OFC313 – PRESENTED TO WELLINGTON RMAA OCT 2007
Make Your Mark.
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• Provide an overview and update on where Office SharePoint
Server 2007 fits with the New Zealand Public Records Act
• Provide overview of document management and records
management capabilities in Office SharePoint Server 2007 and
Office 2007 client technology
• Highlight the new core integration for storing emails from
Exchange 2007 as records in Office SharePoint Server 2007
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• Enterprise Content Management Overview
- Where does document and records management fit into the stack
• New Zealand Public Records Act 2005
- What does PRA and the American approach mean to us and SharePoint
• Document Management
- New SharePoint concepts and the client authoring experience
• Records Management
- Records from inside and outside SharePoint
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• My good friend Jeff rings me on my work mobile…
• Wanting to catch up for lunch…
• Lunch will be 2 days before a services proposal closes…
• Which Jeff’s software company is bidding for…
• For a Government department…
• For which I just happen to be the CIO!
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ECM Business Drivers – Why Care?
1
2
Compliance
Consolidation
• PRA 2005
• ERKSS
• AS ISO 15489
• DIRKS
• File Servers
• Niche Content Systems
• Legacy Systems
Organisations are reviewing their
business processes and how they
manage the information assets that
support these processes
3
4
Operational
Efficiency
Content Explosion
• Central Storage
• Policy Enforcement
• Legal Requirements
Make
Your Mark.
• Lifecycle
• Personal Storage
• Versions
• Cheap Storage
• Digital Explosion
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Solutions built on Windows SharePoint Services 3.0 platform
Collaboration
• Team sites
• Project sites
• Documents,
tasks,
calendars
• wikis + blogs
• site search
Portal
Search
• Intranet
• Application
Portal
• Personal Sites
• Content
Targeting
• Federated
Search
• Person search
• Business Data
search
Provided by WSS
Content
Management
• Document
Management
• Records
Management
• Web Content
Management
Business
Intelligence
Business Forms
• Rich client
forms
• Web forms
• Application
User
Interfaces
• Server based
Excel
spreadsheets
• Report Centre
• Business Data
Catalogue
Provided by Microsoft Office SharePoint Server (MOSS)
Storage
Security
Workflow
Management
Topology
Core services provided by WSS
Windows SharePoint Services 3.0 platform
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ECM Functional Architecture
Office client
Browser
Custom Apps
SharePoint Designer
Visual Studio 2005
XML Web Services
Office SharePoint Server
Workflow templates
Office Policies
Records Management
Web Content Management
Workflow integration with Office client
Audit Policies and Reporting
Windows SharePoint Services v3
Content Types
Document libraries & Lists
Rights Trimmed UI
Single Item Permissions
Check-in/Check-out
Major/Minor versioning
Revision History
Event handlers
SQL Server
Storage
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Document +
Records + Web
Content
Management +
Forms
Document
Management
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The American Approach…
Declare
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The Australasian Approach…
Declare
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The Australasian Approach…
Individual and Team
document collaboration
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PRA - Public Records Act
• A record is "evidence of a transaction" created or
received by an organisation or its agents in the course of
business
• Guilty until proven innocent
•
Until proven otherwise a document is a considered and treated as a
record
• All documents are records, but not all records are
documents
• Emails
• Image files (CAD engineering drawings)
• Paper files
• Text Messages
• Instant messaging
Make •Your
Mark.
Voice
Mail
PRA – more than just technology
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PRA and MOSS
• WSSv3 has rich document management features but is
not a targeted platform for providing a technology solution
to support PRA compliance
• Due to the focus on the American approach there are
gaps with MOSS out of the box as a technology solution
to support PRA compliance
• Most documentation and resources on the web are based
on the default Records Centre within MOSS which targets
the American approach
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American Department of Defense 5015.2
Standard Certification
• Applies to Microsoft Office SharePoint Server 2007
• Scheduled for later in 2007
• Additional Software and Whitepapers
•
provides the additional functionality to meet the DoD 5015.2
criteria
• Functionality:
Metadata Propagation
File Plan Builder
http://www.microsoft.com/presspass/press/2007/may07/05-29SharePointDoDPR.mspx
Cutoff
Supplemental Markings
Unique ID
Vital Review
Disposition
Multiple Locations
Email
Folder holds
Expunge
Close Folders
Referencing & Linking
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PRA and MOSS
Organisational Maturity:
• IA/RM owner
• Experienced with process rigour
• Has: Classification, Retention and
Disposal Schedules, File Plans
• Existing systems
Compliance
Organisational Maturity:
• No IA/RM function
• Little or no process rigour
• Poor user adoption
• No classification or fileplan
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Simple
Intermediate
Sophisticated
PRA and MOSS
MOSS +
Office 2007 +
3rd Party advanced solutions
