1. 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
3. Slide 1
Welcome
EDM Site Visits
Improving Information
Management
Simon Rawson and Suzette Bailey
Synergy Corporate Technologies / Sensory7
www.synergyonline.com / www.sensory7.com
3
4. 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.
4
6. Slide 4
Classroom and Facilities
• Class hours
• Breaks
• Bathrooms
• Telephones
• Mobile phones
• Questions
6
7. Slide 5
Chapter 1
ISO 15489, Records Management and
SharePoint
7
8. 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).
8
9. 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
9
10. 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
10
11. 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.
11
12. 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.
12
13. Slide 9
How Does SharePoint Stack Up?
Compared with MOSS 2007
there are significant
improvements
•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
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.
13
14. •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.
14
15. Slide 10
High level requirements of ICA
Module 2
15
16. 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.
16
17. • 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.
17
18. 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.
18
19. • 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
19
20. 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.
20
21. 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
21
22. • 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.
22
23. • 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
23
24. Slide 15
Boiling Down Further
• Email capture – including metadata
• Item security
• Physical and hybrid records management
24
25. 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
25
26. 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
26
27. Slide 18
NAA Checkup 2.0
• http://naa.gov.au/records-
management/check-up/index.aspx
• Walkthrough of Checkup 2.0
• Group discussion
27
28. Slide 19
Chapter 2
Microsoft Office SharePoint Server (MOSS) 2007
Learner objectives should be included as text within the notes section
28
29. 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
29
30. 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
30
32. 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 DocumentsSharePoint Drafts
– Local copies are deleted by check-in
• Check-in makes documents visible to others
• SharePoint Workspace allows check-out/in
version changes when offline
32
33. 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.
33
34. 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
34
35. 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.
35
36. 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
36
37. 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.
37
38. 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
38
39. 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.
39
40. Slide 29
Metadata driven scenarios
Global
Scope
Local
Managed Taxonomy Open Hierarchies Folksonomy
Level of Control
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.
40
41. 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
41
42. 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:
42
43. • 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
43
44. 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.
44
45. 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.
45
46. 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
46
47. 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
47
48. 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
48
49. 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
49
50. 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
50
51. 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.
51
52. 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.
52
53. Slide 39
Chapter 4
Holds, Disposition, Information Management,
and Content Organizer
53
54. 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.
54
55. 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.
55
56. 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.
56
57. 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.
57
58. 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
58
59. 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.
59
60. 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.
60
61. 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.
61
62. 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
62
63. Slide 48
Exercise
Application of SharePoint to real world
information management
Content types Lists & libraries
Filtering & metadata
Workflow
navigation
Taxonomy Forms
Metadata Metrics, KPI and dashboards
Labels, barcodes and RFID
External content types
(third party – FileTrail)
Records declaration & lifecycle Profiles, communities & social
management 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.
63
64. 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.
64
65. Slide 50
Process Maturity
• 5 levels (CMMI model)
– Initial
– Repeatable
– Managed
– Measured
– Optimised
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.
65
66. 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
66
67. * 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.
67
68. Slide 52
Main Governance Elements
Content
Management
Records
Risk Management
Education &
Management
Training Strategy
Strategy
Change
Management
Strategy
.
Information
Architecture
Governance
Infrastructure
Benefits
Communications
Realization
Strategy
Strategy
Governance
Framework SharePoint
Maintenance &
(Roles, Governance Review Strategy
Responsibilities,
Principals) Plan
68
70. 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.
70
71. 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.
71
72. 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.
72
73. 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.
73
74. 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
74
75. 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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76. 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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77. 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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