SharePoint 2010 Records Management

SharePoint 2010
Document and Records Management
February 2013
Why SharePoint?
• Accountability issues with network shares
• Microsoft shop – Microsoft platform
• ‘Single source of truth’ with unique, persistent
IDs, versioning, audit trails, workflows - OOTB
• ‘Local’ access/permission controls
• Legal compliance/retention and disposal
• Search
• Integration with Office / metadata
• However … there are issues
DRM ‘foundation’ elements
• Standards - AS ISO 15489 (RM), ISO 16175 (EDMS)
• Policies/procedures
– DRM Policy
– Records Retention Schedules
• Governance
• Technical architecture
• DRM design
Governance Overview
Governance Plan
Microsoft template
Roles and responsibilities (team/individual)
Architecture overview (diagram)
‘Policies’ (Purpose/why, defined by/owner, policy
statement, considerations)
Technical Architecture
DRM area can include
http://projects/ and
http://app/ using different site
Two environments
DRM ‘Team Site’ environment
Publishing/intranet environment
• Controlled, limited access
• Stores original documents with doc
IDs, versioning, audit trails
• Out of the box template
• Open access to everyone
• Stores copies of documents or links
• Customised look and feel
DRM Architecture
multiple service
DRM Architecture
Microsoft model
Future state (objective)
DRM principles / business requirements
Containment design (SCs)
Users and permissions
Container design
Information Management policies
DRM ‘Core’
• Managed Metadata Service
– Centralised, accessible across farm
– Business classification scheme, document types
– Metadata columns can also be applied locally
• Content Type Hub
– Content Types (Metadata, IM policies)
– Content Type Organiser
• Records Centre (‘Send to Records Centre’
DRM Site Collection Limits
• Guides Site Collection decisions
• 100 GB recommended by Microsoft
• ((D x V) x S) + (10 KB x (L x (V x D))
– Where: D = the number of documents (assume average
20 per user); V = the number of non-current versions; S
= the average size of documents (assume 250 KB); L =
the number of list items (assume 60 per user).
DRM Site Collections
Site Owners / Contributors
Site Visitors
DRM ‘Foundation’
- Records Centre
- Central metadata
- Records Mgt
- Standard settings inc.
Site Owners /
Site Visitors
DRM Site Collections
DRM ‘mud map’
Enabled Site Collection Features
Advanced Web Analytics
Disposition Approval Workflow
Document ID service
Document Sets
In Place Records Management (NOT enabled)
Library and Folder Based Retention
Office Web Apps
SharePoint Server Publishing Infrastructure
SharePoint Server Standard Site Collection features
Three-state workflow
• Farm Administrator
• Site Collection Administrator
• Site Owner
– Receives 3 hours training, high focus on access/security
– Responsible for end user training & help
• Site Contributor/Member
– Add/edit
– Quick Guides
• Site Visitor
Standard OOTB sites
Really helpful for
Site Owners to
have this
Container design (1)
• Content Types
Not so many
Minimal metadata inc MMS
Include first stage retention rules
Local site metadata added
Rule added to CT Organiser (if required)
Container design (2)
• Library settings
Site Owners can create Libraries
Content Types enabled (add from CT Hub)
Folders disabled
Versioning enabled
– Document Sets added (as required)
– Columns added (as required)
Container design (3)
• Library document aggregation options
– No aggregation
– Categorisation based on locally managed (or MMS) lists
– Document Sets
Container design (4)
• Columns, metadata, views
Custom lists with site-relevant metadata
Columns added locally by Site Owners to Content Types
Custom columns
Multiple views
IM Policies
• In Content Types or libraries/folders
• Two stage retention
– On-site n years then destroy or move to Records
Centre via Content Organiser or Send to / Drop off
– Records Centre
‘In Place’ records management – context kept
Role of metadata in CT Organiser
Records Centre via CT Organiser (see over)
SharePoint 2013 differences
In Place Records Management
• NOT using ‘Declare as Record’
• Via Content Type IM Policies NOT library/folders
Content Type Organiser Rules
• Rule name
• Rule status &
• Submission’s
Content Type
• Conditions
• Target Location
DRM functionality
DRM workflows
Audit Trails on Content Types
• Must be enabled and Content Types made
available in Libraries
• Only different items here will be audited (on top
of Site Collection settings)
Audit Trails in Site Collections
• Trim period set at Farm level (default setting)
• Site Collection option to save when ‘trimmed’
Audit Trails - Reporting
• Summary
• Details
Metadata issues
• Document (and email) ‘native’ metadata not
captured in list columns – e.g., ‘Date Created’
– However, document/email retains original metadata
• SP metadata ‘Date Created’ starts again when
document is moved to Records Centre
Records Centre issues
• Loss of metadata
• Loss of previous versions
• However, document ID is retained and leaves
hyperlink stub
Disposal issues
• On-site vs ‘Send to Records Centre’
• Review first, not just delete
– Site Collection feature
• Export metadata to spreadsheet before deleting
to keep metadata
Email issues
• Only real option is save email to drive, save to
SharePoint library
• SharePoint 2013 Site Mailboxes – not quite there
– See:

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