Building enterprise records management solutions for share point 2010

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  • Property promotion refers to the process of extracting values from properties of a document and writing those values to corresponding columns on the list or document library where the document is stored. Property demotion is the same process in reverse. When the values of document properties change, the changes can be automatically written back to the list. When the values of columns or fields in a list item change, the changes can be automatically written back to the document that is associated with the list item. Thus both the document and its associated list item remain in sync.SharePoint 2010 initiates property promotion or demotion when the following events occur:A file is uploaded to a document library.The fields of a list item that is associated with a file are modified.The Properties property of an SPFile object is updated programmatically.A file is downloaded for the first time after the list schema has changed.In each case, SharePoint determines whether a parser is associated with the file type. If one is, the system invokes the parser, passing it the document and a property bag object. The parser then either fills the property bag with values that need to be promoted to the list or extracts from the property bag the values that need to be demoted to the document.Properties are only promoted or demoted if they match list columns that apply to the document. The columns that apply to a document are specified by the following: The document's content type, if one is assigned.The columns in the document library, if the document does not have a content type.Image source: http://msdn.microsoft.com/en-us/library/aa543341.aspx
  • It is often desirable to provide access to content stored in a list or library in a format other than the original. Users who do not have client software with which to open a specific file type may need to view information contained within that file as a web page or other common format accessible via a web browser. Alternatively, users with older versions of software may need versions in a new file format to be “downgraded” for consumption.In such scenarios, Document Conversions may be specified to convert one document type to another. Document conversions rely upon a set of services running at the farm level. Each conversion type must be explicitly defined within the farm. SharePoint 2010 ships with several common converters and custom converters can be created programmatically.Document conversion can be a very resource intensive process. To mitigate the effects of conversion on overall farm performance, SharePoint provides the ability to load balance document conversion activities across multiple servers; however, if significant conversion activity is going to take place in a farm on a regular basis, additional thought should be put into farm scalability and physical architecture to ensure adequate performance. Image source: Office.com Clipart Library
  • A hold is a records management term for the process of preserving content for a legal or audit purposes.Content is “held” in the current state and limited or no changes are allowed while in this state.In pending litigation or even for auditing, organizations may be required by law to located and preserve content matching a certain criteria. Holds works hand in hand with eDiscovery.
  • eDiscovery is electronic discovery content that is legally discoverable. eDiscovery is commonly associated with litigation and a mandate to discover and provide all relevant content associated with the litigation.eDiscovery and holds generally work hand in hand. An organization may be required to locate all relevant content related to the litigation or audit. This content is then placed into one more holds which preserves the content from changes including deletion.Through the lifecycle of the hold, items may be continually discovered and added to or removed from a hold as required.
  • The eDiscovery process in SharePoint is a search-based job which runs a query and adds the results to the hold.The Search and Add to Hold page is the same page used to create holds and can be accessed under the top-level site’s Site Settings page.The search is scoped by default to search the complete site collection. You can be more specific by selecting a site to search.You can enter the same search terms as you do for any SharePoint search to filter the content as needed.The preview results will display the results of the query. It is advisable you check the results to verify the content you expect is present.Simply defining the query does not result in the results being added to a hold. The next slide explains the process to add the eDiscovery’s results to the a hold.
  • The second method to adding content to a hold is by using the Compliance Dialog.Selecting Compliance Details from the item’s context menu will display the Compliance Dialog.From this dialog you view the current Hold Status and either add or remove the item to or from a hold.
  • eDiscovery is not perfect. It is a search query executed by the Hold Processing and Reporting timer job. The results are associated with the defined hold.Not all content associated with the hold will be relevant to the hold or legally required to be included in the hold.An item’s Compliance Dialog contains a link to remove an item from a hold.Releasing content from a hold only marks the content to be released. The content will actually be released during the next Hold Processing and Reporting run.Holds generally do not last forever. Once the hold is no longer needed the hold itself can be released. Content is released from a hold by the Hold Processing and Reporting A holds release will release the content contained in the hold.
  • Finally the same timer job that provides the nightly eDiscovery process will also create a holds report.The report is an Excel report that displays information such as:the name an managerthe number of items on holdthe dates and time when discovery queries have been executedlinks of content associated with the holdYou can view the available reports by clicking the Hold Reports link located in the top-level site’s' Site Settings page.
  • There are many places where you can start to define a retention policy.When possible create the policy at the site collection level for the greatest reuse.Regardless of where the policy is defined, the same page is used to create the policy.Each policy requires a name and description.The Policy statement is text that is displayed to the end user when working with a document or record that is under the control of the policy.To create an retention information policy you must select the Enable Retention check box and define at least one retention step.Each policy may have one or more retention steps. Steps may be different if the item has been declared as a record.If the policy does not declare a specific step for a record, then a record will use the same retention steps as the non-records.
  • Ultimately, policies are associated with content types. This includes policies that are created at a list/library or folder level. To associate a content type to a policy use the Information management policy settings link displayed when viewing a content type.Which level of content type you use to associated the policy determines the scope of the policy.Regardless of where you associated a policy you can choose to assign a site collection policy (recommended) or create a local policy.Policies can be associated to content types at a site collection level when you work with content types located in the Content Type gallery.When a policy is associated with a content type in the gallery the policy affects all items based on the content type in the site collection unless a more specific policy is assigned at a list/library or folder level.Policies can be associated to list content types when you work with content types defined on the list. To work at this level the list or library must allow management of content types. This displays the allowed content types associated with the list. Each list content type provides the same Information management policy settings link.Policies defined on a list content type only affect the items in the list or library and does not have a site-collection scope.

