legal content management on sharepoint 2010

Legal Electronic Content Management

SharePoint 2010 Perspectives

Thank you to Sponsors!

About Me – 1st SharePoint Saturday! Current - Consultant

Manage team of SharePoint Admin’s, Developers, and BA’s

Evangelist on ECM/LECM, Search, Information Architecture

3 LECM deployments on SP 2010 Skillset: SharePoint, IA, SaaS/Cloud

Previous – Entrepreneur Co-founder of

SharePointHosting.com Deployed 100+ hosted SharePoint

farms Been on SharePoint since 2002

Isaiah

Get in touchEmail: isaiah.campbell@gmail.comBlogs: http://www.365tutor.org http://www.bpostutor.comPhone: 610-416-0478

Today’s Agenda

Overview of LECM Landscape Which SharePoint capabilities to

leverage Custom development (where and

why) Putting it all together How to get started Q&A

Goals for This Session Share some insights gained from LECM on SharePoint Planning framework for implementing your own solution Approaches for building key functionality

not present in the platform but required Integrating with other systems

SharePoint as the DMS…another platform as the metadata engine

Showing a few examples to help visualize what we’re talking about

Go out and start building “Collaborative Case Management on SharePoint 2010”!

INTRODUCTION AND BACKGROUND

Microsoft’s Case Study on LECM

Microsoft Legal uses SharePoint and the Colligo Outlook plug-in

Effectively manages- Documents- E-mail- Media

http://www.microsoft.com/casestudies/Microsoft-Office-Professional-2010/Microsoft/Microsoft-Legal-Group-Turns-to-Company-s-Own-Software-to-Improve-Document-Management/4000008264

Collaborative Case Management – Legacy Integration in 1-2-3

Legacy Case Mgmt., CRM or Proprietary

Software

- Great Metadata- Used by team- BAD at Document

Management- OLD Platform

SharePoint 2010

Want to use- Case #’s- Client ID’s

SP sends back- All items or

docs with a case or client ID

iFrame custom search results page

Managed Prop Qeury “clientid:12325”

Goals of LECM Scale & Centralize Content

SharePoint obvious fit Improve Access & Discovery

Leverage predictable, repeated information organization practices Leverage information for re-use and search

Manage Content (IP) Effectively No more e-mailed versions (get me out of the Inbox) Check out / Check in with version history

Integrated Experience Great publishing experience with Office Client

Wildcards? Mobile (future) Co-authoring and document assembly

Factoid

Legacy LECM platforms do the metadata well (clients, matters, entities, data model) but SharePoint does doc management better!

Legal ECM – Functionality Desired by Stakeholders Governance / Entity Management Agreement management Forms & Administration Case Management IP Management HR + EH&S (Especially in manufacturing) Compliance Risk Management eDiscovery search and holds Life cycle process (approval, retention, etc) Alerts on content and key dates

“We need a system to help manage the document and information centric processes in our

business...and a better archive”

What Do the Legal Folks Say?

Users say they need

Better Data

Less Errors

Organized

Reports

Less Emai

l

LECM Functionality Landscape

Law Firm

Legal Functio

n

• Law Firm• Attorneys• Clients• Matters

• Document Assembly & Forms• Reminders

• Legal Function (or Department)• Entities / Governance• Matters, M&A, etc• Compliance (SOX, etc)• Forms• Reminders

Overlap in functionality but differ in architecture and processes

Dashboard

My CasesMy ClientsMy Docs..My Ticklers

LECM Landscape – SharePoint Structures

Client

Matter

Pleadings

Discovery

Matter Matter

Research

Legal Function

Secretariat Matters

Discovery

Agreements M&A Deal Rooms

Forms & Administrati

on

Site Collection Based Web App Based

Roll ups

Sub-sites for new matters

Site Cols for Each Client

Site Cols for specific

functionality

Contracting System

Libraries for content

Law Firm versus Legal Function/Department

Legal Department/Function All legal functions

Matters Governance Compliance Agreements EH&S Secretariat / Entity

Management And more…Few core site

collections and content DB’s in

dedicated web app

Law Firm Clients

Matters

v

Client

Matter1

Matter2

Matter3

Research

Site collection per client with sub

sites per matter

Content Centric View

Content is still king – practice information architecture Focus on types, classes of content

De-focus on departments, groups, etc This allows for content to flow (we need this later)

Focus on mandatory participation De-focus on opt-in (this all ties to search & filtering)

Deliver key automations Auto-tagging Event receivers

Focus on telling the value story Tagging content = findability and better use!

Information Architecture Information Architecture (IA) for SharePoint deals

with the design and use of data in two high-level areas Structures

Taxonomy Metadata Site Maps Navigation Filters

Lifecycle Workflow Retention / Expiration Integration

Analogy – Data Model for Unstructured Content

Physical assets are tagged and tracked Accounting systems have chart of accounts BI / Reporting systems have star schemas

SharePoint no different > it has information architecture (taxonomy, metadata, site maps, etc)

vs

Why focus on Information Architecture IA is a capability of SharePoint and IS NOT configured

out of the box IA is the process and plumbing for the system Adds critical structures to “unstructured” data Used by every SharePoint sub-system Elements converges on “Accessibility”

Finding what you need when you need it

TakeawayPrerequisite for SharePoint usability / ease of use / success with search is a highly planned information architecture for content

SharePoint Accessibility

Search

Audience

Experie

n

ce

Content

Navigation

Accessibility

Convergence of Platform Elements• Search• Navigation• Audiences• Content• Experience

SharePoint Accessibility Access to the “stuff “ I want or need in an easy to understand,

consistent experience on any device.

