Improving Information Management SharePoint 2007 and SharePoint 2010

6 May, 2011 Canberra

Presenters: Simon Rawson

Synergy Corporate Technologies srawson@synergyonline.com

0407 577 185

Synergy Corporate Technologies In the business of making your business better

USA | South Africa | United Kingdom | Australia | Singapore

www.synergyonline.com

Suzette Bailey Sensory7

Suzette.Bailey@sensory7.com 1300 136 457

Sensory7 Pty Ltd

Uniting people, processes and information Canberra

www.sensory7.com

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Copyright 2010, 2011 Synergy Asia Pacific

All rights reserved

No part of this publication may be reproduced in any way, stored in a retrieval system of any type, or transmitted

by any means or media, electronic or mechanical, including, but not limited to, photocopy, recording, or scanning,

without prior permission in writing from the publisher.

Microsoft, MS-DOS, Windows, Windows NT, ActiveX, BizTalk, FrontPage, IntelliSense, JScript, Microsoft Press,

Outlook, PowerPoint, Visio, Visual Basic, Visual C#, Visual SourceSafe, Visual Studio, SQL Server, and

SharePoint are either registered trademarks or trademarks of Microsoft Corporation in the U.S.A and/or other

countries.

The National Archives of Australia Checkup 2.0 is copyright © Commonwealth of Australia 2010, developed under

contract by Suzette Bailey of Sensory7.

The Information Architecture „target‟ is copyright © Simon Rawson, Microz Australia Pty Ltd 2010.

The names of actual companies and products mentioned herein may be the trademarks of their respective

owners.

Synergy SharePoint Series Authors

Amy Fishman, Andre John Cruz, Andy Sabo , Brent Challis, Chase Huber, Chris Bayot, Chris Welch, Drew

Keenan, Eric Cheng, Gavin Adams, Jason Medero, Jeremy Thake, Joy Rathnayake, Judy Schober, Kit Kai Loke,

Luc Felix, Matt Camp, Melissa Handy, Milan Gross, Randy Williams, Razi Bin Rais, Simon Rawson, Steve

Sofian, Tim Donnelly, Vance Morimoto, Wen He

Series Technical Editors

Barbara Chen, Marc Fletcher, Matthew Lee

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Slide 1

Welcome

EDM Site VisitsImproving Information

Management

Simon Rawson and Suzette Bailey

Synergy Corporate Technologies / Sensory7www.synergyonline.com / www.sensory7.com

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Slide 2

Overview• Chapter 1: MOSS (SP 2007) Recap

• Chapter 2: ISO15489 and SharePoint

• Chapter 3: Document Sets, Taxonomies, Versioning and Metadata Navigation

• Chapter 4: Holds, Disposition, Information Management and Content Organizer

• Chapter 5: Configuring Content Hubs and Managed Metadata Services

• Chapter 6: Document and Web Accessibility

In Chapter 2 we cover the business background and requirements driving information / records management, particularly in government. The course content largely focuses on what can be done in SharePoint and how to do it. However we are not trying to teach you to become SharePoint administration experts. The key goal is leaving you with an understanding of how SharePoint 2010 supports information and records management, so that you are better placed to work with technical specialists in identifying how you are going to use it in your organisation.

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Slide 3

Instructor Introduction

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Slide 4

Classroom and Facilities

• Class hours

• Breaks

• Bathrooms

• Telephones

• Mobile phones

• Questions

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Slide 5

Chapter 1

ISO 15489, Records Management and SharePoint

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Slide 6

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”

The international body responsible for standards in archival is the International Council on Archives (ICA) is an international non-governmental organization which exists to promote international cooperation in archiving. It was set up in 1948, with Charles Samaran, the then director of the Archives de France, as chairman. It is open to membership of national and international organisations, professional groups and individuals. In 2009 it grouped together over 1,400 institutional members in 190 countries. It is organised in several regional sections with varying levels of activity, such as the European section, EURBICA. Its mission is to promote the conservation, development and use of the world's archives. It is based in the Marais quarter of the 3rd arrondissement of Paris, rue des Francs-Bourgeois, in the premises of the French national archives. It publishes a review Comma, which appears once or twice a year and includes material in United Nations languages as well as German. It also hosts the annual meetings of CITRA, the International Conference of the Round Table on Archives, which brings together heads of national archival institutions, presidents of national professional associations and the ICA sections and committees. In Australia the peak body is the National Archives of Australia, which sets standards for the federal public sector, and in the states, the respective Public Records Offices, which dictate state public sector record keeping. The professional body covering records management practitioners in Australia and New Zealand is the Records and Information Management (RIM) Professionals Australasia – formerly the Records Management Association of Australasia (RMAA).

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Slide 7

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

Legislation Affecting the Public and Private Sector Currently, there is no general statutory obligation which requires organisations to maintain their records. Instead, there are various Acts which apply differently to certain types of records. Critical legislation for the private sector includes the Income Tax Assessment Act, Corporations Act (which dictates retention of records allowing reconstruction of ‘true and fair’ financial summaries for 7 years), Workplace Relations Act (which dictates retention of employee records for 6 years), and Privacy Act (which dictates destruction of information about people when it is no longer of use to the organisation). Other commonly relevant retention periods imposed in other legislation include (after discharge or termination) 6 years for simple contracts, 12 years for deeds and land contracts, at least 10 years for product liability, 20 years for patents, 6 years for trademarks and 50 years after the authors death for copyright. In the private sector international requirements can apply, particularly Sarbannes Oxley (for companies trading in the US) and International Financial Reporting Standards - IFRS (which has been adopted in Australia by the Australian Accounting Standards Board). Litigation processes involve a ‘discovery’ stage where all relevant documents are required to be delivered – generally in a very short period of time. Whoever has the best evidence generally wins, and when things turn bad organisations generally desire to have an impeccable email record. Aside from ISO / AS 15489, Standards Australia publishes a handbook titled HB 171: Guidelines for Management of IT Evidence. Public Sector Legislation (courtesy National Archives of Australia) Archives Act

