Recent presentation on Best Practices for SharePoint 2010 RM

1. BEST PRACTICES FOR
SHAREPOINT RECORDS MANAGEMENT (RM)
Mike Alsup
Gimmal Group
July, 2010
1

2. GIMMAL COMPANY FACTS
• Enterprise Content & Records Mgmt. Experts
• Content and Records Management Specialists
• Trusted Advisors on large EMC programs
• 150 + clients with household names
• Thought Leadership
• Nationally Recognized
• Founded 2002 – NYC, Houston, Washington
• Team averages 10+ years of experience
• Some of industry’s best known experts
• Broad Experience
• Clientele – Fortune 200 & government
• Experience with all leading vendors
• Especially EMC and SharePoint
• Especially Enterprise RM deployments
2

3. AGENDA
• Challenges that SharePoint Content &  The Problem asdfasdfasdf
Records Mgmt. Must Address asdfaf
• Best Practices:
• Electronic Records Mgmt.  Current State of the Art asda
• SharePoint Content & Records Mgmt.  New Tools and Features
• Foundation for a Best Practices Framework  SharePoint Best Practicess d
• SharePoint 2010 ECM & RM  We’re Excited!
• Discussion
3

4. TOP 10 13 QUESTIONS IN ECM & RM
• Can we do everything with SharePoint?
• Does SharePoint RM scale to the Enterprise?
• Does SharePoint 2010 RM fix the records problems from MOSS 2007?
• Can we justify consolidating ECM & RM to a single vendor?
• What about our investments in “X”?
• Do we need one File Plan and Retention Schedule for Electronic
and Physical Records?
• What about our Paper-based Records Management?
• How should we use “Big Buckets” in our File Plan?
• Who should control our Records Management functions?
• How is SharePoint related to eDiscovery?
• Where do we start?
• If we build it, will they all come?
• How do I get Executives to Care?
4

5. CHALLENGE - UNGOVERNED “ORGANIC” ENVIRONMENT
Initial SharePoint Site
• One-off design
• Look and feel
• Navigation
• No central site directory
• Contains documents
• Many are convenience copies
from other sites
5

6. UNGOVERNED “ORGANIC” ENVIRONMENT
Enterprise Portal
Issues:
1. Sites are not connected
2. Each site has own look and feel
3. Navigation is inconsistent
4. Different definitions of content
• Site 1 has “Invoice – Purchasing”
• Site 2 has “Invoice”
5. All content is retained forever
6. Search experience varies
6

7. UNGOVERNED “ORGANIC” ENVIRONMENT
Enterprise Portal
Issues:
1. Chaos grows with new sites
2. Content volume increasing rapidly
3. No standard security model
4. Adding “rogue” content types:
New site has “Invoice – Vendor”
AND “Invoice – Contractor”
5. Metadata mgmt. is inconsistent
6. How are Records managed?
7

8. UNGOVERNED “ORGANIC” ENVIRONMENT
Top Site Portal Some sites may be connected to
Portal, others not
How are you
How do you going to
govern this? support this?
8

9. User
KNOWLEDGE WORKER CONTENT USAGE
Office SharePoint Native Outlook Legacy Legacy App
Explorer
2007 2007 ECM/RM 2007 EDM Interfaces
Search / Navigation / Taxonomy
Manual & Semi-Auto Rules & Policies
Advanced
Foundation Content
Content Services
Message
Services Taxonomy
Default Specific
Services Basic
Default Classification Taxonomy Contenders: Classification
Classification
Classification
*** Services Default
Classification
***
IBM Services Classification
Basic
Default Classification Retention
Retention Services OpenText Retention Default
Services Retention
Retention Oracle Records
Services
EMC Management
Services
Microsoft
Data (Fully Automated Rules)
Message
Taxonomy, Specific
Classification, Classification
Retention, &
Default
Records Mgmt.
Classification
Services
& Retention Exchange Legacy EDM Legacy Apps
Removable File Systems SharePoint ECM/RM
2007
Media 2007
Default &
Calculated
Classification
Default
Retention
Paper Storage
9

