Legal Content Management on SharePoint 2010
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Transcript of Legal Content Management on SharePoint 2010
Legal Electronic Content Management
SharePoint 2010 Perspectives
Thank you to Sponsors!
About Me – 1st SharePoint Saturday! Current - Consultant
Manage team of SharePoint Admin’s, Developers, and BA’s
Evangelist on ECM/LECM, Search, Information Architecture
3 LECM deployments on SP 2010 Skillset: SharePoint, IA, SaaS/Cloud
Previous – Entrepreneur Co-founder of
SharePointHosting.com Deployed 100+ hosted SharePoint
farms Been on SharePoint since 2002
Isaiah
Get in touchEmail: [email protected]: http://www.365tutor.org http://www.bpostutor.comPhone: 610-416-0478
Today’s Agenda
Overview of LECM Landscape Which SharePoint capabilities to
leverage Custom development (where and
why) Putting it all together How to get started Q&A
Goals for This Session Share some insights gained from LECM on SharePoint Planning framework for implementing your own solution Approaches for building key functionality
not present in the platform but required Integrating with other systems
SharePoint as the DMS…another platform as the metadata engine
Showing a few examples to help visualize what we’re talking about
Go out and start building “Collaborative Case Management on SharePoint 2010”!
INTRODUCTION AND BACKGROUND
Microsoft’s Case Study on LECM
Microsoft Legal uses SharePoint and the Colligo Outlook plug-in
Effectively manages- Documents- E-mail- Media
http://www.microsoft.com/casestudies/Microsoft-Office-Professional-2010/Microsoft/Microsoft-Legal-Group-Turns-to-Company-s-Own-Software-to-Improve-Document-Management/4000008264
Collaborative Case Management – Legacy Integration in 1-2-3
Legacy Case Mgmt., CRM or Proprietary
Software
- Great Metadata- Used by team- BAD at Document
Management- OLD Platform
SharePoint 2010
Want to use- Case #’s- Client ID’s
SP sends back- All items or
docs with a case or client ID
iFrame custom search results page
Managed Prop Qeury “clientid:12325”
Goals of LECM Scale & Centralize Content
SharePoint obvious fit Improve Access & Discovery
Leverage predictable, repeated information organization practices Leverage information for re-use and search
Manage Content (IP) Effectively No more e-mailed versions (get me out of the Inbox) Check out / Check in with version history
Integrated Experience Great publishing experience with Office Client
Wildcards? Mobile (future) Co-authoring and document assembly
Factoid
Legacy LECM platforms do the metadata well (clients, matters, entities, data model) but SharePoint does doc management better!
Legal ECM – Functionality Desired by Stakeholders Governance / Entity Management Agreement management Forms & Administration Case Management IP Management HR + EH&S (Especially in manufacturing) Compliance Risk Management eDiscovery search and holds Life cycle process (approval, retention, etc) Alerts on content and key dates
“We need a system to help manage the document and information centric processes in our
business...and a better archive”
What Do the Legal Folks Say?
Users say they need
Better Data
Less Errors
Organized
Reports
Less Emai
l
LECM Functionality Landscape
Law Firm
Legal Functio
n
• Law Firm• Attorneys• Clients• Matters
• Document Assembly & Forms• Reminders
• Legal Function (or Department)• Entities / Governance• Matters, M&A, etc• Compliance (SOX, etc)• Forms• Reminders
Overlap in functionality but differ in architecture and processes
Dashboard
My CasesMy ClientsMy Docs..My Ticklers
LECM Landscape – SharePoint Structures
Client
Matter
Pleadings
Discovery
Matter Matter
Research
Legal Function
Secretariat Matters
Discovery
Agreements M&A Deal Rooms
Forms & Administrati
on
Site Collection Based Web App Based
Roll ups
Sub-sites for new matters
Site Cols for Each Client
Site Cols for specific
functionality
Contracting System
Libraries for content
Law Firm versus Legal Function/Department
Legal Department/Function All legal functions
Matters Governance Compliance Agreements EH&S Secretariat / Entity
Management And more…Few core site
collections and content DB’s in
dedicated web app
Law Firm Clients
Matters
v
Client
Matter1
Matter2
Matter3
Research
Site collection per client with sub
sites per matter
Content Centric View
Content is still king – practice information architecture Focus on types, classes of content
De-focus on departments, groups, etc This allows for content to flow (we need this later)
Focus on mandatory participation De-focus on opt-in (this all ties to search & filtering)
Deliver key automations Auto-tagging Event receivers
Focus on telling the value story Tagging content = findability and better use!
Information Architecture Information Architecture (IA) for SharePoint deals
with the design and use of data in two high-level areas Structures
Taxonomy Metadata Site Maps Navigation Filters
Lifecycle Workflow Retention / Expiration Integration
Analogy – Data Model for Unstructured Content
Physical assets are tagged and tracked Accounting systems have chart of accounts BI / Reporting systems have star schemas
SharePoint no different > it has information architecture (taxonomy, metadata, site maps, etc)
vs
Why focus on Information Architecture IA is a capability of SharePoint and IS NOT configured
out of the box IA is the process and plumbing for the system Adds critical structures to “unstructured” data Used by every SharePoint sub-system Elements converges on “Accessibility”
Finding what you need when you need it
TakeawayPrerequisite for SharePoint usability / ease of use / success with search is a highly planned information architecture for content
SharePoint Accessibility
Search
Audience
Experie
n
ce
Content
Navigation
Accessibility
Convergence of Platform Elements• Search• Navigation• Audiences• Content• Experience
SharePoint Accessibility Access to the “stuff “ I want or need in an easy to understand,
consistent experience on any device.