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The Archives Act 1983 empowers the Archives to preserve the archival resources of the Commonwealth – those records designated ‘national archives’. Under the Act it is illegal to destroy Commonwealth records without the permission of the Archives, unless destruction is specified in another piece of legislation. The Act also establishes the right of public access to Commonwealth records that are more than 30 years old. Freedom of Information (FOI) Act The Freedom of Information Act 1982 provides for public access to documents kept by Australian Government departments which are less than 30 years old. The Archives Act regulates access to records older than 30 years. In their annual reports, departments must state the types of information and records they keep. When a member of the public requests information, the department must identify and preserve all relevant sources, including records, until a final decision on the request is made. The Freedom of Information Act also sets out how the department may correct, annotate or update records if a member of the public shows that the information in them is false. Privacy Act The Privacy Act 1988 aims to prevent the misuse of personal information. It specifies that agencies can use information about individuals only for lawful purposes that relate directly to the role of the agency. Agencies must ensure that the information they keep is secure, accurate, relevant, complete, and not misleading. The Act also gives people a right to see records about themselves. Records over 30 years old are exempt from the Privacy Act. Access to these records is controlled through the Archives Act. Evidence Act The Evidence Act defines what records can be used as evidence in a Commonwealth court. All agencies need to take account of evidence legislation. A court may need to examine records as evidence of an organisation’s decisions and actions. General advice on the impact of the Evidence Act 1995 is given in Records in Evidence: The Impact of the Evidence Act on Commonwealth Recordkeeping. Electronic Transactions Act The Electronic Transactions Act 1999 encourages online business by ensuring that electronic evidence of transactions is not invalidated because of its format. This Act does not authorise the destruction of any Commonwealth records, whether originals or copies. The obligations placed on agencies under the Archives Act 1983 in relation to the preservation and disposal of Commonwealth records continue to apply. The General Disposal Authority for Source Records that have been Copied, Converted or Migrated details the circumstances under which copied source records can be destroyed in compliance with the Archives Act. For records that are not covered by this disposal authority your agency will need to seek specific authorisation from the Archives via the Agency Service Centre. Financial Management and Accountability Act

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The Financial Management and Accountability Act 1997 states that an APS employee who misapplies, improperly disposes of, or improperly uses Commonwealth records may be in breach of the Financial Management and Accountability Act (s. 41). Regulation 12 of the Act requires that the terms of approval for a proposal to spend money be recorded in writing as soon as practicable. Commonwealth records fall within the meaning of 'public property' as defined in the Financial Management and Accountability Act Crimes Act The Crimes Act 1914 outlines crimes against the Commonwealth. Several parts of the Act relate to records. For example, section 70 prohibits public servants (or anyone working for the Australian Government including contractors and consultants) publishing or communicating facts, documents, or information which they gain access to through their work, unless they have permission to do so. This includes taking or selling records which should be destroyed. This Act also makes it an offence for someone to intentionally destroy documents that they know may be required as evidence in a judicial proceeding. Identifying records management requirements in other legislation Agencies need to identify records management requirements when undertaking records appraisal or when designing and implementing a records management system. Part of this process is to identify the legislative requirements for creating, maintaining and disposing of Commonwealth records. Some legislative requirements apply to many agencies. Occupational health and safety legislation, for example, requires an organisation to keep certain types of records for certain periods of time. Requirements that apply to all agencies are included in the National Archives’ Administrative Functions Disposal Authority. Other legislative requirements may apply only to the particular business of one or some agencies. For example, the Telecommunications (Interception and Access) Act 1979 states that copies of telephone taps (something that only a few agencies have permission to use) must be destroyed once the Director-General of Security decides they are no longer needed. Each agency needs to be aware of the legislation governing its own records practices.

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Slide 8

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

The International Council on Archives references for Principles and Functional Requirements for Records in Electronic Office Environments are in 2 parts:

Module 1: Overview and Statement of Principles Module 2: Guidelines and Functional Requirements for Electronic Records Management Systems

Both were published in 2008 at www.ica.org The NAA Checkup was developed on behalf of the National Archives of Australia by Suzette Bailey of Sensory7, with whom Synergy enjoys a good working relationship. Version 1 is currently released with an updated version in the pipeline. 2 versions of the MOSS / SP2010 analysis against the International Council on Archives are available, and were written by John Wise of Wise Technology. The first is a detailed paper and the second a summary paper. Both were reviewed by the National Archives of Australian and Microsoft. Information on SharePoint compliance with ISO / AS 15489 and ICA standards in subsequent slides is drawn from John’s paper. Please contact me at srawson@synergyonline.com for copies of these resources.

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Slide 9

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

With MOSS 2007 there was a 62% compliance to the standard an 88% compliance result, SharePoint 2010 is shown to be largely compliant, albeit with configuration still required to address specific records management functions Key improvements •reduce the complexity of configuration significantly compared with MOSS 2007, •such as records declaration, •improved audit trails, •Content Organiser •CO also meets specific requirements for bulk changes to document sets •file plan and location based policies •managed metadata terms •In addition SharePoint 2010 has the advantages of improved ease of use •automated metadata capture •improved search and retrieval using this improved metadata •SharePoint 2010 HAS managed metadata, term store, large volume metadata filtering, and improved facetted search and results preview to provide better search functionality •Management of Web 2.0 content and other rich media formats • SharePoint 2010 addresses the scaling limitations of MOSS 2007 •Improved usability – gives enhanced access to diverse sources of information, including “web 2.0” applications, line-of-business applications, and traditional document stores. •Improved search and retrieve – able to find relevant information more easily due to the introduction of FAST search technologies. •Improved organisational tools – facilitates organisation of information content in accordance with a variety of standardised or user-defined taxonomies; from metadata schema to user tagging.

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•Improved management tools – provides management of data location and the information life cycle (i.e. disposal). There is a relatively small gap to be filled by add-on software and more complex configuration. Microsoft has made it clear that they do not intend to develop Sharepoint for all specific Records Management environments and that key partner applications will fill the gaps.

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Slide 10

High level requirements of ICA Module 2

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Slide 11

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.

• Records Declaration feature applies rules and policies to all information • Retention policies are flexible and can be driven by the classification • Disposal Holds cover all content • Content Organiser can provide records declaration in an automated manner • Compliant event tracking provided

• SharePoint 2010 extends metadata and recordkeeping and now includes Web 2.0

objects • Metadata capabilities enhanced using to allow more meaningful metadata and

business vocabularies to be used. • Integration with Office is improved to simplify metadata capture in creating and

the saving of Office documents. • Document sets are introduced to multiple documents to be managed as a single

record. • However automated capture of email and its related metadata has to be managed

via third party applications such as Colligo and Oneplacemail

• SharePoint 2010 provides improved lifecycle policies to manage the retention of records • The Records Centre repository is improved in terms of scale and provides the

ability to archive data to less expensive storage as required. • Content organiser can be used to move documents automatically to the records

repository based on metadata driven rules and policies • Document generation facility used to convert or export to long term Open XML

or PDF formats.

