In this presentation, Simon covers the EDRM functions of SharePoint 2010/13 and regulatory requirements for Records Management. Suzette covers the National Archives of Australia (NAA) Information Checkup 2.0 and how Australian Government agencies can use it as a self-check tool. The presentation was originally developed as a hands on training course for Synergy Corporate Technologies where it formed one of the modules of the 5-day SharePoint 2010 Administration course. This version of the presentation has been updated to include the new EDRM functions available in SharePoint 2013. The presentation goes into considerable depth about the EDRM functions in SharePoint – and therefore this is not a light read!

1. Welcome
Improving Information
and Document Management
With SharePoint
Simon Rawson
simon@powermark.net.au
0430 986 682
© PowerMark Solutions 2014

2. Overview
• Chapter 1: ISO15489 and SharePoint
• Chapter 2: Document Sets, Taxonomies,
Versioning and Metadata Navigation
• Chapter 3: Holds, Disposition, Information
Management and Content Organizer
• Chapter 4: Configuring Content Hubs and
Managed Metadata Services
• Chapter 5: Document and Web Accessibility
• Chapter 6: SharePoint 2013 update

3. Chapter 1
ISO 15489, Records Management and
SharePoint

4. ISO / AS 15489
• “The field of management responsible for the
efficient & systematic control of the creation,
receipt, maintenance, use & disposition of
records, including the processes for capturing
& maintaining evidence of & information
about business activities & transactions in the
form of records”

5. The Requirement for Managing
Records
• Public versus private sector
• Primary legislative drivers – generally public
sector
– National Archives Act and state legislation
– Many other Acts
– Privacy Amendment (Private Sector) Act 2000 –
extended FOI rights into the private sector
• AICD - records management a Board
governance responsibility

6. Some Key Resources
• ICA - Principles and Functional Requirements
for Records in Electronic Office Environments
• NAA – Checkup – A toll for assessing your
agency’s information and records
management
• Wise Technology - Analysis of MOSS 2007 and
SharePoint 2010 against ICA ERMS
Requirements

7. How Does SharePoint Stack Up?
•88% of Records functionality as defined by the ICA standard is now available
“out of the box” using Sharepoint 2010
•Additional configuration and Third party applications are required to provide
specific records compliance functionality
Compared with MOSS 2007
there are significant
improvements

8. High level requirements of ICA
Module 2

9. SharePoint RM Scorecard
• Electronic business information has to be actively managed and
reliably maintained as authentic evidence of business activity

• Business information has to be linked to its business context
through the use of metadata.

• Business information has to be kept and must remain accessible to
authorised users for as long as required.

• Business information has to be able to be disposed of in a managed,
systematic and auditable way.

• Systems should support good business information management as
an organic part of the business process.

• Systems for capturing and managing business information have to
rely on standardised metadata as an active, dynamic and integral
part of the recordkeeping process.


10. SharePoint RM Scorecard
• Systems have to ensure interoperability across platforms and
domains and over time

• Systems should rely as far as possible on open standards and
technological neutrality.

• Systems should have the capacity for bulk import and export using
open formats.

• Systems must maintain business information in a secure
environment

• As much metadata as possible should be system generated. 
• It should be as easy as possible for users to create/capture records
of business activity.


11. ICA Requirements

12. Key Areas of Non-compliance
• Native Security Classification
• Physical and Hybrid Records Management
• Metadata Export and transfer
• Email management and automated capture
of related metadata
• Complex Classification configuration
• Complex disposal and transfer actions
• Automated capture of non Microsoft content

13. Boiling Down Further
• Email capture – including metadata
• Item security
• Physical and hybrid records management

14. Summary
• Third party and configuration solutions are
available for all SharePoint gaps
• SharePoint stacks up better than some
specialist RM solutions
• Don’t approach this as an RM or compliance
problem - focus on user interaction with
information and things which make sense in
day-to-day practice

