In the real world, "find-ability" is just as important as "put-ability" when building a well-structured ERMS. This session explores effective strategies for defining and capturing the critical metadata needed to drive RM-specific search scenarios.

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

23. Content Modeling/Mapping

24. Content Mapping Detail

25. F(garbage) = garbage

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!