record management

© 2014 Cambridge Technology Partners, Proprietary & Confidential1

Record ManagementHow can we use it affectively and to our advantage?10 December 2014, [email protected]

© 2014 Cambridge Technology Partners, Proprietary & Confidential

Record Management in a nutshell

Record Management in a nutshell


What is

Record Management?


AIIM (Association for Information and

Image Management) defines RM as,

the field of management responsible

for the efficient and systematic control

of the creation, receipt, maintenance,

use and disposition of records.

What is Record Management

According to AIIM

RM is part of the ECM (Enterprise

Content Management) feature set in

SharePoint Enterprise and Office 365.

SharePoint provides a set of policies

and a repository to easily manage your

records.

Records Management

and SharePoint

Why is it so important to

Manage the Records?Ok, but what are Records?

Retrieve information in a quick way to

make decisions and save money.

Supports in legal matters.

Necessary to obtain a special industry

certification.

A record can be anything of importance

to your company.

The type of records and how to

manage them are describe in a “File

plan”.

http://www.aiim.org/


Content Lifecycle Journey

Classify

Capture

Store

Retreive

Archive


Must havesA modern Record Management System must have a bare minimum of

1 2 3


Standards and Certification




Can we reproduce more than a 100.000 times the same item or process with the same quality? Do we have a plan and process in place so we’re capable of doing the statement as mentioned

above and verify it?

We all probably heard of ISO (The International Standards Organization) or AIIM

(Association for Information and Image Management) and some companies

even provide their certifications on their website.

But why do you want to be certified and what does it really mean?

To really simplify it and actually it’s a bit more then this. It all comes down to two

things.

For some companies it’s necessary to provide services to an other. This way

you can prove you passed a high standard and are able to do business with

others who depend on it.

This is very common for, Pharmaceuticals, Airlines, Military, Government,

Banking.

Certification


User Adoption and pitfalls

User adoptionand pitfalls


Traditional Record Management and why it fails

Compliance focused, Categorize, Retain, Dispose Driven by Risk mitigation, Regulatory, Legislative, Legal Enforce via a File plan

Traditional Record management is all focused on driving compliance true

the organization.

We want to know our content still has it's business value and prove we've done it correctly.

We do this by creating a file plan and hierarchical structure.

Categorizing our content Retaining our content Dispositioning and Disposing our

content


So why does it fail?

People

Lots of people, who all have different

personalities, visions and ways to work.


Ah, End-users who not collaborate!

Don’t forget we’re one of them!


Ok, User Adoption is about User Acceptance

It's not about the technical solution but about change and the way people work.

The technical tool given to people is static but for the End-user it’s about what

they experience in their business activities.

The end-users don't see or feel the value of Record Management in their daily

activities so why do they have to run the extra mile?

More work More steps More burden

Most of the time the goals for Record Management are driven from a different

perspective then how they work.

Traditional Record Management solutions have a extraordinary high failure

rate


People are smart and computers are…..

It’s clear if the system not work for their job they don’t use it’s.

Everyone is using a different method to file their records.

The way to record the records are mandatory and not flexible enough.

So we ask users to make choices and the record will be declared from the point of view from

the end-user what he thinks is wright. In the end it still can be a mess and the value of the

records go quickly down to zero.

This causes friction and leads to failure.

If the system not work well for them to do their job, they will go back to what

their used too or find a way around it.

Facts


Business Alignment

Business Alignment


The big question is, “How we go from static

systems to a flexible one”?

Business Alignment

People, Processes, Location Automation

Record Identification, Categorization,

Declaration Informational Trust

Vital Information, Centralization User Experience

Simple, Seamless, Transparent

The answer is simple.

Communication, we ask them.

Success Strategies

Take technology out of the equation and start

aligning business processes.

Align the way people work to lead to the same

result they try to achieve.

So let's adapt to the way they work.


Learning the behavior

Who are your end-users? What are they doing all day? Why is it so important to them?

Business Alignment is about listening

and asking the right questions!Process and End-user Discovery

Every step is User Centric and should

be visualized in a roadmap

What tools are they already familiar with? What tools do we already have and can use

better? Can minor upgrades or third party products help

with the daily activities. Is the new technical solution intuitive enough? How can the Technical Solution support the work?

Technology


Implementation Strategy

ImplementationStrategy


Implementation

approach

Strategy

Vision

Goal

Business

case

After you win their hearth’s and trust

it’s time to plan the strategy and

implement the technology.


