Share point 2010 rm best practices

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


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


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

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al &

Sem

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& P

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ies

Dat

a (F

ull

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uto

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ed R

ule

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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


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


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


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


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


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


• Standardized navigation



• 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


• Standardized navigation, tied directly with all Framework sites



• 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


• Sites will be configured to meet individual team needs

• But standards for usability and governance will always apply


Enterprise Intranet Site Collection(s)

= User Navigation

36

FRAMEWORK SITE MODEL – ADDING MYSITES


Enterprise Intranet Site Collection(s)

= User Navigation

MySites


• 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


Site


Site

Controlled Information Hub

Transfer Ownership

Record Snapshot

InformationLifecycle

SHAREPOINT 2010 SITE MODEL

39


Center



Optional:StoragePointDocumentum

Open TextHP TRIM


( RBS)

Team Sites

MySites

Top Level Portal

• Lifecycle• Taxonomy• Navigation• SP Features• Search • Security• XML Config.



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


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


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


• Multi-Stage Disposition

• MOSS 2007 policies a single stage disposition of destruction

• SharePoint 2010 disposition policies support multiple disposition steps

51


• Holds in any SharePoint Document Library

• MOSS 2007 supported holds in the Records Center

• SharePoint 2010 supports in-place holds in Document Libraries

52


• 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


Center



Optional:BlueThread

DocumentumSource OneHP Tower


( RBS)

Team Sites

MySites

Top Level Portal

• Lifecycle• Taxonomy• Navigation• Features• Search • Security• XML Config.



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

Documents

Share point 2010 rm best practices