在 SharePoint Server 中的記錄管理Records management in SharePoint Server

摘要:了解記錄管理及記錄管理規劃 SharePoint Server 中的程序。Summary: Learn about records management and the records management planning process in SharePoint Server.

記錄是可做為證據活動或組織所執行的交易和需要注意的保留一些時間週期的組織中其他電子或實體實體或文件。記錄管理是所依據的程序組織:A record is a document or other electronic or physical entity in an organization that serves as evidence of an activity or transaction performed by the organization and that requires retention for some time period. Records management is the process by which an organization:

  • 決定何種資訊類型應視為記錄。Determines what kinds of information should be considered records.

  • 決定將成為記錄的使用中文件在使用時應如何處理,以及決定當其宣告成為記錄後,應如何加以收集。Determines how active documents that will become records should be handled while they are being used, and determines how they should be collected after they are declared to be records.

  • 決定每種記錄類型在符合法律、商務或控管需求方面,應予保留的方式及時間長短。Determines in what manner and for how long each record type should be retained to meet legal, business, or regulatory requirements.

  • 研究與實作以符合成本效益且非侵入式的技術解決方案及商務程序,協助確保組織遵守其記錄管理責任。Researches and implements technological solutions and business processes to help ensure that the organization complies with its records management obligations in a cost-effective and non-intrusive way.

  • 執行記錄相關的工作,例如處置過期的記錄,或尋找並保護與外部事件 (例如訴訟) 相關的記錄等。Performs records-related tasks such as disposing of expired records or locating and protecting records that are related to external events such as lawsuits.

決定貴組織中應歸類為記錄的文件及其他實體或電子項目,是公司法務人員、記錄管理員及律師的責任。這些人員會審慎分類貴組織的所有企業內容,可協助您確定合適的文件保留期間。設計良好的記錄管理系統可協助在法律層面保護組織、協助組織證明守法義務,以及提升處理非記錄的過時項目,增加組織效率。Determining which documents and other physical or electronic items in your organization are records is the responsibility of corporate compliance officers, records managers, and lawyers. By carefully categorizing all enterprise content in your organization, these people can help you ensure that documents are retained for the appropriate period of time. A well-designed records management system helps protect an organization legally, helps the organization demonstrate compliance with regulatory obligations, and increases organizational efficiency by promoting the disposition of out-of-date items that are not records.

記錄管理系統的元素

記錄管理系統包含下列元素:A records management system includes the following elements:

  • 提供來源位置的內容分析會描述及分類企業可成為記錄的內容,並會說明如何將內容移至記錄管理應用程式。A content analysis that describes and categorizes content in the enterprise that can become records, that provides source locations, and that describes how the content will move to the records management application.

  • 會指出,為每種記錄在企業中的檔案計劃他們應該保留為記錄,其中原則的套用至其、 他們必須的保留期限、 他們處置方式,及誰負責管理它們。A file plan that indicates, for each kind of record in the enterprise, where they should be retained as records, the policies that apply to them, how long they must be retained, how they should be disposed of, and who is responsible for managing them.

  • 定義規則的規範需求文件的組織的 IT 系統必須遵循以確保符合性以及用來確保參與的企業小組成員的方法。A compliance requirements document that defines the rules that the organization's IT systems must follow to ensure compliance and the methods that are used to ensure the participation of enterprise team members.

  • 從所有記錄來源,例如共同作業伺服器、 檔案伺服器及電子郵件系統的方法,諸如都是不再作用中的記錄A method for collecting records that are no longer active from all record sources, such as collaboration servers, file servers, and email systems.

  • 稽核記錄的方法時於作用中。A method for auditing records while they are active.

  • 擷取記錄的中繼資料的方法與稽核歷程記錄以及維護這些。A method for capturing records' metadata and audit histories and for maintaining them.

  • 用於保留記錄的程序(擱置處置) 發生訴訟等事件時。A process for holding records (suspending their disposition) when events such as litigations occur.

  • 監視及報告記錄處理狀況的系統,以確保員工是歸檔、 存取和管理其根據定義的原則及程序。A system for monitoring and reporting on the handling of records to ensure that employees are filing, accessing, and managing them according to defined policies and processes.

SharePoint Server 包含可協助組織實作整合的記錄管理系統和處理程序的功能。SharePoint Server includes features that can help organizations implement integrated records management systems and processes.