10. User
KNOWLEDGE WORKER CONTENT USAGE
Office SharePoint Native Outlook
Explorer
2007 2007 ECM/RM 2007
Search / Navigation / Taxonomy
Manual & Semi-Auto Rules & Policies
• Many Moving Parts
Advanced
Foundation Content • Enterprise is Key
Content Services
Message
Services
Default
Taxonomy Specific • Lifecycle is Key
Services
Default Classification Taxonomy Contenders: Classification
Classification
Services
Classification ***
IBM Services
Default • This is a Journey
*** Classification Classification
Default
Retention Services OpenText Retention Default
Services Retention
Retention Oracle Records
Services
EMC Management
Services
Microsoft
Data (Fully Automated Rules)
Message
Taxonomy, Specific
Classification, Classification
Retention, &
Default
Records Mgmt.
Classification
Services
& Retention Exchange
Removable File Systems SharePoint
SP 2010 ECM/RM
SP 2010 2007
Media 2007
Default &
Calculated
Classification
Default
Retention
Paper Storage
10

11. MICROSOFT VIEW OF ECM & RM
Foundational ECM
 Limited Support for Products
Web Rich Document Human
Document Records Email
Content Media Output Centric
Mgmt. Mgmt. Archiving
Mgmt. Mgmt. Mgmt. Workflow
Supplemental ECM
 Embrace and extend SharePoint with Product Partners
Physical, DoD Business Transactional Archiving &
Scanning and
Records Process Content Library
Capture
Mgmt. Mgmt. Mgmt. Services
11

12. Information Lifecycle
SharePoint File Plan /
2010 Retention
Schedule
• Content Types
• File Plan • Information Policy
• Retention Schedule • Retention Definition
• Legal Citations Managed • Document Templates
Master
Records • Legal Holds Metadata/
Site
Content Hub
Center
Microsoft
External Blob
Top Level Portal
Storage (EBS)
( RBS) Automated
Site
Provisioning
• Lifecycle
• Taxonomy
Optional: Team Sites • Navigation
StoragePoint • SP Features
Documentum • Search
Open Text • Security
HP TRIM • XML Config.
MySites
SHAREPOINT FRAMEWORK 12

13. Best Practices for Electronic
Records Mgmt.
13

14. STATE OF ELECTRONIC RECORDS MANAGEMENT - 2010
• Most content does not have “record” value
• Once stored, most content is not retrieved
• Large volumes of unmanaged content
• Still have “fire drills” when records are needed for
FOIA, litigation, investigations, etc.
• Enterprise content management solutions can be
complicated and expensive and frustrating
14

15. WHAT’S WORKING – OVERALL RM BEST PRACTICES
1. Governance Covers All Content
2. Retention Hold Process is Defined and Enforced
3. Communication and Training is in Place AIIM SP 2010
Course
4. Compliance Monitoring is in Place
5. Automated Destruction Process & Destruction Logs
6. Enterprise Information Lifecycle Model
7. Records Retention Schedule
SharePoint 2010
15

16. WHAT’S WORKING – BEST PRACTICES
1. Governance Covers All Content Formats and Versions
• Modern Software Tools enable Enterprise Content Governance
• Build on Guidance From Standards
- GARP® http://www.arma.org/garp/
- DoD 5015.02-STD Electronic Records Management
Software Applications Design Criteria Standard
http://jitc.fhu.disa.mil/recmgt/p50152stdapr07.pdf
- ISO 15489 Information and Documentation – Records
Management http://www.arma.org/
- Dublin Core Metadata http://dublincore.org/
16

17. WHAT’S WORKING – BEST PRACTICES
2. A Retention Hold Process must be followed
• Standardized process to apply and remove retention holds
suspends the retention schedule for:
• anticipated litigation,
• governmental proceedings,
• investigations,
• or audits
• Holds need to be applied to electronic content in secure manner
17