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• SharePoint 2010 provides significantly enhanced disposal policies allowing a diverse range of electronic records to be managed through their lifecycle.

• System generated metadata and improved audit trails allow the complete recording of events through the life of a record. However complex disposal actions are better managed via third party applications

• Event based, definitive version disposa;, case based etc all very messy

• SharePoint 2010 provides extended records management functions • SharePoint 2010 allows a business view and records management view to coexist • In place records management is also introduced

• SharePoint 2010 and Office 2010 integration is improved to simplify the capture of metadata

• Controlled vocabularies and taxonomies are supported in a centralised term store and managed metadata fields which can be applied to all content as required.

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Slide 12

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.

• SharePoint 2010 and Office 2010 provide standard capabilities that support export to Open XML and pdf formats.

• Content Organiser and external storage capabilities provide enhanced export and transfer capabilities

• SharePoint 2010 supports the CMIS interoperation standards allowing content to be

transferred between alternate vendor systems

• Content Organiser can be used to apply rules to bulk imports and exports automatically adding metadata from sources such as share drives, and routing incoming information to correct locations based on metadata values and context although not all compliant formats can be created VERS encapsulated objects are better created via a third party application

• SharePoint 2010 supports a records declaration function designed to protect and ensure no authorised changes or deletions of records.

• Records can also be declared automatically based on metadata, location and business rules. Some of the more complex classification based security requirements are more compliantly managed via a third party

• Metadata can also be defaulted based on save location in SharePoint 2010.

• System generated metadata and events are expanded including record declarations and event history.

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• Content Organiser is designed to route documents to file plan locations ensuring complete metadata recording. In this way recordkeeping metadata can be recorded with little or no user input.

• Users can work in their business areas and normal processes and records can be recorded automatically based on defined policies and metadata driven rules.

So while this seems to stack up at the highest levels when you look in more detail at each of

the specific requirements you will note that there are a number of non compliant and partially compliant areas

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Slide 13

ICA Requirements

•Yes (Complies) - meets the functional specification either as a standard feature or with limited and standard configuration •Partial - meets the requirements with more complex configuration, separate add-on software, or some development is required for full functionality •No (Non-compliance) - where it does not meet the requirements without extensive additional development.

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Slide 14

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

Sharepoint 2010 non-compliance with ICA Module 2

• Complex Security classifications – Native security classification and access control – despite having item level security SharePoint 2010 is unable to impose classifications on information, or to control access effectively. Examples include showing user nothing when searching for items they have no access to, or providing metadata only and access denied instructions, or providing existence by ID but no metadata

2. Allow access-permission security categorisation to be assigned:

• • at group level (be able to set up group access to specific aggregations, record classes security or clearance levels);

• • by organisational role;

• • at user level; and in combination(s) of the above.

• Security clearances not supported - Restrict access to electronic aggregations/records that have a security classification higher than a user’s security

• Be capable of preventing an electronic aggregation from having a lower security classification than any electronic record within that aggregation.

• Physical – Barcode / RFID printing and recognition and hybrid records. SharePoint 2010 is focused on electronic records and is unable to manage paper and other physical format information effectively. As applied to volumes, workflow is required to “close” and “open” folders and other aggregations

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• Including location management which can only be done by extensive customised development of workflow to track location of records

• Automated data entry from Barcodes or RFID

• Location Management

• Transfer management

• Metadata export – additional configuration is required to

• Be able to export metadata for specified records and selected groups of records without affecting the metadata stored by the electronic records management system.

• Be able to include a copy of the entire metadata set associated with the records and aggregations that are transferred or exported from an electronic records management system.

• Third-party add-on tools required to support the print out of selected metadata. Standard requires the system to Allow the administrator to specify that all printouts of records have selected records management metadata elements appended to them, for example, title, registration number, date and security category.

• Ease of email capture – despite SharePoint supporting email enabled lists and libraries, third party Outlook add ins are still required to simplify user capture of email and automated capture of required metadata

• Complex configuration is required to allocate unique ids within a classification structure

• Complex Disposal actions - Be able to specify the frequency of a disposal authority report, the information reported and highlight exceptions such as overdue disposal

• Alert the administrator if an electronic aggregation that is due for destruction is referred to in a link from another aggregation and pause the destruction process to allow the following remedial action to be taken:

• • confirmation by the administrator to proceed with or cancel the process; and

• • generation of a report detailing the aggregation or record(s) concerned and all references or links for which it is a destination.

• Produce a report detailing any failure during a transfer, export or destruction. The report must identify any records destined for transfer that have generated processing errors, and any aggregations or records that are not successfully transferred, exported or destroyed.

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• Provide a utility or conversion tool to support the conversion of records marked for transfer or export into a specified file transfer or export format. Third party tools support VERS and other export formats e.g. PDF/A

• 2010 OOTB struggles with going beyond “time elapsed” – you need to

extend the platform to allow for these for compliance

• Capture of non Microsoft content such as JPGE, TIFF, COREL AUTOCAD ETC

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Slide 15

Boiling Down Further

• Email capture – including metadata

• Item security

• Physical and hybrid records management

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Slide 16

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

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Slide 17

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

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Slide 18

NAA Checkup 2.0

• http://naa.gov.au/records-management/check-up/index.aspx

• Walkthrough of Checkup 2.0

• Group discussion

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Slide 19

Chapter 2

Microsoft Office SharePoint Server (MOSS) 2007

Learner objectives should be included as text within the notes section

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Slide 20

MOSS 2007 Document Management

• Check in / Check out

• Major and Minor Versioning

• Multiple Upload

• Basic field types (no autonumber)

• Content types for managing metadata

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Slide 21

MOSS 2007 Records Management

• Records repository via Records Center template

• Records separate from working files

• Expiration polices for disposition

• Holds and limited e-discovery

• No concept of centralized taxonomies

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Slide 22

Chapter 3

Document Sets, Taxonomies, Versioning, and Metadata Navigation

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Slide 23

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 Documents\SharePoint 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

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Slide 24

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

Version history is available in the Workspace client but, since it is stored on the server, when you are offline that history data will be unavailable. The same is also true for check-in and check-out functionality, which also relies upon a connection to the server. As a result, when in offline mode, you'll only see the most recent versions of documents. This was done so as to avoid saving the entire version histories locally to your client.