記錄管理規劃概觀Overview of records management planning

本主題說明以協助確保記錄管理系統的實作 SharePoint Server 為基礎將達到組織的記錄管理目標應該採取的規劃步驟。以下是預覽的記錄管理規劃程序:This topic describes the planning steps that you should take to help make sure that the records management system that you implement based on SharePoint Server will achieve your organization's records management goals. The following is a preview of the records management planning process:

  1. 識別記錄管理角色成功的記錄管理需要專業的角色,如下所示:Identify records management roles Successful records management requires specialized roles, such as the following:

    • 分類組織記錄及執行記錄管理程序的記錄管理員及法務人員。Records managers and compliance officers to categorize the records in the organization and to run the records management process.

    • 實作有效支援記錄管理系統的 IT 人員。IT personnel to implement the systems that efficiently support records management.

    • 找出組織資訊保留位置及確保其小組遵循記錄管理工作的內容管理員。Content managers to find where organizational information is kept and to make sure that that their teams follow records management practices.

  2. 分析組織內容建立檔案計畫、 之前記錄管理員及內容管理員要調查組織決定哪些文件中的文件使用狀況和其他項目可成為記錄。Analyze organizational content Before creating a file plan, records managers and content managers survey document usage in the organization to determine which documents and other items can become records.

  3. 發展檔案計劃具有分析組織內容並決定保留排程之後,請填入其餘的檔案計劃。檔案計劃不同組織,但通常說明企業認可成為記錄、 表示的儲存位置、 描述其保留期間,並提供其他資訊,例如有哪些的項目類型負責管理它們與記錄的更廣泛類別及其所屬。Develop a file plan After you have analyzed your organizational content and determined retention schedules, fill in the rest of the file plan. File plans differ from organization to organization, but generally they describe the kinds of items the enterprise acknowledges to be records, indicate where they are stored, describe their retention periods, and provide other information, such as who is responsible for managing them and which broader category of records they belong to.

  4. Develop 保留排程針對每種記錄類型,決定當您不再作用中 (使用)、 它保留期限之後,以及其最終處置方式。Develop retention schedules For each record type, determine when it is no longer active (being used), how long it should be retained after that, and how it should ultimately be disposed of.

  5. Evaluate 以及改善文件管理實務請確認所需的原則會被套用在文件存放庫。例如,請確定該內容正在適當地稽核使適當的稽核時,會保留與記錄。Evaluate and improve document management practices Make sure that required policies are being applied in document repositories. For example, make sure that that content is being appropriately audited so that suitable audits are retained together with records.

  6. 設計記錄管理解決方案決定是否要建立記錄封存管理記錄的位置,或是使用這兩種方法的組合。根據檔案規劃、 設計記錄封存或決定如何使用現有的網站包含記錄。定義內容類型、 文件庫、 原則及何時需要、 中繼資料所決定之位置路由傳送至文件。Design the records management solution Determine whether to create a records archive, to manage records in place, or to use a combination of the two approaches. Based on your file plan, design the record archive, or determine how to use existing sites to contain records. Define content types, libraries, policies, and, when it is required, metadata that determines the location to route a document to.

  7. 規劃如何內容會變成記錄如果您使用 SharePoint Server 的作用中的文件管理及記錄管理,您可以建立自訂工作流程文件移至記錄封存。如果您使用 SharePoint Server 或外部文件管理系統,規劃及開發的介面,將內容從這些系統移到記錄封存或的宣告為記錄的文件,但不是會移動文件。您也可以建立教導使用者如何建立及使用記錄的訓練計劃。Plan how content becomes records If you are using SharePoint Server for both active document management and records management, you can create custom workflows to move documents to a records archive. If you are using either SharePoint Server or an external document management system, you can plan and develop interfaces that move content from those systems to the records archive, or that declare a document to be a record but do not move the document. You also create a training plan to teach users how to create and work with records.

  8. 規劃電子郵件整合決定是否要在此管理電子郵件記錄在 SharePoint Server 或是否管理電子郵件應用程式本身內的電子郵件記錄。Plan email integration Determine whether you will manage email records within SharePoint Server , or whether you will manage email records within the email application itself.

  9. 規劃社交內容的規範如果貴組織使用部落格、 wiki 或 「 我的網站等社交媒體,決定此內容要成為記錄的方式。Plan compliance for social content If your organization uses social media such as blogs, wikis, or My Sites, determine how this content will become records.

  10. 規劃規範報告和文件若要確認您的組織正在執行其所需的記錄管理實務並溝通這些作法,您應該記錄的記錄管理計劃和處理程序。若您企業變成他正在進行的記錄相關的訴訟暫止,您可能必須產生這些記錄管理指導方針、 實作計畫和評量在效益。Plan compliance reporting and documentation To verify that your organization is performing its required records management practices, and to communicate these practices, you should document your records management plans and processes. If your enterprise becomes engaged in records-related litigation, you might have to produce these records management guidelines, implementation plans, and metrics on effectiveness.