18. WHAT’S WORKING – BEST PRACTICES
3. Communication and Training
• Communicate a consistent message  retention management is important
• People will embrace the change process if clear information is available
• Regular compliance training for new hires and information workers
4. Compliance Monitoring
• Monitor information workers compliance in non-disruptively and transparently
• When non-compliance is discovered, take action to bring into compliance
18

19. WHAT’S WORKING – BEST PRACTICES
5. Automated Destruction Process
• Automated when possible and sustainable
• When content meets its retention period  usually destroyed immediately
• When destruction of electronically stored content cannot be automated,
manual processes are used so content is deleted at the end of its lifecycle
6. Destruction Logs
• Destruction logs provide evidence to verify of electronic record destruction
• Destruction logs prove content was destroyed for an investigation
• Keep information on the destruction log to a minimum
• Unique identification of piece of content
• Significant dates of piece of content’s lifecycle
• System-generated information and properties
19

20. WHAT’S WORKING – BEST PRACTICES
Enterprise Information Lifecycle Model  Sets User Expectations:
• All content has to be managed
- Content is managed from creation to disposition, usually destruction
- Comply with regulations for retention, privacy, and security rqmt’s
- Risk mitigation to protect IP, business continuity and disaster recovery
- Production of records in litigation and FOIA /Open Records Act requests
• Standard retention and rules for all content in every ILC state
- Accelerates destruction of temporary content
- Defines rules for transitions between ILC states
- Tagging early in ILC is important to enterprise retention and retrieval
- Minimizes abandoned and orphaned content
 Accuracy, relevance, and trust
20

21. INFORMATION LIFECYCLE
Hold
Work In
Temporary Final
Progress
Retention Retention Retention
90 Days 12 Months Retention Schedule
Disposition
Location(s) Location(s) Location(s)
Network Shares, SharePoint ???
Email, C: Drive
Metadata Metadata Metadata
Name Name Name
Content Type Content Type
21

22. WHAT’S WORKING – BEST PRACTICES
The Purpose of a Retention Schedule is record retention
• Applicable to all record media, formats
• Compliant w/ legal requirements in all jurisdictions
• Compatible with how laws and regulations are organized
• The Simpler the Better!
• Big Buckets
• Integrated Legal Research
SharePoint 2010
22

23. BIG BUCKET APPROACH
• Retention Categories are “buckets” – where retention & disposition managed
• Same or similar business processes
• Same or similar legal and regulatory requirements
• Maintained for the same or similar amount of time
• Fewer/bigger “buckets” are better
• Easier for users & automatic categorization tools
• Improve ability to consistently retain records
• Lower total cost of ownership
• Best practice to structure retention schedules based on ISO 15489
• 1st level is derived from functions and activities, not business unit names
 (Business Function)
• 2nd level is based on the activities constituting the function; retention periods are
assigned & destruction is managed at this level  (Retention Category)
• 3rd level is comprised of record types generated as a result of activities or
transactions within each record series  (Record Type)
23

24. RETENTION SCHEDULE STRUCTURE
Retention SharePoint
Business Category Record Type Content
Function
(Big Buckets) Type
Employee Employee
Agreements Agreements
LEG01:
Contracts
Vendor Master Service
Contracts Agreements
Legal (LEG)
Bankruptcy Non Disclosure
Files Agreements
LEG02:
Litigation
Mediation Statements of
Records Work
24

25. LEGAL RESEARCH AND LEGAL CITATIONS
• Failure to comply with laws and regulations creates risks:
 fines, sanctions, and penalties, including embarrassment
• Commercial : >15,000 legal citations at US federal and state levels
• State Government – Must comply with state rules
• Legal research usually performed by attorneys
 Legal Citations
• Mapping Legal Citations to Retention Categories
 Retention Schedule
• SharePoint 2010  Propagate Citations to Sites via Content Types
25

