record management

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


Record Management in a nutshell

Standards and Certification

User Adoption and pitfalls

Business Alignment

Implementation Strategy


What is notRecord Management?

What is it not


What is Record Management?

It’s about


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 ManagementAccording 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 Managementand SharePoint

Why is it so important toManage 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

Intuitive User Interface

Insights and Analytics dashboards

Easy retrieval of content for re-usage

1 2 3



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 companieseven 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 dailyactivities 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“Record Management is all about

changing the users effect on

their behavior”


Business Alignment

Business Alignment


The big question is, “How we go from static systems to a flexible one”?

Business AlignmentPeople, Processes, Location

AutomationRecord Identification, Categorization, Declaration

Informational TrustVital Information, Centralization

User ExperienceSimple, 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


Implementationapproach

Strategy

Vision

Goal

Businesscase

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

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


Bake the solution


Implementation planand 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.



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

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



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 libraryAdd 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


Archiving Governance

Compliance and Confidelity

Security Management


Time to put the color on the canvas

Key takeaways for success


Record Management is based on peoples activities

Stop searching for content.Find it!

Use the technology to your advantage

User adoption works better with Quick wins


Demo


Get IT right

record management

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