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Make Your Mark.
Make Your Mark.
OFC313
Document and Records Management Using Microsoft
Office SharePoint Server 2007 and
Microsoft Office ClientsMark OrangeMVP SharePoint TechnologiesSolution Consultant
Make Your Mark.
Session Objectives
• Provide overview of document management and records management capabilities in Office SharePoint Server 2007 and Office 2007 client technology
• Provide an overview of the core integration for storing emails from Exchange 2007 as records in Office SharePoint Server 2007
• Provide an overview and update on where Office SharePoint Server 2007 fits with the New Zealand Public Records Act
Make Your Mark.
Session Agenda
• Enterprise Content Management Overview- Where does document and records management fit into the stack
• Document Management- New SharePoint concepts and the client authoring experience
• Records Management- Records from inside and outside SharePoint
• New Zealand Public Records Act 2005- What does PRA and the American approach mean to us and SharePoint
Make Your Mark.
Organisations are reviewing their business processes and
how they manage the information assets that support
these processes
Compliance Consolidation
OperationalEfficiency Content Explosion
1 2
3 4
• PRA 2005• ERKSS• AS ISO 15489• DIRKS
• File Servers• Niche Content Systems• Legacy Systems
• Central Storage• Policy Enforcement• Legal Requirements• Lifecycle
• Personal Storage• Versions• Cheap Storage• Digital Explosion
ECM Business Drivers – Why Care?
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Docs/tasks/calendars, blogs, wikis, e-mail integration,
project management “lite”, Outlook integration,
offline docs/lists
My Sites, social networking, privacy
control, content targeting and aggregation,
Enterprise scalability,contextual relevance,
rich people and business data search
Rich and Web forms based front-ends, LOB actions, pluggable Enterprise single sign-on
Server-based Excel spreadsheets and data visualization, Report Center, BI Web Parts, KPIs/Dashboards
Integrated document management, records management, and Web content management with policies and workflow
BusinessProcess &
Forms
SearchContent
Management
PlatformServices
Workspaces, Mgmt,Security, Storage,
Topology,Site Model
PartnerSolutions
Portal
Collaboration
BusinessIntelligence
People & Personalization
Enterprise Portal template, Site Directory, content aggregation, LDAP integration, composite
applications
SharePoint 2007 Feature Areas & ECM
Make Your Mark.
Unified Storage Architecture
Unified Services
ECM Components
User Interface
Records Management
Web Content Management
Forms Management
Document Management
Microsoft Office Web browsers 3rd party apps
Workflow Metadata Policies
Search Security IRM Collab
Library Svcs.
• OFC211 - Extending Microsoft Office SharePoint Server 2007 with EMC Documentum Content Management
• OFC227 - Web Content Management Features of Microsoft Office SharePoint Server 2007
• OFC305 - Building a High Performance .com Site on Microsoft Office SharePoint Server 2007
• OFC207 - SharePoint Governance and Information Architecture Guidance
• OFC326 - Search in Microsoft Office SharePoint Server 2007: Customizing and Extending
• OFC328 - Search in Microsoft Office SharePoint Server 2007: Deploying, Managing, and Configuring
• SVR320 - Using Windows Rights Management Services to Protect Content in a Microsoft Office SharePoint Server 2007 Farm
• OFC409 - Workflow in Microsoft SharePoint Products and Technologies 2007: Deep Dive for Developers
• OFC203 - Workflow in Microsoft SharePoint Products and Technologies 2007: Out-of-the-Box and Creating Custom Workflows
• OFC11-HOL - Using, Designing, Developing, and Deploying Workflows on SharePoint Products and Technologies
• OFC340 - Best Practices for Developing and Deploying Forms Solutions with Microsoft Office InfoPath 2007 and InfoPath Forms Services in Microsoft Office SharePoint Server 2007
ECM in Microsoft Office SharePoint Server 2007
Make Your Mark.
Unified Storage Architecture
Unified Services
ECM Components
User Interface
Records Management
Web Content Management
Forms Management
Document Management
Microsoft Office Web browsers 3rd party apps
Workflow Metadata Policies
Search Security IRM Collab
Library Svcs.
• OFC316 - Branding and Customizing Microsoft Office SharePoint Server 2007 Sites
Wed – 3:45
• OFC326 - Search in Microsoft Office SharePoint Server 2007: Customizing and Extending
Yesterday
• OFC409 - Workflow in Microsoft SharePoint Products and Technologies 2007: Deep Dive for Developers
Wed – 10:45
ECM in Microsoft Office SharePoint Server 2007
• OFC301 - Capacity and Performance Planning for Microsoft SharePoint Products and Technologies 2007
Tue– 10:45
• OFC418 - Microsoft SharePoint Products and Technologies 2007: Deployment and Advanced Administration Topics
Tue– 3:45
• VOC201 - Building a collaboration platform for automation (KiwiBank)
Yesterday
• VOC204 - Microsoft Office SharePoint 2007 as a platform in NZ Public service (Ministry of Transport)
Tue – 2:20
• OFC303 - What is a SharePoint Site?