15. NAA Checkup 2.0
• Description
• How can Checkup 2.0 be used in my agency?
– information and records management SWOT
– identify areas of high risk
– prioritise other records and information
management attention
– support a case for resources or initiatives
– report to senior management on agency
compliance with NAA minimum requirements
– assist in planning strategies, policies, procedures
and training materials

16. NAA Checkup 2.0
• http://naa.gov.au/records-
management/check-up/index.aspx
• Walkthrough of Checkup 2.0
• Group discussion

17. Chapter 2
Document Sets, Taxonomies, Versioning, and
Metadata Navigation

18. Managing Check-in and Check-out
• Enabled in Document Library Settings page
along with Draft Item Security and Approval
• Check-out optionally downloads a temporary
copy to the user’s machine
– Defaults to My DocumentsSharePoint Drafts
– Local copies are deleted by check-in
• Check-in makes documents visible to others
• SharePoint Workspace allows check-out/in
version changes when offline

19. Version Control
• Each version is a complete copy
• Configured in Document Library Settings
• The number of retained major (published) and
minor (draft) versions can be specified
• Visibility of drafts can be restricted
• New or changed items can be held in draft
pending approval

20. Using Unique Document IDs
• Every document can have a unique ID
• The Document ID Service controls item IDs
• Prefix character strings for IDs apply across
Site Collections
• A search scope can be assigned for ID lookup

21. Site Columns
• Created at site or site collection level
• Automatically inherited by child sites
• Can be associated with lists and libraries

22. Content Types
• Think of as a “content classification” (e.g.: Proposal,
Purchase Order, Video, Invoice, Image, Project Plan, Contact
Record etc.)
• Each Content Type may specify:
– Associated columns (metadata fields)
– An associated template (e.g.: Purchase_Order.xslt)
– Workflows and information management policies
• Used for governance/consistency of specific content across
an enterprise
• Hierarchical
– Inherits properties of parent content type (e.g.: columns)
– Always inherited down from a site, site collection or content
type hub

23. Using Document Sets
• A content type with multiple content objects
• Document Sets are managed as a single unit
• Version control applies to the Set or
documents within the set
• Metadata applies to the set or documents
• Document Sets are an editable web part page

24. Metadata driven scenarios
FolksonomyManaged Taxonomy Open Hierarchies
Level of Control
GlobalLocal
Scope

25. Managed Metadata Service
• Enable classification, drill down, type ahead
and search throughout SharePoint
• Share Content Types and Term Stores across
Site Collections and Web Applications
• Each Managed Metadata Service has one
Term Store
• Term Stores can store multiple Term Sets and
Managed Keywords

26. Metadata Navigation and Filtering
• Navigation and filters are set on the Metadata
navigation Settings page under Site Settings
• Key features making metadata navigation and
filtering possible are:
– Indices
– Query builder enhancements
– Fallback queries
• The Content Query Web Part is used to display
filtered lists on publishing pages

27. Managed Metadata Column Type
• New column type in SharePoint 2010
• Managed keywords
– Unstructured to form “Folksonomy”
– Validation/auto complete against existing keywords
– 1 per content type
• Managed Terms
– Looks up a ‘Term set’
– Open or closed
– Supports synonyms, multi-lingual,

28. Managed Keywords
• Stored within the default Managed
Metadata Service
• Type-ahead feature helps ensure only
unique new keywords are added
• Suggests matching words from any term
store
• Assigned an ID when new term committed
to memory
• Can be promoted to managed terms

29. Enterprise / Managed Keywords &
Ratings
• Term Sets can be closed or open to keywords
• Administrators can block specific terms
• Keywords can be promoted to a Term Set
• MySites provide keyword management and
are searchable
• Ratings allow users to note the value of
documents – and is searchable

30. Using Term Sets
• Users, email addresses or groups of users can
be assigned term set management rights
• Terms can be added, reused, deprecated,
moved etc by a Term Set manager
• Term sets can be imported from CSV files
• Term sets can be closed or open (ie. users can
add tags)
• Specific terms can be blocked as tags