I want to be able to Click and find and sort Search and refine Track and monitor
I want this process to be Consistent Intelligible with low to no training (transparent) Relevant to what I assume you already know about me
IA - How to do it right You need a deep, rich and well thought out taxonomy that
covers your business data end to end
Transformation of Great IA
Part of taxonomy relevant to document
Other user or system added fields
Transformation of Great IA
Governance type column
Perspective – Go get it from your Records Manager(s) Records management blind spot
SharePoint Admins, Developers and Architects are not certified Records Managers
We have to ingest policies, figure out how to apply Big compliance risk if we get something wrong
Call to action Records management is refactored in SharePoint Go talk to your records manager(s) Get the policies and retention schedule(s)
Used to help create taxonomy See how your Content Types match up (or not) Remember
1:1 relationship between SP Content Type and Expiration policy
SHAREPOINT 2010 FEATURE SET
Features – The Building Blocks Document ID Service Content Type Hub Managed Metadata Service Metadata Navigation Records Libraries, Drop Off Libraries and Records
Centers Document Sets ILM Search What's the story of in-place vs centralized records
management
Document ID Service Site Collection Feature Provides unique identifier to documents Retrieves documents anywhere across platform (even if
moved)
Content Type Hub & Managed Metadata Service Content Type Hub
Site Collection designated as a gallery for farm-wide content types
Timer jobs pick up these content types and syndicate / publish them across the farm
Enables standardization, application of structure and policy (ILM)
Managed Metadata Service Provides some of the plumbing for content type publishing Also provides the Term Store
Metadata Navigation Site Feature Provides in-library Filtering and Navigation
Records Center Specialized site template Activated relevant features You configure drop off library (inbox with item validation)
Content organizer rule You scale out libraries In large scale deployment you may have
multiple Records Center site collections one or more content databases for each site collection Dedicated archive web application
Records Library Can be created on any site Lock down contents (automatically declare items records) Can turn regular document library into Record Library by
effectively enabling in place records management
Drop Off Library Inbox for a Records Site Destination for “Send to location” from other sites Leverages the “Content Organizer”
Routes content based on rules Timer job based User nag e-mails
Great because you upload and classify once and the organizer settings do the rest Example can add items to the repository without user action (or
access!)
Drop Off Library
Drop Off Library
Docs
Business Rules Applied
Financial
Contracts
Other
Document Sets “Smarter Folder” Folder has metadata (a content type)
Some is unique and some can be shared with items Content types inside the folder inherit metadata from
parent Shared column values pushed into items inside
Contents of folder can be treated as a single item as in workflow, routing, folder receives unique doc ID
Entire folder or contents unique can be retained or expired
Very powerful feature!
Document Sets
Document Set
Search Search is a huge tool for a LECM scenario
Suitable tool for creating cross-site, cross-list, cross-library data roll ups
How it works Create Content Types Map crawled properties to managed properties you’ve created Customize search scopes Customize advanced search (adding properties) Add facets and refiners to search results page If necessary, add column and managed property for unique “caseID” or
“clientID” etc Allows click through iFrame from other legacy apps displaying all Client or Case
related docs Search security trims results already… pretty slick solution
ILM A policy applied to records and non-records
Docs
Undeclared
Records
Collaboration docs- Delete all previous versions after 12 months
Records- Move to
records Center
- Delete after 5 years
ILM Policy
Policy can be Applied to whole site Policy events are captured and audited (nice!) Attached to a content type Rules are not granular or filtered
Example Keep UK Agreements 7 years and US Agreements 10 years (Country being a metadata column in the Agreements content type)
How to deal with this is covered later
Centralized vs In Place? Retain or expire in place?