Tue– 12:10
Make Your Mark.
SQL ServerStorage
Windows SharePoint Services v3
Office SharePoint Server
Share
Poin
t Desig
ner
Visu
al S
tudio
2005
Workflow templatesOffice PoliciesRecords Management
Web Content ManagementWorkflow integration with Office clientAudit Policies and Reporting
Content TypesDocument libraries & ListsRights Trimmed UISingle Item Permissions
Check-in/Check-outMajor/Minor versioningRevision HistoryEvent handlers
Office client Browser Custom Apps
XML Web Services
Document Management
Document + Records + Web Content Management + Forms
ECM Functional Architecture
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Authoring Experience
• Document management client• Customisable InfoPath property panel• Business bar to expose enterprise policies and processes
• Documents in Outlook• Offline documents in Outlook• Document previews (Word & PowerPoint; extensibility)
• Tools to Create “Final” Versions• Extensible document inspector • Make final
• Collaboration• Improved document comparisons (Microsoft Word)• Document signature experience
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Document Information Panel
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Document Information Panel
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Prepare Documents
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Document Comparison
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ECM with Microsoft Office
Office Professional Plus 2007Office Professional Plus 2007
+ Windows SharePoint Services v3
Office Professional Plus 2007 + Office SharePoint Server
2007
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Windows SharePoint Services V3
Office SharePoint Server 2007
Content types X X
Document Labels & Barcodes X
Information Rights Management X X
Information Management Policies for retention, expiration, legal holds X
Windows Workflow Foundation X X
Out-of-the box workflow templates X
Team Sites for storing documents X X
Managed, large-scale Document Repositories X
Audit policies, audit history and reporting X
Use Document Information Panel to collect advanced Metadata from Office Professional Plus or Enterprise 2007
X X
Available Features For Document Approvals & Content Management
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Outlook Browser UI
Authoring Apps
SharePoint Designer
Microsoft Office SharePoint Server
Microsoft Visual Studio
Workflow in Office SharePoint Server
Out of the box
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Workflow Customisations
• Configure Out-of-box Workflows• Develop Custom Workflows• SharePoint Designer
• Workflows apply to a list• Rules Driven
• Visual Studio• Developer task• ECM starter Kit
• ECM feature extension code samples• supplemental developer white papers• Visual Studio project templates for workflow in
Office SharePoint Server
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Document Management in SharePoint• Better control of content updates
• Granular security with inheritance• Library, Folder, Item
• Enforce checkout• Major/Minor versions• Version history management• Enforce approval before publishing
• Specialised sites and libraries• Document repository sites• Slide library
• Rich content organisation• Content Types• Metadata shared with document contents• Tracking of copies and alternate renditions
Make Your Mark.
CONCEPTTaking a Look atContent Types
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Content Types
• Core infrastructure improvements• Heterogeneous metadata• Reusable types across places• Management via hierarchy• Applicable across items, documents and folders
• Built-in behaviors around content types• Schema/metadata requirements• Document template• Available workflows• Policy settings
• Extensible behaviors• Customizable edit/display forms• Events anchored by type• XML storage to define custom behaviors
Make Your Mark.
Content Types
• Client Code
• Business Unit
Parent Type
• Effective Date
• Lawyer
Contract
• Response Time
• Application
SLA
• Date Presented
• Audience
Presentation
• Architect
• Lead Dev
• Application
Specification
• Security Clearance
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Client A
• Contracts
• SLAs
• Presentations
• Specifications
Client B
• Contracts
• SLAs
• Presentations
• Specifications
Client C
• Contracts
• SLAs
• Presentations
• Specifications
Account Manager
Account Manager
Account Manager
Content Types
Make Your Mark.
Client A
• Contracts
• SLAs
• Presentations
• Specifications
Client B
• Contracts
• SLAs
• Presentations
• Specifications
Client C
• Contracts
• SLAs
• Presentations
• Specifications
Legal Team
Marketing
QualityAssurance
Content Types
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Client A
• Contracts
• SLAs
• Presentations
• Specifications
Client B
• Contracts
• SLAs
• Presentations
• Specifications
Client C
• Contracts
• SLAs
• Presentations
• Specifications
Document Library
Document Library
Document Library
Content Type
Content Type
Content Type
Content Type
Content Types
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Records Management in SharePoint
• Better long term control of content• consistently and uniformly enforce
• Labelling• Auditing• Expiration
• Specialised sites and libraries• Records repository site• Record Routing• Secure user access
• Rich content organisation• Record repository specific metadata• Maintains audit, version history and metadata context
Make Your Mark.
