1 DEEP DIVE WORKSHOP: RECORDS MANAGEMENT IN SHAREPOINT 2010 Mile High Denver ARMA Chapter Meeting February 19, 2013
2 Introductions Planet Technologies - a global leader in Microsoft technologies Six time Microsoft Federal Partner of the Year Three time Microsoft State and Local Partner of the Year DOI BPA for SharePoint Services State of Colorado BPA for SharePoint Services State Government Agencies Institutes of Higher Ed Local Agencies
3 Introductions Current Public Sector Customers CDPS, CDPHE, CSU, FWS, BLM, NREL, MHCD, RM team has 10 local SharePoint experts Jen Dodd Craig Marshall Michael Van Cleave
4 Jen Dodd MCITP SharePoint 2010, MOSS 2007, WSS 3.0 MCT Microsoft Certified Trainer Specializing in Infrastructure Design, Composite Solutions, End User Training and Information Organization
5 Craig Marshall MCITP SharePoint 2010, MOSS 2007, WSS 3.0 CDIA Certified Document Imaging Architect OpenText edocs Certified Extensive knowledge in DM and RM Areas
6 Michael Van Cleave MCITP SharePoint 2010, MOSS 2007, WSS 3.0 MCT Microsoft Certified Trainer SharePoint Architect, Developer and all-around smart guy!
7 What about you? Audience Who is here? Records Managers, IT Pros, SharePoint enthusiasts Environment What are you using? SharePoint Version? Other Software Tools? Offsite storage? Cloud tools or storage? Experience Level Beginner, Intermediate, Advanced? Organization Type Fed, SLG, Commercial, Education, Non-profit, Research Organization Size Small (1-500), Medium (500-10,000), Large (10,000+)
8 Schedule 09:30a-10:15a Implementation Part 1: Administration, Sites, SP In-Place versus Archive Records, Legal Holds 15 min. Break 10:30a-11:45a Implementation Cont: Administration, Sites, SP In-Place vs Archive Records, Legal Holds, 15 min. Break/Grab box lunch to bring back to places 12:00p-01:00p Case Studies and Best Practices
9 Goals for today Open Discussion about the Pros and Cons of Records Management in SharePoint SharePoint vs. other systems (we are not here to try to convert you to believing in SharePoint) However, in the absence of any system, we would encourage you to consider SharePoint. We are not Records Managers, rather SharePoint experts Case Studies
10 What is Records Management?
11 What is a Record? From the Planet perspective, based on work we do with our clients: A record is a document or other electronic or physical entity in an organization that serves as evidence of an activity or transaction performed by the organization A record requires retention for some time period
12 What Was New in 2010?
13 What is New in SP 2013? Site-based retention Compliance features have been extended to sites. You can create and manage retention policies in SharePoint Server 2013, and the policies will apply to SharePoint sites and any Exchange Server 2013 team mailboxes that are associated with the sites. Project owner creates site Selects appropriate policy template Invites team member to join Content receives correct retention policies When work is completed, project owner closes project After specified time, project expires and is deleted
14 What is New in SP 2013? ediscovery SharePoint ediscovery Center SharePoint inplace holds SharePoint ediscovery export Enterprise-wide ediscovery Site Template that creates a Portal for discovery cases Content that is put on hold is preserved, but users can still change it The state of the content at the time of preservation is recorded Export the results of an ediscovery search for later import into a review tool Centrally managed ediscovery across multiple SharePoint farms, Exchange servers and file shares
15 SharePoint Concepts Term Store Content Types Record Center/Libraries Content Organizer Information Management Policies
16 Term Store Provides support for the implementation of formal taxonomies through managed terms Consists of terms and term sets Term - a specific word or phrase Managed Terms - pre-defined and organized into a hierarchical term set Enterprise keywords - organized into a single, non-hierarchical term set
17 Term Store Term sets can be Local or Global Local - created within the context of a site collection Global - available for use across all sites Can be closed or open Closed - users cannot add new terms to them Open - users can add new terms Managed Metadata Column column type that can be added to lists or libraries so that site users or content owners can select values from a specific term set of managed terms and apply them to content
18 Term Store Enterprise Keywords column a column that you can add to content types, lists, or libraries to enable users to tag items with words or phrases that they choose. It is a multi-value column by default. Social Tags words or phrases that site users can apply to content on a SharePoint site to help them categorize information in ways that are meaningful to them
19 Term Store Tagging the act of applying metadata to an item, whether it s managed metadata or a social tag
20 Term Store
21 Managed Metadata Managed metadata makes it possible to use managed metadata and share content types across site collections and web applications A managed metadata service publishes a term store and content types Do this by creating a new managed metadata service and specifying a site collection as the content type hub The content type information shared are columns, workflow associations, and policies A managed metadata connection consumes these Can create multiple managed metadata services but each must specify a different term store.
