IW403 Records Management Improvements in SharePoint 2010

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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 …

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.

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  • 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.

Transcript

  • 1. Clarity. Direction. Confidence. RECORDS MANAGEMENT IMPROVEMENTS IN SHAREPOINT 2010John F. HollidaySharePoint Architects, Inc.www.SharePointArchitects.uswww.JohnHolliday.net BEST PRACTICES CONFERENCE SHAREPOINT
  • 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) BEST PRACTICES CONFERENCE SHAREPOINT
  • 3. AgendaReview Records Management Challenges in SharePoint 2007Overview of Key RM Features in SharePoint 2010Understand the new “In Place” Records Management featuresUnderstand the 2010 Records Center BEST PRACTICES CONFERENCE SHAREPOINT
  • 4. Key Challenges for RM in MOSSDeclaring Records How to identify documents as recordsProtecting Records How to control what happens to “records”Developing File Plans How to specify controls for many record types in one place BEST PRACTICES CONFERENCE SHAREPOINT
  • 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) BEST PRACTICES CONFERENCE SHAREPOINT
  • 6. MOSS Record Declaration BEST PRACTICES CONFERENCE SHAREPOINT
  • 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) BEST PRACTICES CONFERENCE SHAREPOINT
  • 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 BEST PRACTICES CONFERENCE SHAREPOINT
  • 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 DeclarationNew Features in 2010 BEST PRACTICES CONFERENCE SHAREPOINT
  • 10. DocumentIdentifiersBEST PRACTICES CONFERENCE SHAREPOINT
  • 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 BEST PRACTICES CONFERENCE SHAREPOINT
  • 12. Content TypeSyndication BEST PRACTICES CONFERENCE SHAREPOINT
  • 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 sitesContent Type Syndication BEST PRACTICES CONFERENCE SHAREPOINT
  • 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 == JacksonvilleCentral Term Store BEST PRACTICES CONFERENCE SHAREPOINT
  • 15. The ContentOrganizerBEST PRACTICES CONFERENCE SHAREPOINT
  • 16. New Concept:Content Organizer Records Center Property = Value? Folder Incoming Content Documents Type Match? Custom Library Rules BEST PRACTICES CONFERENCE SHAREPOINT
  • 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 locationContent Organizer BEST PRACTICES CONFERENCE SHAREPOINT
  • 18. SP2010 Records Center BEST PRACTICES CONFERENCE SHAREPOINT
  • 19. Content Organizer Rules BEST PRACTICES CONFERENCE SHAREPOINT
  • 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 rulesContent Organizer BEST PRACTICES CONFERENCE SHAREPOINT
  • 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 BEST PRACTICES CONFERENCE SHAREPOINT
  • 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 documentContent Organizer BEST PRACTICES CONFERENCE SHAREPOINT
  • 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 identifierContent Organizer BEST PRACTICES CONFERENCE SHAREPOINT
  • 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 daysContent Organizer BEST PRACTICES CONFERENCE SHAREPOINT
  • 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 CenterContent Organizer BEST PRACTICES CONFERENCE SHAREPOINT
  • 26. Content Organizer: ObservationsDealing with the Classification Issue Records Managers like Taxonomies End Users like Folksonomies Managed Metadata to the rescueBuilding a “classification pipeline” “Funnel” documents towards proper declaration using a series of content organizer rules attached to separate sites BEST PRACTICES CONFERENCE SHAREPOINT
  • 27. Document RetentionBEST PRACTICES CONFERENCE SHAREPOINT
  • 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 declarationDocument Retention BEST PRACTICES CONFERENCE SHAREPOINT
  • 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 yearsDocument Retention BEST PRACTICES CONFERENCE SHAREPOINT
  • 30. InformationPolicy:RetentionStages BEST PRACTICES CONFERENCE SHAREPOINT
  • 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 & classificationVirtual Folders BEST PRACTICES CONFERENCE SHAREPOINT
  • 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 BEST PRACTICES CONFERENCE SHAREPOINT
  • 33. In-Place Records: CaveatCannot 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 planCannot Invoke Content Organizer Rules Cannot trap record declaration event to modify metadata or move the record BEST PRACTICES CONFERENCE SHAREPOINT
  • 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 BEST PRACTICES CONFERENCE SHAREPOINT
  • 35. In-Place RM Feature ActivationIn-Place Records BEST PRACTICES CONFERENCE SHAREPOINT
  • 36. Record Declaration SettingsIn-Place Records BEST PRACTICES CONFERENCE SHAREPOINT
  • 37. RecordDeclarationIn-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 reportLegal Holds BEST PRACTICES CONFERENCE SHAREPOINT
  • 39. Search and Add to HoldLegal Holds BEST PRACTICES CONFERENCE SHAREPOINT
  • 40. Enhanced Reporting Can use Excel to generate reports: Documents declared as records Documents associated with holdsReporting BEST PRACTICES CONFERENCE SHAREPOINT
  • 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 mediaStorage/Scalability BEST PRACTICES CONFERENCE SHAREPOINT
  • 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 issuesEmail Records BEST PRACTICES CONFERENCE SHAREPOINT
  • 43. Enabling Email ProcessingFrom 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 BEST PRACTICES CONFERENCE SHAREPOINT
  • 44. SummarySharePoint 2010 improves traditional RM byproviding better support for common tasks.New features in SharePoint 2010 further enhancethe RM story by making it easier to organizecontent and manage metadata.In-Place records management means richer andmore intuitive UX for records managers and endusers. BEST PRACTICES CONFERENCE SHAREPOINT
  • 45. For More Information Visit my blog: www.SharePointArchitects.us/johnholliday Thank you! BEST PRACTICES CONFERENCE SHAREPOINT