Although records management features have steadily improved with each new SharePoint version, many industry observers are starting to express their doubts as to whether SharePoint is a viable platform for building real-world ERM solutions. This session will explore the enhanced RM capabilities of SharePoint 2013 and show how to leverage them to full advantage. The session will also introduce several third-party tools that further enhance the platform to enable true enterprise-class content lifecycle management.

1. Who Says You Can’t Do
Records Management
in SharePoint?
John F. Holliday
President, SharePoint Architects, Inc.
Level: Intermediate

2. Additional Resources
• Podcast on The MOSS Show
by Hilton Giesenow – Episode 80
(www.themossshow.com)
• RM Training Course
SharePoint-Videos.com
2

3. Key Challenges for RM in
SharePoint
Developing and Maintaining File Plans
Declaring and Classifying Records
Managing the Content Lifecycle
3

4. Missing RM Features
• No Integrated File Planning Tools
• No Built-In Support for Event-Based
Retention
• No Integrated Content Lifecycle Reporting
4

5. It’s Really All About The Nail
5

6. File Planning Tools
Tool Pro Con
Notepad / MS Word Capture information quickly. Easy to deviate from standardized
layout.
Visio / Mind Manager Graphic representation – easier to
communicate
Harder to extract information for
automatic processing.
MS Excel Handles large numbers of
document types
Harder to deal with hierarchies.
MS InfoPath Supports tables and recursive
structures. Easier to automate.
More scalable.
Requires more up-front effort,
especially for large volumes (need
views).

7. What’s in a File Plan?
• Document Types
• Retention Periods
• Retention Actions
• Role Assignments

8. #1 File Planning Challenge: Size
• Driven primarily by
existing retention schedules
• Typical # of document types…
– For small companies: 50-100
– For most companies: 800-1000

9. A Typical Example
Functional Category /
Sub-Category /
Record Series
Description Retention Contact
Accounting J. Doe
Invoice Record of purchased goods and
services
Created + 3
Timesheet Hours worked, overtime and salaries
paid
Project Termination + 1
Human Resources J. Lang
Training Manual Hard-copy training materials Superseded
Resume Candidate resumes Hiring Date + 3

10. File Planning Goals
Create File Plans with a Well-Defined Structure
• Support automated post-processing (if possible)
• Easier to deal with large numbers of record types
Store File Plans Centrally (in SharePoint)
• Easier to revise and collaborate during development

11. Type Description Media Category Expiration Disposition Contact
Invoice Record of purchased goods
and services
Print Invoices X years Destroy J. Doe
Timesheet Hours worked, overtime and
salaries paid
Electronic Payroll
Records
X years Destroy S. Allen
Training Manual Hard-copy training materials Mixed Training X years Archive J. Lang
Resume Candidate resumes Print HR X years Archive J. Doe
A slight improvement
(more normalized)
Can Become
Content Types (optional)
Can include hierarchy
using ‘/’ characters (sortable)

12. What DO WE NEED for
Post-Processing?
• Consistent data structure
• Clear distinction between expiration and
disposition rules
• Unambiguous expiration formula
expressions
• Clear assignment of responsibilities
(permissions)

13. File Plan Post-Processing:
Main Points
Use it to provision records repositories
• Automatically create web application(s)
• Automatically create records center site(s)
Use it to configure other components
• Automatically configure existing records center site(s)
• Automatically create content types and libraries/folders
• Automatically generate routing rules

14. Records Repository Provisioning
Look at total # of documents to determine…
• How to setup content database
• How to configure quotas, etc.
Look at # documents per category to determine…
• How to setup libraries/folders
Look at # documents per role to determine…
• How to distribute permissions
• How to configure permissions

15. How to deal with (VERY) large
numbers of Record types?
• Excel?
– Need more precise data structures
– Need more options for post-processing
• InfoPath?
– Forms can get complicated
Repeating Tables?
Detail Views?
• SharePoint is better

16. Key Takeaways
• Typical file plans describe more than 500 document
types, and configuring a records center requires many
coordinated steps for each distinct document type.
• Automated file plan processing can be used both for
provisioning records repositories and for configuring
records center sites.
• SharePoint-based file plans can take full advantage of
the collaboration and metadata management tools
provided by the platform.