22 Managed Metadata Configuration Options: Default keyword location Whether to store new keywords in the keyword set in the term store associated with this managed metadata service Default term set location Whether to store the term sets for new managed metadata site columns in this managed metadata service s term store Use content types Do you make content types available to users of sites in this web application? (Available only if the service has a hub defined to share content types) Push-down Content Type Publishing updates from the Content Type Gallery to sub-sites and lists using the content type Whether to update existing instances of the changed content types in sub-sites and libraries
23 Managed Metadata To create a connection to a managed metadata service: Know the URL of the service. For cross-farm connection, there must be a trust relationship between the farm where the service runs and the farm where the connection runs Permission granted to the application pool account of the web application where the connection is created
24 Managed Metadata Sample of managed metadata infrastructure
25 SharePoint Concepts Term Store Content Types Record Center/Libraries Content Organizer Information Management Policies
26 Content Types A content type is a reusable group of settings for a category of content. Used to manage the metadata, document templates, and behaviors of items and documents consistently Defined at the site level and used on lists and libraries Enable organizations to organize, manage, and handle content in a consistent way across a site collection.
27 Content Types Example: all documents available to the public require a specific set of metadata Create a Content Type called Work Order with required metadata columns Add an approval workflow that routes the document through the required approval process Attach the Content Type to the appropriate document libraries to ensure that any document that is made available to the public has gone through the appropriate approval process and has the required metadata associated with it.
28 Content Types
29 Content Types Can configure several settings: Columns (metadata) can be site columns Document templates - document content types only Custom New, Edit, and Display forms Workflows Custom Solutions or Features Information management policies Document Conversions There are also built-in content types that define OOB elements in SharePoint Owners group can modify content type for sites Content types can be set to read-only
30 Content Types Inheritance Content types organized in a hierarchy New site content types are based on parent content type Child site content types inherit from the parent Site content types are stored in groups By default, updates will apply according to inheritance rules
31 Content Type Hub Enables you to publish SharePoint content types across a farm We recommend that you create a separate site collection dedicated to creating and publishing content types
32 SharePoint Concepts Term Store Content Types Record Center/Libraries Content Organizer Information Management Policies
33 Record Center Site Create a separate Site Collection for ARCHIVING Records
34 Record Center Site But what if I need it within my Site Collection?
35 Record Libraries A Document Library with a Records Management slant What does it do? Automatic Declaration Enabled: ensures that any item that ends up in this library are declared as records Source of Retention is Library and Folders: Normally for a document library the source of retention is the Content Type but for a Records Library this has been changed to Library and Folders
36 Record Libraries How can it be enabled? By default it is enabled when you create a Records Center, but to enable it for other sites you need to enable the In Place Records Management feature on the Site Collection
37 In Place Records Lock down without an archive Documents Pages List items Declare Records in Bulk Can Separate Retention Policies Integration with Workflows
38 Archive vs. In Place
39 Resource Differences
40 SharePoint Concepts Term Store Content Types Record Center/Libraries Content Organizer Information Management Policies
41 Content Organizer Site level features that make it easier for administrators and users to classify, route, and store You can base routing decisions on content types, or by analyzing metadata to make complex document management decisions defined by the content steward or Records Manager
42 Content Organizer Once a document is uploaded, based on the document's metadata, Content Organizer can route the document to a specified folder or automatically create a new folder New folders will inherit settings from the parent folder New folders can then also have additional rules that define additional parameters such as permissions, default metadata, retention policies, and workflows that the documents in them will inherit
43 Content Organizer Settings Redirect Users to the Drop Off Library: specifies that users are redirected to the Drop Off Library when uploading content in a site that has one or more content organizer rules applied Sending to Another Site: rules can be created to redirect uploads in the current site to be sent to another site that also has the Content Organizer Feature activated Folder Partitioning: Subfolders will be created when a specified number of items in a folder is exceeded
44 Content Organizer Settings Duplicate Submissions: specifies whether to use SharePoint versioning or append unique characters to the end of duplicate file names Rule Managers: specifies users or groups that can create rules and respond to and manage uploaded content that do not match any rule Submission Points: This non-configurable setting provides Web service and URL, and an address that you can use to set up other sites or messaging to send content to the site. (When creating a new Send To location in Central Administration, this is the service URL that you specify as the destination for files submitted to the Send-To location)