MOSS +
Office 2007 +
DoD & PRA Features
Compliance
MOSS +
Office 2007
WSS v3 +
Office 2000/03
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Simple
Intermediate
Sophisticated
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Authoring Experience
• Document management client
•
•
Customisable InfoPath property panel
Business bar to expose enterprise policies and processes
• Documents in Outlook
•
•
Offline documents in Outlook
Document previews (Word & PowerPoint; extensibility)
• Tools to Create “Final” Versions
•
•
Extensible document inspector
Make final
• Collaboration
•
•
Improved document comparisons (Microsoft Word)
Document signature experience
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Document Information Panel
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Document Information Panel
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Prepare Documents
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Document Comparison
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ECM with Microsoft Office
Office Professional Plus 2007
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Office Professional Plus 2007 +
Windows SharePoint Services v3
Office Professional Plus 2007 +
Office SharePoint Server 2007
Available Features For Document
Approvals & Content Management
Windows SharePoint Services V3
Content types
Document Labels & Barcodes
Information Rights Management
Information Management Policies for
retention, expiration, legal holds
Windows Workflow Foundation
Out-of-the box workflow templates
Team Sites for storing documents
Managed, large-scale Document
Repositories
Audit policies, audit history and reporting
Use Document Information Panel to
collect advanced Metadata from Office
Professional Plus or Enterprise 2007
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Office SharePoint Server 2007
Authoring Apps
Outlook
Browser UI
Microsoft Office
SharePoint Server
Out of the box
Microsoft Visual Studio
SharePoint Designer
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• Better control of content updates
•
Granular security with inheritance
•
•
•
•
•
Library, Folder, Item
Enforce checkout
Major/Minor versions
Version history management
Enforce approval before publishing
• Specialised sites and libraries
•
•
Document repository sites
Slide library
• Rich content organisation
•
•
•
Content Types
Metadata shared with document contents
Tracking of copies and alternate renditions
Make Your Mark.
Make Your Mark.
• Core infrastructure improvements
•
•
•
•
Heterogeneous metadata
Reusable types across places
Management via hierarchy
Applicable across items, documents and folders
• Built-in behaviors around content types
•
•
•
•
Schema/metadata requirements
Document template
Available workflows
Policy settings
• Extensible behaviors
•
•
•
Customizable edit/display forms
Events anchored by type
XML storage to define custom behaviors
Make Your Mark.
Parent Type
• Client Code
• Business Unit
• Security
Clearance
Contract
SLA
Presentation
Specification
• Effective Date
• Response Time
• Date Presented
• Architect
• Lawyer
• Application
• Audience
• Lead Dev
• Application
Make Your Mark.
Make Your Mark.
Account Manager
Account Manager
Account Manager
Client A
Client B
Client C
• Contracts
• Contracts
• Contracts
• SLAs
• SLAs
• SLAs
• Presentations
• Presentations
• Presentations
• Specifications
• Specifications
• Specifications
Client A
Client B
Client C
• Contracts
• Contracts
• Contracts
• SLAs
• SLAs
• SLAs
Marketing
• Presentations
• Presentations
• Presentations
Quality
Assurance
• Specifications
• Specifications
• Specifications
Legal Team
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Document Library
Document Library
Document Library
Client A
Client B
Client C
Content Type
• Contracts
• Contracts
• Contracts
Content Type
• SLAs
• SLAs
• SLAs
Content Type
• Presentations
• Presentations
• Presentations
Content Type
• Specifications
• Specifications
• Specifications
Make Your Mark.
• Better long term control of content
•
consistently and uniformly enforce
• Labelling
• Auditing
• Expiration
• Specialised sites and libraries
•
•
•
Records repository site
Record Routing
Secure user access
• Rich content organisation
•
•
Record repository specific metadata
Maintains audit, version history and metadata context
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• Consistent definition and enforcement of content behavior
• Differentiated along
• Type of content
• Location of content
• Examples of policies
• Expiration
• Content format
• Content identifiers
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• Out-of-the-box features and extensibility
•
•
•
Expiration: Allows custom time periods and actions.
An expiration action can kick off a workflow.
Auditing: Our audit log is designed to be extended. Our reporting features
treat “add-on audits” as first-class citizens.
Labels/Barcodes: You can create your own schema, numbers, text, or
pictures to be attached to any item in our repository. These are typical
SharePoint fields and are indexed for search.
• You can build your own or replace any of these
• Examples of new policy features you can build:
•
•
•
•
De-duplication
Digital signature-based document integrity
Document “Hygiene”
Convert to Fixed Format
Make Your Mark.
Records Manager
Organize,
Maintain, &
Dispose
Collect
Search,
Hold, &
Triage
Knowledge Worker /
Records Custodian
Lawyers &
Paralegals
Records Warehouse
Make Your Mark.
Records Manager
Organize,
Maintain, &
Dispose
Records
Repository
Policy
“Vault”
Enforcement Behaviors
Windows SharePoint
Services
Make Your Mark.
