Success with SharePoint Records Management | RecordLion

Success with SharePointRecords Management

Shawn Cosby| Kevin Bley

Today’s Agenda

Introduction

8 Things You Need for SuccessfulRecords Management in SharePoint

How RecordLion Resolves Issues

Summary

Q & A

#1

“By failing to prepare, you are preparing to fail.”

- Benjamin Franklin

A. Record Declaration Overview

B. Overview

C. SharePoint File Plan

D. RecordLion File Plan

Create and Manage Your File Plan

Record Declaration Overview

Unclassified

• You know it exists

• No policies

Non Records

• Classified

• Potential Records

• Uniform Policies

• In Place

Records

• Manually Declared

• Auto Declared

• Formal Disposition

• In Place or Record Center

Examples

• Classification Exceptions• Personal Emails• Unnecessary Documents

Examples

• Working Documents• General Emails• Records to be declared later

Examples

• Important Records• Archived Records• Emails moved to RMS

File Plan Overview

A document or a way to document the retention schedules for all your information.

Your Records Manager should create and maintain your File Plan

You must publish your File Plan

File Plans should include a trigger, retention period and disposition information

Many File Plans also include security, privacy and location

SharePoint File Plan

File Plan and Taxonomy are the same

You can export a report

Information Policy Retention Feature:

Date Property for Trigger

Retention Time Period

Retention Action

Need Help Getting Started?

http://blog.recordlion.com/file-plan-template/

No formal File Plan

No detailed audit reporting outside of the Records Center

RecordLion and File Plans

#2

A. Site Collections

B. Sites

C. Libraries

D. Folders

E. Content Types

F. Records Center

Create Taxonomy

Organization

• Common security, privacy and administrative concerns

Site Collections

• Security can be applied by site but users still might know those sites exist

• Use to separate products, departmental groups or business units

• Best Practice: Subscribe to a Content Type Publishing Hub

Sites

• Do not use lists with attachments

• Avoid picture libraries

• Best Practice: avoid Item Level Security

Document Libraries

• Allows information policies to move with document

• Use Content Type Publishing

• Best Practice: as few as possible

Content Types

What About the Records Center

Records or Non Active Documents

Enable Document IDs

Policies assigned to Libraries

Use the Content Organizer

#3

A. Content Organizer

B. Location Based Classification

C. Technology To Consider

D. Issues

Design Classification

Classification Overview

Classification assigns information to a specific class of content which should be related to policies.

Creates defensible policy assignment

Simplifies searching

Reduces cost of eDiscovery

Content Organizer

• Route content based on Metadata

• Metadata foldering (great for handling case files)

http://blog.recordlion.com/sharepoint-content-organizer/

Location Based Classification

Drag and drop on browser

Drag and drop using Synced Libraries (also OneDrive Business)

Upload from library

Potential Governance Risk

Technologies to Consider

Meta Data

• File Names

• Folder Names

• EDMS Properties

• Document Properties

Content

• “Reads” content

• Email

• Office Documents

• PDF

Visual

• Looks at pixels

• Images/Forms

• Patterns

Template

• Zones

• OCR

• Barcodes

• Images or Text

Classification Issues

No Automatic Document Classification

• Meta Data Extraction

• Classification for Content Types

No Email Classification

• Move to SharePoint?

• Leave in Exchange?

No Meta Data Classification

• Forces too many Content Types

RecordLion Content Rules Engine

#4

A. The Value of Information

B. Information Management Policies

C. Site Retention

D. Issues

Create RetentionPolicies

Retention Overview

Retention is a component of a file plan. Specifically it specifies how long after an event before disposition takes place.

What drives retention periods?

Industry regulations FINRA, SOX

Corporate policies

Local, state and federal laws

IRS, DOL

File Plans should include a cutoff event, retention period and dispositioninformation

Information Value Declines Over Time

Business Need Regulator Need (TAX) No Need

InformationValue

Office Documents

Product Research

Sales/Customer

HR

Financials

Messaging/Social

IT Cost

Risk

Risk-to-Value Gap

Cost-to-Value Gap

Assigning Policies

Site Based Retention• New for SharePoint 2013• Use with self-service site creation• Site closure is a new concept – hidden but

not deleted yet• When the site is delete then the site mailbox

is deleted from Exchange

Retention Issues

No Case Based Retention

• Need to dispose all related documents(ex. Employee Files, Tax Records, Loan Files)

No Event Based Retention

• Required for cases

• Date column retention is not enough

• Custom policies require experienced developer

• Difficulty: HARD

RecordLion Retention

#5

A. Review and Approval

B. Complete Destruction of Content

C. Transfer

D. Audit Trail and Reporting

Build Disposition Processes

Review and Approval

1. Create SharePoint Workflow(s)

User AD Groups

One step for each approval group

Difficulty: MEDIUM

2. Set Stage Action to Workflow

Complete Destruction of Information

Empty the Recycle Bin!

