1 which microsoft sharepoint ® add-in is right for you? bruce miller, president rimtech consulting...

1

Which Microsoft SharePoint® Add-In is Right For You?Bruce Miller, President

RIMtech Consulting

Session S20

Tuesday May 19 2:00 PM

Copyright RIMtech 2015

What You Need to Know #1SharePoint Needs Add-Ins

DoD 5015.2(168)

Fortune 1000(105)

SharePoint Out Of Box(72)

Target RecordkeepingCapability

For Details;

www.rimtechconsulting.com

(3) Foundational RM Deficiencies

Deficiency Details

No enforced hierarchical structureNo category enumeration schemeInflexible retention rulesNo Case vs Admin differentiation

No 3-stage Qualify/Review/Dispose processGreen Light destruction, not Red LightNo relationship-based retentionIncorrect case records handling

Does not allow metadata to be left behind following destructionNo Case vs Admin RecordsCase event dates tied to documents, not to casesApplies disposition to individual records, not entire cases

(3) Foundational RM Deficiencies

File Plan

Disposition

Case Records

What You Need to Know #2(4) Add-in Products

What You Get With All Add-Ins

F1000 Capabilities As a minimum Up to US DoD 5015.2/VERS

Rules-Based Recordkeeping Automate records management

Physical Records Management Boxes, folders, Artifacts

What You Need to Know #3SharePoint’s Native Recordkeeping

IMP (Information Management Policies) Route a Document From WorkSpace to Record Center Define Retention Rule Parameters

Content Organizer Route a Record to Appropriate Library within Records

Center Records Center. Record must reside here before

disposition can be applied. Must be moved from workspace.

Declaration. Ability to tag a document as a record.


SharePoint Workspace vs Records Center


SharePoint’s Records Center


From Document to Record

Using SharePoint’s Native RMMust be in Records Center for Disposition

1 3 4 5 6 7 8 92 10

SharePoint Workspace Records Center

Destroy Archive

DispositionDeclare

When Declared• Locked Down• Classified

Move

Must Later Move• To Records Center• For Disposition

Use IMP Rules Use Content Organizer Rules

What You Need to Know #4Add-Ins Are Quite Different

(2) Different Architectures/Philosophies

(3) different deployment models Utilization of Native SharePoint RM

Ranges from None to Total Same capabilities often implemented

in completely different ways Different language/terminology for RM

elements


Custodial ApproachSharePoint Stores All Records


Non-Custodial ApproachRecords Can Be Anywhere

(3) Add-in Deployment Models

1. Displacement Replaces SharePoint’s Native RM

2. Augmentation Extends (augments) SharePoint’s Native

RM

3. Toolkit Ignores SharePoint’s native RM. External

RM for SharePoint, Non-SharePoint systems


Displacement Model

Document Store

NativeRecordkeeping

RM Data Store

File PlanRecords Add-in

Features


Augmentation Model

Document StoreRM Data Store

NativeRecordkeeping

File PlanRecords Add-in

Extensions


Toolkit Model


Not an Apples-Apples Comparison


What You Need to Know #5When is a Document a Record?

1 3 4 5 6 7 8 92 10


Destroy Archive

DispositionDeclare

When Moved to Records Center• Locked Down• Classified• Subject to Disposition

Augmentation Model


True “In Place” DeclarationSubject to Disposition

1 3 4 5 6 7 8 92 10

SharePoint Workspace

Destroy Archive

DispositionDeclare

When Declared• Locked Down• Classified• Subject to Disposition

Displacement, Toolkit Model


Partial “In Place” DeclarationMust be in Records Center for Disposition

1 3 4 5 6 7 8 92 10


Destroy Archive

DispositionDeclare

When Declared• Locked Down• Classified

Move

Must Later Move• To Records Center• For Disposition

Not Managed as a record Managed as a record

Augmentation Model

In-Place Vs. Records CentrePros and Cons

In-Place Declared record within working site/library/folder Access control remains the same User convenience – document still here!

Records Centre Special area for declared records only Rid working spaces of inactive documents Access control is now different

More difficult to find Can leave a link behind to the record in the RC

What You Need to Know #6Case Records Handling is Critical!!

About a Person, place, event, or thing All records to be kept together (case) Disposition triggered by an event date

e.g. Date of contract end e.g. Employment end, etc. Applied to an entire file/category

Disposition destroys ALL at once Examples

Employment Files Insurance Claims Contracts

Typically 50% of all records are case records

Admin (Non-Case) Records

Ongoing business activity Frequently administrative activities Disposition triggered by document AGE

Delete the older, leave newer behind Applied to individual records

Examples Travel Requests Training


Case Vs Admin Categories

Primary (1) Secondary (2) Tertiary (3)

Trav el 10Trav el application forms,

approv als, Policies02-10 N N T 2 Year Destroy

Insurance 20Insurance cov erage, policies,

renew als02-20 N N T 7 Year Destroy

Smith, J

707

Employ ee files including offer

letters, contracts, disciplinary

records, promotions, etc.

