SharePoint 2013 Enterprise Features for ECM, Records Management and eDiscovery

Jarrod Edge, an instructor with Spindustry Training, outlines ways SharePoint can be used by large enterprise level companies.

SharePoint’s out-of-the-box features allow an organization to support and manage the entire Document Life Cycle: Creation, Location, Authentication, Approval, Workflow, Filing, Distribution, Retrieval, Security, Retention, and Archiving. In addition to SharePoint’s many other capabilities, many large enterprise level companies use SharePoint 2013 as a:

  • Document sharing tool
  • Document versioning tool
  • Records Management tool
  • Discovery tool
  • Compliance tool
  • Search engine
  • Policy enforcement tool

SharePoint Libraries and Lists offer the ability to require:

  • Check-in and Check-out functionality
  • Versioning of documents and/or list items
  • Approval to make a document or list item available (or published)
  • A workflow for the Approval of a document or list item

SharePoint Libraries and Lists also allow for:

  • Content Types
  • Tagging
  • Information Management Policies
  • Marking an item as a record
  • Placing holds on records
  • Document ID’s (for documents) to ensure uniqueness across the enterprise

SharePoint 2013 Enterprise allows Records to be managed:

  • In-Place (in an existing library inside of a normal site (such as a team site) by turning on the In-Place Records feature)
  • In a Records Center. A centralized site for the management of records.
  • It is possible/normal to use both approaches in your SharePoint environment

SharePoint 2013 helps make sure that your records/documents are always added to the correct library or folder within a library by allowing you to add Rules for the routing of documents. For example:

  • A document with the word “Policy” in the name could be routed to a Record Library and placed in a folder based on the year and month the document was created
  • A document with the number 115 in its category column can be routed to a Record Library for all category 115 documents

When creating or marking a document as a Record, SharePoint 2013 allows the following:

  • Manual Records Declaration
  • Automatic Records Declaration

Information Management Policies. SharePoint allows you to create policies based on the Content Type your document. For example:

  • A document added to the Admin Policies Records Library could automatically be marked as a Record and have a policy applied that states that the record must be kept for 5 years. At the end of the 5 year period the policy could cause a workflow to run to determine the disposition of the record and allowing a user to determine if the document is still useful to the organization.
  • A Form DOJ-361 added to the ABQ Field Office Archive Library could automatically be marked as a Record and have a policy applied that states that the record must be kept for 2 years and then moved to the recycle bin.
  • While marked as a record, your settings can Block Delete or Block Edit and Delete if desired.
  • SharePoint 2013 also allows for Auditing of records to determine if a record was opened, edited, deleted, re-added, etc.

SharePoint 2013 Enterprise offers Site-Based Retention. These are policies which define the following:

  • The retention policy for the whole site and the team mailbox
  • What causes a project/site to be closed
  • When a project should expire

SharePoint 2013 Enterprise offers eDiscovery, allowing you to:

  • Preserve (Hold) – Protect content in real time
  • Search – Find relevant content quickly and easily
  • Review – Verify that the data is what you are looking for
  • Export – Transfer the content, package it for further review and production

SharePoint’s Discovery Center allows for Real-time Discovery across:

  • Exchange
  • SharePoint
  • Skype for Business
  • File Shares

SharePoint’s eDiscovery allows for:

  • Case Management, which enables records managers to create and manage enterprise-wide discovery projects, place potentially large amounts and various types of content on hold, and preserve a snapshot of content.
  • Enterprise-wide access, which includes the ability to put content on hold and to search for content from a central location. It also includes the ability to conduct searches, access SharePoint content, and place content on hold in any configured SharePoint location.
  • In-Place Holds, which enables an attorney to preserve a snapshot of content while ensuring that users can continue to make changes without disturbing the state of the content snapshot.
  • Analytics, which enable attorneys, administrators, and records managers to collect and analyze data about eDiscovery activity.


Spindustry Training

Spindustry Training, a Microsoft Certified Partner for Learning Solutions, has developed a 4 day, hands-on, training solution that can teach an organization’s Records Management Team how to understand and use all of the features listed above.

Title: SharePoint 2013 Records Management and Compliance Training