BEST PRACTICES CONFERENCE SHAREPOINT

Clarity. Direction. Confidence.

RECORDS MANAGEMENT IMPROVEMENTS IN SHAREPOINT 2010

John F. Holliday

SharePoint Architects, Inc.

www.SharePointArchitects.us

www.JohnHolliday.net

BEST PRACTICES CONFERENCE SHAREPOINT

About Me

Books

Professional SharePoint 2007 Development

Professional SharePoint 2007 Records Management Development

Activities/Projects

SharePoint Server MVP, Developer, Consultant

CAML.NET Framework/CAML.NET IntelliSense

SharePoint Developer Network (@SPDEVNET)

SharePoint Heroes (sharepointheroes.com)

BEST PRACTICES CONFERENCE SHAREPOINT

Agenda

Review Records Management Challenges in SharePoint 2007

Overview of Key RM Features in SharePoint 2010

Understand the new “In Place” Records Management features

Understand the 2010 Records Center

BEST PRACTICES CONFERENCE SHAREPOINT

Key Challenges for RM in MOSS

Declaring RecordsHow to identify documents as records

Protecting RecordsHow to control what happens to “records”

Developing File PlansHow to specify controls for many record types in one place

BEST PRACTICES CONFERENCE SHAREPOINT

Declaring Records in MOSS 2007

“Declaration” = “Send to Repository”Limited UX

“Send To…” link on ECB

1 Records Center per Farm

Complex Data FlowRequired coordination between source content type and target routing type (record series)

BEST PRACTICES CONFERENCE SHAREPOINT

MOSS Record Declaration

BEST PRACTICES CONFERENCE SHAREPOINT

Protecting Records in MOSS 2007

“Protection” = “Send to Repository”

Access control based on access to records center

Retention rules defined in separate policies for records center (site collection)

BEST PRACTICES CONFERENCE SHAREPOINT

File Planning in MOSS 2007

“File Plan” = “Routing Table”No Hierarchy, only DocLib folders

No metadata inheritance from folders

No ability to attach rules to foldersExcept via custom folder content types

No ability to route to foldersExcept with custom routers

BEST PRACTICES CONFERENCE SHAREPOINT

Key Features for RM in 2010

Document ID Service

Content Type Syndication

Centralized Taxonomy Management

Content Organizer for Routing

Hierarchical File Plans

Multi-Stage Retention Policies

“In Place” Record Declaration

New Features in 2010

BEST PRACTICES CONFERENCE SHAREPOINT

Document Identifiers

BEST PRACTICES CONFERENCE SHAREPOINT

Document IdentifiersEvery document can have a unique ID

Ability to reference documents by ID

Ability to move docs without breaking links

Scoped to Site Collection (docid feature)Adds “Document ID” field to documentsNeed to checkout/checkin existing docs to get an ID

Example DOCID reference:http://<site collection url>/ _layouts/DocIdRedir.aspx?ID=<doc id>

Unique Document IDs

BEST PRACTICES CONFERENCE SHAREPOINT

Content TypeSyndication

BEST PRACTICES CONFERENCE SHAREPOINT

Content Type Enhancements

Global Content TypesAvailable throughout the Farm

Can control how they are published

Can be used for content organizer rules

Important for Records ManagementConsistent metadata across many sites

Content Type Syndication

BEST PRACTICES CONFERENCE SHAREPOINT

Centralized Taxonomy Management(related to content types)

FeaturesAdd new “Managed Metadata” column

Use centralized Term Store to create and manage “Term Sets”Supports hierarchical taxonomies

Supports synonyms for termsJAX == Jacksonville

Central Term Store

BEST PRACTICES CONFERENCE SHAREPOINT

TheContent

Organizer

BEST PRACTICES CONFERENCE SHAREPOINT

CustomRules

Content Type

Match?

Property = Value?

New Concept:Content Organizer

IncomingDocuments

RecordsCenter

Folder

Library

BEST PRACTICES CONFERENCE SHAREPOINT

Content OrganizerMetadata-driven Routing

Automatically handles incoming records (no need for custom router)

Target destination determined from metadata(configured using rules)

Support for file plan hierarchyCan target subfolders of destination library

Automatically applies policies associated with target location

Content Organizer

BEST PRACTICES CONFERENCE SHAREPOINT

SP2010 Records Center

BEST PRACTICES CONFERENCE SHAREPOINT

Content Organizer Rules

BEST PRACTICES CONFERENCE SHAREPOINT

Send to Site

Configure target sites in site settings

Target sites must have Content Organizer feature activated

Select target sites in Content Organizer

Overcomes “single records repository” problem

Target sites can have their own routing rules

Content Organizer

BEST PRACTICES CONFERENCE SHAREPOINT

Folder PartitioningCan pre-specify maximum number of items per container

Automatically create a new folder when (n + 1)th item is added

Automatically notify user of new location with hyperlink to the resulting URL

Can specify a custom naming scheme for new folders added this way

“Items Uploaded After <date>”

Content Organizer

BEST PRACTICES CONFERENCE SHAREPOINT

Preserving Context

Can keep original audit entries and properties with the document after it is routed

Easy to view “history” of original document

Easy to compare “state” of original document

Content Organizer

BEST PRACTICES CONFERENCE SHAREPOINT

Handling Duplicates

Can specify what to do if an incoming document has the same name as an existing document

Create a new version

Append a unique identifier

Content Organizer

BEST PRACTICES CONFERENCE SHAREPOINT

Permissions

Designate users as “Rule Managers”

