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SPEVO13 - IW509 - Records Management and Search
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SPEVO13 - IW509 - Records Management and Search


In the real world, "find-ability" is just as important as "put-ability" when building a well-structured ERMS. This session explores effective strategies for defining and capturing the critical …

In the real world, "find-ability" is just as important as "put-ability" when building a well-structured ERMS. This session explores effective strategies for defining and capturing the critical metadata needed to drive RM-specific search scenarios.

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  • SharePoint is increasingly seen as the “hub” of all enterprise content activity, and therefore spans the entire content lifecycle, which encompasses divergent requirements for managing records.
  • Start with at least one content type for each functional category.
  • Managed Metadata vs. Ad-Hoc MetadataConsiderations for deciding what metadata should be managed and what should be ad-hocEnterprise LevelSite Collection LevelSite LevelContent Type LevelQuestionsWhere does the filename go?Where does the folder path go?What problems should be anticipated, e.g. illegal characters
  • QuestionsDo the policies need to be different for “old content”?What workflow differences would there be for “old content” e.g. ask for user to provide event date?
  • Content migration and modeling go hand-in-hand. One without the other produces less than ideal results. This interdependency effectively increases the cost (and discipline) needed to implement a comprehensive information architecture across the enterprise, and points to the need for a fundamental paradigm shift at the enterprise level. CLM technology can be a driver, but only if it supports an iterative transformation.
  • In both scenarios, need a way to delay the actual operation so that the user can perform a search, mark the documents they want to work with and then add them to the current batch. Then perform another search, and so on, adding more documents to the batch. Then switch to a view containing the documents they found to examine the documents more closely, marking them for the final action, which is to select some documents and 1) place them on litigation hold (whether declared as records or not), 2) declare them in place, 3) send them to a records center, 4) un-declare them, etc.


