There is a mindset within records management that “If it’s not complicated, it won’t work”. While establishing a solid records management process is not easy per se, it should not be made more difficult by proprietary vendors who have lost focus or never had a focus on usability. Many tools overcomplicate the storing and finding of records. If a system is not easy to us it will not succeed, no matter the brand name or promises by the vendor.

Surprisingly, it is the logic, not the tool that should require the largest investment. Records management logic includes; identifying who has the responsibility for records management (governance), determining record types, establishing taxonomy, defining metadata, reviewing legal and business requirements, creation of retention/disposition schedules, locating current records and their format, determining where to store records/how to find records, and how to show proof of destruction at end of a records lifecycle.

SharePoint 2010 accommodates this logic in a straightforward and usable manner. Features such as managed metadata, the Content Organizer, in-place records declaration, holds and eDiscovery, multiple stage retention policies, and search provide the backbone of this powerful tool.

Documents submitted to the SharePoint Records Center become locked as a record, and documents residing outside of the center may be declared as a record through the use of in-place records management. These documents are handled in the same manner as a record residing in the Records Center except they remain in their current location. Unique Document IDs are assigned to each document and maintained with the record so that if it is moved, the document can be located via the ID. Compliance details including the retention stages, content type, exemption status, hold status, record status and generation of an audit log are available for individual SharePoint items.

Sample Record Compliance Details

Routing of records is handled by the Content Organizer. By default, a SharePoint Records Center has this feature enabled. It allows for the automatic routing of documents to different libraries and folders within those libraries based on pre-defined rules. Building upon the SharePoint 2007 Records Center, it expands routing to allow for the use of managed metadata as a key document property. A threshold can also be set for the folders within a document library to limit the number of items it can hold. When the threshold is met, a new folder is automatically created and configured with a pre-formatted naming convention. In order for routing to occur, routing rules must be in place. Creation of routing rules is based on content types and can contain multiple conditions. Using managed metadata in conditions allows for a centralized source to manage large amounts of descriptive document information. Routing rules are stored in the Content Organizer Rules list for ease of creation and editing.

The retention policies for records can be placed on content types or at the library/folder level. These policies include the capability to start a workflow. Multi stage retention policies can also be created to handle more complex record management needs. Other options for records management include auditing, bar codes and labels. Holds can be placed on an individual item or in multiples by using the search and hold capability. This reduces the burden during eDiscovery and allows for central management of hold activities.

Finding records can be achieved via multiple methods. Since a record has a unique ID, it can be located by this identifier. With a well thought out file plan, records will also be available in a properly named and hierarchical folder structure. Metadata plays a huge role in locating records as metadata navigation can be applied to a document library. Lastly, SharePoint’s search capabilities offer the best combination for records locating as it leverages the power of search coupled with the ability to filter by metadata.

With these features deployed, records management follows a direct and auditable path of record identification (tagging with metadata), declaration, storage (routing handled by the Content Organizer), locating (through multiple search options), and eventual disposition (retention schedules).

By taking the time to clearly define your records policies and implementing SharePoint 2010’s records management tools, you will reduce your legal exposure and improve business processes. Bear in mind that records management is a cost center so a more efficient records management system does not create profit, but rather reduces cost.

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