SPEVO13 - IW509 - Records Management and Search
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The document discusses SharePoint records management and search, highlighting a shift from an old to a new paradigm in managing both structured and unstructured content. It emphasizes the importance of metadata-driven filing, actionable search, and comprehensive content lifecycle management strategies to improve records accessibility and governance. Key concepts include content modeling, content mapping, and the adoption of metadata capture to enhance user experience and ensure compliance.
SPEVO13 - IW509 - Records Management and Search
- 1. SharePoint Records Management & Search: Embracing the New Paradigm IW 509 John Holliday SharePoint Architects
- 2. John Holliday CTO, SharePoint Architects, Inc. www.SharePointArchitects.us john@johnholliday.net 5 year SharePoint Server MVP SharePoint Author, Instructor, Developer Information Architecture Consultant Records Management Specialist
- 3. Records Management What are we dealing with?
- 4. AIIM SharePoint Survey (2010) 0 10 20 30 40 50 60 70 Access rights Team site administration Approved site templates Site/User Quotas Corporate classification & content types Content security Acceptable usage Longevity of team sites End-of-life policy for sites Use of third party products and web parts Retention policies Dealing with email Governance Policies in Place
- 5. The SharePoint ECM Challenge Structured UnstructuredContent Types VolumeHighLow Records with Only Internal Operating Values Projects SalesAccounting Human Resources Department Oversight Business Planning Collaboration Records with Legal Values Records with Compliance Values
- 7. Risks Mis-classification Unauthorized access to content Labor-intensive content management User’s don’t like it – don’t use it
- 8. Unmanaged Strategic Planning Managed Retention applied based on use of the content & information lifecycle Ability to apply Legal Holds Duplication is reduced Versions are controlled and final is identifiable Consistent technology platform Retention not applied Legal Holds not applied Email used as a duplicative “filing system” Numerous versions of MS Office Getting from Unmanaged to Managed
- 9. Strategic Readiness Initiatives Gap Analysis Retention, Hold Orders, Technology Platform Policy & Usage Guidelines File Shares, Email, Etc. Content Analysis & Content Mapping Use Cases, Business Processes Role/Activity Modeling In-House Skills Analysis ECM Strategic Plan and Roadmap
- 10. Records Management in SharePoint (Old Paradigm) What are we working with?
- 11. Old Paradigm Content Types Record Declaration Content Routing Routing Rules Repositories Key Concepts
- 12. The Content Organizer Type and Metadata-Driven Filing Mechanism (Old Paradigm) Custom Rules Content Type Match? Property = Value? Incoming Documents Records Center Folder Library
- 13. Content Organizer: Main Points Metadata-driven Routing Automatically handles incoming records (no need for custom router) Target destination determined from metadata (configured using rules) Support for file plan hierarchy Can target subfolders of destination library Automatically applies policies associated with target location
- 14. Content Organizer: Value Advantages Flexible control over document routing No need for custom code New “Rule Manager” user group Disadvantages Rules must be managed – requires skill Rules must be updated if content types change
- 15. Old Paradigm – Step 1 Examples Finance & Accounting Human Resources Environmental Health & Safety Operations Benefits Easier to partition content by category Easier to administer and apply access controls Establish a separate SharePoint Site Collection for each major Business Function (top-level) of the Functional Records Categories (FRC)
- 16. Old Paradigm – Step 2 Guidelines Use a separate Content Database for each Site Collection (Major Business Function) Limit to 1 Site per Database Benefits Easier to backup, maintain and optimize the database Avoids problems created by uninformed users (sub-sites as Records Centers) Create a Records Center as the root (and only) site in the Site Collection
- 17. Old Paradigm – Step 3 Guidelines Identify Content Types in advance via Content Modeling Publish the Content Types in a centralized Content Type Hub Site Benefits Traceability from SharePoint deployment back to Information Architecture Enables enterprise-wide content organizer rules Create and deploy SharePoint Content Types for each type of content associated with each Major Business Function
- 18. Old Paradigm – Step 4 Guidelines Identify required metadata in advance via Content Modeling Include managed metadata fields in Content Types Clearly define valid field values Benefits Ensures that record metadata is consistent Enables more accurate classification and discovery Simplifies the creation of content organizer rules Identify required metadata and configure the SharePoint managed metadata service (create term sets)
- 19. Old Paradigm – Step 5 Guidelines Decide between “type- based” and “location- based” policies Determine whether SharePoint retention stages are sufficient for a given record type Observations Location-based policies are easier to maintain Supports many types Type-based policies allow for more flexible organization Supports many locations Setup Information Management Policies and propagate to the Records Management sites
- 20. Records Management in SharePoint (New Paradigm) What are we working with?