Need this permission to create and edit organizer rules

Also requires Manage Web Site permission

Notified if documents remain in drop off library after rules have been applied

Can specify how long before email is sentDocuments still in library after N days

Content Organizer

BEST PRACTICES CONFERENCE SHAREPOINT

Hierarchical File Plans

“File Plan” = “Content Organizer”Routes documents based on metadata

“Hierarchy” = “Folder”Can target folders from CO rules

Can be used anywhereNot just in the Records Center

Content Organizer

BEST PRACTICES CONFERENCE SHAREPOINT

Content Organizer: Observations

Dealing with the Classification IssueRecords Managers like Taxonomies

End Users like FolksonomiesManaged Metadata to the rescue

Building a “classification pipeline”“Funnel” documents towards proper declaration using a series of content organizer rules attached to separate sites

BEST PRACTICES CONFERENCE SHAREPOINT

DocumentRetention

BEST PRACTICES CONFERENCE SHAREPOINT

Document RetentionImplemented via Information Policy

Can be applied to any document(not just records)

Perform actions at end of retention periodActions can include record declaration

Document Retention

BEST PRACTICES CONFERENCE SHAREPOINT

Multi-Stage Retention

Missing from SP2007Enables modeling of real-world scenarios

Stages are “activated” based on conditions

Stages can recur automatically until the‘next’ stage is activated

Example:

Perform annual review of invoices (recurring), then purge after 3 years

Document Retention

BEST PRACTICES CONFERENCE SHAREPOINT

Information Policy: Retention Stages

BEST PRACTICES CONFERENCE SHAREPOINT

Virtual Folders for e-Discovery

SharePoint 2007 Best Practice:“Use Metadata, Not Folders”

SharePoint 2010 Best Practice:“Use Folders, Inherit Metadata”

Virtual Folders provide support for metadata-driven navigation

Easy to setup multiple “views” of a records center independent of metadata used for routing & classification

Virtual Folders

BEST PRACTICES CONFERENCE SHAREPOINT

In-Place Records Management

“Records Management for Active Documents”– but what does it mean?

1. Special handling for declared recordsControl over who can edit/delete records

Apply different retention policy for declared records

2. Programmatic control over record declaration1. Declare records in response to a user action

2. Declare records from a workflow activity

BEST PRACTICES CONFERENCE SHAREPOINT

In-Place Records: CaveatCannot Utilize Location-Based Features:

Cannot assign records to file plan foldersRecords don’t actually “move”

Cannot inherit rules + permissions from folder as specified by file plan

Cannot Invoke Content Organizer RulesCannot trap record declaration event to modify metadata or move the record

BEST PRACTICES CONFERENCE SHAREPOINT

In-Place “Recordization” in General

“Manage In Place” in ECM literatureAbility to create and manage (file plan + retention rules + permissions) in one place => EDRMS

Ability to create associations between EDRMS components and individual documents or folders

Ability to apply EDRMS components to documents and folders (rules), and lock them down without moving them

BEST PRACTICES CONFERENCE SHAREPOINT

In-Place RM Feature Activation

In-Place Records

BEST PRACTICES CONFERENCE SHAREPOINT

Record Declaration Settings

In-Place Records

BEST PRACTICES CONFERENCE SHAREPOINT

Record Declaration

In-Place Records

BEST PRACTICES CONFERENCE SHAREPOINT

Legal HoldsTied to Search

New “Search and Add Holds” Page

Use search criteria to locate documents

Use search results to perform actionsExamples:copy to a new location

mark as read only

Can be applied to any type of content

Can have multiple holds for a site

Use Excel to get holds report

Legal Holds

BEST PRACTICES CONFERENCE SHAREPOINT

Search and Add to Hold

Legal Holds

BEST PRACTICES CONFERENCE SHAREPOINT

Enhanced Reporting

Can use Excel to generate reports:Documents declared as records

Documents associated with holds

Reporting

BEST PRACTICES CONFERENCE SHAREPOINT

Records Repository ScalabilityNo (technical) Need for External Storage

10s of Millions of documents in a single Records Center

100s of Millions of documents in a distributed repository

May still need an external storage solution to manage total cost of ownership (TCO)

Records become less active over time

Makes sense to offload to less expensive media

Storage/Scalability

BEST PRACTICES CONFERENCE SHAREPOINT

Email Records Management

Designed for Exchange 2010

Integrated Email Archiving

Integrated Email Retention

Integrated Email Discovery

Can use Content Organizer for EmailRecommended only for Records Center

Avoid inconsistency/complexity

Avoid bottlenecks/bandwidth issues

Email Records

BEST PRACTICES CONFERENCE SHAREPOINT

Enabling Email ProcessingFrom PowerShell

Enable-SPFeature –id EmailRouting –url “<site url>”

Creates a separate list to receive emailsAssigns a unique email address

Creates a built-in content type for emails“E-mail Submission”

Pre-defined fields common to emails

BEST PRACTICES CONFERENCE SHAREPOINT

SummarySharePoint 2010 improves traditional RM by providing better support for common tasks.

New features in SharePoint 2010 further enhance the RM story by making it easier to organize content and manage metadata.

In-Place records management means richer and more intuitive UX for records managers and end users.

BEST PRACTICES CONFERENCE SHAREPOINT

For More InformationVisit my blog:

www.SharePointArchitects.us/johnholliday

Thank you!