Records Management with MOSS, K2, & PsiGen Deepa Patadia

2  Record  Document that serves as evidence of an activity or transaction  Requires retention for some time period  Records Management  What records to retain  Rules on active documents until they become records  Record Retention Rules  Expiration Policies  Document State  Active  Record  Archived Records Management

3  Content Analysis  Describes and categorizes content that may become records  Provides source locations  How content will move through document /records management system  File Plan  Details enterprise records  Where they should be retained  Applicable policies  Records Managers  Policies  Auditing  Expiration/Disposal  Legal Holds  Monitoring & Reporting Records Management System

4  Identify Records Management Roles  Analyze Organizational Content  Develop a File Plan  Develop Retention Schedules  Evaluate & Improve Document Management Practices  Design Records Management Application  Plan how content moves to the Records Center site  Plan Microsoft Exchange integration  Plan compliance reporting and documentation Records Management Planning

5  Business Case  A current process generated large amounts of paper at geographically dispersed temporary office sites built at the construction location during the course of the engagement. Once the project completed, these documents were placed in boxes and moved to storage facilities in accordance with the client’s legal retention guidelines.  Challenges with Current Process  High Storage Costs  Quality of Documents over time  Document Accessibility after Project Close  Ensuring documents are disposed of once commitment is met  Disaster Recovery Business Case

6  Solution  Implement a digital records system built on the Microsoft Office SharePoint Server (MOSS) 2007 platform, primarily leveraging MOSS’ document management, records center, and workflow capabilities. The solution captures digital documents and stores them to active sites in MOSS, where they can easily be accessed while the project is active. Route documents through its lifecycle from storage in the active site to archival in the MOSS Records Center to expiration and disposal. The solution also leverages the records center’s capability to place documents on legal holds to prevent expiration.  Additional Technologies  PsiGen  Get paper into SharePoint appropriately tagged with MetaData  K2  New Project Setup with security  Send document batches to Records Center by Project Number  Legal Hold/Remove Legal Hold on document batches by Project Number  Batch document expiration and approval by Project Number Solution

7  Records Managers  Determine records management policies, write File plan and retention schedule  Operate records management system – legal holds/expiration  Compliance Officers  Can be same as records managers  Monitor records management system to ensure regulations and guidelines are closely being followed  IT Professional  Deploy, operate, and maintain architecture behind records management solution  Site Designers  Create and configure web sites  Content Managers  Manage teams that produce or handle documents that m ay become records  Information Workers  Create/manage electronic and hard-copy records Records Management Roles

8 Identify Records Management Roles Microsoft® Office SharePoint® Server 2007 Records Management Stakeholders and Participants Worksheet Prepared by: Deepa Patadia Date: 6/23/2009 Name PhoneRole (for example, records manager, compliance officer) Records Managers/Compliance Officers IT Professionals/Site Designers Content Managers Information Workers

9  Analyze Organizational Content  Looked at existing folder structure used at job sites to store paper documents and created a similar digital structure  Develop a File Plan  Determine what is a record  Categorize the records  Complete the File Plan  Determine retention schedules  Determine process to dispose of documents upon expiration  Determine process to place expiration on hold for legal reasons Define Records

10 Analyze Organizational Content & Develop File Plan Content Type (Record)Media Retention PeriodCategoryGlobal Meta TagsDispositionIT USE ONLY Invitation to BidPaperPreconstruction project number, division, project name, owner, project start date Expire Upon Approval Instructions to BiddersPaperPreconstruction project number, division, project name, owner, project start date Expire Upon Approval Subcontractor ListPaperPreconstruction project number, division, project name, owner, project start date Expire Upon Approval TakeoffPaperPreconstruction project number, division, project name, owner, project start date Expire Upon Approval Daily Field Status ReportsPaper Daily Field Status Reports project number, division, project name, owner, project start date Expire Upon Approval Prime ContractPaperPrime Contract project number, division, project name, owner, project start date Expire Upon Approval Deposits/RefundablesPaperDeposits/Refundables project number, division, project name, owner, project start date Expire Upon Approval Correpondence- ArchitectPaper Correpondence- Architect project number, division, project name, owner, project start date Expire Upon Approval Correspondence- InternalPaper Correspondence- Internal project number, division, project name, owner, project start date Expire Upon Approval Correspondence- OwnerPaper Correspondence- Owner project number, division, project name, owner, project start date Expire Upon Approval Correspondence- EngineerPaper Correspondence- Engineer project number, division, project name, owner, project start date Expire Upon Approval Builder's Risk PolicyPaper Sundt's Insurance and Bonds project number, division, project name, owner, project start date Expire Upon Approval

11  Active Documents  Storage Architecture  Security Architecture  Setting up New Projects (K2)  Create Architecture & apply security  Paper-based documents (PsiGen Capture)  How to get them into SharePoint  How to apply valid metadata  Throughput Design Active Site Solution

12  Records Management Site  Where Records will be retained  How Records will be expired  How to handle exceptions to retention policy  Legal Holds Design Records Center Solution

13  Project Archival & Legal Holds  Out of the Box MOSS  Send documents to records center or place/remove legal hold from documents one at a time  No approval  Workflow built Using K2  User submits project number for archival  Approved by Records Manager  All documents related to project archived  Project Expiration  Out of the box MOSS  Expire documents one at a time  Upon expiration – delete document or call custom workflow  Workflow Built Using K2  Request expiration on entire projects at a time  Approval step to confirm deletion of documents  Delete all project documents at once Plan How Content Moves to/Lives in Records Center

14  Know your records  Content types and meta data/Content Size  Retention Guidelines  Know your record life cycle  When a record is created  How it lives in the active site  How it moves to the records center  How it lives in the Records Center site  Define Roles & Get Participation from all roles early  Do Proof of Concept  Leave enough time to change direction  Single Document Library per Content Type in Records Center  Be Flexible  Understand MOSS functionality and your needs Lessons Learned

15  Deepa Patadia 