- 21. New Paradigm Content Lifecycle Content Modeling Content Mapping Metadata Capture Actionable Search Key Concepts
- 22. Model • Identify Patterns & Metadata • Define Strategy & Build File Plan Migrate • Create Types, Rules & Policies • Configure Sites & Repositories Manage • Build Workflows • Monitor, Refine & Collect “Management Evidence” Content Modeling Content Migration Lifecycle Management ECM / RM as Part of a Comprehensive Content Lifecycle Management Strategy
- 26. ContentLifecycleAnalysis ProducersManagersConsumers Role/Activity Model Use CaseModel Findability Analysis Putability Analysis File Plan Development Retention Schedule Repository Routing Rules Dependency Structure Matrix Identify Content Producers Identify Content Consumers Map Content to Production Activities Map Content to Consumption Activities Identify Content Owners Identify Overlapping/ Conflicting Content Management Tasks Identify Critical Metadata Identify Managed Folders & Hierarchies External Data Keyword Queries Identify Prescribed Content Storage Mechanisms Enumerate Key Metadata Fields Aggregate Metadata into Content Types Isolate Metadata Dependencies Develop Routing Rules and Conditions Create Retention Policies Define Search Scopes Identity Managed Metadata Constraints Identify Security Constraints Content Lifecycle Management
- 27. New Paradigm – Step 1 • Identity Content Producers • Identify Content Consumers • Map to Business Process Activities
- 28. New Paradigm – Step 2 • Identify Content Owners • Skills • Security • Resolve Conflicts • Bottlenecks • Resource Contention • Identify Critical Metadata
- 29. New Paradigm – Step 3 • Focus on Search • Sources of Content • Security Trimming • External Scopes • Focus on Metadata • Task Driven • Prescribed Terms • Data Validation
- 30. New Paradigm – Step 4 • Focus on Storage Mechanisms • Cloud? • Partitioning? • Focus on Metadata • Dependencies • Aggregation • De-duplication
- 31. New Paradigm – Step 5 • Focus on Retention • Content Types (for Routing) • Metadata-Driven Routing • Repository-Based Retention • Import Retention Schedules • (Mapped to Content Model)
- 32. Records Management and Search Where are we?
- 33. Actionable Search: Silver Bullet or Silver Lining?
- 34. Two Key Scenarios Finding Documents to Act On Where to Look? Within Sites Across the Farm External to SharePoint What to Do? Declare Them – In-Place vs Repository Hold / Delete Them Do Something Else Tag Them! Finding Records to Act On Where to Look? Within Any Site Within Records Center(s) External to SharePoint What to Do? “Undeclare” Them “Upgrade” Them Tag Them Tag Them Tag Them!
- 35. Content Pipelining PROCESS (DECLARE) Stage 3 Stage 2 Stage 1 • New Paradigm Concept • Relieves End-User Anxiety • Promotes Better User Adoption • Encourages Metadata Capture
- 36. Example: Litigation Holds Applies to: SharePoint Records Undeclared documents External documents Physical documents Emails Case Files (with all of the above) • Need to enable comprehensive search • From what metadata? • Need to perform specific actions • Based on what analysis? • May involve multiple roles • Good use for content pipelining approach
- 37. Extending the User Experience Custom “KPI”-Style Web Parts Records vs Non-Records (Chart) Records About to Expire (Chart) Custom Actions (Search Actions) Declare/Undeclare Apply Pre-defined Tags for an Activity Send to Next Pipeline Stage
- 38. Resources & Tools Content Modeling Mindjet (www.mindjet.com) Content Lifecycle Management Collabware CLM (www.collabware.com)
- 39. Thank you for attending!
Editor's Notes
- #6: SharePoint is increasingly seen as the “hub” of all enterprise content activity, and therefore spans the entire content lifecycle, which encompasses divergent requirements for managing records.
- #18: Start with at least one content type for each functional category.
- #19: Managed Metadata vs. Ad-Hoc MetadataConsiderations for deciding what metadata should be managed and what should be ad-hocEnterprise LevelSite Collection LevelSite LevelContent Type LevelQuestionsWhere does the filename go?Where does the folder path go?What problems should be anticipated, e.g. illegal characters
- #20: QuestionsDo the policies need to be different for “old content”?What workflow differences would there be for “old content” e.g. ask for user to provide event date?
- #26: Content migration and modeling go hand-in-hand. One without the other produces less than ideal results. This interdependency effectively increases the cost (and discipline) needed to implement a comprehensive information architecture across the enterprise, and points to the need for a fundamental paradigm shift at the enterprise level. CLM technology can be a driver, but only if it supports an iterative transformation.
- #35: In both scenarios, need a way to delay the actual operation so that the user can perform a search, mark the documents they want to work with and then add them to the current batch. Then perform another search, and so on, adding more documents to the batch. Then switch to a view containing the documents they found to examine the documents more closely, marking them for the final action, which is to select some documents and 1) place them on litigation hold (whether declared as records or not), 2) declare them in place, 3) send them to a records center, 4) un-declare them, etc.