20140403 AIIM 2014 Kickstarting RM with SP2013.ppt
Kick-Starting Records Management
with SharePoint 2013 Jesse Wilkins, CIP, CRM, IGP
Director, Research & Development
Before You Begin
Records Management and SharePoint 2013
Electronic Records -
O365 Microsoft Tenant
SharePoint Online 2013
Electronic Records, On-
Records Management – Policies, Processes, Tools – In Progress
Physical Records –
1 TB + Growing 40TB – grow 200TB
1. Know It Can Be Done
Source: Microsoft SPC14 presentation, “SharePoint for large scale records
management - hundreds of millions of documents and beyond!“
2. Figure Out Where You Are
Assess your program
Assess your organization and culture
Inventory your records & information
3. Build a Team
Put governance team in place
SharePoint Administrator (IT)
Business Users/Site Administrators
4. Get Your Governance On
Create or update policies and procedures
Create or update retention schedule
Create or update file plans
5. Get Professional Help
Lots of features out of the box
…which means some complexity
SharePoint is very flexible
…which can mean lots of work
Before You Begin
Records Management and SharePoint 2013
SP 2013 Building Blocks
Site collections & sites
Lists & libraries
Document sets & folders
Libraries group and manage documents
Can have columns and content types
Instances of content types have content
Libraries manage files
Portable document format (PDF)
Media files like videos or images
Can define a default template and format
Can define site columns
Can define workflow and information
Can be used to help automate capture and
SharePoint RM Approaches
Using the Records Center
In-place records management
Using a hybrid solution
Site template defined in SharePoint
Provides a single location for storing records
Provides a variety of options for filing records
In-place Records Management
Balance end user flexibility and content
Use different retention policies for
Site must be persistent
New for SP 2013: site-level retention
Combines manage in-place and Records
Example: manage records for a project in-
place, then move to Records Center after
Address gaps in SharePoint OOTB functionality
Improve ease of use and manageability
SharePoint templates & applications
For More Information
Jesse Wilkins, CIP, CRM, IGP
Director, Research and Development
+1 (720) 232-9638 direct
Hinweis der Redaktion
SharePoint has continued to evolve its information management capabilities and, with SharePoint 2013, can be an effective way to manage your records. But just like any other solution, it takes some work to get started. In this session we'll introduce some of the key records management capabilities SharePoint 2013 provides and describe how to leverage them effectively to manage, and even automate, your records management program.
SharePoint 2013 is built on a foundation that is robust and flexible in terms of both the granularity of control and the functionality available. Here is a basic list of those capabilities; we’ll look at each in more depth in the following slides, and many of these elements will be explored in much further detail in other AIIM Training Program modules. Site collection – the foundation of the entire SharePoint instance. A SharePoint installation has to have at least one site collection. Site – the collection of controls and elements that provide information management capabilities. Sites consist of a variety of elements including site columns, lists & libraries, and the other elements in this list. Site columns – the metadata fields available to other elements in the site Lists & libraries – collections of items like a spreadsheet (lists) or documents and other information objects (libraries) Content types – templates that contain elements and behaviors that can be used to create and manage content in a more standardized and automated way Document sets & folders – mechanisms for grouping content and managing it as a single unit Web parts & app parts – Chunks of functionality enabled within a site or page that enable additional behaviors or context. For example, it is common for landing pages to include a Calendar web part.
Here’s an example of a site. On the left side you can see a couple of document libraries including Documents and SP2013 Documents. You can see a variety of other links as well. And this particular screenshot shows the contents of the SP2013 Documents library with three documents included in the library.
Here is an example of a SharePoint list. To the left you see the other elements present in this site including a list called SP2013Update.
In the middle you can see the contents of the list with the All Items default view shown. Next to it there is another view called “ByOwner” which, if clicked, would show the list items with the Owner field first and with items grouped by owner. In the list contents you can see some items, most of which have Title, Due Date, and Owner fields filled in.