CONCEPTTaking a Look atInformation Management Policies
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• Consistent definition and enforcement of content behavior
• Differentiated along• Type of content• Location of content
• Examples of policies• Expiration• Content format• Content identifiers
What is a Policy?
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Information Policy Features
• Out-of-the-box features and extensibility• Expiration: Allows custom time periods and actions.
An expiration action can kick off a workflow.• Auditing: Our audit log is designed to be extended. Our
reporting features treat “add-on audits” as first-class citizens.• Labels/Barcodes: You can create your own schema, numbers,
text, or pictures to be attached to any item in our repository. These are typical SharePoint fields and are indexed for search.
• You can build your own or replace any of these• Examples of new policy features you can build:
• De-duplication• Digital signature-based document integrity• Document “Hygiene”• Convert to Fixed Format
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Records Warehouse
Organize,Maintain, &
Dispose
Records Manager
Search,Hold, &Triage
Lawyers &ParalegalsKnowledge Worker /
Records Custodian
Collect
The Process of Records Management
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Search,Hold, &Triage
Lawyers &Paralegals
Knowledge Worker /Records Custodian
Collect RecordsRepository
Policy Enforcement
“Vault” Behaviors
SM
TP
& S
OA
P O
FI
Windows SharePointServices
Hold
Organize,Maintain, &
Dispose
Records Manager
Our Records Repository
Make Your Mark.
Organize,Maintain, &
Dispose
Search,Hold, &Triage
Lawyers &Paralegals
Exchange
Send To
SharePoint
Documents
KnowledgeWorker
DesktopItems
“Ship” To
Nondigitalrecords
RecordsCustodian
3rd-partyimaging
Official FileRecords
Repository
Policy Enforcement
“Vault” Behaviors
SM
TP
& S
OA
P O
FI
Windows SharePointServices
Hold
Records Manager
Our Records Repository
DEMOOut of the boxDocument and Records
Management
Make Your Mark.
CONCEPTTaking a Look atEmail Records Management
• UNC309 – Regulatory Compliance in Microsoft Exchange Server 2007
Tue – 3:45NZ Room 2
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Better Control of E-mail Traffic & Content
New Exchange 2007 features …
Create ethical walls that isolate an individual or groups
Filter emails based on content
Initiate journaling to send a copy of specified email types to a secondary location
Add specific policies to emails
Flag messages for special
handling
Enable Business Solutions
Comply with regulations that restrict communication between brokers and analysts (Fin) or Conflict of Interest (Legal)
Scan for Identity Numbers (credit card#, medicare#) to ensure that they are not accidentally sent outside the organization
Many government regulations require that organizations journal e-mail for some, or all, users, and store in a Records Repository
Require encrypted delivery of any message containing specific confidential information
Easily add headers such as “company confidential” and “attorney/client privileged”
Make Your Mark.
Messaging Records ManagementBuilding Blocks
• Exchange Server ‘Hub Transport’ Role• New role for Exchange Server 2007• All traffic – internal, incoming and outgoing –
goes through the Hub Transport.
• Managed Folders• Special folders setup by Exchange Adminstrators• Exposed to Selected Users – available via Outlook• E-mail handling policies for Records Management
and Classifications
Make Your Mark.
