IW403 Records Management Improvements in SharePoint 2010
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BEST PRACTICES CONFERENCE SHAREPOINT
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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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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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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Key Challenges for RM in MOSS
Declaring RecordsHow to identify documents as records
Protecting RecordsHow to control what happens to “records”
Developing File PlansHow to specify controls for many record types in one place
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Declaring Records in MOSS 2007
“Declaration” = “Send to Repository”Limited UX
“Send To…” link on ECB
1 Records Center per Farm
Complex Data FlowRequired coordination between source content type and target routing type (record series)
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MOSS Record Declaration
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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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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 foldersExcept via custom folder content types
No ability to route to foldersExcept with custom routers
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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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Document Identifiers
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Document IdentifiersEvery 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 documentsNeed 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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Content TypeSyndication
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Content Type Enhancements
Global Content TypesAvailable throughout the Farm
Can control how they are published
Can be used for content organizer rules
Important for Records ManagementConsistent metadata across many sites
Content Type Syndication
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Centralized Taxonomy Management(related to content types)
FeaturesAdd new “Managed Metadata” column
Use centralized Term Store to create and manage “Term Sets”Supports hierarchical taxonomies
Supports synonyms for termsJAX == Jacksonville
Central Term Store
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TheContent
Organizer
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CustomRules
Content Type
Match?
Property = Value?
New Concept:Content Organizer
IncomingDocuments
RecordsCenter
Folder
Library
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Content OrganizerMetadata-driven Routing
Automatically handles incoming records (no need for custom router)
Target destination determined from metadata(configured using rules)
Support for file plan hierarchyCan target subfolders of destination library
Automatically applies policies associated with target location
Content Organizer
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SP2010 Records Center
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Content Organizer Rules
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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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Folder PartitioningCan 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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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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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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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 sentDocuments still in library after N days
Content Organizer
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Hierarchical File Plans
“File Plan” = “Content Organizer”Routes documents based on metadata
“Hierarchy” = “Folder”Can target folders from CO rules
Can be used anywhereNot just in the Records Center
Content Organizer
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Content Organizer: Observations
Dealing with the Classification IssueRecords Managers like Taxonomies
End Users like FolksonomiesManaged 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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DocumentRetention
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Document RetentionImplemented via Information Policy
Can be applied to any document(not just records)
Perform actions at end of retention periodActions can include record declaration
Document Retention
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Multi-Stage Retention
Missing from SP2007Enables 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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Information Policy: Retention Stages
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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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In-Place Records Management
“Records Management for Active Documents”– but what does it mean?
1. Special handling for declared recordsControl over who can edit/delete records
Apply different retention policy for declared records
2. Programmatic control over record declaration1. Declare records in response to a user action
2. Declare records from a workflow activity
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In-Place Records: CaveatCannot Utilize Location-Based Features:
Cannot assign records to file plan foldersRecords don’t actually “move”
Cannot inherit rules + permissions from folder as specified by file plan
Cannot Invoke Content Organizer RulesCannot trap record declaration event to modify metadata or move the record
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In-Place “Recordization” in General
“Manage In Place” in ECM literatureAbility 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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In-Place RM Feature Activation
In-Place Records
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Record Declaration Settings
In-Place Records
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Record Declaration
In-Place Records
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Legal HoldsTied to Search
New “Search and Add Holds” Page
Use search criteria to locate documents
Use search results to perform actionsExamples: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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Search and Add to Hold
Legal Holds
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Enhanced Reporting
Can use Excel to generate reports:Documents declared as records
Documents associated with holds
Reporting
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Records Repository ScalabilityNo (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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Email Records Management
Designed for Exchange 2010
Integrated Email Archiving
Integrated Email Retention
Integrated Email Discovery
Can use Content Organizer for EmailRecommended only for Records Center
Avoid inconsistency/complexity
Avoid bottlenecks/bandwidth issues
Email Records
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Enabling Email ProcessingFrom PowerShell
Enable-SPFeature –id EmailRouting –url “<site url>”
Creates a separate list to receive emailsAssigns 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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SummarySharePoint 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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For More InformationVisit my blog:
www.SharePointArchitects.us/johnholliday
Thank you!