I want to be able to Click and find and sort Search and refine Track and monitor

I want this process to be Consistent Intelligible with low to no training (transparent) Relevant to what I assume you already know about me

IA - How to do it right You need a deep, rich and well thought out taxonomy that

covers your business data end to end

Transformation of Great IA

Part of taxonomy relevant to document

Other user or system added fields

Transformation of Great IA

Governance type column

Perspective – Go get it from your Records Manager(s) Records management blind spot

SharePoint Admins, Developers and Architects are not certified Records Managers

We have to ingest policies, figure out how to apply Big compliance risk if we get something wrong

Call to action Records management is refactored in SharePoint Go talk to your records manager(s) Get the policies and retention schedule(s)

Used to help create taxonomy See how your Content Types match up (or not) Remember

1:1 relationship between SP Content Type and Expiration policy

SHAREPOINT 2010 FEATURE SET

Features – The Building Blocks Document ID Service Content Type Hub Managed Metadata Service Metadata Navigation Records Libraries, Drop Off Libraries and Records

Centers Document Sets ILM Search What's the story of in-place vs centralized records

management

Document ID Service Site Collection Feature Provides unique identifier to documents Retrieves documents anywhere across platform (even if

moved)

Content Type Hub & Managed Metadata Service Content Type Hub

Site Collection designated as a gallery for farm-wide content types

Timer jobs pick up these content types and syndicate / publish them across the farm

Enables standardization, application of structure and policy (ILM)

Managed Metadata Service Provides some of the plumbing for content type publishing Also provides the Term Store

Metadata Navigation Site Feature Provides in-library Filtering and Navigation

Records Center Specialized site template Activated relevant features You configure drop off library (inbox with item validation)

Content organizer rule You scale out libraries In large scale deployment you may have

multiple Records Center site collections one or more content databases for each site collection Dedicated archive web application

Records Library Can be created on any site Lock down contents (automatically declare items records) Can turn regular document library into Record Library by

effectively enabling in place records management

Drop Off Library Inbox for a Records Site Destination for “Send to location” from other sites Leverages the “Content Organizer”

Routes content based on rules Timer job based User nag e-mails

Great because you upload and classify once and the organizer settings do the rest Example can add items to the repository without user action (or

access!)

Drop Off Library

Drop Off Library

Docs

Business Rules Applied

Financial

Contracts

Other

Document Sets “Smarter Folder” Folder has metadata (a content type)

Some is unique and some can be shared with items Content types inside the folder inherit metadata from

parent Shared column values pushed into items inside

Contents of folder can be treated as a single item as in workflow, routing, folder receives unique doc ID

Entire folder or contents unique can be retained or expired

Very powerful feature!

Document Sets

Document Set

Search Search is a huge tool for a LECM scenario

Suitable tool for creating cross-site, cross-list, cross-library data roll ups

How it works Create Content Types Map crawled properties to managed properties you’ve created Customize search scopes Customize advanced search (adding properties) Add facets and refiners to search results page If necessary, add column and managed property for unique “caseID” or

“clientID” etc Allows click through iFrame from other legacy apps displaying all Client or Case

related docs Search security trims results already… pretty slick solution

ILM A policy applied to records and non-records

Docs

Undeclared

Records

Collaboration docs- Delete all previous versions after 12 months

Records- Move to

records Center

- Delete after 5 years

ILM Policy

Policy can be Applied to whole site Policy events are captured and audited (nice!) Attached to a content type Rules are not granular or filtered

Example Keep UK Agreements 7 years and US Agreements 10 years (Country being a metadata column in the Agreements content type)

How to deal with this is covered later

Centralized vs In Place? Retain or expire in place?

Probably not a great idea in more circumstances You want your collaboration areas clean, uncluttered and you

want to be able to archive / delete them easily Centralized

Good idea Dedicate a web application Understand how you’ll need to scale up, out (sites:contentdb’s) Consider it an archive Can be focal point / receiving area for cross farm records More future flexibility to either change your DMS solution or

anything else you do with SharePoint

DEVELOPMENT & CUSTOMIZATION

Development Areas

Content Types Event receivers ECB Menu Items Metadata driven retention External data (BCS) Search

Content Type Development Content Type Hub Capabilities help to reduce Content

Type development in SharePoint 2010 May still be necessary from time to time

May require a custom content type provisioned with a core feature that deploys a custom column type (example one that contains filtering)

