Welcome

Improving Information and Document Management

With SharePoint

Simon Rawsonsimon@powermark.net.au

0430 986 682© PowerMark Solutions 2014

Overview• Chapter 1: ISO15489 and SharePoint• Chapter 2: Document Sets, Taxonomies,

Versioning and Metadata Navigation• Chapter 3: Holds, Disposition, Information

Management and Content Organizer• Chapter 4: Configuring Content Hubs and

Managed Metadata Services• Chapter 5: Document and Web Accessibility• Chapter 6: SharePoint 2013 update

Chapter 1

ISO 15489, Records Management and SharePoint

ISO / AS 15489

• “The field of management responsible for the efficient & systematic control of the creation, receipt, maintenance, use & disposition of records, including the processes for capturing & maintaining evidence of & information about business activities & transactions in the form of records”

The Requirement for Managing Records

• Public versus private sector• Primary legislative drivers – generally public

sector– National Archives Act and state legislation– Many other Acts– Privacy Amendment (Private Sector) Act 2000 –

extended FOI rights into the private sector• AICD - records management a Board

governance responsibility

Some Key Resources

• ICA - Principles and Functional Requirements for Records in Electronic Office Environments

• NAA – Checkup – A toll for assessing your agency’s information and records management

• Wise Technology - Analysis of MOSS 2007 and SharePoint 2010 against ICA ERMS Requirements

How Does SharePoint Stack Up?

• 88% of Records functionality as defined by the ICA standard is now available “out of the box” using Sharepoint 2010

• Additional configuration and Third party applications are required to provide specific records compliance functionality

Compared with MOSS 2007 there are significant improvements

High level requirements of ICA Module 2

SharePoint RM Scorecard• Electronic business information has to be actively

managed and reliably maintained as authentic evidence of business activity

• Business information has to be linked to its business context through the use of metadata.

• Business information has to be kept and must remain accessible to authorised users for as long as required.

• Business information has to be able to be disposed of in a managed, systematic and auditable way.

• Systems should support good business information management as an organic part of the business process.

• Systems for capturing and managing business information have to rely on standardised metadata as an active, dynamic and integral part of the recordkeeping process.

SharePoint RM Scorecard• Systems have to ensure interoperability across platforms

and domains and over time

• Systems should rely as far as possible on open standards and technological neutrality.

• Systems should have the capacity for bulk import and export using open formats.

• Systems must maintain business information in a secure environment

• As much metadata as possible should be system generated.

• It should be as easy as possible for users to create/capture records of business activity.

ICA Requirements

Key Areas of Non-compliance• Native Security Classification• Physical and Hybrid Records Management• Metadata Export and transfer• Email management and automated capture

of related metadata• Complex Classification configuration• Complex disposal and transfer actions• Automated capture of non Microsoft content

Boiling Down Further

• Email capture – including metadata• Item security• Physical and hybrid records management

Summary• Third party and configuration solutions are

available for all SharePoint gaps• SharePoint stacks up better than some

specialist RM solutions

• Don’t approach this as an RM or compliance problem - focus on user interaction with information and things which make sense in day-to-day practice

NAA Checkup 2.0• Description• How can Checkup 2.0 be used in my agency?– information and records management SWOT– identify areas of high risk– prioritise other records and information

management attention– support a case for resources or initiatives– report to senior management on agency

compliance with NAA minimum requirements– assist in planning strategies, policies, procedures

and training materials

NAA Checkup 2.0

• http://naa.gov.au/records-management/check-up/index.aspx

• Walkthrough of Checkup 2.0• Group discussion

Chapter 2

Document Sets, Taxonomies, Versioning, and Metadata Navigation

Managing Check-in and Check-out• Enabled in Document Library Settings page

along with Draft Item Security and Approval• Check-out optionally downloads a temporary

copy to the user’s machine– Defaults to My Documents\SharePoint Drafts– Local copies are deleted by check-in

• Check-in makes documents visible to others• SharePoint Workspace allows check-out/in

version changes when offline

Version Control• Each version is a complete copy• Configured in Document Library Settings• The number of retained major (published) and

minor (draft) versions can be specified• Visibility of drafts can be restricted• New or changed items can be held in draft

pending approval

Using Unique Document IDs• Every document can have a unique ID• The Document ID Service controls item IDs• Prefix character strings for IDs apply across

Site Collections• A search scope can be assigned for ID lookup

Site Columns

• Created at site or site collection level• Automatically inherited by child sites • Can be associated with lists and libraries

Content Types

• Think of as a “content classification” (e.g.: Proposal, Purchase Order, Video, Invoice, Image, Project Plan, Contact Record etc.)