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Slide 25

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

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Slide 26

Site Columns

• Created at site or site collection level

• Automatically inherited by child sites

• Can be associated with lists and libraries

A site column is like any other column in SharePoint, however it is created at the site level rather than the list level. This means that the same field can be associated with multiple lists within a SharePoint site or any of its child sites. For example, the HR site of an organization has the following SharePoint lists: • Employee Information – a list containing basic information about the employee • Employee Reviews – document library containing annual employee reviews • Employee Leave Calender – a list calendar which records when employees are on leave

and the type of leave they are on • Employee Leave Availability – a list which calculates each employee’s available leave for

each leave type On each list, it is necessary to reference the employee by their employee number. Rather than creating the employee number field at the list level for each of the four lists, it makes more sense for the site administrator to create and ‘Employee Number’ column at the HR Site Collection Level and then associate this site column with each of the 4 lists. If a site column is created at the site collection level, it can be used throughout the site collection, as the column is automatically inherited by each child site and their subsequent child sites. A site column can only be used at or below the site it was created. That is, if you create a column on the sub-site of a site collection, it will *not* be available up on level at the site collection.

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Slide 27

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

What is a content type? Every organisation creates and consumes a variety of different types of content such as Business Requirements, Sales Proposals, Credit Applications, Employee Reviews, Leave Requests, Contract, Invoice etc.. But what about digital images, scanned correspondence, diagrams? These can also be Content Types. So can Contacts (think like a .vcf), Event (calendar entry), Web Page, Blog Entry. Virtually any type of content can be created as a Content Type. To use a content type, it must be inherited from a Content Type gallery (from either the site, site collection or Content Type Hub via the Managed Metadata Service which we’ll cover in more detail further along in this module) onto a SharePoint library or list, after which items in that library can be created as or assigned to a specific content type. Content Type Options Columns Content types usually have one or more columns associated with them which are relevant to the underlying content. For example, a Purchase Order might require the user to input the Supplier, Amount, Year, Month and PO Number while an image file might have Date Taken, File Type, Dimensions and Keywords as associated columns. The idea is that for each type of content, different metadata may be required, and a user is only asked to enter metadata that is relevant to the content they are creating or uploading. Template

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Where a content type is typically created or edited in Microsoft Office, a template can be associated with it to facilitate consistency of document format and presentation. For example, an InfoPath Purchase Order template may be associated with the Purchase Order Content Type. Workflow Workflows can also be associated with content types to enforce business rules. For example, if the ‘PO Amount’ field on the Purchase Order content type is > $5000, it must be routed to a manager for approval All of these options are obviously very useful tools to enforce consistency and governance across an organisation, especially when users come to understand that a Purchase Order created on the FINANCE site looks, feels and behaves in exactly the same manner as a Purchase Order created on the IT Site. Hierarchy Content types are hierarchical, meaning they must have a parent content type from which they inherit their properties. SharePoint provides approximately 50 out-of-the-box Content Types from which any custom content types you create can inherit from. The most commonly inherited from Content Types are ‘Document’ and ‘Item’, for documents and list items respectively.

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Slide 28

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

Document Sets are similar to folders, enabling users to collaborate on related documents without having to create a new document library or site. The purpose of a document set is to collect unmanaged documents with a common business purpose and with similar metadata. When a Document Set is created, multiple documents may be associated with it. New instances of a document set cause the creation of that set of documents. A Document Set comes with a configurable web part page (the Welcome page) that displays the documents similarly as they would be displayed in a document library. Metadata applies to the Document Set itself as well as the documents within the Document Set. The properties and selected metadata of that set may be displayed on the welcome page. Because columns can be shared, metadata only has to be updated in one place for it to be applied to all the documents contained within the Document Set. This ensures metadata consistency and that all documents have required metadata. The decision about sharing metadata between Document Sets and component documents is an important information architecture decision impacting usability. Search and metadata navigation will return both the Document Set and any component documents if metadata is shared, which may be potentially confusing or redundant. Some key features of Document Sets are: Send Document Sets

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Specified in central administration, this feature enables users to send Document Sets to a content organizer. Content organizers are new to SharePoint 2010 and enable users to send content to folders, sites or libraries based on metadata. Customizable Ribbon Document Sets have their own ribbons to carry out actions. Workflow Workflows can be assigned to Document Sets rather than individual documents so that each document is subjected to that workflow. There are a number of workflows specific to Document Sets and contained in SharePoint Designer 2010. Workflows include version capture, or start and approval processes amongst others.

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Slide 29

Metadata driven scenarios

FolksonomyManaged Taxonomy Open Hierarchies

Level of Control

Glo

bal

Lo

cal

Sco

pe

The second part of the Managed Metadata Service is the storage and application (tagging) of metadata. This slide illustrates the various scenarios in which metadata is used with SharePoint. On the left side, we have the highly structure types of metadata that are typically controlled centrally by a small group of people or committee On the right side, we basically have the free-form, anything tagging where users can tag information in a way that is personally meaningful to them. The lower right quadrant is the SOCIAL world The upper right quadrant is the MANAGED world Reality is typically somewhere in the MIDDLE The key take-away message from this slide is that SharePoint 2010 can effectively handle all of these scenarios.

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Slide 30

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

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Slide 31

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

Navigation and Filters Fields that are available for use as navigation hierarchies include columns on this list that are

one of the following types: - Content Type - Single-value Choice Field - Managed Metadata Field

Filter fields will appear underneath the Site Hierarchy tree when viewing items in a list. You

can use these fields to filter a current view to show only items matching that value. Fields that are available for use as navigation hierarchies include list columns that are one of the following types: - Content Type - Choice Field - Managed Metadata Field - Person or Group Field - Date and Time Field - Number Field

List view and metadata navigation You can use metadata navigation to filter list view results. You should use list views when you

need rich column data and access to list item actions. In high read and query scenarios, you should consider using other query methods.

“The following features make metadata navigation and filtering possible:

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• Indices. SharePoint Server 2010 automatically creates a set of useful indices that are based on the current metadata configuration. They incorporate data that represents the navigation hierarchies and key filters that are selected for use in document libraries. SharePoint Server 2010 ensures that the majority of metadata navigation and filtering configurations work automatically and that content stewards do not need to understand indices or how they are built.

• Query builder enhancements. SharePoint Server 2010 includes query builder enhancements that incorporate indices. Microsoft SharePoint Foundation 2010 requires that, for a query to take advantage of single-column or compound indices, the component that writes the query must specify in Collaborative Application Markup Language (CAML) which index to use. When running a query, the server inspects the set of indices currently on the list and the set of column/value pairs present in the current query and selects the index that most likely ensures a successful query.