26. Best Practices for SharePoint
Enterprise Content & Records Mgmt.
26

27. SHAREPOINT GOVERNANCE AND COMPLIANCE
• Standardized Site Templates
• Publishing
• Collaboration
• My Sites
• Applying a Best Practices Framework
• Auto-Provisioning of Sites
• Metadata Inheritance
• Drag and Drop Support
• Functional Scoping
27

28. STANDARDIZED SITE TEMPLATE TYPES
• Site templates for:
• Publishing
• Collaboration
• Personal (MySite)
28

29. STANDARDIZED SITE TEMPLATES - PUBLISHING
• Publishing Global Navigation
• Purpose – Presentation of approved content & Site Directory
to a broad audience
• No document storage in these sites Masthead
• Features Local Navigation
• Standardized page layouts
• Standardized navigation
• Standardized search
• Standardized site and sub-site structure
• Custom web parts
Standard Zones
Sample Publishing Site Home Page
29

30. STANDARDIZED SITE TEMPLATES - COLLABORATION
• Collaboration
• Purpose – Content creation and sharing
within a team
• 3 Templates Supported
• Organization
• Project
• Community of Practice
• Limited access based on membership
• Features
• Standardized page layouts
• Standardized navigation
• Standardized search
• Standardized site and sub-site structure
• Standardized library structure
• Custom web parts
• Enhanced content query
• Library content types summary Sample Collaboration Site Page
• Dashboard items
30

31. EXTENDED SEARCH CAPABILITIES
• More functionally rich
search phrase entry
• Parametric (metadata
values)
• Boolean
31

32. STANDARDIZED SITE TEMPLATES - PERSONAL
• MySites
• Personalized pages
• Personal content management space
• Personnel directory
• Features
• Standardized page layouts
• Standardized navigation, tied directly
with all Framework sites
• Standardized search
• Standardized site and sub-site structure
• Standardized library structure
32

33. BASE SITE STRUCTURE AND PAGE CONTENT
Best Practices – Framework:
• Support standard baseline designs
for sites and sub-sites, pages and
web parts, styles and branding
• Establish consistency of site
structure through provisioning
• Manage sites through SharePoint
Features and Content Types
inherited into sites (applied
programmatically), not copied like
traditional site templates
• Support standard security models
and configurable security
inheritance throughout the tree
33

34. APPLYING A FRAMEWORK
Top Site Portal Some sites may be connected to
Portal, others not
34

35. FRAMEWORK SITE MODEL
Enterprise
Intranet
Site
Collection(s)
• All TeamSites start
out the same
Organization,
Project,
Workgroup &
Community
TeamSites
= User Navigation
35

36. FRAMEWORK SITE MODEL
Enterprise Intranet
Site Collection(s)
• All TeamSites start
out the same
Organization, Project, • Sites will be
Workgroup & configured to meet
Community individual team
TeamSites needs
• But standards for
usability and
governance will
always apply
= User Navigation
36

37. FRAMEWORK SITE MODEL – ADDING MYSITES
Enterprise Intranet
Site Collection(s)
• All TeamSites start
out the same
Organization, Project, • Sites will be
Workgroup & configured to meet
Community individual team
TeamSites needs
• But standards for
usability and
governance will
always apply
MySites
= User Navigation
37

38. AUTO-PROVISIONING
Standardized Site Templates
• Produces standardized environments
• Security groups and membership
• Roles
• Pages and navigation
• Web Parts
• Lists
• Supports all Site Templates • Document Libraries
• Publishing • Content Types
• Collaboration • Site and library columns and auto-
• Organization population rules
• Project • Custom functions
• Community of Practice • Leverages request and approval workflow
• Personal (MySites)  Content Types & Features
• Limits Local Admin’s to local needs
• Minimizes “Administration” training
• Ensures governance settings
38

39. SHAREPOINT 2010 SITE MODEL
Team Sites
Transfer Ownership
Controlled Information Hub
Record Snapshot
Controlled Controlled Controlled
Information Information Information
Site Site
Information
Site
Lifecycle
39