  • 1. SharePoint Records Management & Search:Embracing the New ParadigmIW 509John HollidaySharePoint Architects
  • 2.  John Holliday CTO, SharePoint Architects, Inc. www.SharePointArchitects.us john@johnholliday.net 5 year SharePoint Server MVPSharePoint Author, Instructor, DeveloperInformation Architecture ConsultantRecords Management Specialist
  • 3. Records ManagementWhat are we dealing with?
  • 4. AIIM SharePoint Survey (2010)0 10 20 30 40 50 60 70Access rightsTeam site administrationApproved site templatesSite/User QuotasCorporate classification & content typesContent securityAcceptable usageLongevity of team sitesEnd-of-life policy for sitesUse of third party products and web partsRetention policiesDealing with emailGovernance Policies in Place
  • 5. The SharePoint ECM ChallengeStructured UnstructuredContent TypesVolumeHighLowRecords with OnlyInternal OperatingValuesProjectsSalesAccountingHuman ResourcesDepartment OversightBusiness PlanningCollaborationRecords withLegal ValuesRecords withComplianceValues
  • 6. Risks Mis-classification Unauthorized access to content Labor-intensive content management User’s don’t like it – don’t use it
  • 7. UnmanagedStrategicPlanningManaged Retention applied based on useof the content & informationlifecycle Ability to apply Legal Holds Duplication is reduced Versions are controlled and finalis identifiable Consistent technology platform Retention not applied Legal Holds not applied Email used as a duplicative “filing system” Numerous versions of MS OfficeGetting from Unmanaged to Managed
  • 8. Strategic Readiness Initiatives Gap Analysis Retention, Hold Orders,Technology Platform Policy & Usage Guidelines File Shares, Email, Etc. Content Analysis & Content Mapping Use Cases, Business ProcessesRole/Activity Modeling In-House Skills Analysis ECM Strategic Plan and Roadmap
  • 9. Records Managementin SharePoint (Old Paradigm)What are we working with?
  • 10. Old Paradigm Content Types Record Declaration Content Routing Routing Rules RepositoriesKey Concepts
  • 11. The Content OrganizerType and Metadata-Driven Filing Mechanism(Old Paradigm)CustomRulesContentTypeMatch?Property= Value?IncomingDocumentsRecordsCenterFolderLibrary
  • 12. Content Organizer: Main Points 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 associatedwith target location
  • 13. Content Organizer: Value Advantages Flexible control over document routing No need for custom code New “Rule Manager” user group Disadvantages Rules must be managed – requires skill Rules must be updated if content typeschange
  • 14. Old Paradigm – Step 1Examples Finance & Accounting Human Resources Environmental Health & Safety OperationsBenefits Easier to partition contentby category Easier to administer andapply access controlsEstablish a separate SharePoint Site Collection for eachmajor Business Function (top-level) of the FunctionalRecords Categories (FRC)
  • 15. Old Paradigm – Step 2Guidelines Use a separate ContentDatabase for each SiteCollection (MajorBusiness Function) Limit to 1 Site perDatabaseBenefits Easier to backup,maintain and optimize thedatabase Avoids problems createdby uninformed users(sub-sites as RecordsCenters)Create a Records Center as the root (and only) site inthe Site Collection
  • 16. Old Paradigm – Step 3Guidelines Identify Content Types inadvance via ContentModeling Publish the ContentTypes in a centralizedContent Type Hub SiteBenefits Traceability fromSharePoint deploymentback to InformationArchitecture Enables enterprise-widecontent organizer rulesCreate and deploy SharePoint Content Types for each typeof content associated with each Major Business Function
  • 17. Old Paradigm – Step 4Guidelines Identify requiredmetadata in advance viaContent Modeling Include managedmetadata fields inContent Types Clearly define valid fieldvaluesBenefits Ensures that recordmetadata is consistent Enables more accurateclassification anddiscovery Simplifies the creation ofcontent organizer rulesIdentify required metadata and configure the SharePointmanaged metadata service (create term sets)
  • 18. Old Paradigm – Step 5Guidelines Decide between “type-based” and “location-based” policies Determine whetherSharePoint retentionstages are sufficient for agiven record typeObservations Location-based policiesare easier to maintain Supports many types Type-based policies allowfor more flexibleorganization Supports many locationsSetup Information Management Policies andpropagate to the Records Management sites
  • 19. Records Managementin SharePoint (New Paradigm)What are we working with?
  • 20. New Paradigm Content Lifecycle Content Modeling Content Mapping Metadata Capture Actionable SearchKey Concepts
  • 21. Model• Identify Patterns & Metadata• Define Strategy & Build File PlanMigrate• Create Types, Rules & Policies• Configure Sites & RepositoriesManage• Build Workflows• Monitor, Refine & Collect“Management Evidence”ContentModelingContentMigrationLifecycleManagementECM / RM as Part of a ComprehensiveContent Lifecycle Management Strategy
  • 22. Content Modeling/Mapping
  • 23. Content Mapping Detail
  • 24. F(garbage) = garbage
  • 25. ContentLifecycleAnalysisProducersManagersConsumersRole/Activity Model Use CaseModel FindabilityAnalysisPutabilityAnalysisFile PlanDevelopmentRetentionScheduleRepositoryRouting RulesDependencyStructure MatrixIdentify ContentProducersIdentify ContentConsumersMap Content toProductionActivitiesMap Content toConsumptionActivitiesIdentify ContentOwnersIdentifyOverlapping/Conflicting ContentManagementTasksIdentify CriticalMetadataIdentifyManaged Folders& HierarchiesExternalDataKeywordQueriesIdentifyPrescribedContentStorageMechanismsEnumerate KeyMetadata FieldsAggregateMetadata intoContent TypesIsolateMetadataDependenciesDevelopRouting RulesandConditionsCreateRetentionPoliciesDefine SearchScopesIdentityManagedMetadataConstraintsIdentify SecurityConstraintsContent Lifecycle Management
  • 26. New Paradigm – Step 1• Identity Content Producers• Identify Content Consumers• Map to Business ProcessActivities
  • 27. New Paradigm – Step 2• Identify Content Owners• Skills• Security• Resolve Conflicts• Bottlenecks• Resource Contention• Identify Critical Metadata
  • 28. New Paradigm – Step 3• Focus on Search• Sources of Content• Security Trimming• External Scopes• Focus on Metadata• Task Driven• Prescribed Terms• Data Validation
  • 29. New Paradigm – Step 4• Focus on Storage Mechanisms• Cloud?• Partitioning?• Focus on Metadata• Dependencies• Aggregation• De-duplication
  • 30. New Paradigm – Step 5• Focus on Retention• Content Types (for Routing)• Metadata-Driven Routing• Repository-Based Retention• Import Retention Schedules• (Mapped to Content Model)
  • 31. Records Managementand SearchWhere are we?
  • 32. Actionable Search:Silver Bullet or Silver Lining?
  • 33. Two Key ScenariosFinding Documentsto Act On Where to Look? Within Sites Across the Farm External to SharePoint What to Do? Declare Them– In-Place vs Repository Hold / Delete Them Do Something Else Tag Them!Finding Recordsto Act On Where to Look? Within Any Site Within Records Center(s) External to SharePoint What to Do? “Undeclare” Them “Upgrade” Them Tag Them Tag Them Tag Them!
  • 34. Content PipeliningPROCESS(DECLARE)Stage3Stage2Stage1• New Paradigm Concept• Relieves End-User Anxiety• Promotes Better UserAdoption• Encourages MetadataCapture
  • 35. Example:Litigation Holds Applies to: SharePoint Records Undeclared documents External documents Physical documents Emails Case Files (with all of theabove)• Need to enablecomprehensive search• From what metadata?• Need to perform specificactions• Based on whatanalysis?• May involve multiple roles• Good use for contentpipelining approach
  • 36. Extending the User Experience Custom “KPI”-Style Web Parts Records vs Non-Records (Chart) Records About to Expire (Chart) Custom Actions (Search Actions) Declare/Undeclare Apply Pre-defined Tags for an Activity Send to Next Pipeline Stage
  • 37. Resources & Tools Content Modeling Mindjet (www.mindjet.com) Content Lifecycle Management Collabware CLM (www.collabware.com)
  • 38. Thank you for attending!