Hold
Knowledge Worker /
Records Custodian
SMTP & SOAP OFI
Collect
Search,
Hold, &
Triage
Lawyers &
Paralegals
“Ship” To
Records
Custodian
Nondigital
records
Records Manager
3rd-party
imaging
Desktop
Items
Send To
Documents
Exchange
Official File
Records
Repository
Policy
“Vault”
Enforcement Behaviors
Windows SharePoint
Services
Mail
Make Your Mark.
Hold
SharePoint
SMTP & SOAP OFI
Knowledge
Worker
Organize,
Maintain, &
Dispose
Search,
Hold, &
Triage
Lawyers &
Paralegals
Make Your Mark.
Better Control of E-mail Traffic & Content
New Exchange 2007
features …
Create ethical walls that
isolate an individual or groups
Filter emails based on content
Initiate journaling to send a
copy of specified email types to a
secondary location
Enable Business Solutions
Comply with regulations that restrict
communication between brokers and analysts
(Fin) or Conflict of Interest (Legal)
Scan for Identity Numbers (credit card#,
medicare#) to ensure that they are not
accidentally sent outside the organization
Many government regulations require that
organisations journal e-mail for some, or all,
users, and store in a Records Repository
Add specific policies to emails
Require encrypted delivery of any message
containing specific confidential information
Flag messages for special
handling
Easily add headers such as “company
confidential” and “attorney/client privileged”
Make Your Mark.
Messaging Records Management
Building Blocks
• Exchange Server ‘Hub Transport’ Role
•
•
New role for Exchange Server 2007
All traffic – internal, incoming and outgoing –
goes through the Hub Transport.
• Managed Folders
•
•
•
Special folders setup by Exchange Adminstrators
Exposed to Selected Users – available via Outlook
E-mail handling policies for Records Management
and Classifications
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Hub Transport Server - Conditions
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Hub Transport Server - Actions
Log an Event with Message
Prepend the Subject with string
Apply message Classification
Append disclaimer text
Set the Spam-Confidence-Level
Remove Header
Add a Recipient in the To field
BCC the message to {addresses}
Redirect the message to {addresses}
Send Bounce-message to the sender
Silently drop the message
Make Your Mark.
Records Management for Email
Folder Policy
Statement
Emails placed in
Managed Folders
are automatically copied to a
SharePoint Records Repository
based on configured policies
Make Your Mark.
Message Classifications
Special handling of certain 'classes' of e-mail
Exchange Server:
Administrator configures
Transport Hub Rules
Make Your Mark.
Client:
User manually sets
Classification with Outlook or
Outlook Web Access
Setting a Message Classification manually
Found on the
Office / Permission
menu
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Message Classification – Info Banner
Help your regulated users
stay compliant
Make Your Mark.
Final thoughts
MOSS Can’t:
Define for you your fileplan
and taxonomy
But it can:
Provide the features to
realise them
Define for you your
business process
Provide the features to
facilitate them
Define for you your
retention and disposal
policies
Provide the features to
enforce them
Manage the inevitable
cultural change
Encourage user adoption
Revolutionise you from a
basic to sophisticated level
overnight
Provide you a platform for
strategic evolution
Make Your Mark.
Evaluation Forms
SharePoint and PRA Resources
Microsoft ECM and RM Team Blogs
ECM Team Blog - http://blogs.msdn.com/ecm
Office and SharePoint Technologies
Community Portal - http://sharepoint.microsoft.com/sharepoint
Office Online - http://office.microsoft.com/en-us/sharepointserver
New Zealand standards
PRA Site - http://www.archives.govt.nz/publicrecordsact.php
Continuum Site - http://www.archives.govt.nz/continuum
Digital Records - http://www.archives.govt.nz/continuum/digitalrecordkeeping.php
International standards
Australia - http://www.naa.gov.au/recordkeeping/dirks/summary.html
ISO 15489 - http://www.datacapture.co.uk/information/ISO-15489.htm
Sarbanes Oxley - http://www.soxlaw.com
DoD 5015.2 - http://jitc.fhu.disa.mil/recmgt/standards.html
Make Your Mark.
General Resources
Technical Communities, Webcasts, Blogs, Chats & User Groups
http://www.microsoft.com/communities/default.mspx
Microsoft Learning and Certification
http://www.microsoft.com/learning/default.mspx
Microsoft Developer Network (MSDN) & TechNet
http://microsoft.com/msdn
http://microsoft.com/technet
Trial Software and Virtual Labs
http://www.microsoft.com/technet/downloads/trials/default.mspx
Make Your Mark.
© 2007 Microsoft Corporation. All rights reserved. Microsoft, Windows, Windows Vista and other product names are
or may be registered trademarks and/or trademarks in the U.S. and/or other countries. The information herein is for
informational purposes only and represents the current view of Microsoft Corporation as of the date of this
presentation. Because Microsoft must respond to changing market conditions, it should not be interpreted to be a
commitment on the part of Microsoft, and Microsoft cannot guarantee the accuracy of any information provided after
the date of this presentation. MICROSOFT MAKES NO WARRANTIES, EXPRESS, IMPLIED OR STATUTORY, AS
TO THE INFORMATION IN THIS PRESENTATION.