Event Receivers Listens for .update event May fire synchronous or asynchronously Are attached to a content type Typically fire when you add an item or open it in an

editing screen What are they used for

Updating hidden column values Calling other services that perform an action to provide data Use them a lot with custom retention (instead of custom

formula) Some complexity when deploying from a Content Type

Hub feature deployed/activated at hub and subscriber and then

activated on subscribing site once content type is successfully published

ECB Menu Items Edit Control Block is the document or list contextual drop

down that appears giving options such as Check out Can add custom items Add item/actions to perform activities such as

Update retention Add a reminder event / tickler on that document

Metadata Driven Retention (or filtered retention) OOTB SharePoint Limitation

1:1 SP content type to policy Need filtered retention

Most retention policies have multiple periods per classified content type

Two custom options Custom retention formula

Registered on server May use SharePoint list a look up table (slower) or a table

Event receiver with service and timer job Attached to content type Write service to apply correct retention period (today’s date + x years) Custom timer job to find and delete items when retention = today

External Data (BCS) Can use BCS to load terms into term store Helpful when content types have columns with

information updated and driven by other systems IE Vendors, 3rd Parties, Entities, Contract #’s, etc Managed Metadata fairly scalable (about 30K terms in a term

set)

Search (results pages) Customized search results pages can be very powerful By modifying properties you can bring in additional

functionality Check out, check in, add reminder, etc.

Change styling Can make experience closer to that of a document library

Huge value Search is a cross platform tool

PUTTING IT TOGETHER

Challenge – Defined Alerts with Outlook Integration Implemented custom ECB Menu and Calendars

Case Management

HOW TO GET STARTED

Tips for Getting Started Engagement framework How to deal with paper Good practices Sizing and scaling considerations

SharePoint 2010 ECM Approach

Paper Find a robust ECM vendor

Some friendly SharePoint ECM vendors include KnowledgeLake PsiGen Don’t OCR/ICR/OMR inside SharePoint (not really core strength) Avoid cover sheets with check boxes for written options

These will be come indexed values in many cases and lead to poor/false hits in search results

Good practices Try and separate “business processes” from archival

Example > don’t have your contract review and approval process co-located in your LECM Record Renter site collections

Do create a separate site collection and route approved contracts to drop library

Fine grained, granular permissions Avoid unique permissions in your archive IF you do need it, get Titus or build your own metadata filtered

permission module Live and die by your taxonomy

Do everything you can do to avoid orphaning anything - items, columns, etc (NO LOCAL COLUMNS!)

Good Practices - Continued Don’t underestimate migrating large quantities of paper

or image-based documents into SharePoint There are many tools that help, but test any tool with all column

types and values Recently found many commercial products do not integrate well

with Managed Metadata Columns or Records Libraries Avoid the Managed Metadata Search Bug with Column

Name Spaces No spaces in your managed metadata column names! Will lead to an index is outside the bounds of the array error >

and zero search results

Sizing Considerations Size of your archive, growth over life of system

Impacts sizing, design, etc. Location of physical files (will SharePoint be the system of

record?) May need to indicate location of box, etc.

Global regulations Certain interpretations of EU regs would require a EU located SP

farm RPO/RTO

Large SQL archive (up to 1TB supported) takes awhile to backup and recover

Might want to look at EBS/RBS (StoragePoint for example)

Global Organization Footprint Example

US FARM EU FARM

CDB1 CDB2 CDB3

US MMD Serv App

Content Type Publishing

NA Contracts

US Search Service App

Matters ROW Contracts

Content Hub

Legacy CMS

External Content Type Sync (Matters, Entities)

Managed Properties Queries

Custom results page displayed in

iFrame

Entity and Matter Sync

Scale Up

Read through the scalability recommendations Choose to create new folders for every 2,500 items MS says 30 million docs in a library is support – want to

try it? Recommend breaking things into more libraries and sites

if you get that large!

http://technet.microsoft.com/en-us/library/cc262787.aspx

http://technet.microsoft.com/en-us/library/cc263028.aspx#plan_ent_typlarge

Thank you! Q&A

Helpful LECM Links http://speditformprefill.codeplex.com/

Developed during recent project Lightweight way to populate columns in properties screens

http://sp2010metadataimport.codeplex.com/ Managed Metadata Import developed during recent project Allows for re-use of GUIDs

http://www.bpostutor.com/post/Features-Event-Receivers-and-Content-Type-Publishing-Hub-on-SharePoint-2010.aspx Deployment of Features, Event Receivers with the Content Type Hub

http://www.bpostutor.com/post/Avoid-Spaces-in-SharePoint-2010-Column-Names.aspx Never use spaces in MMD column names

http://www.bpostutor.com/post/Hidden-SharePoint-2010-Feature-Changes-Document-Titles-in-Search-Results.aspx Optimistic Title Override

SharePoint Community in Philadelphia Tri-State SharePoint Users Group

SharePoint (2010 & 2007) Administrators Developers IT Pros

Keynote and related Hands-on Lab each meeting “On SharePoint Development”

Our lecture series on general SharePoint Development topics and how to improve those skills

Meetings: 2nd Tuesday of the month, 5:30pm – 9:00pm, Microsoft Malvern MTC

Website: www.TriStateSharePoint.org Email: info@tristatesharepoint.org Twitter: @tristateSP