45 Content Organizer Activation On the Site Settings page, under Site Action, click Manage site features On the Features page, for Content Organizer, click Activate After the Content Organizer Feature is activated, you can create metadata based rules to move submitted content to a library or folder
46 SharePoint Concepts Term Store Content Types Record Center/Libraries Content Organizer Information Management Policies
47 Information Management Policies What is it? Auditing Logs events on content Retention Stages workflow Labels List items, Printed copies Barcodes Code 39 standard Custom Print restrictions
48 Information Management Policies Continued Auditing Setup Policy Setup Policy Labels Bonus time Site collection audit settings
49 Retention Setup Policy Information Management Policies Continued
50 Barcodes Setup Policy Information Management Policies Continued Example document
51 Information Management Policies Continued Applying Policies to lists
52 Disposition Disposition Approval Workflow Creates a task that determines what action to take on an item that is a candidate for deletion or disposition. Useful when configured in conjunction with information policies. Multi Stage Dispositions Available Dispositions: Move to recycle bin Permanently delete Transfer to another location
53 Litigation and ediscovery Primary focus should be on up front preparation Appropriately enforced retention policies Configure the system to track appropriate actions (auditing) Leverage existing search technology during discovery process
54 Who is Ultimately Responsible for RM? Corporate compliance officers Records managers Lawyers
55 Records Management Systems Content Analysis File Plan Compliance Requirements Method for Collecting Records Method for Auditing Records Method for Capturing Metadata Process for Holds Monitoring and Reporting
56 Records Management Planning Identify specific records management roles Records managers and compliance officers to categorize the records in the organization and to run the records management process IT personnel to implement the support systems Content managers to find where organizational information is kept and ensure management practices are kept
57 Records Management Planning Analyze organizational content Survey document usage to determine which documents and other items can become records Develop a file plan Describe the kinds of items the enterprise acknowledges to be records, where they are stored, describe their retention periods Develop retention schedules Evaluate and improve document management practices
58 Records Management Planning Design the records management solution Plan how content becomes records Plan integration Plan compliance for social content Plan compliance reporting and documentation
59 File Plan A File Plan: Describes the kinds of items that are records Describes broader categories of records Indicates where records are stored Describes retention periods for records Identifies who is responsible for managing types of records
60 Sample File Plan
61 Identifying Records Understand legal obligations and business needs Analyze how active documents are used List the kinds of documents that should become records Categorize the records and find trends in use or treatment
62 Sample Records Plan
63 Converting Documents to Records - Techniques Manually declare a document to be a record Define a policy that declares a document to be a record or sends a document to a Records Center site at a specified time Create a workflow Use a custom solution that is based on the SharePoint object model
64 Manually Creating Records In-place records management allows users to explicitly declare a document a record by editing compliance details. If a connection to a Records Center site was created, users can manually send documents to the Records Center site by using the Send to command. Not a practical large-scale solution
65 Defining a Policy to Declare Records Specifies actions to take on documents at certain points in time (automatically) Two policy actions relating to managing records: Transferring a document to another location Declaring a document to be a record Your policy can have multiple stages If in-place records management is enabled for a site, the site can contain both active documents and records. You can specify different retention policies for each.
66 Creating a Workflow to Declare a Record Add an action to send an item to a repository Use the SharePoint object model to create a custom workflow that copies files to the Records Center site.
67 Using a Custom Solution to Declare a Record Use objects in the Microsoft.Office.RecordsManagement.OfficialFile WSProxy namespace to send content from other data sources to the Records Center site More Info: SharePoint Server 2013 Software Development Kit (http://go.microsoft.com/fwlink/p/?linkid=259788)
68 Completing a Records Plan Ask yourself: Is compliance enforced or voluntary? Can you depend on the cooperation of your users? Have you created suitable training & monitoring? Where will content be stored? Are you maintaining physical content? This may require unique planning
69 SharePoint vs. Other Systems Where they came from: - SP came from collaboration background - Old school vs. New school Where they are going: - SP allows different approaches to RM - Lifecycle management
70 Real World RM in SharePoint Planning and Governance Most Important Part Content Lifecycle Sites, libraries, documents, lists In-place Records vs. Record Center Content types Managed metadata File Plans To Folder or not to Folder?!? To Content Organizer or not to Content Organizer?!? Retention anyone?!?! IMPs!
