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BEST PRACTICES FOR SHAREPOINT RECORDS MANAGEMENT (RM)
Mike Alsup
Gimmal Group
July, 2010
1
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
AGENDA
• Challenges that SharePoint Content & Records Mgmt. Must Address
• Best Practices:
• Electronic Records Mgmt.
• SharePoint Content & Records Mgmt.
• Foundation for a Best Practices Framework
• SharePoint 2010 ECM & RM
• Discussion
The Problem asdfasdfasdfasdfaf
Current State of the Art asda
New Tools and Features
SharePoint Best Practicess d
We’re Excited!
3
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
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
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
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
UNGOVERNED “ORGANIC” ENVIRONMENT
Top Site Portal
How are you going to
support this?
How do you govern this?
Some sites may be connected to Portal, others not
8
SharePoint
2007
Foundation
Content
Services
Taxonomy
Services
Classification
Services
Retention
Services
Legacy App
Interfaces
Legacy
EDM
Basic
Classification
Basic Retention
File SystemsRemovable
Media
Exchange2007
Legacy AppsLegacy EDM
Use
rM
anu
al &
Sem
i-A
uto
Ru
les
& P
olic
ies
Dat
a (F
ull
y A
uto
mat
ed R
ule
s)
ExplorerOutlook
2007
Default
Classification
***
Default
Classification
***
Default
Retention
Message
Specific
Classification
Default
Classification
Default
Retention
Paper Storage
Native
ECM/RM
ECM/RM
Advanced
Content
Services
Taxonomy
Services
Classification
Services
Retention
Services
Records
Management
Services
KNOWLEDGE WORKER CONTENT USAGEOffice
2007
SharePoint
2007
Search / Navigation / Taxonomy
9
Default &
Calculated
Classification
Default
Retention
Taxonomy,
Classification,
Retention, &
Records Mgmt.
Services
Message
Specific
Classification
Default
Classification
& Retention
Contenders:IBM
OpenTextOracleEMC
Microsoft
KNOWLEDGE WORKER CONTENT USAGE
File Systems SharePoint
2007SP 2010Removable
Media
Office
2007
Exchange2007
SharePoint
2007Use
rM
anu
al &
Sem
i-A
uto
Ru
les
& P
olic
ies
Dat
a (F
ull
y A
uto
mat
ed R
ule
s)
Explorer
Foundation
Content
Services
Taxonomy
Services
Classification
Services
Retention
Services
Advanced
Content
Services
Taxonomy
Services
Classification
Services
Retention
Services
Records
Management
Services
Message
Specific
Classification
Default
Classification
Default
Retention
Default
Classification
***
Default
Classification
***
Default
Retention
Outlook
2007
Message
Specific
Classification
Default
Classification
& Retention
Taxonomy,
Classification,
Retention, &
Records Mgmt.
Services
Default &
Calculated
Classification
Default
RetentionPaper Storage
ECM/RM
Native
ECM/RM
Search / Navigation / Taxonomy
• Many Moving Parts
• Enterprise is Key
• Lifecycle is Key
• This is a Journey
SP 2010
10
Contenders:IBM
OpenTextOracleEMC
Microsoft
MICROSOFT VIEW OF ECM & RM
Foundational ECM Limited Support for Products
Document Mgmt.
Records Mgmt.
Web Content Mgmt.
Rich Media Mgmt.
Document Output Mgmt.
Email Archiving
Human Centric
Workflow
Supplemental ECM Embrace and extend SharePoint with Product Partners
Physical, DoD Records Mgmt.
Business Process Mgmt.
Transactional Content Mgmt.
Scanning and Capture
Archiving & Library
Services
11
• File Plan • Retention Schedule• Legal Citations• Legal HoldsRecords
Center
SHAREPOINT FRAMEWORK
• Content Types• Information Policy• Retention Definition• Document Templates
Optional:StoragePointDocumentum
Open TextHP TRIM
MicrosoftExternal BlobStorage (EBS)
( RBS)
Team Sites
MySites
Top Level Portal
• Lifecycle• Taxonomy• Navigation• SP Features• Search • Security• XML Config.
Information Lifecycle
File Plan /Retention Schedule
AutomatedSite
Provisioning
MasterSite
Managed Metadata/
Content Hub
SharePoint2010
12
Best Practices for Electronic Records Mgmt.
13
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
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
4. Compliance Monitoring is in Place
5. Automated Destruction Process & Destruction Logs
6. Enterprise Information Lifecycle Model
7. Records Retention Schedule
15
SharePoint 2010
AIIM SP 2010 Course
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
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
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
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
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
INFORMATION LIFECYCLE
TemporaryWork In Progress
Final
Hold
Disposition
Retention90 Days
Location(s)Network Shares, Email, C: Drive
MetadataName
Retention12 Months
Location(s)SharePoint
MetadataName
Content Type
RetentionRetention Schedule
Location(s)???
MetadataName
Content Type
21
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
22
SharePoint 2010
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
Business Function
Legal (LEG)
Retention Category
(Big Buckets)
LEG01: Contracts
LEG02: Litigation
Record Type
Employee Agreements
Vendor Contracts
Bankruptcy Files
Mediation Records
SharePoint Content
Type
Employee Agreements
Master Service Agreements
Non Disclosure Agreements
Statements of Work
RETENTION SCHEDULE STRUCTURE
24
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
Best Practices for SharePoint Enterprise Content & Records Mgmt.