• Each Content Type may specify:– Associated columns (metadata fields)– An associated template (e.g.: Purchase_Order.xslt)– Workflows and information management policies

• Used for governance/consistency of specific content across an enterprise

• Hierarchical– Inherits properties of parent content type (e.g.: columns)– Always inherited down from a site, site collection or content type

hub

Using Document Sets• A content type with multiple content objects• Document Sets are managed as a single unit• Version control applies to the Set or

documents within the set• Metadata applies to the set or documents• Document Sets are an editable web part page

Metadata driven scenarios

Folksonomy

Managed Taxonomy

Open Hierarchies

Level of Control

Glo

ba

lLocal

Scop

e

Records Management

Standardized Contract Template

Team or Application Specific

Team or Project Doc Lib

Corp. Intranet

DAM

Corp.Tag Cloud

Knowledge Base

My Site

Managed Metadata Service

• Enable classification, drill down, type ahead and search throughout SharePoint

• Share Content Types and Term Stores across Site Collections and Web Applications

• Each Managed Metadata Service has one Term Store

• Term Stores can store multiple Term Sets and Managed Keywords

Metadata Navigation and Filtering• Navigation and filters are set on the Metadata

navigation Settings page under Site Settings• Key features making metadata navigation and

filtering possible are:– Indices– Query builder enhancements– Fallback queries

• The Content Query Web Part is used to display filtered lists on publishing pages

Managed Metadata Column Type

• New column type in SharePoint 2010• Managed keywords– Unstructured to form “Folksonomy”– Validation/auto complete against existing keywords– 1 per content type

• Managed Terms– Looks up a ‘Term set’– Open or closed – Supports synonyms, multi-lingual,

Managed Keywords

• Stored within the default Managed Metadata Service

• Type-ahead feature helps ensure only unique new keywords are added

• Suggests matching words from any term store • Assigned an ID when new term committed to

memory• Can be promoted to managed terms

Enterprise / Managed Keywords & Ratings

• Term Sets can be closed or open to keywords• Administrators can block specific terms• Keywords can be promoted to a Term Set• MySites provide keyword management and

are searchable• Ratings allow users to note the value of

documents – and is searchable

Using Term Sets

• Users, email addresses or groups of users can be assigned term set management rights

• Terms can be added, reused, deprecated, moved etc by a Term Set manager

• Term sets can be imported from CSV files• Term sets can be closed or open (ie. users can

add tags)• Specific terms can be blocked as tags

Enterprise / Managed Keywords & Ratings

• Term Sets can be closed or open to keywords• Administrators can block specific terms• Keywords can be promoted to a Term Set• MySites provide keyword management and

are searchable• Ratings allow users to note the value of

documents – and is searchable

Site Templates for Structured Document Management

• The Document Center site template is pre-configured with:–A Document Library with metadata

navigation turned on–Content Query Web Part for returning

relevant results by logged-in user• The Record Center site template is pre-

configured with Content Organizer and a Record Library

Features to Configure for Document and Records Management

• Site Features– Content Organizer– Hold and eDiscovery

• Site Collection Features– Content Type Syndication Hub– Document ID Service– Document Sets– In Place Records Management– Library and Folder Based Retention

Chapter 3

Holds, Disposition, Information Management, and Content Organizer

Out of the Box (OOB) Workflow (Including the 3-state Workflow)• OOB workflows are now based on the Office

Task• OOB workflows are:– Approval– Collect Feedback– Collect Signatures– 3-state Workflow (enabled as a feature)

• Disposition Approval Workflow allows users to retain or delete expired documents

Information Management Policies

• Information Management Policies are set by content type or location

• Polices may be set for:– Policy statements– Barcodes– Signatures– Audit trails– Retention and disposal– Labels

Disposition Sentencing• Retention Stages are rules governing the

disposition of records and non-records• Different rules can apply to records and non-

records• There is no limit to the number of policies

which can be set• Defaults are set by Content Type, which can be

overridden at the library and folder level

The Drop-Off Library and Content Organizer

• Available in every Site and Site Collection• Drop Off Library is a staging point for initial

storage of content• Content Organizer Rules determine location

based on priority, content type, and metadata conditions

• Can automatically create folders based on metadata values

• “Behind the scenes” operation

Content Organizer Rules• Content Organizer Settings and Rules are

managed under Site Settings• Rule Names are used in reports such as a

library’s File Plan Report• The same rule can be applied to differently

named content types in other sites• Rules define locations where content is stored,

and can create folders automatically

Records Management Overview• All content can be treated as a record• Records can be declared ‘in-place’ or moved

to a Records Center• Content Organizer automates classification of

records• Multiple retention stages can apply through

the lifetime of a policy• Most processing is shielded from users by

workflow and automation

In-place Versus Record Centre Records

• When records are declared and moved to a Records Center, a link to the record is left

• When using location based policy, policies are specific to the library / location

• Hierarchical file plans are supported via multi-level policies and Content Organizer Rules

• Overidable inheritance applies

Legal Holds and eDiscovery

• Typically apply during due diligence or litigation

• Stages are identification, collection, and preservation

• Held content cannot be edited and is suspended from disposition

• Accessed through Site Settings -> Site Administration

• Provides reports on holds

Exercise

Application of SharePoint to real world information management

Content types Lists & libraries

Workflow Filtering & metadata navigation

Taxonomy Forms

Metadata Metrics, KPI and dashboards

External content types Labels, barcodes and RFID (third party – FileTrail)