31. Enterprise / Managed Keywords &
Ratings
• Term Sets can be closed or open to keywords
• Administrators can block specific terms
• Keywords can be promoted to a Term Set
• MySites provide keyword management and
are searchable
• Ratings allow users to note the value of
documents – and is searchable

32. Site Templates for Structured
Document Management
• The Document Center site template is pre-
configured with:
–A Document Library with metadata
navigation turned on
–Content Query Web Part for returning
relevant results by logged-in user
• The Record Center site template is pre-
configured with Content Organizer and a
Record Library

33. Features to Configure for Document
and Records Management
• Site Features
– Content Organizer
– Hold and eDiscovery
• Site Collection Features
– Content Type Syndication Hub
– Document ID Service
– Document Sets
– In Place Records Management
– Library and Folder Based Retention

34. Chapter 3
Holds, Disposition, Information Management,
and Content Organizer

35. Out of the Box (OOB) Workflow
(Including the 3-state Workflow)
• OOB workflows are now based on the Office
Task
• OOB workflows are:
– Approval
– Collect Feedback
– Collect Signatures
– 3-state Workflow (enabled as a feature)
• Disposition Approval Workflow allows users to
retain or delete expired documents

36. Information Management Policies
• Information Management Policies are set by
content type or location
• Polices may be set for:
– Policy statements
– Barcodes
– Signatures
– Audit trails
– Retention and disposal
– Labels

37. Disposition Sentencing
• Retention Stages are rules governing the
disposition of records and non-records
• Different rules can apply to records and non-
records
• There is no limit to the number of policies
which can be set
• Defaults are set by Content Type, which can
be overridden at the library and folder level

38. The Drop-Off Library and Content
Organizer
• Available in every Site and Site Collection
• Drop Off Library is a staging point for initial
storage of content
• Content Organizer Rules determine location
based on priority, content type, and metadata
conditions
• Can automatically create folders based on
metadata values
• “Behind the scenes” operation

39. Content Organizer Rules
• Content Organizer Settings and Rules are
managed under Site Settings
• Rule Names are used in reports such as a
library’s File Plan Report
• The same rule can be applied to differently
named content types in other sites
• Rules define locations where content is stored,
and can create folders automatically

40. Records Management Overview
• All content can be treated as a record
• Records can be declared ‘in-place’ or moved
to a Records Center
• Content Organizer automates classification of
records
• Multiple retention stages can apply through
the lifetime of a policy
• Most processing is shielded from users by
workflow and automation

41. In-place Versus Record Centre Records
• When records are declared and moved to a
Records Center, a link to the record is left
• When using location based policy, policies are
specific to the library / location
• Hierarchical file plans are supported via multi-
level policies and Content Organizer Rules
• Overidable inheritance applies

42. Legal Holds and eDiscovery
• Typically apply during due diligence or
litigation
• Stages are identification, collection, and
preservation
• Held content cannot be edited and is
suspended from disposition
• Accessed through Site Settings -> Site
Administration
• Provides reports on holds

43. Exercise
Application of SharePoint to real world
information management
Content types Lists & libraries
Workflow
Filtering & metadata
navigation
Taxonomy Forms
Metadata Metrics, KPI and dashboards
External content types
Labels, barcodes and RFID
(third party – FileTrail)
Records declaration & lifecycle
management
Profiles, communities & social
media

44. Information Architecture

45. • 5 levels (CMMI model)
– Initial
– Repeatable
– Managed
– Measured
– Optimised
Process Maturity

46. Governance Structure
Sponsor
Strategic
Oversight
Intranet
Working
Group

47. Main Governance Elements

48. Chapter 4
Configuring Content Hubs and Managed
Metadata Services

49. Managed Metadata Service
• New feature in 2010
• One of 13 individual shared service apps
• Responsible for the storage and sharing of
enterprise keywords plus the syndication of
content types