• Fallback queries. SharePoint Server 2010 includes a fallback query mechanism that ensures that the server can always run a query that returns useful partial results. By creating indices between Navigation Hierarchy fields and the Modified column (one example of a Key Filter column) that is provisioned in every document library, and then running a fallback query against queries that would otherwise fail due to semantic problems that are typical of large lists, the server rewrites the current query and uses the compound index to return the top number of items within the calculated threshold that match the rest of the query.” – extract from - http://msdn.microsoft.com/en-us/library/ee559293(office.14).aspx

Content query Web Part You can configure the content query Web Part to display results by filtering on lists, content

types, and columns. You can sort results and select columns to be displayed. Doing this makes the content query Web Part ideal for displaying large list content on Web pages. Content query Web Parts are generally cached, allowing for faster page loads and less database load. One usage of content query Web Parts in knowledge management scenarios is to use them on publishing pages to display links to documents related to the content of the Web page.

SharePoint Server 2010 provides performance improvements in several key scenarios: Optimizing single list queries to leverage indices more effectively Improving invalidation and refresh algorithms and default settings to improve the cache

utilization when users perform write operations

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Slide 32

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,

The Managed Metadata Column type is new in SP 2010. Managed Metadata columns can take two forms: • Managed Keyword

• Think of as a “super text” field • a free-form field which allows users to enter words or phrases that are meaningful

and relevant to them. • The values entered into this field are stored in a flat, non-hierarchical list which is

referred to as a ‘Folksonomy’ • Managed Term

• Collectively, managed term sets make up a taxonomy ( • Think of as a “super-lookup” column where the choice values are drawn from a list

of terms which is hierarchically organized • The column looks up a hierarchically structured list of pre-determined ‘Terms’

known collectively as a ‘Term Set’. • A term set can be open or closed as demonstrated ‘Color’ and ‘Department’ fields

in the previous demo. The ‘Color’ column was an ‘Open’ term set because it allowed users to add new values to the list. Conversely, the ‘Department’ column did not allow new entries because these values change very infrequently and are centrally controlled.

• Synonyms can be added to any term (e.g.: tree, plant, shrub, bush, hedge etc.) • Terms are also multi-lingual, so it’s possible to define the same terms in multiple

languages.

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Slide 33

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

Managed key words are stored within the term store of the default Managed Metadata Service (set in Managed Metadata Service Connection > Properties). Each time a user attempts to enter a keyword, SharePoint will search all existing terms in all existing term stores and return values which match what the user has entered. In other words, if a managed term called ‘Expeditious’ exisits within a term set called ‘Adjectives’ and the user beings typing ‘Expe…’ into a managed keywords field, SharePoint will suggest ‘Expeditious’ using the type-ahead technology. If the user accepts this term, nothing new will be added to the managed keywords since the term already exists within a term set. Conversely, when a unique keyword is added, SharePoint assigns it an ID commits it to memory. Keywords can be promoted into managed terms at any time. This is particularly useful in situations where an organisation wants to start using SharePoint but does not have the time or resources to carry out a proper Information Architecture exercise. The organisation can take a ‘wait and see’ approach, garnering ideas for how to organise and categorise data based on how their users tag it. It should be noted however that this technique is in no way a real substitute for a sound Information Architecture Strategy.

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Slide 34

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

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Slide 35

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

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Slide 36

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

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Slide 37

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

Document Center and Record Center site templates The Document Center and Record Center are SharePoint Server 2010 site templates that you can use to create structured repositories. The Document Center site template includes features such as pre-configured content query Web Parts for returning relevant results by logged-in users and a document library with metadata navigation configured. The Record Center site template is similar to the Document Center site template but it has the content organizer feature enabled for routing documents and has a record library where items that are added to it are automatically declared records and cannot be deleted. The Record Center site template is the only out-of-box site template that does not have the document parser enabled, which preserves the fidelity of submitted content. Disabling the document parser affects the performance of certain operations that makes it more suitable for large scale document storage (tens of millions of items) than other site templates. New features

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Slide 38

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

Site Collection Features: Advanced Web Analytics This feature comprises advanced Web Analytics reports, data-driven workflows, workflow for scheduling reports, the What's Popular Web Part and customize reports functionality (for Enterprise license) at the site collection level. Collect Signatures Workflow - SharePoint 14 Gathers signatures needed to complete a Microsoft Office document. This workflow can be edited in SharePoint Designer. Disposition Approval Workflow Manages document expiration and retention by allowing participants to decide whether to retain or delete expired documents. Document ID Service Assigns IDs to documents in the Site Collection, which can be used to retrieve items independent of their current location. Document Sets Provides the content types required for creating and using document sets. Create a document set when you want to manage multiple documents as a single work product. Enterprise Wiki Layouts Create a large-scale wiki with categories and page layouts. In Place Records Management Enable the definition and declaration of records in place. Library and Folder Based Retention Allows list administrators to override content type retention schedules and set schedules on

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libraries and folders. Microsoft Search Server Web Parts This feature uploads all web parts required for Search Center. Office SharePoint Server Enterprise Site Collection features Features such as the business data catalog, forms services, and Excel Services, included in the Office SharePoint Server Enterprise License. Office SharePoint Server Publishing Infrastructure Provides centralized libraries, content types, master pages and page layouts and enables page scheduling and other publishing functionality for a site collection. Office SharePoint Server Standard Site Collection features Features such as user profiles and search, included in the Office SharePoint Server Standard License. Reporting Creates reports about information in Windows SharePoint Services. Routing Workflows Workflows that send a document for feedback or approval. Routing Workflows - SharePoint 14 Workflows that send a document for feedback or approval. These workflows can be edited in SharePoint Designer. Site Help Create Help content for this site collection. Three-state workflow Use this workflow to track items in a list. Translation Management Workflow Manages document translation by creating copies of the document to be translated and assigning translation tasks to translators. Visio Web Access View Visio Drawing in Web Browser Site Features: Access Services System Tables Access Services System Tables Content Organizer Create metadata based rules that move content submitted to this site to the correct library or folder. E-mail Router This enables a site's document router to accept and route email messages. This feature should be used only in a highly managed store, like a Records Center. Entity Collaboration Configuration Creates the infrastructure necessary to enable users to create entity collaboration sites. Entity Collaboration Instance Configuration Creates the infrastructure necessary to enable users to create entity collaboration instance sites. GroupBoard Lists Provides Calendar lists with added functionality for team and resource scheduling.