Transcript

  • 1. Building Enterprise RecordsManagement Solutions for SharePoint 2010 Eric Shupps SharePoint Server MVP
  • 2. About Me• SharePoint Server MVP• President, BinaryWave• Microsoft Patterns & Practices (spg.codeplex.com)• CKS:DEV (cksdev.codeplex.com)• Web: www.binarywave.com• Blog: www.sharepointcowboy.com• Email: eshupps@binarywave.com• Twitter: @eshupps• Facebook: www.facebook.com/sharepointcowboy
  • 3. http://technet.microsoft.com/en-US/sharepoint/hh126808
  • 4. Agenda• What is Records Management?• Records Management Options in SharePoint• Holds and Discovery• Managed Metadata
  • 5. What isRecordsManagement?
  • 6. Records• Records serve as immutable evidence Immutable of an activity or transaction performed by an Tightly controlled organization• Must be tightly controlled and Audited auditable
  • 7. Types of Records Document List Item Email Database Fax Message Receipt Comment
  • 8. Records Management• Determines: – What information should be classified as a record – How records should be created – When records can be archived or destroyed – Who should be able to access records
  • 9. Records Management needs…• Content analysis• File plans• Compliance requirements• Audit• Disposition schedules• E-Discovery and E- Hold
  • 10. Challenges for RM Projects• What information should be classed as a record?• When does a document become a record?• Where should I keep my records? How long?
  • 11. RecordsManagementOptions inSharePoint2010
  • 12. In-place Records• Documents marked as records remain in their original location• Benefits: – Supporting information maintained in-context – Easier for collaborators to find their content – No additional site provisioning required
  • 13. Record Center• Multiple instances• Central archive for holding records• Enterprise site template• Create in a separate site collection
  • 14. Structuring a Record Center• Base on file plan• Concentrate on policy: – Ignore internal company structures• Common drivers for structure: – Security policy – Storage – Retention policy – Audit settings – Content types
  • 15. The Document ID Service• Provides a unique ID and URL for a document.• Enabled via the Document ID feature [site collection scoped].• Document IDs are assigned via a Timer Job.
  • 16. DEMO DEMO Creating a Records Center Create records center, setup document ID, and declare a record
  • 17. Content Organizer• Converts metadata into structure• Drop-Off Library: – Temporary upload location – Content held until required metadata is provided• Rules Engine: – Provides rules for the system to decide where to place a record.
  • 18. Creating Rules• Rules stored in the Content Organizer Rules list• Options: – Rule Name – Rule Status and Priority – Submission Content Type – Conditions – Target Location
  • 19. DEMO DEMO Content Organizer Word promotes Author property, a rule routes content on the Author property
  • 20. Manual Record Declarations• Submit directly into the Record Center: – Useful for external data stores• Mark a record in- place in a document library.• Send a document to a Record Center.
  • 21. Defining Information Policy• Events define activation parameters• Actions specify activity to perform• Retention policies allow for record declaration at key dates in the content lifecycle
  • 22. Property Promotion Record Center $site = new-object microsoft.sharepoint.spsite("h ttp://site") $web = $site.openweb() $web.parserenabled = $true $web.update()
  • 23. Document Conversion• Converts documents of a specified type to a different type.• Each conversion type must be configured. – Custom converters can be created programmatically. – Useful for displaying document content as a web page.• Resource-intensive.
  • 24. DEMO DEMO Document Conversion Creating an event receiver to convert a Word document to PDF
  • 25. Holds andDiscovery
  • 26. What Is a Hold?• Preservation of content for legal or audit purposes• Preserves the state of the content at the time of the hold• Commonly the result of pending legal litigation• Goes hand in hand with electronic discovery
  • 27. What Is eDiscovery?• Discovery of electronic content for legal or audit purposes• Locating through culling the corpus for content matching a set criteria• This can include any electronic document or item.
  • 28. Discovering Content• Discover content using Search and Add to Hold page (available from site settings for top-level site).• Select the site to search (Optional).• Create search criteria.• Optionally preview the results.
  • 29. Associating Content with Holds(Manual)• Individual items may be added using the Compliance Details dialog.
  • 30. Releasing Items and Holds• The eDiscovery process can include results: – That are not relevant to the hold – That are not legally required• The Compliance dialog can be used to release an item from a hold.• Holds have a lifecycle and can be released when no longer required.• Holds can be released by viewing the hold list item and selecting Release hold... link.
  • 31. Viewing Items in a Hold• Use hold reports to view: – Status of holds – Items associated with holds
  • 32. Creating Retention Policies
  • 33. Assigning to a Content Type• Policies are associated with a content type.• Association happens at one of two scopes: – Site Content Type – List Content Type• Where a policy is created and where it is associated determines scope and reuse.
  • 34. Thank You forattending thissession!Please fill in theevaluation form