50. Managed Metadata Service:
Defining Terms
Expression Definition
Keyword Unstructured user-generated word or phrase used to classify content
Term A node/leaf within a taxonomy (e.g.: Australia > NSW > Sydney) with
a unique ID
Term Store A database that stores terms and keywords
Taxonomy A formal, hierarchical collection of terms
Folksonomy An informal, unstructured collection of keywords
Tagging The process of applying keywords to a document or item
Content type hub A site collection from which its content types are made available to
other site collections, web apps and farms
Content Type Syndication The process of publishing content types from a hub to other web
apps and/or farms

51. Components of the
Managed Metadata Service

52. Content Type syndication
• Optional feature of the Managed Metadata
Service which publishes Content Types to
connected web apps
• Delivers consistency and governance
• Any site collection can become a hub
• Max 1 hub per Managed Metadata Service
• Can syndicate to other farms

53. Configuring a content type hub
• Identify hub site collection and enable
‘Content Type Syndication’ feature
• Specify hub url in MMS properties
• Enable hub consumption from MMS service
connection
• Publish specific content types from hub
• Check for and correct errors
• Wait for timer jobs to sync content types

54. Content type syndication:
Publishing Content Types
• Only nominated content types are published
• Publish, Republish, Unpublish
• Associated columns, policies & workflow
associations (not actual workflows)
• Consumed content types can be extended
• Error reporting service detects problems
• Timer Jobs

55. Planning Managed Metadata Services
and Content Hubs

56. Chapter 5
Document and Web Content
Accessibility

57. Relevance of Accessibility
• Government sector
– Accessibility compliance is mandatory
– Applies to government and agencies at all levels
– They take it seriously
• Private sector
– Accessibility is important to large organisations
– Monitoring for privacy and social media is
increasingly important – it’s a big risk issue
• Risk is real – the Disability Discrimination Act
provides teeth

58. Accessibility Standards
• W3C – Web Content Authoring Guidelines
(WCAG) – apply to documents and web content
• Adhering to WCAG provides defence against
litigation
• Current version 2.0, endorsed by the Australian
government June 30, 2010
• Mandatory for all federal, state and local
government agencies – timelines 2012-2014 –
both internal and external systems

59. • Electronic delivery notwithstanding, much
collateral is produced for print
• Brochures, manuals, catalogues, books
• Standard and groups of note are PDF UA
(universal access) and DAISY
• WHO has finished tagged, accessible PDF
• To be released in conjunction with the WHO
World Disability Report in June 2011
• Demo to AGIMO and the Department of
Health and Ageing in June
Print Accessibility

60. Microsoft’s SharePoint 2010
Compliance
• WCAG 2.0
– A: SP-Foundation Administration and
Configuration
– AA: All Default Content Pages
• *Customization voids conformance
• *Customers may make independent
conformance statements

61. Accessibility Improvements
• Improved keyboard support for elements
• Navigation focus consistent through elements
• Increased use of CSS for page layout
• Cross-browser support for Firefox and Safari

62. OOB Accessibility Issues
• No browser font resizing
• Visual labels for controls are consistently
missing
• Tables still used for layout in lieu of CSS
• Only skip navigation for navigation through
major areas of content
• ASP.NET page structure – by default wrapped
in a form

63. Solutions
• SharePoint can be made accessible
• Manually – design effort – customisations to
CSS, master pages and layout pages
• Via a third party product from HiSoftware
– Accessibility Foundation Module (AFM), which
supersedes Microsoft’s Accessibility Kit for
SharePoint (AKS)
– Sheriff SP – provides SharePoint workflow for
assessing accessibility and post-publication audit

64. Most EDRM functions were substantially
improved in SharePoint 2010. SharePoint 2013
additions include:
• eDiscovery Sites and Case Management
• Site Compliance (great for projects)
• Site Mailboxes
• Search Centers (Centres) and site specific
search
Ch 6: SharePoint 2013 Update