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Hold and eDiscovery This feature is used to track external actions like litigations, investigations, or audits that require you to suspend the disposition of documents. Metadata Navigation and Filtering Provides each list in the site with a settings pages for configuring that list to use metadata tree view hierarchies and filter controls to improve navigation and filtering of the contained items. Office Business Application Design Tools Document libraries, lists, content types and pages required to build an Office Business Application solution. Office SharePoint Server Enterprise Site features Features such as the business data catalog, forms services, and Excel Services, included in the Office SharePoint Server Enterprise License. Office SharePoint Server Publishing Create a Web page library as well as supporting libraries to create and publish pages based on page layouts. Office SharePoint Server Standard Site features Features such as user profiles and search, included in the Office SharePoint Server Standard License. Take list offline Take a virtual list offline into Outlook or Groove. Team Collaboration Lists Provides team collaboration capabilities for a site by making standard lists, such as document libraries and issues, available. Translation Management Library Create a translation management library when you want to create documents in multiple languages and manage translation tasks. Translation management libraries include a workflow to manage the translation process and provide sub-folders, file versioning, and check-in/check-out. Wiki Page Home Page This site feature will create a wiki page and set it as your site home page.

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Slide 39

Chapter 4

Holds, Disposition, Information Management, and Content Organizer

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Slide 40

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

SharePoint 2010 provides more choices in tooling to better fit the needs of those creating and maintaining workflow models. The tools for workflow development include Visual Studio 2010, SharePoint Designer 2010 and Visio 2010. When using expiration, you must also enable Item Scheduling, which is a Document Library setting.

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Slide 41

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

Policy Statement The policy statement is displayed to end users when they open items subject to this policy. The policy statement can explain which policies apply to the content or indicate any special handling or information that users need to be aware of. Policy Statement The policy statement is displayed to end users when they open items subject to this policy. The policy statement can explain which policies apply to the content or indicate any special handling or information that users need to be aware of. Auditing Specify the events that should be audited for documents and items subject to this policy. Barcodes Assigns a barcode to each document or item. Optionally, Microsoft Office applications can require users to insert these barcodes into documents. Labels You can add a label to a document to ensure that important information about the document is included when it is printed. To specify the label, type the text you want to use in the "Label format" box. You can use any combination of fixed text or document properties, except calculated or built-in properties such as GUID or CreatedBy. To start a new line, use the \n character sequence.

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Slide 42

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

An expiration schedule cannot be associated with a system generated property.

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Slide 43

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

The content organizer can be used on any site to route content to particular document libraries, folders, or even other sites. The content organizer can be used to automatically create folders for content based on metadata properties. Users can submit content to the content organizer from other sites and not even have to worry about where it gets stored within the file plan. The content organizer can be used to balance content into different folders to automatically maintain a maximum size for each folder. When the specified size limit is reached a new subfolder will be created to contain additional items.

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Slide 44

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

Redirect Users to the Drop Off Library When this setting is enabled, users are redirected to the Drop Off Library when they try to upload content to libraries in this site that have one or more content organizer rules pointing to them. If this setting is disabled, users can always bypass the organizer and upload files directly to a library or folder. Rule Names should be associated with documented policies external to SharePoint

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Slide 45

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

Records may be declared manually either through Declare Records on the Documents tab OR Send To icon in the Copies section of the ribbon. Most of the time you would shield this from users and automate declaration via events and workflow. For users KISS applies. SharePoint 2010 has the following key records management enhancements: • Extended to cover all content (docs, blogs etc) • Extended to provide ‘in place’ declaration of records, as well as sending documents to a Records Centre as in SharePoint 2007 (MOSS). When records are sent to a Records Centre, a link to the record is left in the original location. In place declaration means the record stays in situ. This approach would typically be chosen when associated content provides valuable business context, especially when the content remains part of a live business process (e.g. an executed contract) • Allows you to see how and when records were declared and the associated policy • Extended in SharePoint 2010 from single-stage, content type policies to include multi-stage, location based policies SharePoint 2010 provides flexibility and choice – and shields most users from the detail of its execution. Records may be ‘undeclared’, but this is usually limited to Record Managers, or done through events or workflow. In SharePoint Designer you have an option to move a file and leave a link in the original location.

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Content Organizer automates the classification and organisation of records and non-records The content organizer can be used on any site to route content to particular document libraries, folders, or even other sites. The content organizer can be used to automatically create folders for content based on metadata properties. Users can submit content to the content organizer from other sites and not even have to worry about where it gets stored within the file plan. The content organizer can be used to balance content into different folders to automatically maintain a maximum size for each folder. When the specified size limit is reached a new subfolder will be created to contain additional items. Other points: • 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 Redirect Users to the Drop Off Library When this setting is enabled, users are redirected to the Drop Off Library when they try to upload content to libraries in this site that have one or more content organizer rules pointing to them. If this setting is disabled, users can always bypass the organizer and upload files directly to a library or folder. Rule Names should be associated with documented policies external to SharePoint SharePoint provides a mechanism for instantiating policies and rules associated with document classification and retention. These should be part of a cohesive organisational records management policy which encompasses physical records and electronic / hybrid information stored in other systems. Naming conventions are important and the means of relating overarching policy to policies created in SharePoint.

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Slide 46

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

How to Configure In-Place Records Management • Open Site Settings • Open Site Collection Features • Enable In-Place Records Management • Open Library Settings for the Projects library • Click Record Declaration Settings • Click Always allow the manual declaration of records • From the context menu of any document, select Compliance Details • Click Declare as a record • See that the record is now locked

Hierarchical File Plans Hierarchical File Plans are viewed through Library Settings -> Information Management Policy

Settings. Metadata defaults can be applied to a location.

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Slide 47

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

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Slide 48

Exercise

Application of SharePoint to real world information management

Content types Lists & libraries

WorkflowFiltering & metadata

navigation

Taxonomy Forms

Metadata Metrics, KPI and dashboards

External content typesLabels, barcodes and RFID

(third party – FileTrail)

Records declaration & lifecycle management

Profiles, communities & social media

In the exercise, participants will be required to: • Identify a real world scenario for information management. Examples include OH&S

incident management, Board reporting, ministerials process and policy development • Identify the key processes and types of information which would be required by the

scenario • Identify the triggers for each of the processes • Identify the measures you would use to manage or report the scenario • Discuss the more important types and attributes of classification schema and metadata

which come to mind See also next 2 slides, then come back to this SharePoint ‘building blocks’ slides for the duration of the exercise or discussion.