03-10-707 Y NTermination of

employ mentE 3 Year Destroy

Rubble, B

909

Employ ee files including offer

letters, contracts, disciplinary

records, promotions, etc.

03-10-909 Y NTermination of

employ mentE 3 Year Destroy

Policies

20

General policies on

employ ment and w orkplace

safety , business conduct, etc.

Drafts and approv ed copies

03-20 N NWhen

supersededR 2 Year Destroy

Accounts

Receiv able 10Accounts Receiv able 04-10 N N

Fiscal Year

EndT 7 Year Destroy

Accounts

Pay able 20Accounts Pay able 04-20 N N

Fiscal Year

EndT 7 Year Destroy

Budgeting 30

Budget preparation, proposed

and approv ed budgets for

current y ear

04-30 N NFiscal Year

EndT 5 Year Destroy

Regulatory

Reporting 40

Reporting obligations such as

SOX, Env ironment Ministry ,

etc.

04-40 N NFiscal Year

EndT 3 Year Destroy

Safe-Tee

Security 1

Drafts and Master contracts,

Negotiations, Cancellations and

terminations to all contracts

04-50-1 Y N Contract End E 2 Year Destroy

Tasty

Catering 2





Lov ely

Landscaping

3





Pipeline ABCABC Pipeline. Planning, design,

installation, testing, etc.

05-10-

Pipeline ABCY Y Project End E 50 Year Transfer

Rapid Riv er

Bridge

Rapid Riv er Bridge. Planning,

design, installation, testing, etc.

05-10-Rapid

Riv er BridgeY N Project End E 50 Year Transfer

Type ExplanationT TimeE Event

RRelationship (Betw een Records)

File Plan Fragment

Employ ee

10

Administration

02

Human

Resources

03

Projects

10

Contracts

50

PeriodDisp.

ActionCutoff UnitType

Retention Types

Finance

04

Engineering

05

Case Categories

Category TitleDescription Category ID Case

Retention Rule

Vital

CaseCategories

The File Plan3,250 Total Categories

Primary Secondary Tertiary TotalLegalHealth & Safety…FaciitiesBudgetTax

Contract 1…Contract 1000

HiringPolicy

Employee 1…Employee 1000

DesignQ&A

Project 1…Project 1000

250 Admin Categories3,000 Case Categories3,250 Total Categories

File Plan Category Count

1,000 Contracts

1,000 Employees

1,000 Projects

250 Admin Categories

Administration

Finance

Projects

Employees

Human Resources

Contracts

Engineering


Each Case Category Must be Presented as a Metadata Choice

MetadataDateAuthorSubjectProjectSecurityContractorStart DateEnd Date

Content TypeContract Review

• Content Type = Business Activity• Metadata Field dedicated to specifying individual Case• Drop-down selection of case• Case field = mandatory

Safe-Tee SecurityTasty CateringLovely Landscaping

Case 1,000

You Need to Know #7Case System Integration

Need to prompt user for CCM (Case Category Metadata) field. Employee Number 70707 Contract number 2014-3344 Project 2014 West Pumping

Station Where is the case data going to

come from (how to populate SharePoint field values?

SharePoint Limitation

Cannot pull data froma database table!!

Case Category “Churn Rate”

Each Category must exist within the Add-In’s File Plan

New and Closed every day

Can you keep up?? < 1,000 users Yes? > 1,000 users No?

New Closed/DroppedEmployees 10 10Contracts 10 10Projects 5 5SubTotal 25 25

TOTAL Changes Per Day

Daily ChangesCase Category

50

Daily Case Category Churn Rate

5 min’s / Update = 50 X 5 min’s= 250 min’s= 4 hours/day


Case System Integration (CSI)

CorporateDatabases

You Need to Know #8Rules-Based Recordkeeping (RBR)

Automate the Recordkeeping No User Declare No User Classify

Create Document Handling Rules (DHRs) to Specify:

1. Which Documents to Declare

2. When to Declare

3. How to Classify Against File Plan

4. Move to Another Location (optional)


The RBR Model


Anatomy of a DHR

Document Handing Rule (DHR)


RBR RulesAn Example

IF

then

Content Type = Contracting

.and.Contractor = Safe-Tee Security

Category = 04-50-1

IF

then

Approved = Yes.and.