Probably not a great idea in more circumstances You want your collaboration areas clean, uncluttered and you
want to be able to archive / delete them easily Centralized
Good idea Dedicate a web application Understand how you’ll need to scale up, out (sites:contentdb’s) Consider it an archive Can be focal point / receiving area for cross farm records More future flexibility to either change your DMS solution or
anything else you do with SharePoint
DEVELOPMENT & CUSTOMIZATION
Development Areas
Content Types Event receivers ECB Menu Items Metadata driven retention External data (BCS) Search
Content Type Development Content Type Hub Capabilities help to reduce Content
Type development in SharePoint 2010 May still be necessary from time to time
May require a custom content type provisioned with a core feature that deploys a custom column type (example one that contains filtering)
Event Receivers Listens for .update event May fire synchronous or asynchronously Are attached to a content type Typically fire when you add an item or open it in an
editing screen What are they used for
Updating hidden column values Calling other services that perform an action to provide data Use them a lot with custom retention (instead of custom
formula) Some complexity when deploying from a Content Type
Hub feature deployed/activated at hub and subscriber and then
activated on subscribing site once content type is successfully published
ECB Menu Items Edit Control Block is the document or list contextual drop
down that appears giving options such as Check out Can add custom items Add item/actions to perform activities such as
Update retention Add a reminder event / tickler on that document
Metadata Driven Retention (or filtered retention) OOTB SharePoint Limitation
1:1 SP content type to policy Need filtered retention
Most retention policies have multiple periods per classified content type
Two custom options Custom retention formula
Registered on server May use SharePoint list a look up table (slower) or a table
Event receiver with service and timer job Attached to content type Write service to apply correct retention period (today’s date + x years) Custom timer job to find and delete items when retention = today
External Data (BCS) Can use BCS to load terms into term store Helpful when content types have columns with
information updated and driven by other systems IE Vendors, 3rd Parties, Entities, Contract #’s, etc Managed Metadata fairly scalable (about 30K terms in a term
set)
Search (results pages) Customized search results pages can be very powerful By modifying properties you can bring in additional
functionality Check out, check in, add reminder, etc.
Change styling Can make experience closer to that of a document library
Huge value Search is a cross platform tool
PUTTING IT TOGETHER
Challenge – Defined Alerts with Outlook Integration Implemented custom ECB Menu and Calendars
Case Management
HOW TO GET STARTED
Tips for Getting Started Engagement framework How to deal with paper Good practices Sizing and scaling considerations
SharePoint 2010 ECM Approach
Paper Find a robust ECM vendor
Some friendly SharePoint ECM vendors include KnowledgeLake PsiGen Don’t OCR/ICR/OMR inside SharePoint (not really core strength) Avoid cover sheets with check boxes for written options
These will be come indexed values in many cases and lead to poor/false hits in search results
Good practices Try and separate “business processes” from archival
Example > don’t have your contract review and approval process co-located in your LECM Record Renter site collections
Do create a separate site collection and route approved contracts to drop library
Fine grained, granular permissions Avoid unique permissions in your archive IF you do need it, get Titus or build your own metadata filtered
permission module Live and die by your taxonomy
Do everything you can do to avoid orphaning anything - items, columns, etc (NO LOCAL COLUMNS!)
Good Practices - Continued Don’t underestimate migrating large quantities of paper
or image-based documents into SharePoint There are many tools that help, but test any tool with all column
types and values Recently found many commercial products do not integrate well
with Managed Metadata Columns or Records Libraries Avoid the Managed Metadata Search Bug with Column
Name Spaces No spaces in your managed metadata column names! Will lead to an index is outside the bounds of the array error >
and zero search results
Sizing Considerations Size of your archive, growth over life of system
Impacts sizing, design, etc. Location of physical files (will SharePoint be the system of
record?) May need to indicate location of box, etc.
Global regulations Certain interpretations of EU regs would require a EU located SP
farm RPO/RTO
Large SQL archive (up to 1TB supported) takes awhile to backup and recover
Might want to look at EBS/RBS (StoragePoint for example)
Global Organization Footprint Example
US FARM EU FARM
CDB1 CDB2 CDB3
US MMD Serv App
Content Type Publishing
NA Contracts
US Search Service App
Matters ROW Contracts
Content Hub
Legacy CMS
External Content Type Sync (Matters, Entities)
Managed Properties Queries
Custom results page displayed in
iFrame
Entity and Matter Sync
Scale Up
Read through the scalability recommendations Choose to create new folders for every 2,500 items MS says 30 million docs in a library is support – want to
try it? Recommend breaking things into more libraries and sites
if you get that large!
http://technet.microsoft.com/en-us/library/cc262787.aspx
http://technet.microsoft.com/en-us/library/cc263028.aspx#plan_ent_typlarge
Thank you! Q&A
Helpful LECM Links http://speditformprefill.codeplex.com/
Developed during recent project Lightweight way to populate columns in properties screens
http://sp2010metadataimport.codeplex.com/ Managed Metadata Import developed during recent project Allows for re-use of GUIDs
http://www.bpostutor.com/post/Features-Event-Receivers-and-Content-Type-Publishing-Hub-on-SharePoint-2010.aspx Deployment of Features, Event Receivers with the Content Type Hub
http://www.bpostutor.com/post/Avoid-Spaces-in-SharePoint-2010-Column-Names.aspx Never use spaces in MMD column names
http://www.bpostutor.com/post/Hidden-SharePoint-2010-Feature-Changes-Document-Titles-in-Search-Results.aspx Optimistic Title Override
SharePoint Community in Philadelphia Tri-State SharePoint Users Group
SharePoint (2010 & 2007) Administrators Developers IT Pros
Keynote and related Hands-on Lab each meeting “On SharePoint Development”
Our lecture series on general SharePoint Development topics and how to improve those skills
Meetings: 2nd Tuesday of the month, 5:30pm – 9:00pm, Microsoft Malvern MTC
Website: www.TriStateSharePoint.org Email: [email protected] Twitter: @tristateSP