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Slide 49

Information Architecture

Provocation / challenge: All business content is produced by a business process, for consumption by other business processes. Discuss, and see if attendees can identify content which doesn’t fit this category. Processes are inherently easy for people to identify. People work executing processes every minute of their working activity, or in process support, or in developing process aids. Processes (aka services) or goods (developed by processes, acquired by processes, consumed by some process) are the reason for every organisation. The role of management is to ensure processes work effectively and efficiently. In order to do that, the question of how they performed is critical. Feedback and discussions are critical for process improvement and innovation. When a process is executed we know how effective it was. If it was not effective then we generally know why – if not how to fix it. So ensuring we capture dissatisfaction or suggestions for improvement is critical for constant improvement. Any discussions we have resolving process problems should be captured, reviewed and promulgated.

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Slide 50

• 5 levels (CMMI model)

– Initial

– Repeatable

– Managed

– Measured

– Optimised

Process Maturity

Organisations evolve from one state of process maturity to the next. The experience passing through each stage is a critical building block for the next. With care you may be able to leapfrog or quick-march a step, however it is very risky to take the process too quickly. A key factor in reaching process optimisation is the inclusion of feedback loops for improvement. Organisations and the environment in which they operate change constantly. People constantly join and leave. Process must therefore change. Once a level of maturity is reached, it may be necessary or unavoidable to step back one or more stages.

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Slide 51

Governance Structure

Sponsor

Strategic Oversight

Intranet Working Group

Let's say you are putting something like SharePoint or one of the other big-iron ECM platforms into place, and your organisation is medium to large. In other words, there's organisational complexity, and you have a highly capable delivery platform. I'd propose a governance management structure with the following: * a senior exec has to sponsor and champion the intranet * an executive strategy committee, typically responsible for strategy or communications becomes the owner, and makes high level decisions on funding and strategy * a working group to handle day to day execution, development and support The working group covers the following roles / participants / skills: * publishing / editorial * communications * training and organisational change * process / business analyst who understands what the ECM platform can be made to do, and who has a business process focus. This role may be held by a consultant * IT tech support * departmental representation Experience shows time and time again that most organisations don't really understand what a good ECM can be made to do, even if they have a few staff who do. This leads to 2 fundamental things: * The importance of confirming overarching vision and strategy. This is the framework owned by your sponsor and the strategy group, and which will drive development. You may need consultants to help develop this

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* It's important that the working group goes up the learning curve about what the ECM can be made to do. In the early stage the ECM analyst needs to mentor the rest of the group so members can spot opportunities for business improvment through the application of the ECM solution The working group becomes responsible for managing development, delivery and prioritising requirements.

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Slide 52

Main Governance Elements

SharePoint Governance

Plan

Governance Framework

(Roles, Responsibilities,

Principals)

Communications Strategy

Change Management

Strategy

Risk Management

Strategy

Education & Training Strategy

Information Architecture Governance

Benefits Realization

Strategy

Maintenance & Review Strategy

.

Content Management

Records Management

Infrastructure

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Slide 53

Chapter 5

Configuring Content Hubs and Managed Metadata Services

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Slide 54

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

Background The single biggest ECM limitation of SharePoint 2007 was the inability for Content Types and Columns to cross site collection boundaries. This limitation has been removed in SharePoint 2010 with the introduction of the Managed Metadata Service which allows publishing and consumption of columns and content types across an entire enterprise. These ECM building blocks can now be shared across site collections, web applications and even farms. In SharePoint 2010, this is implemented through the Managed Metadata Service. This is one of 13 shared service applications available and, like the others, it has its own SQL database and can run under a separate application pool account.

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Slide 55

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

Before diving into how the Managed Metadata Service works, it’s important to define some of the terms that are used in describing the service. These definitions are only intended to provide a very high-level overview and each term will be expanded upon in the context of its use in future slides.

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Slide 56

Components of the Managed Metadata Service

The Managed Metadata Service consists of 2 key components.

Service Component • ‘Publishes’ the Term Store and Content Types. • Specifies DB/DB connection details and the user account to run the application

pool under. • Specifying a Content Type Hub is optional, however once one is specified, it cannot

be modified via the UI. Connection Component • ‘Consumes’ metadata and content types (via the Term Store and Content Type hub

respectively) • Pushes down Content Type publishing updates to sites connected to the service • Specifies which Managed Metadata Service is the default location for keywords

and/or column specific term sets (i.e.: when a user tags a document with keyword that has not been previously used, it is added to the default Managed Metadata Service and assigned an ID)

Web Application Service Connection In order for a site collection to consume metadata and content types from a Managed Metadata Service, its web application must have a Service Connection. This is done via Central Administration > Application Management > Web Applications > Service Connections. Here you can also specify the default Managed Metadata Service where the web application is connected to more than one.

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Creating the Managed Metadata Service When creating a new Managed Metadata Service, the Service and Connection components are automatically created as part of the one process. Both Service and Connection are also given the same name How many Managed Metadata Service should a farm typically have? A SharePoint farm can have one or more Managed Metadata Service applications, with each one being capable of publishing and its metadata and content types to other site collections, web apps and farms.

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Slide 57

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

Content Type syndication is an optional feature of the Managed Metadata Service. It allows content types from the Content Type Site Gallery of the hub to be published to and consumed by site collections of ‘connected’ web applications. Content Type Syndication is useful for ensuring consistency, currency and governance of specific content across an enterprise. As mentioned earlier, this is particularly useful because it means that Purchase Order created on the FINANCE site is looks, feels and behaves in exactly the same manner as a Purchase Order created on the Information Technology Site. Any Site Collection can become a Content Type hub and share specific content types from its Content Type Gallery to other sites. It’s simply a matter of Enabling the ‘Content Type Syndication Hub’ feature activates the necessary components and then connecting the hub to the Managed Metadata Service via Central Admin.

However, it’s important to note that once the Content Type has been set, it cannot be changed. Hence it’s important to properly plan out which site collection(s) will become content type hub(s). There are two basic models that can be employed when determining which site collection(s) will be become content type hub(s).

• Publish content types from specialist area/departmental site collection which also contains production data. For example, the HR department site collection becomes a hub for syndicating HR forms which are subscribed to by other site collections.