40. Information Lifecycle
File Plan /
Retention
Schedule
• File Plan • Content Types
• Retention Schedule • Information Policy
• Legal Citations • Retention Definition
Master • Document Templates
Records • Legal Holds
Site
Center
Microsoft
External Blob
Top Level Portal
Storage (EBS)
( RBS) Automated
Site
Provisioning
• Lifecycle
• Taxonomy
Optional: Team Sites • Navigation
StoragePoint • SP Features
Documentum • Search
Open Text • Security
HP TRIM • XML Config.
MySites
SHAREPOINT FRAMEWORK 40

41. METADATA INHERITANCE
Standardized Site Templates
• For auto-population of metadata based on rules
• Captures necessary information to support compliance or other rules
• Minimizes need for user input  user adoption
• Fully configurable at multiple levels
• Site collection, site, library, folder and content type
41

42. ADMINISTRATION – FUNCTIONAL SCOPING
Standardized Site Templates
• Automatic pruning of
administrative functions not
appropriate for local
administrators
• Configurable by type of site
• Prevents local administrators
from circumventing global RM
rules and violating compliance
• Still gives administrators the
local autonomy they need to
configure sites for their
business needs
42

43. Best Practices for SharePoint 2010
Records Mgmt.
43

44. SHAREPOINT 2010 RM CAPABILITIES
• Managed Metadata Service
• Content Types
• Content Organizer
• Information Management Policies and Metadata
• Document Sets
• Record Management
44

45. MANAGED METADATA SERVICE
• Ensures a common vocabulary and a
central source for metadata terms
• In MOSS 2007, achieved w/site columns
• In SharePoint 2010, there is centralized
management of a metadata hierarchy
• Can push the management of the
metadata terms to the business units
• Also, a Unique ID for all content in
SharePoint!
45

46. CONTENT TYPES
• Content Types enable scalability through:
• Centralized libraries
• Content Type publishing and subscription
• Content Type changes inherited in Sites where used
• Template consistency
• MOSS 2007 Content Types were scoped to a site collection
• Custom Master Site with Solution/Feature deployment
• SharePoint 2010 Content Types Consistent across the Enterprise
• Incorporates Managed Metadata
• Incorporates Information Policies
• Supports Document Sets
46

47. CONTENT ORGANIZER
• In MOSS 2007, routing based on content type or a custom router
• SharePoint 2010 can route based on any attributes and build a
structure based upon attribute values
• Based on 2007 Records Router
• Multiple rules can be used to route document when loaded into a library
• Content Organizer available in all sites, not just Records Center
• Significantly assists in Records Center usability
47

48. INFORMATION MGMT. POLICIES AND METADATA
• Information Management Policies (IMPs)
• Applied through Content Type OR Container (library/folder)
• Non-Record & Record expiration in same policy
• Ensure Compliance  Functional Scoping
• Applied through Site Provisioning
• Location-based policies and metadata
• In MOSS 2007, information management policies applied to Content Types
• In SharePoint 2010, IMPs can be applied at the container level.
• In SharePoint 2010, document can inherit attribute values from it’s location
• Default attribute values can be set at the library or folder level
48

49. DOCUMENT SETS
• A Content Type that serves as a container for other content types
• Manage documents as a related group
• Traditional capability of ECM Suites
• Customizable Landing Page
• Apply updates in bulk
• Automate repetitive content creation
49

50. SHAREPOINT 2010 RECORDS MGMT.
• SharePoint 2010 Records Center
• Metadata-Driven
• Massively Scalable
• Hierarchical Archive
• Supports Multi-Stage Disposition
• Supports Holds
• Supports In-Place Records Mgmt.
• “How can we add value to that?”
50

51. SHAREPOINT 2010 RECORDS MGMT.
• Multi-Stage Disposition
• MOSS 2007 policies  a single stage
disposition of destruction
• SharePoint 2010 disposition policies
support multiple disposition steps
51