17. Building a File Planning Workspace
in SharePoint
• One approach…
– List of Expiration Formulas
– List of Expiration Actions
– List of Retention Codes (tied to formulas/actions)
– List of Document Types (tied to retention codes)
– Workflows to manage file plan approval status

18. Building a File Planning Workspace
in SharePoint
• Another approach…
– Term Set Group for File Planning
Term Set for Record Types
Term Sets for Retention Codes & Actions
Custom Properties for Extensibility

19. DEMO
Setting Up a File Planning Workspace in SharePoint
using Managed Metadata

20. 20
1. Setup Record Types

21. 21
2. Setup Retention Codes

22. 22
3. Create Components

23. 23
4. Publish Components

24. 24
5. Create File Plan List

25. RECORD DECLARATION
(and classification)
25

26. Record Declaration in MOSS
(2007)
• “Declaration” = “Send to Repository”
– Limited User Experience
“Send To” link on ECB
1 Records Center per Farm
– Complex Data Flow
Required coordination between source content type
and target routing type

27. Record Declaration in
SP2010/SP2013
• “Declaration” = “Lock Down”
– Records can remain in place.
– User prevented from editing or deleting.
– Documents marked as “records”.

28. Record Declaration:
Main Points
• Declaration and Classification are
separate and distinct operations
– Records can be declared before they are classified
(“Explicit Declaration”)
– Documents can be classified before they are declared
as records (“Implicit Declaration”)
– Classification can occur in stages
28

29. Explicit Record Declaration
“In Place”
• SharePoint provides special handling for
explicitly declared records
– Documents are marked as records in the DB
– Can control who can edit/delete them
– Can apply different retention to records
• SharePoint supports programmatic
declaration
– In response to user actions/workflow activities
29

30. “In Place” Record Declaration:
Caveats
• Cannot utilize any location-based rules
– Records don’t actually move
Can’t assign to physical folders or locations
Can’t inherit location-based rules & permissions
• Cannot invoke Content Organizer rules
– Harder to apply metadata-driven rules
(requires a custom declaration handler)
30

31. Implicit Record Declaration:
Main Points
• Classification can happen gradually
– As more information is discovered about documents
– As more time is devoted to classifying them
• Classification can happen repeatedly
– As documents move through the content lifecycle
– As different rules are applied
31

32. The Content Organizer
Custom
Rules
Content
Type
Match?
Property
= Value?
Incoming
Documents
Records
Center
Folder
Library
POLICY

33. Content Organizer: Main Points
• Metadata-Driven Routing
– Automatically handles incoming documents
(no need for custom coded routers)
– Target destination is determined by metadata
• Supports folder hierarchies
– Can target subfolders of destination library
• Can be chained together
– From one site collection to another
33

34. Setting UP a
“Classification Pipeline”
• Chain one content organizer to another
– “Funnel” documents toward an implicit
declaration event
• Use a hybrid declaration approach
– More accessible to end users
34

35. DEMO
Record Declaration and Classification
using the Content Organizer

36. 36
1. Set Up Records Center Site(s)

37. 37
2. Configure Send-To Locations

38. 38
3. Setup Content Organizer(s)

39. 39
4. Process Documents

40. MANAGING THE CONTENT
LIFECYCLE
Retention and E-Discovery
40

41. Information Management Policy:
Main Points
• Applies to items, documents and records
• Associated with content types or locations
• Includes
– Auditing
– Labeling
– Barcodes
– Retention
41

42. SharePoint Record Retention:
Main Points
• Retention defined in “stages”
– Non-sequential
(triggered by changes to document)
• Stages perform actions when triggered
– Move, delete, declare, clear versions, etc.

43. Record Disposition
• Move to recycle bin
• Permanently delete
• Transfer to another location
• Start a workflow
• Skip to the next stage
• Declare as a record
• Delete previous drafts
• Delete all previous versions

44. Litigation Holds
in SharePoint 2013
• Integrated into the E-Discovery site template.
• Evolution of the “Search-And-Process”
capability
– Uses web services to connect to Exchange for email
messages.
– Uses SharePoint Search to locate content in SharePoint
or on File Shares.
– Smarter approach to the “lock down” procedure.

45. Litigation Holds: Main Points
• Holds can be applied to many types of
content
– SharePoint Documents
– Email Messages
– File Shares
• Holds rely on Search and Lock-Down
functions
– Find all documents that match the query
– Protect them from modification / tampering
45

46. E-Discovery: Main Points
• Built around the concept of a “case”
– Associate search results with a case
• Expands “lock down” to include
non-SharePoint content
– Can package a result set for export to secure location
– Protection depends on the content source
46

47. Working with the E-Discovery Center

48. Working with the E-Discovery Center

49. Working with the E-Discovery Center

50. Summary
• SharePoint 2013 provides a robust
platform for RM if the built-in features are
leveraged properly
– Managed Metadata for File Planning
– Content Organizer for Record Classification
– Information Policy for Record Retention
– Search & Process for E-Discovery and Holds
50

51. For More Info
• Company
– www.SharePointArchitects.us
• Blog
– www.JohnHolliday.Net
• LinkedIn
– www.johnholliday.net/in