• Publishing content types from an isolated/dedicated site collection which is only used to manage content types. In this scenario, Human Resources would have two site

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collections (one for publishing content types and the other for general document management and collaboration)

Content Types can easily be published and consumed to and from other farms. It’s a simple process of publishing the Managed Metadata Service from the source farm and then connecting to it on the destination farm via ‘Manage Service Applications’

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Slide 58

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

Remember, web applications are connected to Managed Metadata Service instances. Therefore, all site collections which belong to a web application associated with a service connection to the Managed Metadata Service and any associated content type hub. After specifying the hub URL via Managed Metadata Service > Properties, it is imperative to also check the box labeled ‘Consumes content types from the Content Type Gallery at http://yoursite’ on Managed Metadata Service Connections > Properties or otherwise no content types will be published to subscribing web apps. After publishing one or more content types, always check Site Actions > Site Settings > Site Collection Admin > Content Type Service Application Log. Correct any errors you find and republish the required content types. To speed up the process of the content type syndication, you can always run the ‘Content Type Hub’ timer job, wait a minute or two and then run the ‘Content Type Subscriber’ for the connected web app Gotchas In some site collections the Taxonomy Feature is not enabled. This may result in the failure to connect to the Managed Metadata Service and consume content types from the associated content type hub. This issue can be solved by running the following command from the command prompt: %stsadm% -o activatefeature -id 73EF14B1-13A9-416b-A9B5-ECECA2B0604C -url http://yourportalname

Always check the box to report syndication errors

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Slide 59

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

Publishing Options After enabling the ‘Content Type Syndication Hub’ feature, a series of publishing options become available on each content type.

Publish Makes the content type available for download for all web apps (and Site Collections) consuming content types from this location (via the Managed Metadata Service) Unpublish Makes the content type unavailable for download for web apps (and their underlying Site Collections) consuming content types from this location (via the Managed Metadata Service). Copies of this content type already being used by existing site collections will be unsealed and made into a local content type where the site collection administrator can make changes to the site.. Republish After modifying the Content Type at the hub level, it’s necessary to republish the content type before your changes are available for download to Web Application consuming content types from this location.

What gets published?

• Content Type with all the corresponding columns

• Template

• Policies

• Workflow associations (not the workflows – they must be imported manually)

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Extending Content Types Consumed content types can be extended once associated with a connected site collection. For example, the Site Collection Administrator of the HR site may chose to add another column to the Purchase Order content type Error Reporting When publishing a content type from the hub, the error reporting service captures any errors which prevent the Managed Metadata Service from publishing the content type to the connected site collections. For example, if the Document ID Feature is enabled on the hub, but not on the subscribing site, publishing fail until the subscribing site also has the feature enabled. This is a very important tool in larger implementations because there will inevitably be conflicts downstream which need to be resolved before successfully publishing can occur. Timer Service Content Type syndication is managed by two types of Timer Services that run periodically on Central Administration > Monitoring > Review Timer Job Definitions • Content Type Hub Timer Job - PUBLISHES content types and makes them available for

consumption • Content Type Subscriber Time Job - CONSUMES the published content types into its

associated web application and underlying site collections. Each job can be configured to run at specific intervals (e.g.: every 15 mins) and should you want to syndicate changes immediately, run the Content Type Hub job (for the applicable web app) first, then wait a minute or two and run the Content Type Subscriber job on the web app containing the site collection you want to consume the content type on.

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Slide 60

Planning Managed Metadata Services and Content Hubs

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Slide 61

Chapter 6Document and Web Content

Accessibility

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Slide 62

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

Governments are increasingly legislating to ensure web accessibility compliance, in the same way it occurred in respective disability legislation for building accessibility in the 1990’s. W3C tracks legislation at http://www.w3.org/WAI/Policy/ The Ontario government in Canada us currently making it legislatively compulsory. Barak Obama signed new legislation pass by the US Senate during the week commencing 11 Oct 2010 relating to Internet accessibility for the blind via smart phones. The current overhaul in Australia of disability legislation will also increase mandatory compliance requirements for industry in general.

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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

The Australian Human Rights Commission (HRC) is responsible for setting compliance standards relevant to Australia. Compliance is mandated under the Disability Discrimination Act, which applies both to the public and private sector. The landmark case for disability was against Target in the US, which had a punitive USD$6mill penalty awarded against it as its web site could not be used with assistive technology. Actions have been taken in Australia – at least one potentially high profile action is currently underway. For government, the Australian Government Information Management Office sets policy. In June 2010 AGIMO released the National Transition Strategy (NTS) for WCAG 2.0. By agreement with the states, WCAG 2.0 compliance will become mandatory for any federal, state and local government agency or any agency receiving government funding and which publishes information which can be said to be government information. Deadlines for initial compliance (Priority A) are December 2012, and full compliance (AA) by December 2014. Of critical importance – these standards apply both to external (ie internet) and internal (ie. Intranet) system delivered using web technology. This means not just an organisation’s intranet but all other systems delivered via a browser – and this will generally catch document and records management solutions, particularly where portal technology such as SharePoint is in use. Accessibility standards apply not just to web content – they apply to documents as well. MS Office provides the best support for producing accessible documents of all personal productivity software. Substantial problems can be found in Flash and PDF content.

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• 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

An Australian commercial company Typefi Systems, is a world leading solutions provider of communications / publishing automation solutions. Its main client base is in the US and EU. It features companies like Apple and Random House as clients. However it is also working with a number of United Nations agencies on accessible print standards and solutions. * The accessible tagged PDF standard (as distinct from PDF UA) is now in final QA. Typefi representatives are some of the 20 reviewers * The accessible tagged PDF standard is being released by the Disability Unit at the World Health Organisation * There are 4 groups targeted by this standard - deaf, blind, deaf and blind, and movement impaired * All this is public knowledge. What's not public is that it may be launched by Stephen Hawking - rumour at this stage • The first major publication released under the standard will be the World Disability Report

from the WHO, scheduled for June. It will be produced using Typefi Publish, in 6 languages and 5 formats - Clear Print (the RNIB accessible print standard), DAISY, PDF UA, ePub and Braille (the Braille one is not being produced by Typefi - Typefi is producing an XML stream which is being consumed by the Braille conversion solution)

A demonstration of Typefi is planned in June for AGIMO and the Department of Health and Ageing and other departments. Aside from accessibility, interest is being shown as automation improves quality but reduces typesetting and layout effort and costs.

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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

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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

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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

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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)

– Compliance Sheriff – provides SharePoint workflow for assessing accessibility and post-publication audit