52. SHAREPOINT 2010 RECORDS MGMT.
• Holds in any SharePoint
Document Library
• MOSS 2007 supported holds in the
Records Center
• SharePoint 2010 supports in-place
holds in Document Libraries
52

53. SHAREPOINT 2010 RECORDS MGMT.
• In-Place Records Mgmt.
• SharePoint 2010 supports records
mgmt. in place w/ retention period
• In MOSS 2007, a document had to
be copied to the Records Center
• In SharePoint 2010, copy a record
to the Records Center or leave
behind a link in a document library
53

54. INFORMATION LIFECYCLE ENFORCEMENT IS THE GLUE
Hold
Work In
Temporary Final
Progress
Disposition
Retention Retention Retention
XX Days XX Months Retention Schedule
Location(s) Location(s) Location(s)
Network Shares Document Libraries In Place, Record Center or
E-mail Inbox 3rd Party Product
Metadata Metadata Metadata
Name Name Name
Content Type Content Type
Version Version Version
As Supported Major & Minor None
Security Security Security
Local Rules Local Rules Read Only
Corporate Policies Corporate Policies Coordinators Delete
Disposition Disposition Disposition
28 Day Purge Area Recycle Bin Immediate
54

55. Information Lifecycle
SharePoint File Plan /
2010 Retention
Schedule
• File Plan • Content Types
• Retention Schedule • Information Policy
• Legal Citations Managed • Retention Definition
Master • Document Templates
Records • Legal Holds Metadata/
Site
Content Hub
Center
Microsoft
External Blob
Top Level Portal
Storage (EBS)
( RBS) Automated
Site
Provisioning
• Lifecycle
• Taxonomy
Optional: Team Sites • Navigation
BlueThread • Features
Documentum • Search
Source One • Security
HP Tower • XML Config.
MySites
SHAREPOINT FRAMEWORK 55

56. BENEFITS OF A BEST PRACTICES APPROACH
CFO/CEO CIO General Counsel
Business Case Organizational Responsive &
Demand Compliant
Easier with SharePoint
• Lower Cost • Eliminates Share Drive & • Defensible Processes
• Platform Consolidation SharePoint Sprawl • Less “Hair on Fire” at
• Lower Cost of Skills • Improves Info Access eDiscovery Time
• Information Maintained • Lowers Storage Cost • Confidence to Accept
as an Asset • Simplifies Infrastructure Automated Disposition
• Uses Commodity Skills
(already in house)
 ROI  User Acceptance  Lower Risk
56

57. BEST PRACTICES FOR SHAREPOINT RM
• Define SharePoint RM Roadmap, including SharePoint 2010
• Define your SharePoint ECM and RM partner / product ecosystem
• Define your Content Type and Site Provisioning Templates
• Provide a Foundation for Consistent Team Sites and MySites
• Define an Enterprise Information Lifecycle
• Separate from business process
• Enforced across multiple repositories 8 Weeks
• Achievable with a practical minimum of user involvement
• Enable SharePoint & RM Governance and Policy with a Framework
• Not just Infrastructure Governance  Content and Records Governance
• With Support and Refresh of a Records Management Program(s)
• With Support and Refresh of a Legal and eDiscovery Program(s)
• Prioritize the Projects for Enterprise Deployment of SharePoint RM
• The best time is with a new version of SharePoint (e.g. 2010!)
57

58. PLANNING THE SHAREPOINT 2010 MIGRATION
• First Steps
• Review of Current Requirements and Business Case
• Define SharePoint Framework Based on Gap Assessment & Best Practices
• SharePoint Solution Architecture
• Information Lifecycle
• Standards for Governance & Taxonomy
• SharePoint Infrastructure
• Identify Proofs of Concept to Build  Built
• Define Roadmap & Priorities
• Define Costs
• Next Steps Vary
• SharePoint Governance Initiated
• Standards for Provisioned Sites  Taxonomy, Navigation, Search
• Analyze Current Content  Migrate
• Pilots Built
58