SharePoint document libraries build on the concept of lists. Libraries, like lists, manage information through logical groupings using content types and site columns assigned to them. The columns and content types are used to define metadata about the files contained in the library. The biggest difference between a list and a library is that a library item always has content such as a document.
This means that libraries, unlike lists, manage files or documents created using a content type definition. Files or documents in a library may vary in formats. Documents are often created through Microsoft Office integration. Content and documents created with other tools can be uploaded from external sources like a network share or local drive. In SharePoint 2013 documents can be added to libraries by dragging and dropping them from the user’s computer directly into the SharePoint interface.
Regardless of what tool a document is created with, such as Word, Excel, or a Portable Document Format (PDF) document, the format is maintained within SharePoint. Files in the library exist as Word, Excel, or PDF documents that can also contain media like videos and images.
So far you have heard about lists, items, and columns. The next few slides will use these base elements to build on and describe other components like content types. SharePoint content types are used to define classes of documents that share similar metadata structures, behaviors, document templates, workflows, and other characteristics. For example, an organization might define a content type called “Meeting Agenda” that included a Word document template, an approval workflow, and several predefined site columns such as Meeting Date, Meeting Location, Meeting Chair, and Type of Meeting among others.
These content types are used in lists or libraries to make the creation and management of information easier. We will discuss content types in much more detail in another module dedicated to this topic.
There are three basic ways in which to manage records using SharePoint 2013: Use the SharePoint Records Center Allow users to declare and manage records from within whatever site or library the record is stored in, i.e. “in-place” Use a hybrid of both of these approaches
We will review each of these options briefly in the next three slides and will focus on each in more detail in separate training modules.
There is a fourth mechanism similar to the first, which is to use SharePoint as the active content creation and collaboration interface, and a third party solution, either as an add-on to SharePoint or as a separate application, as the records repository. We will discuss this option in more detail in another AIIM Training Program module.
The Records Center was introduced in SharePoint 2010 (say: twenty ten) as an out-of-the-box site template that allowed for efficient setup of a records storage location within SharePoint. It has been enhanced in SharePoint 2013 to streamline and automate a variety of RM-related tasks.
Users can send records to the Records Center in a variety of ways, including: Send To. The user can open and manipulate a document in SharePoint, and then select File|Send To to send the document to the Records Center or another location. Automated, using content types. This approach relies on the Content Organizer, which is essentially a lightweight workflow engine, to route content based on its content type, metadata values, etc.
The advantages of the Records Center include: Having a single location for all records, making it easier for records managers to manage them Automated classification based on the content type Better, more robust administrative tools and capabilities
In place records management provides the ability to balance end user flexibility and content governance by allowing records to be declared and managed wherever they are located. This includes ad hoc information forms such as blogs, wikis, lists, and workflows.
Different retention policies can be assigned to various information states – temporary, work in process, final – and records can be held ‘in place’ where they are stored. Controls are put in place to ensure final or record copies cannot be edited or modified.
In order to use in-place records management effectively, the site containing those records, must be persistent. In other words, it wouldn’t necessarily work for records stored as part of a project site with a fixed end date if the records had to be stored longer than that.
SharePoint 2013 does allow for retention at the site level, however, meaning that a dedicated site could be set up for a project so long as everything in that site has the same retention. We’ll explore this in much further detail in a module focused on in-place records management.
As the name suggests, the hybrid approach combines in-place records management and the SharePoint Records Center. Records are managed in-place for some period of time or until some triggering event occurs, such as the closure of a project. Once the triggering event takes place, the records are moved to the Records Center for the duration of the retention requirements.
The benefit of this approach is that it provides the ease of use and findability associated with the in-place approach while the records are still in active use, and then provides the records management team with more robust records management tools and processes for the duration of the information lifecycle. As noted at the start of this section this is also how many organizations leverage third-party records management solutions – with SharePoint as the front-end during the active part of the lifecycle and a dedicated records management application for the inactive portions and ultimate disposition.
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