A presentation by John Holliday, President of SharePoint Architects, Inc. at the 2011 European Best Practices Conference in London, April, 2011, on the evolution of Records Management functionality from SharePoint 2007 to SharePoint 2010.
IW403 Records Management Improvements in SharePoint 2010
1. Clarity. Direction. Confidence.
RECORDS
MANAGEMENT
IMPROVEMENTS IN
SHAREPOINT 2010
John F. Holliday
SharePoint Architects, Inc.
www.SharePointArchitects.us
www.JohnHolliday.net
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2. 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)
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3. 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
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4. Key Challenges for RM in MOSS
Declaring Records
How to identify documents as records
Protecting Records
How to control what happens to “records”
Developing File Plans
How to specify controls for many record types in one place
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5. Declaring Records
in MOSS 2007
“Declaration” = “Send to Repository”
Limited UX
“Send To…” link on ECB
1 Records Center per Farm
Complex Data Flow
Required coordination between source content type and target
routing type (record series)
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7. 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)
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8. 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 folders
Except via custom folder content types
No ability to route to folders
Except with custom routers
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9. 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
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11. Document Identifiers
Every 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 documents
Need 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
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13. Content Type Enhancements
Global Content Types
Available throughout the Farm
Can control how they are published
Can be used for content organizer rules
Important for Records Management
Consistent metadata across many sites
Content Type Syndication
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14. Centralized Taxonomy Management
(related to content types)
Features
Add new “Managed Metadata” column
Use centralized Term Store to create and manage “Term Sets”
Supports hierarchical taxonomies
Supports synonyms for terms
JAX == Jacksonville
Central Term Store
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16. New Concept:
Content Organizer
Records
Center
Property
= Value?
Folder
Incoming
Content
Documents
Type
Match?
Custom Library
Rules
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17. Content Organizer
Metadata-driven Routing
Automatically handles incoming records
(no need for custom router)
Target destination determined from metadata
(configured using rules)
Support for file plan hierarchy
Can target subfolders of destination library
Automatically applies policies associated with target location
Content Organizer
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20. 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
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21. Folder Partitioning
Can 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
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22. 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
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23. 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
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24. 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 sent
Documents still in library after N days
Content Organizer
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25. Hierarchical File Plans
“File Plan” = “Content Organizer”
Routes documents based on metadata
“Hierarchy” = “Folder”
Can target folders from CO rules
Can be used anywhere
Not just in the Records Center
Content Organizer
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26. Content Organizer: Observations
Dealing with the Classification Issue
Records Managers like Taxonomies
End Users like Folksonomies
Managed Metadata to the rescue
Building a “classification pipeline”
“Funnel” documents towards proper declaration using a series of
content organizer rules attached to separate sites
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28. Document Retention
Implemented via Information Policy
Can be applied to any document
(not just records)
Perform actions at end of retention period
Actions can include record declaration
Document Retention
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29. Multi-Stage Retention
Missing from SP2007
Enables 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
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31. 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
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32. In-Place Records Management
“Records Management for Active Documents”
– but what does it mean?
1. Special handling for declared records
Control over who can edit/delete records
Apply different retention policy for declared records
2. Programmatic control over record declaration
1. Declare records in response to a user action
2. Declare records from a workflow activity
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33. In-Place Records: Caveat
Cannot Utilize Location-Based Features:
Cannot assign records to file plan folders
Records don‟t actually “move”
Cannot inherit rules + permissions
from folder as specified by file plan
Cannot Invoke Content Organizer Rules
Cannot trap record declaration event to modify metadata or
move the record
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34. In-Place “Recordization” in General
“Manage In Place” in ECM literature
Ability 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
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35. In-Place RM Feature Activation
In-Place Records BEST PRACTICES CONFERENCE SHAREPOINT
38. Legal Holds
Tied to Search
New “Search and Add Holds” Page
Use search criteria to locate documents
Use search results to perform actions
Examples:
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
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39. Search and Add to Hold
Legal Holds
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40. Enhanced Reporting
Can use Excel to generate reports:
Documents declared as records
Documents associated with holds
Reporting
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41. Records Repository Scalability
No (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
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42. Email Records Management
Designed for Exchange 2010
Integrated Email Archiving
Integrated Email Retention
Integrated Email Discovery
Can use Content Organizer for Email
Recommended only for Records Center
Avoid inconsistency/complexity
Avoid bottlenecks/bandwidth issues
Email Records
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43. Enabling Email Processing
From PowerShell
Enable-SPFeature –id EmailRouting
–url “<site url>”
Creates a separate list to receive emails
Assigns a unique email address
Creates a built-in content type for emails
“E-mail Submission”
Pre-defined fields common to emails
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44. Summary
SharePoint 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.
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45. For More Information
Visit my blog:
www.SharePointArchitects.us/johnholliday
Thank you!
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Notas del editor
Document identifiers are scoped to the site collection, and are enabled by activating the “docid” feature. This can be done either from the Site Settings page or by using a PowerShell command:PS> Enable-SPFeature id docid –url <site collection url>Enabling this feature adds a “Document ID” field to every document. For existing documents, you have to perform an action on the document (such as checkin or checkout) to have an identifier assigned. For new documents, the identifier is assigned on upload.The DocIdRedir.aspx page works even if the document is moved to a different library. It also works for document sets.
Add Managed Metadata column to a content type.Use the centralized Term Store to create and manage Term Sets.Example: Continents/Countries/States/Cities.Can create synonyms for terms: JAX=JacksonvilleSupports publish and subscribe through Content Type SyndicationExample:>> Setup a "hub" site collection to hold global content types>> Add site columns and content types based on them>> Configure the Managed Metadata service.Central Admin..Manage Service Applications...Managed Metadata Service....Properties.....Content Type hub: <site collection url>.....Report syndication import errors = checked....Consumes content types from the Content Type Gallery at...=checked>> Go to hub site collection>> Edit any content type(new menu item, "Manage Publishing...")select "Publish" and click OK>> force timer jobs to run.Central Admin..Monitoring...Timer Jobs -> Review Job Definitions....Content Type Hub job => "Run Now"....Content Type Subscriber job => "Run Now">> create a new site collection.site Settings=> see published content types
General purpose routing mechanism- Activate the Content Organizer feature- Only applies to "Document" content type or derivatives>> adds 2 menu items to Site Administration: Content Organizer Settings :: Turn routing on and offContent Organizer Rules:: Setup rules for routing documents>> scoped to Web>> creates a "Drop Off" library>> all uploads are placed into the drop off library (if configured)>> content organizer rules are applied by a timer job==> Good for use as a staging area for new documents until all required metadata has been added>> when a rule is added, content types are added to the droppoff library>> workflow can be attached to documents before they are routed, based on conditions (fulfilled by workflow activities, for example)>> approval can be applied before routing>> checkin/checkout of documents to modify metadata (documents are routed as soon as conditions are met, whether checked in or not)>> (optional) automatically notifies Rule Managers if documents remain after all rules have been applied. Can specify how long before notification is sent (documents still in library after N days)
Example: Setup a retention policy that declares expense reports as in-place records 3 months after they are created. Once declared as records, they can no longer be edited.
SharePoint 2007 folders provided no additional functionality without custom coding (think folders as content types with custom event receivers).SharePoint 2010 Virtual Folders make it easy to apply custom rules that define what the folder contains and then perform operations based on that definition.