Managed FoldersBasic Records Management –
Simple Retention/Disposal
User Mailbox
Advanced Records Mgt(DOD 5015.2 in CY07)
Messaging Records Management
Automated via ExchangeTransport Server Rules
Automated Archiving to Records Repository (any SMTP address) via Exchange Transport Server Rules
Manual viaUser Drag/Drop
Automated viaOutlook ClientRules
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Hub Transport Server - Conditions
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Hub Transport Server - Actions
Log an Event with MessagePrepend the Subject with stringApply message ClassificationAppend disclaimer textSet the Spam-Confidence-LevelRemove HeaderAdd a Recipient in the To fieldBCC the message to {addresses}Redirect the message to {addresses}Send Bounce-message to the senderSilently drop the message
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Records Management for Email
Emails placed inManaged Folders
are automatically copied to aSharePoint Records Repository
based on configured policies
Folder Policy Statement
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Exchange Server: Administrator configures
Transport Hub RulesClient:User manually sets Classification with Outlook or Outlook Web Access
Message ClassificationsSpecial handling of certain 'classes' of e-mail
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Setting a Message Classification manually
Found on theOffice / Permission
menu
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Message Classification – Info Banner
Help your regulated users stay compliant
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CONCEPTTaking a Look atPRA - Public Records Act 2005
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The American Approach…
Declare
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The Australasian Approach…
Declare
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The Australasian Approach…
Individual and Team document
collaboration
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PRA - Public Records Act
• A record is "evidence of a transaction" created or received by an organisation or its agents in the course of business
• Guilty until proven innocent• Until proven otherwise a document is a considered and treated
as a record
• All documents are records, but not all records are documents• Emails• Image files (CAD engineering drawings)
• Paper files• Text Messages• Instant messaging• Voice Mail
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PRA – more than just technology
Pe o p l e
Po l i c y
S y s t e m s
Pro c e s s
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PRA and MOSS
• WSSv3 has rich document management features but is not a targeted platform for providing a technology solution to support PRA compliance
• Due to the focus on the American approach there are gaps with MOSS out of the box as a technology solution to support PRA compliance
• Most documentation and resources on the web are based on the default Records Centre within MOSS which targets the American approach
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American Department of Defense 5015.2 Standard Certification • Applies to Microsoft Office SharePoint Server 2007• Scheduled for later in 2007• Additional Software and Whitepapers• provides the additional functionality to meet the DoD
5015.2 criteria• Functionality:
http://www.microsoft.com/presspass/press/2007/may07/05-29SharePointDoDPR.mspx
File Plan BuilderSupplemental MarkingsVital ReviewMultiple LocationsFolder holdsClose FoldersReferencing & Linking
Metadata PropagationCutoffUnique IDDispositionEmailExpunge
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PRA and MOSS
Compliance
Sophisticated
IntermediateSimple
Organisational Maturity:• IA/RM owner • Experienced with process rigour• Has: Classification, Retention and Disposal Schedules, File Plans• Existing systems
Organisational Maturity:• No IA/RM function• Little or no process rigour• Poor user adoption• No classification or fileplan
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PRA and MOSS
Compliance
Sophisticated
IntermediateSimple
WSS v3 +Office 2000/03
MOSS +Office 2007
MOSS +Office 2007 +
DoD & PRA Features
MOSS +Office 2007 +
3rd Party advanced solutions
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Final thoughts
MOSS Can’t:
Define for you your fileplan and taxonomy
Define for you your business process
Define for you your retention and disposal policies
Manage the inevitable cultural change
Revolutionise you from a basic to sophisticated level overnight
But it can:Provide the features to realise them
Provide the features to facilitate them
Provide the features to enforce them
Encourage user adoption
Provide you a platform for strategic evolution
THANK YOUEvaluation Forms
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SharePoint and PRA Resources
Microsoft ECM and RM Team BlogsECM Team Blog - http://blogs.msdn.com/ecm
New Zealand standardsPRA Site - http://www.archives.govt.nz/publicrecordsact.php Continuum Site - http://www.archives.govt.nz/continuumDigital Records - http://www.archives.govt.nz/continuum/digitalrecordkeeping.php
Office and SharePoint TechnologiesCommunity Portal - http://sharepoint.microsoft.com/sharepointOffice Online - http://office.microsoft.com/en-us/sharepointserver
International standardsAustralia - http://www.naa.gov.au/recordkeeping/dirks/summary.htmlISO 15489 - http://www.datacapture.co.uk/information/ISO-15489.htmSarbanes Oxley - http://www.soxlaw.comDoD 5015.2 - http://jitc.fhu.disa.mil/recmgt/standards.html
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General Resources
Technical Communities, Webcasts, Blogs, Chats & User Groupshttp://www.microsoft.com/communities/default.mspx
Microsoft Developer Network (MSDN) & TechNet http://microsoft.com/msdn http://microsoft.com/technet
Trial Software and Virtual Labshttp://www.microsoft.com/technet/downloads/trials/default.mspx
Microsoft Learning and Certificationhttp://www.microsoft.com/learning/default.mspx
© 2007 Microsoft Corporation. All rights reserved. Microsoft, Windows, Windows Vista and other product names are or may be registered trademarks and/or trademarks in the U.S. and/or other countries. The information herein is for informational purposes only and represents the current view of Microsoft Corporation as of the date of this presentation. Because Microsoft must respond to changing market conditions, it should not be interpreted to be a commitment on the part of Microsoft, and Microsoft cannot guarantee the accuracy of any information provided after the date of this presentation. MICROSOFT MAKES NO WARRANTIES, EXPRESS, IMPLIED OR STATUTORY, AS TO THE INFORMATION IN THIS PRESENTATION.