If Forensic Destruction is needed:

Use RBS (Remote Blob Storage)

Do NOT allow OneDrive for Business

What about your tape and other backups?

Transfers

SharePoint can transfer to other SharePoint locations

Moving from Active to Archive (for example)

Difficulty: HARD

Difficulty: HARD

Transfer outside of SharePoint

Transfer to NARA (National Archives)

Audit Trail and Reporting

Only Records Centers store enough audit information for disposition.

Content Auditing

SharePoint does NOT have records management reporting capabilities.

SharePoint can export basic auditing to Excel Spreadsheets

This WILL slow your system down

RecordLion Disposition

#6

A. Records vs. Non Records

B. SharePoint vs. Exchange Retention

C. Moving Records to SharePoint

Consider EmailRetention

Records vs. Non Records

Consider using Microsoft Exchange for Uniform Retention

Use for mailboxes

Use for folders

Move Records to SharePoint

Best to store similar records in the same location if possible

Non uniform retention is difficult in Microsoft Exchange

http://blog.recordlion.com/dawn-garcia-ward-what-to-do-about-emails/

SharePoint vs Exchange Retention

SharePoint

Policy driven based on Location or Content Type

Different types of data can share policies

Exchange

Retention is normally “uniform” across all Email

Retention tags are used for individual folders

Retention tags can be applied by users

Personal tags require an Exchange Enterprise CAL

Moving Email Records to SharePoint

Exchange Server Based Solution

Custom solution to apply directly on Exchange Folders

Users will drag and drop Emails into folders

Custom Meta data is not possible

Outlook Client Based Solution

Outlook add-in to manually move

Outlook add-in to apply custom Meta data

Microsoft does NOT provide this capability

#7

What happened to the paperless office?

A. Organization

B. Considerations

Manage Physical Records

Organization

Match to Physical Locations

• Use Sites/Libraries/Folders

• By Record Type

• By Date (typically year)

• Organizational/Departmental

• Use stub file to designate physical item

Use electronic filing structures

• Unify with electronic records

• Use Meta data to determine location

• Use stub file to designate physical item

Considerations

• Iron Mountain

• Recall

• The File Room

Do you need integration into commercial records centers

• Chain of Custody

• Request / Fulfill

Do you need to track files (boxes)?

• SharePoint solution is NOT for Physical Records Management

Produce Barcodes and Labels

RecordLion Physical Containers

#8

Legal holds in SharePoint work great… but can you find the right information?

A. Classification

B. eDiscovery Center

C. Records Centers

Create Legal Holds & eDiscovery

Legal Holds Overview

Suspending the normal disposition of information when it is reasonably expected.

Legal holds can protect you from spoliation fines or in some cases, incarceration

Legal holds should suspend the information management policies

Legal holds should lock information from further editing

Identifying the correct information is key to successful legal holds

Legal holds are required for present and future information

eDiscovery Center

• Each is a new site in the eDiscovery Center

Cases = Sites

• eDiscovery Center is it’s own Site Collection

• Consider Security and Data Privacy

Search across Site Collections

• Find and Hold SharePoint items in Place

• Find Hold Exchange items in place

• Deleted items moved to a secure location

Identify and Hold

• Export SharePoint items

• Export Exchange items

Search and Export

Records Center

Search Items Only in Records Center

Hold Items Only in Records Center

In Place or Export

Considerations

Who will be allowed to create Legal Holds?

Who will be allowed to release Legal Holds?

Will you hold information In-Place or make copies?

What about your other Information?

Call To Action

1. Create a File Plan2. Create Taxonomy3. Determine Classification Process4. Create Retention Policies5. Create Disposition Processes6. Determine Email Policies7. Handle Physical Records8. Create Legal Hold Processes and

eDiscovery Practices

RecordLion Can Help!

Q&AWebsitehttp://www.recordlion.com/sharepoint-records-management

Bloghttp://blog.recordlion.com