26
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
STANDARDIZED SITE TEMPLATE TYPES
• Site templates for:• Publishing
• Collaboration
• Personal (MySite)
28
STANDARDIZED SITE TEMPLATES - PUBLISHING
• Publishing• Purpose – Presentation of approved content
to a broad audience
• No document storage in these sites
• Features• Standardized page layouts
• Standardized navigation
• Standardized search
• Standardized site and sub-site structure
• Custom web parts
Sample Publishing Site Home Page
Masthead
Standard Zones
Global Navigation& Site Directory
Local Navigation
29
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
• Dashboard items
Sample Collaboration Site Page
30
EXTENDED SEARCH CAPABILITIES
• More functionally rich search phrase entry
• Parametric (metadata values)
• Boolean
31
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
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
inherited into sites
provisioning
33
APPLYING A FRAMEWORK
Top Site Portal Some sites may be connected to Portal, others not
34
• All TeamSites start out the same
FRAMEWORK SITE MODEL
Enterprise Intranet SiteCollection(s)
= User Navigation
35
Organization, Project, Workgroup & Community TeamSites
FRAMEWORK SITE MODEL
• All TeamSites start out the same
• Sites will be configured to meet individual team needs
• But standards for usability and governance will always apply
Organization, Project, Workgroup & Community TeamSites
Enterprise Intranet Site Collection(s)
= User Navigation
36
FRAMEWORK SITE MODEL – ADDING MYSITES
Organization, Project, Workgroup & Community TeamSites
Enterprise Intranet Site Collection(s)
= User Navigation
MySites
• All TeamSites start out the same
• Sites will be configured to meet individual team needs
• But standards for usability and governance will always apply
37
AUTO-PROVISIONING
• Produces standardized environments• Security groups and membership
• Roles
• Pages and navigation
• Web Parts
• Lists
• Document Libraries
• Content Types
• Site and library columns and auto-population rules
• Custom functions
• Leverages request and approval workflow Content Types & Features
• Limits Local Admin’s to local needs
• Minimizes “Administration” training
• Ensures governance settings
• Supports all Site Templates• Publishing
• Collaboration
• Organization
• Project
• Community of Practice
• Personal (MySites)
Standardized Site Templates
38
Team Sites
ControlledInformation
Site
ControlledInformation
Site
ControlledInformation
Site
Controlled Information Hub
Transfer Ownership
Record Snapshot
InformationLifecycle
SHAREPOINT 2010 SITE MODEL
39
• File Plan • Retention Schedule• Legal Citations• Legal HoldsRecords
Center
SHAREPOINT FRAMEWORK
• Content Types• Information Policy• Retention Definition• Document Templates
Optional:StoragePointDocumentum
Open TextHP TRIM
MicrosoftExternal BlobStorage (EBS)
( RBS)
Team Sites
MySites
Top Level Portal
• Lifecycle• Taxonomy• Navigation• SP Features• Search • Security• XML Config.
Information Lifecycle
File Plan /Retention Schedule
AutomatedSite
Provisioning
MasterSite
40
METADATA INHERITANCE
• 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
Standardized Site Templates
41
ADMINISTRATION – FUNCTIONAL SCOPING
• 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
Standardized Site Templates
42
Best Practices for SharePoint 2010 Records Mgmt.
43
SHAREPOINT 2010 RM CAPABILITIES
• Managed Metadata Service
• Content Types
• Content Organizer
• Information Management Policies and Metadata
• Document Sets
• Record Management
44
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
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
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
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
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
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
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
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
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
INFORMATION LIFECYCLE ENFORCEMENT IS THE GLUE
Retention
XX Days
Location(s)Network Shares
E-mail Inbox
Metadata
Name
Retention
XX Months
Location(s)
Document Libraries
Metadata
Name
Content Type
Retention
Retention Schedule
Location(s)In Place, Record Center or
3rd Party Product
Metadata
Name
Content Type
Version
As Supported
Version
Major & Minor
Version
None
Security
Local Rules
Corporate Policies
Security
Local Rules
Corporate Policies
Security
Read Only
Coordinators Delete
Disposition
28 Day Purge Area
Disposition
Recycle Bin
Disposition
Immediate
TemporaryWork In Progress
Final
Hold
Disposition
54
• File Plan • Retention Schedule• Legal Citations• Legal HoldsRecords
Center
SHAREPOINT FRAMEWORK
• Content Types• Information Policy• Retention Definition• Document Templates
Optional:BlueThread
DocumentumSource OneHP Tower
MicrosoftExternal BlobStorage (EBS)
( RBS)
Team Sites
MySites
Top Level Portal
• Lifecycle• Taxonomy• Navigation• Features• Search • Security• XML Config.
Information Lifecycle
File Plan /Retention Schedule
SharePoint2010
AutomatedSite
Provisioning
MasterSite
Managed Metadata/
Content Hub
55
BENEFITS OF A BEST PRACTICES APPROACH
CFO/CEO CIO General CounselBusiness Case Organizational
DemandResponsive &
Compliant
• Lower Cost
• Platform Consolidation
• Lower Cost of Skills
• Information Maintained as an Asset
ROI
• Eliminates Share Drive & SharePoint Sprawl
• Improves Info Access
• Lowers Storage Cost
• Simplifies Infrastructure
• Uses Commodity Skills (already in house)
User Acceptance
• Defensible Processes
• Less “Hair on Fire” at eDiscovery Time
• Confidence to Accept Automated Disposition
Lower Risk
Easier with SharePoint
56
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
• 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
8 Weeks
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
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