Not Modified > 1 year

Declare as Record

Condition

Condition

Action

Action

Contracting

Date

Subject

Contractor

Status

Category

Employment

Date

Subject

Employee #

Status

Category

Safe-tee Security

Lovely Landscaping

Tasty Catering

707 Smith, J

808 Rubble, B

909 Jones, L

Content Type Fields (Columns) Field Values

Content Type Fields (Columns) Field Values

Rule IF ANDTHEN

Category1 Content Type = Contracting Contractor = Safe-Tee Security 04-50-12 Content Type = Contracting Contractor = Tasty Catering 04-50-23 Content Type = Contracting Contractor = Lovely Landscaping` 04-50-34 Content Type = Employment Employee # = 707 03-10-7075 Content Type = Employment Employee # = 808 03-10-8086 Content Type = Employment Employee # = 707 03-10-909

Content Rules

04-50-1

03-10-808

Using Content Rules to Classify

37

DHR Variable SubstitutionAn Essential Ingredient to Good RBR

Rule # Condition Category1 Content Type = Employee and Employee Name = Employee 1 03-10-Employee 1

1000 Content Type = Employee and Employee Name = Employee 1000 03-10-Employee 10001001 Content Type = Contract and Contract Name = Contract 1 04-50-Contract 1

2000 Content Type = Contract and Contract Name = Contract 1000 04-50-Contract 10002001 Content Type = Project and Contract Name = Project 1 05-10-Project 1

3000 Content Type = Project and Project Name = Project 1000 05-10-Project 1000

Rule # Condition Category1 Content Type = Employee and Employee Name = %Employee Name% 03-10-%Employee Name%2 Content Type = Contract and Contract Name = %Contract Name% 04-50-%Contract Name%3 Content Type = Project and Project Name = %Project Name% 05-10-%Project Name%

DHR Rules for Case Records

DHR Rules for Case Records

3,000 Rules

3 Rules

Variable

Explicit

TOP 10 EVALUATION FACTORSRM Add-Ins for SharePoint

Evaluation Factor #1Dependency on Native Recordkeeping

Some use it, some ignore it More usage More Complexity

2-stage journey to Records Centre The “RM Plumbing”

Records Center IMP Content Organizer

Evaluation Factor #2SharePoint Governance

1. Provisioning Push site configurations out to other sites Improved System Maintenance Control Site Sprawl

2. Extensions (Improvements) to Native SharePoint Document Routing Methods Metadata Inheritance Content Organizer extensions

3. Metadata Entry & Control Enter more consistent metadata

4. Document Templates Based on metadata

The bigger you are, the more important this is

Evaluation Factor #3Email Integration

Very Important! 5X more records from email than any other source

Need a Third-Party Integration For usable drag/drop email declaration Colligo, etc. Extra-$$$ Investment

Need to Integrate ($$$) RM Add-In Vendor to Integrate

Gimmal Includes Colligo For cost of license

RecordLion is building email Integration Low-$$$

Evaluation Factor #4Application Programmer’s Interface (API)

1. Allows CSI (Case System Integration) Development Integrate corporate case systems with RM Add-ins

2. No API = Dangerous Void Warranty? Risk damaging Add-In


Evaluation Factor #5DoD 5015.2 Certification

1. Requires Extra $$$ to Comply StoragePoint by Metalogix

For non-recoverable disposition

2. Not an Option if Compliance = Mandated US Military US Government (advised not mandated)

3. Do you Need it? Non-Mandated requires 105 of 168 features

4. Achieving Certification is Tough Expensive, Technically challenging Much time/resource required

Evaluation Factor #6In-Place Declaration

1. “True” In-Place means Once declared, subject to disposition No additional step to move it to Records Center

2. Interim Declaration Locked down and marked only Extra processing required o move to records center before disposition

can be applied

3. Requires Extra $$$ to Comply StoragePoint by Metalogix

For non-recoverable disposition

4. Achieving Certification is Tough Expensive, Technically challenging Much time/resource required

Evaluation Factor #7Physical records

1. Good PRM Means: Boxes, Folders, artifacts Barcoding management Integration with off-site storage Space Management Seamless search integration inside SharePoint

Combine e-records, boxes, etc. in a single search Circulation Control

Charge-Out/In

2. Gimmal Release June 2015

Harder than it sounds, because more has to be imposed inside SharePoint Interface

Evaluation Factor #8Multi-Lingual

1. Bilingualism really means: RM Add-in screens are translated SharePoint is translated Dual-language RM database fields (Description,

Subject, etc.) Proper sorting for accented vowels Dynamic language selection Translated:

Documentation On-screen HELP All Admin screens

Evaluation Factor #9Non-Recoverable Disposition

1. Mandated by 5015.2 Only available from Gimmal Requires extra-$$$ StoragePoint

2. A good idea Preserves recordkeeping integrity

Requires documents to be stored OUTSIDE SharePoint database Remote Blob Storage

Evaluation Factor #10DHR Variable Substitution

1. Essential for case categories Each case category in file plan needs a

Document Handling Rule (DHR) Each rule to be maintained/managed over time

2. Means 3 rules vs. 3,000+ rules I rule for each case parent category, not for

each case.