What do we need to give the business users

to do their jobs

The goal is, to have a solution to

affectively manage company records.

SharePoint is more then just the default

record management site collection.

If we combine other ECM features, like

metadata, workflows, search the true

power will reveal itself.

Most features are also in the cloud and

with an hybrid environment you can even

manage information from other Line-Of-

Business systems.

One of the great powers of SharePoint is

that its extendable and customizable to all

needs.

Third Party ProductsSharePointSharePoint gives you many functionalities to

help you build your company record

management solution but it’s not the holy

grail.

One extension that really improves

productivity is, Collabware CLM it helps you in

a step-by-step process to divine the content

policies and manage the records. It’s a true

end-to-end solution and a good ROI.

Compare SharePoint Out-Of-The-Box

features with the extra CLM extension.

http://www.collabware.com/Products/CLM-for-SharePoint/Pages/Features.aspx

http://www.collabware.com/Products/CLM-for-SharePoint/Pages/Comparison.aspx




Bake the solution


Implementation plan

and things to-do Identify your records in the business processes

Devine a file plan

Align clear functional requirements

Understand the business process

Create and configure a Records Center repository

Create and merge libraries to manage records

Add an existing content type to a list or library

Make use of smart tags and labels

Create workflows to automate the process

Convert search in to find

Create and add site columns to lists, libraries or content types

Create information management policies for records

dispositioning

Hold a thorough user Acceptance Test, because adoption is key


The file planStart small and as soon as the end-users get used

to the process divine more record types to declare.

Type of record

Declare to which Record Pool

Record owner

Retention period Content Lifecycle

What’s in the file plan?

Category

Record State

And more……..


Designing the solutionDetermine whether to create a records archive, to manage content in-

place, or to use a combination of the two. Define content types, libraries,

policies, and, metadata that determines to which location to route a

document.

It’s possible to store records within a single

library and let the retention rules do their thing

in their. It’s called in-place record

management.

The other option is a Record Center which is

mainly used as a Records repository. Content

will be routed from a site and end up in the

Record Center as an archive.

In-place vs Record Center

Is the governance of the collaboration site

appropriate for managing records?

Is your industry subject to regulatory

requirements that mandate records be

separated from active documents?

Should the administrator of a collaboration

site be trusted to manage a site that

contains records?

Questions and choices


In-place RM vs Record Center


Create and Configure the

Records Management Solution

The Record will be declared from the End-users

own collaboration site and the Content Originator

rule will reroute the document to the Record Center

to be archived.

This will be the first stage of the Content Lifecycle.

The preferred approach will be an archived RM solution.

For this choice a Record Center will be created. In a later phase a

hybrid solution would be nice to have the working state of the

record inside your process.




Create a new Site

Collection from

Central Administration

and choose the

Record Center site

template on the

Enterprise tab.




Under Site Settings

choose Manage

Records Center and

follow the guide.



Records Management Solution Create a library for all Records divined in your file plan. A prefix can be handy for

categorization.

What is the divergence between a Record Library and a normal library?

A Records Library is a document library but with a Records Management slant. It is available in the Records Center site by

default but won`t be available in any of the other site templates. Automatic Declaration Enabled and Source of Retention on

Library and Folders are configured.

http://technet.microsoft.com/en-us/library/cc262215(v=office.14).aspx

http://www.sharepointanalysthq.com/2010/05/how-to-create-a-records-library-2/

http://technet.microsoft.com/en-us/library/cc262215(v=office.14).aspx

http://www.sharepointanalysthq.com/2010/05/how-to-create-a-records-library-2/



Records Management Solution Create a Content Types for all the Records you want to declare and are in your file plan.

Use site columns to make sure everything is reusable and is getting a default Managed

Property which you can use for Search. Group your Content Types logically so it will be easy

to manage.

Add the Content Type

to the library

Add from new site columns


Information Management Policy settings.

Here you define what can happen to the

record after a certain period.


Content Organizer and Routing

rules are the final part to setup.


How Content becomes a Record

Manually declaring a document to be a record.

Defining a policy that declares a document to be a record or sends a document to a

Records Center site at a specified time.

Creating a workflow that sends a document to a Records Center site.

Using a custom solution that is based on the SharePoint object model.

You can use the following techniques to convert active documents to records

Whit in the Content Organizer you

can set routing decisions what

happens to the content and where to

store it.


Take it to the next level


Time to put the color on the canvas

Key takeaways for success


Demo


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type of records

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