71 Case Studies USDA Towers Watson DuPage Medical Group
72 Case Study: USDA USDA Agriculture Marketing Service (AMS): Marketing of US Agricultural Products (e.g., Milk Mustache promotion, beef grading, organic certification) employees Needed solution to manage: grading services market news reporting school lunch purchase programs national organic program to support U.S. producers, processors, and consumers
73 Case Study: USDA Types of Documents: Word, Excel, PowerPoint Previous Solution: Could create paper copy & file it as a record Difficult to manage, inefficient Difficult to access records Special Circumstances: Heavy legal obligations for document management Financial constraints Desire to work within current platform for intranet & extranet (SharePoint Server 2007)
74 Case Study: USDA Solution: SharePoint Server 2010 Had OOB capabilities such as retention policies, legal holds, managed metadata, which would keep costs down Submit documents right from Word, Excel, & PowerPoint Used Visual Studio & SharePoint Designer to create & implement a custom Records Management ribbon in the Office Suite (coupled with similarly-styled web-based web part in SharePoint)
75 Case Study: USDA Solution: Designated program areas to use as metadata (e.g., cotton & tobacco, dairy, fruits & vegetables) Metadata will automatically route record to appropriate location Security: Custom RM ribbon in Office validates user s credentials against Active Directory. Validation prepopulates tab with user information (e.g., level of access) Allows for record filing in appropriate site & category Record access also validated Retention policies automatically applied to records Ensures regulatory compliance
76 Case Study: Towers Watson Towers Watson: Global professional services company through effective people, risk & financial management 14,000 associates globally Needed solution to manage: Financial, legal, & personal documents
77 Case Study: Towers Watson Previous Solution: Custom solution in SharePoint Server 2007 called RecordsExcellence Special Circumstances: Security, auditing, and easy access are key Wanted more flexibility in tagging & searching via terms that made sense to users Wanted reduced customization in the application to reduce maintainance
78 Case Study: Towers Watson Solution: SharePoint Server 2010 Had OOB capabilities, namely richer built-in search features Would reduce customization & hence management of solution Can access documents remotely, from anywhere Linked SharePoint to Microsoft Office Integrated RecordsExcellence into Office ribbon Users can add their own metadata that makes sense to them, but while maintaining taxonomy consistency through enterprise keywords/managed metadata Content Types allow IT staff to configure, control, and update content types in one location
79 Case Study: DuPage Medical Group DuPage Medical Group: Group of primary care facilities & physicians Needed solution to manage: All documents supporting a patient s record electronically Access by any clinician in the network Reduce amount of storage & courier costs of the transfer of paper records between clinical sites
80 Case Study: DuPage Medical Group Previous Solution: Paper records Special Circumstances: Solution must scale to meet the estimated 5,000,000 pages of documentation created each year Capture and store information originated in a paper form
81 Case Study: DuPage Medical Group Solution: SharePoint Server Capture SDK allowed scanning of paper documents directly into SharePoint During same process tagged document with metadata from Epic Healthcare System Knowledge Lake Viewer allows clinicians to view documents stored in SharePoint through their current Interface (called Epic), which reduced the need for end-user training
82 Considerations for Using SharePoint for RM No DoD certification May not meet your standards for compliance Left up to partners to develop extensions & add-ons In-place records management Good for conserving maximum file space Might not be best for organizations needing separate, remote archive Enhanced tools for Records Management Can view compliance details for documents Features not 1 to 1 with previous versions of SharePoint Disparity may be significant or insignificant depending on the features you have used Recreating RM in a new platform can be cumbersome More value may lie in keeping your current platform Multiple layers or platforms of records management may increase confusion
83 Considerations for Using SharePoint for RM If evaluating using SP for RM, consider these practices: Integrating records management into SharePoint from a native ECM system No need to abandon an adequate system Experienced users can still use native interface, other users can live in SharePoint while maintaining the back-end retention benefits of the native platform. Recreate SharePoint retention policies and holds on SharePoint driven content, while retaining ECM-driven records management over content stored in the ECM repository. Archive SharePoint content to the ECM system once it qualifies as a record. Using content management platforms (e.g., Documentum, eroom, edocs, LiveLink, HP TRIM, Vignette, FileNet, or WorkSite) plus SharePoint = you can create your own content management roadmap according to your specific needs
84 Considerations for Using SharePoint for RM Is the governance of the collaboration site appropriate for managing records? Are there regulatory requirements that require records separate from active documents? Should the administrator of a collaboration site be trusted to manage a site that contains records? How long will the collaboration site be in use? Does this work with the retention of your records? Will the project members need frequent access to the documents after the documents have become records? Are records managers responsible for only records, or are they responsible for all information, regardless of whether it is active or a record?
85 Best Practices Governance covers ALL content Retention Process is Defined and Enforced Communication and Training is in Place Compliance Monitoring is in Place Automated Destruction Process and Destruction Logs Enterprise Information Lifecycle Model
86 In Summary Tons of options in SharePoint Planning is Key
87 Thank You!