Evaluating the Add-Ins

Evaluation Factor Weighting (%)

Architecture 50% 10 10 10 10Model 90% 10 10 10 10

Native Recordkeeping Dependency

50% 10 10 10 10

SharePoint Governance 25% 10 10 10 10Email Integration 50% 10 10 10 10Application Programmer's Interface (API)

90% 10 10 10 10

US DoD 5015.2 Certified 5% 10 10 10 10In-Place Declaration 75% 10 10 10 10Physical Records 90% 10 10 10 10Multi-Lingual 10% 10 10 10 10Non-Recoverable Disposition

10% 10 10 10 10

DHR Variable Substitution 90% 10 10 10 10

63.5 63.5 63.5 63.5Total Score

Use a weighting to determine importance of each factor

SUCCESS FACTORSRM Add-Ins for SharePoint

Success Factor #1Pre-Configure SharePoint

Define Needed Metadata Metadata Fields 10-15 RM fields Identify case records Triggering criteria for declaration

Content Types Which Locations (libraries/folders) to assign

them to Define Storage Locations

Where possible Define Security Permissions

SharePoint Pre-ConfigurationThe Secret to Add-in Success

1. What Metadata do we need? Define Metadata for Admin and Case

documents Define SharePoint Content Types

2. Where to store documents? Define location of all document

storage (workspace)

3. How to control access? Pre-Declaration security control Post-Declaration security control


The Greater the Pre-configuration, the Easier Add-in Deployment Will Be.

Dec

lara

tio

n M

eth

od

s

SharePoint Pre-Configuration

Manual

Automatic

Minimal Maximum

Target

For Each Content Type

Case (Y/N) If Case, Need Mandatory Case ID Field

Which Project? Which Employee? Which Contract?

Business Unit Fields Defined by business unit

RM Add-In FieldsMandated by add-in

Declaration Type Immediate or deferred

Declaration Condition What metadata field value(s) will trigger

declaration? File Plan Category

Admin Content Types Only

For Each SP Workspace Location (F)older or (L)ibrary? Case (Y/N) Which Content types are assigned?

Content Type 1 Content type n

File Plan Category

Permissions for each Workspace Location

For each Content Type: Pre-Declaration

Permissions Post-Declaration

Permissions

Success Factor #2Use RBR to Automate

Use for all documents except email Email has no context (rules not applicable)

Burden shift From End Users

Declaring records To RIM Team

Defining/maintaining thousands of content rules

Rules Dependent on defining good document metadata Get Involved in SharePoint deployment!

Success Factor #3Build a CSI

Needed If > 1,000 users You’ll never keep up with case Category churn You’ll need an API or vendor assistance

Success Factor #4Have an Implementation Plan

Use an EDRMS Implementation Methodology to remove the risk of failure

Allocates Sufficient resources Leaves nothing to chance

Reaching the GoalDisposition

Declare the Records

Classify Them (correctly)

Disposition – The End Game

Second

Third

Goal

How are we going to get 1,000 users to do this, reliably and consistently?

How do we make sure classification accuracy rate > 95%?

This cannot be done unless the bottom (3) layers happen!

Qualify First Which Documents are Records?

Mandates & Regulations

Info

rmati

on G

over

nanc

e

Business Procedures

People & Policies

Technology

EDRMS Governance Framework

Change the rules of our Business

Change the Business Procedures to fit the new rules

Implement the new procedures in the EDRMS

First

Second

Third

EDRMS Implementation Methodology

4. Plan/Strategy3. Enterprise Adoption Plan

2. Corporate Policies1. Project Governance

Stage 2 – Procedures

Stage 3 - Technology

8. Repository Governance7. Business Processes

6. RIM Administration5. Records Foundation

12. Pilot11. User Training

10. Declaration9. Sandbox

Stage 1 - Organization

Document Store

RM Add-In

NativeRecordkeeping

The Grand Illusion

RIM TeamWe’ll do Our RM Thing

IT TeamWe’ll do Our SharePoint Thing

Document Store

NativeRecordkeeping

The RealityMany Points of Mutual Co-Dependency

RM Add-In

Bruce [email protected]

www.rimtechconsulting.com

613-226-8468