Records declaration & lifecycle management

Profiles, communities & social media

Information Architecture

• 5 levels (CMMI model)– Initial– Repeatable– Managed– Measured– Optimised

Process Maturity

Governance Structure

Sponsor

Strategic Oversight

Intranet Working Group

Main Governance Elements

SharePoint

Governance Plan

Governance Framework

(Roles, Responsibilities, Principals)

Communications Strategy

Change Management

Strategy

Risk Management

Strategy

Education & Training Strategy

Information Architecture Governance

Benefits Realization

Strategy

Maintenance & Review Strategy

.

Content Manageme

nt Records Manageme

nt

Infrastructure

Chapter 4

Configuring Content Hubs and Managed Metadata Services

Managed Metadata Service

• New feature in 2010• One of 13 individual shared service apps• Responsible for the storage and sharing of

enterprise keywords plus the syndication of content types

Excel Services

Business Data Catalog

Access Service

PeopleManaged Metadata

Lotus Notes Connector

Visio Graphics

Secure Store

Search

Word Conversion

Web Analytics

Managed Metadata Service: Defining Terms

Expression DefinitionKeyword Unstructured user-generated word or phrase used to classify content

Term A node/leaf within a taxonomy (e.g.: Australia > NSW > Sydney) with a unique ID

Term Store A database that stores terms and keywords

Taxonomy A formal, hierarchical collection of terms

Folksonomy An informal, unstructured collection of keywords

Tagging The process of applying keywords to a document or item

Content type hub A site collection from which its content types are made available to other site collections, web apps and farms

Content Type Syndication The process of publishing content types from a hub to other web apps and/or farms

Components of the Managed Metadata Service

Content Type syndication

• Optional feature of the Managed Metadata Service which publishes Content Types to connected web apps

• Delivers consistency and governance • Any site collection can become a hub• Max 1 hub per Managed Metadata Service • Can syndicate to other farms

Configuring a content type hub

• Identify hub site collection and enable ‘Content Type Syndication’ feature

• Specify hub url in MMS properties • Enable hub consumption from MMS service

connection • Publish specific content types from hub• Check for and correct errors• Wait for timer jobs to sync content types

Content type syndication: Publishing Content Types

• Only nominated content types are published• Publish, Republish, Unpublish • Associated columns, policies & workflow

associations (not actual workflows) • Consumed content types can be extended• Error reporting service detects problems • Timer Jobs

Planning Managed Metadata Services and Content Hubs

Chapter 5Document and Web Content

Accessibility

Relevance of Accessibility• Government sector– Accessibility compliance is mandatory– Applies to government and agencies at all levels– They take it seriously

• Private sector– Accessibility is important to large organisations– Monitoring for privacy and social media is

increasingly important – it’s a big risk issue• Risk is real – the Disability Discrimination Act

provides teeth

Accessibility Standards• W3C – Web Content Authoring Guidelines

(WCAG) – apply to documents and web content• Adhering to WCAG provides defence against

litigation• Current version 2.0, endorsed by the Australian

government June 30, 2010• Mandatory for all federal, state and local

government agencies – timelines 2012-2014 – both internal and external systems

• Electronic delivery notwithstanding, much collateral is produced for print

• Brochures, manuals, catalogues, books• Standard and groups of note are PDF UA

(universal access) and DAISY• WHO has finished tagged, accessible PDF• To be released in conjunction with the WHO

World Disability Report in June 2011• Demo to AGIMO and the Department of

Health and Ageing in June

Print Accessibility

Microsoft’s SharePoint 2010 Compliance

•WCAG 2.0 – A: SP-Foundation Administration and

Configuration – AA: All Default Content Pages

• *Customization voids conformance• *Customers may make independent

conformance statements

Accessibility Improvements

• Improved keyboard support for elements• Navigation focus consistent through elements• Increased use of CSS for page layout• Cross-browser support for Firefox and Safari

OOB Accessibility Issues• No browser font resizing• Visual labels for controls are consistently

missing• Tables still used for layout in lieu of CSS• Only skip navigation for navigation through

major areas of content• ASP.NET page structure – by default wrapped

in a form

Solutions• SharePoint can be made accessible• Manually – design effort – customisations to

CSS, master pages and layout pages• Via a third party product from HiSoftware– Accessibility Foundation Module (AFM), which

supersedes Microsoft’s Accessibility Kit for SharePoint (AKS)

– Sheriff SP – provides SharePoint workflow for assessing accessibility and post-publication audit

Most EDRM functions were substantially improved in SharePoint 2010. SharePoint 2013 additions include:• eDiscovery Sites and Case Management• Site Compliance (great for projects)• Site Mailboxes• Search Centers (Centres) and site specific

search

Ch 6: SharePoint 2013 Update