SharePoint & Records Management

“Are you crazy?!?”

Bruce Smith

Bruce Smith first met SharePoint in 2009 at Environment

Canada, and in 2010 became responsible for IM and SharePoint

at Medical Council of Canada in 2010. He is currently the

President for the Vancouver Island Chapter of ARMA

International. He is passionate about finding information easily,

and working towards automated classification and disposition of

information.http://ca.linkedin.com/in/bruce

normansmith

SharePoint & RM

Do you have records in it?

Are you managing records in it?

The Impact of Poor RM

• low value information consumes system storage

• high value information is harder to find & business decisions

are less informed

• “clean up” is a long manual process & can’t be automated

• deletion is subjective & is harder to justify and defend

Want better RM? Get ARMA

News, Research Publications, Buyers Guides, Standards, Certification, Training & more

ARMA Chapters – What do they give me?

Local Networking & Training Events

RIMtech – What is it & What do I get?

• Bruce Miller founder of RIMtech consulting

• Many offerings, including a packed 2-day workshop!

• 12-Step EDRMS Methodology

• EDRMS Project Modeling Tool

• Review of 3rd Party Solutions: Collabware, Gimmal, RecordLion

http://vancouver.arma.org/events/2012/11/14/rimtech---september-18-19-2014---managing-electronic-records-with-sharepoint---bruce-is-back!

Sites

Content

Applications

BI

Communities

Search

-Forms

-Workflow

-Excel

-Access

-Visio

-Apps

-Blogs

-Yammer

-Wikis

-Dashboards

-Excel Services

-Power Pivot

-& more!

-Branding

-Security

-Intranet

-Teams

-Projects

-Extranet

-Public

-Documents

-Lists

-External Data

-Records

-Result Sources

-Refinement Panels

-Document Previews

-Query Rules & Relevance

-Promoted Results

-Result Blocks

Servers, networking, SQL, AD accounts, group policies, firewalls, backups, Office suite, workstations, browsers…

RIMtech EDRMS Advice: SharePoint is 90% an IT project & 10% an RM project

RIMtech EDRMS Advice

RIMtech EDRMS Advice

• Good Project Management is vital

• Both setting up SharePoint & integrating RM take Time & Money

• Bruce Miller outlines 20 Strategic Implementation Decisions you need to make

before you start the 12 step EDRMS project methodology

• Metrics are important to track and monitor success

• Qualification Rate (# documents that should be declared as official Records)

• Declaration Rate (# documents that are declared)

• Classification Accuracy Rate (# records that are classified correctly)

RIMtech EDRMS Advice

• Good Change Management is vital

• An EDRMS changes the way people work!

• Automation requires that people give up individual procedures and

follow a shared collective process

• Both staff and managers will resist the change unless a plan is

agreed upon and the business culture changes

• Technical integration with Email is key!

• Like it or not most of your decisions and liabilities are in an email.

Behind the scenes

The following technical details that make the magic happen – Business users should not see this

SharePoint & RM

Records go in it. It’s much better than a file

share! But life could still be better…

http://www.rimtech.ca/f1000-requirements.html

RIMtech EDRMS Advice

• SharePoint delivers 72 of 105 key RM capabilities (69%)

• But the Developers who created them were probably thinking of

them as individual technical requirements, and not a unified set of

capabilities that meet international RM best practices & the practical

needs of business users in day-to-day office life

• But business users can still ignore and misuse these capabilities in

isolated sites if governance isn’t in place

RIMtech EDRMS Advice

• The missing 31% help medium to large size businesses

achieve batch processing & automation!

• Classification Scheme & Retention Schedule management

• Case File management (an Event Date for the entire “folder”)

• Disposition processes

• You can hire a Developer to build a custom in-house

app, or you can purchase a 3rd party product with

support…

Your mission, should you choose to accept it:

• Have a classification scheme, in SharePoint, so content can

be classified against the categories

• Have a disposition schedule, in SharePoint, so retention

rules can be connected to content via classes/categories

• Create a technical way for business users to easily push/link

content stored in Email, File Servers and other Line of

Business Applications to SharePoint to use it to Declare it a

record (classify it, lock it, track it, destroy it)…

Your mission, should you choose to accept it:

• Have a way to identify Status: Documents that are works in

progress and Records that are complete

• Have a way to identify a Class: Items & Documents in

SharePoint as belonging to a record category

• Address different security needs for Documents in progress

vs. Records

• Have a way to review content that has been classified as a

Record

• Have a way to batch process Records during disposition

events

3rd Party Applications

Collabware

Main Pros Main Cons

Files Plan No special provisioning process to push RM

to sites

Case Files No deep non-recoverable disposition

Disposition Not DoD 5015.2 certified (working on it)

Disposition Approval Process No ICA Module 2 requirements

Holds - Basic No integrated email solution – normally

Colligo

Vital Records

Cutoff Retention

Physical Records

In-Place Declaration

Content Rules Engine to help classify content

A custom set of RM capabilities deployed as

SharePoint solutions

Please contact the

vendor to see if

they have

developed new

functionality,

workarounds or

partnerships

Gimmal

Main Pros Main Cons

Files Plan 72 MS SharePoint RM capabilities, plus other

capabilities

Case Files No in-place declaration

Disposition No engine to build rules that automatically

match new content to records categories

Disposition Approval Process No physical records capabilities

Holds No ICA Module 2 requirements

Vital Records

Cutoff Retention

In-Built Email Integration

Provisioning process to ensure new sites are

created with appropriate RM capabilities

DoD 5015.2 certified

Please contact the

vendor to see if

they have

developed new

functionality,

workarounds or

partnerships

RecordLion (spin off of KnowledgeLake)

Main Pros Main Cons

Files Plan No special provisioning process to push RM to sites

Case Files No deep non-recoverable disposition

Disposition Not DoD 5015.2 certified

Disposition Approval Process No ICA Module 2 requirements

Holds - Basic

Vital Records

Cutoff Retention

Physical Records

In-Place Declaration

Content Rules Engine to help classify content

Custom RM capabilities deployed as SP

solution

In-built Email Integration

API

Please contact the

vendor to see if

they have

developed new

functionality,

workarounds or

partnerships

3rd Party Applications

Thank you!

ARMA – What is it?

• ARMA International

• ARMA Canada Region

• ARMA Vancouver Chapter

• ARMA Vancouver Island Chapter