place vs Centralized Records Management
SharePoint as a Records Management System
WA
Content
Database
SC
Site
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Folder
Folder
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Folder
Folder
Content
Database
SC
Site
DL
Folder
DL
WA
Content
Database
SC
Site
DL
Folder
Folder
Folder
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DL
Folder
Folder
Content
Database
SC
Site
DL
Folder
DL

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Selecting an Option
SharePoint as a Records Management System
Centralized management and
administration.
Search complexity.
Dedicated storage repository.
Backup / restore / DR / HA.
Simplicity of declaring records.
Expected frequency of access.
Regulations requiring the isolation of
records.
Propagation of retention policies.
Is restricted access required.
Site lifecycle.
Version history.

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Integrating with External ECM Systems
SharePoint as a Records Management System
How the integration works.
Expiration / semi-active documents.
‘Send to’.
Single sign-on.
Content type and metadata mapping.
Search integration.
Cross-system backup / restore.
Preservation of audit trail.

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Implementing SharePoint-Based
Records Management
Section 4

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Prerequisites
Implementing SharePoint-Based Records Management
Business commitment.
Technical leadership.
Enterprise-class infrastructure and management systems.
Information management.
Governance framework.

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Expected Changes
Implementing SharePoint-Based Records Management
Longer retention of content.
Increased capacity requirements.
Increased rigor around security and permissions
management.
More complex business processes.
Increased emphasis on data protection and systems
management.
Increased governance activity.
Greater visibility around SharePoint.
Higher complexity around maintenance and upgrades.

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Methods of Declaring Records
Implementing SharePoint-Based Records Management
Manual declaration.
Declaration through a defined policy.
Workflow-based declaration.
Declaration through custom solutions.

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Extending SharePoint for Records Management
Implementing SharePoint-Based Records Management
Deploying retention and disposition
policies.
Extending security, permissions
management, and auditing.
Revisiting the physical and logical
architecture of SharePoint.
Ensuring underlying infrastructure
components will support records
management initiatives.
Implementing one or more Record
Centers.
Extending information management to
accommodate the tagging and
classification of records.
Extending managed metadata and
content types.
Developing additional policies and
procedures required to support.

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Supplementing SharePoint
Implementing SharePoint-Based Records Management
Enterprise backup solution.
Systems management and operational monitoring.
Audit collection and reporting.
Security management and policy enforcement.
External vault capabilities.
Automation of governance and administration activities.
Advanced retention and disposition engine.
Content externalization.
Automated change and release management.

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A Sample SharePoint Implementation Roadmap
Implementing SharePoint-Based Records Management
[ ]

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Case Study
Section 5

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Company Profile
Case Study
Global industrial manufacturing and production
organization.
160,000 employees in more than 60 countries.
Sales in 2012 / 2013 fiscal year exceeding $20 B.
5 major business areas.
Very sophisticated engineering and manufacturing
capabilities.
7x24 operations.

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Technology Footprint
Case Study
Multiple geographically distributed tier 3 data centres.
Global ERP and core services.
Business-unit-specific technologies.
Regionalized directory services.
Both paper-based and electronic records management.
Small SharePoint implementation for one of the business
units.

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Records Management Objectives
Case Study
Business-unit-specific records management.
Implemented a digital ‘Business Management System’ for
the management of critical business assets.
Strategic transition from paper-based records management
to digital records management.
Subject to more than 10 different regulatory and industry
standards.

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The Records Management Journey
Case Study
Document numbering and identification system.
Record Retention Schedule containing over 350 different
types of records.
Custodians and retention requirements identified for each
type of record.
Tagging and classification system developed.
Business and IT processes created.
Governance framework established to accommodate for
changes.
Mechanism for introducing legal hold.

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Retention Examples
Case Study
2 years from the date of making the
record or the personnel action
involved, whichever occurs later
The duration of the patent + 6 years
10 years after filing the report
Destroyed within 30 days
5 years from exportation or any known
re-export
4 years
1 year after expiration
While active
Greater of 40 years or duration of
employment + 20 years
Current year + 5 years
Indefinitely
While active, then + 10 years

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Challenges
Case Study
Access and distribution.
Enforcement of retention periods.
Ensuring content is declared as records and added to the BMS.
Ensuring interim versions are destroyed.
Consistent tagging and classification.
Controlling the distribution of copies.
Multi-generational retention.
Meeting legal / regulatory requirements.
Storage of physical records.

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Closing Thoughts
Section 6

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Session Objectives Revisited
Closing Thoughts
To understand the requirements of an enterprise records
management system.
To consider the capabilities of SharePoint as a records
management system.
To discuss strategies for extending SharePoint from a
collaboration system to a records management system.

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Common Pitfalls
Closing Thoughts
Lack of business and technical
leadership.
The inability to prove compliance.
Looking at records management as a
technology problem.
The inability to implement and enforce
policies.
Becoming dependent on manual
processes.
Inconsistency.
1
2
3
4
5
6

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Keys to Success
Closing Thoughts
Understand the capabilities and
limitations of SharePoint.
Developing a governance framework
that supports iterative improvement.
Being realistic about the amount of
work required.
Get the tagging and classification of
content ‘right’ the first time.
Being prepared to support upgrades
and content migration.
Optimize underlying infrastructure to
align with information management
and retention policies.
1
2
3
4
5
6

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Suggested Next Steps
Closing Thoughts
Start with your regulatory and legal
obligations.
Make sure your information
management framework supports
tagging and classification you require.
Understand and classify your content.
Establish ( and document ) your record
retention schedule.
Invest in governance.
Review the alignment between
information management and your
underlying infrastructure.
1
2
3
4
5
6

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A Final Word of Caution
Closing Thoughts
“Never in all history have we harnessed such formidable
technology. Every scientific advancement known to man has
been incorporated into its design. The operational controls
are sound and foolproof”
- E. J. Smith
Captain of the Titanic -

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Questions
Closing Thoughts

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Additional Information
Appendix A

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Acknowledgements
Additional Information
Thank-you to the following individuals and groups for your
contributions to this presentation:
Presentation Structure and Content:
- Julie Liu
- Paul Olenick
- Randy Williams
- Tony Litvak
Graphics and Icons:
- AvePoint
- DryIcons.com

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Additional Reading
Additional Information
http://office.microsoft.com/en-us/sharepoint-
server-help/introduction-to-the-records-center-
HA101665489.aspx
http://www.irmt.org/documents/assessment%2
0tools/financial_mgmt/IRMT_GapAnalysisTool.d
oc
http://www.scribd.com/doc/3211187/Requirem
ents-for-Electronic-Records-Management-
Systems
http://www.epa.gov/records/tools/erks.htm
http://technet.microsoft.com/en-
us/library/cc261982%28v=office.15%29.aspx
http://technet.microsoft.com/en-
us/library/ee424394%28v=office.15%29.aspx
http://technet.microsoft.com/en-
us/library/cc261708%28v=office.15%29.aspx
http://technet.microsoft.com/en-
us/library/cc263464%28v=office.15%29.aspx