Chapter 8 – Information Management Policies

MS Sharepoint 2010 – Admin’s Companion – P. 397 (4:55AM, 1/13/2011)

What is record management? The process by which an organization defines what type of information it needs to classify as a record, how long it needs to retain the information, and how it will manage the information throughout its life cycle.

retention policy – a document should be purged and destroyed after xxx year(s).

Records management roles —

Sharepoint administrator – create web app, and records center, configure the connection to the official file and let use submit documents to the record center.

Compliance Officer – legal dept. or lawyers. Understanding and interpreting regulations and rules. Develop formal compliance policy; internal monitoring and audit.

Records Managers – developing the file plan
that applies the compliance requirements document to the different types of information items that the organization produces. Understand business process; in charge of configuring the document libraries, retention rules in the site.

Content Managers – Create information items that will be designted as records. Configure team site with the appropriate content types and workflow.

Information Workers – employees in an org who creates new doc and email messages that need to be classified and routed to the records center.

File Plan —

A written document or set of documents that lists all the types of information that an organization receives or produces and how each one should be classified and handled.

Page 401 – 06:04AM, 11/13/2011

File Plan Elements —
Record Type – classification of the information. Each record type corresponds to a set of typical documents or messages that need to be tracked and managed.
Required Field – any additional information that will be required when docu os submitted for repository.
Retention – How long the document will be retained?
Disposal – How the document will be handled when it expires?
Audit – Whether access to the document will be tracked and logged along with the types of actions on the document that have to be logged.

Archived information is not considered as a record (after the retention expires).

What are Information Management Policies? (IMP)

Rules governing the automated management of documents, such as how long a file should be retained, or which actions on the file should be audited. Each rule in a policy is called a policy feature.

Policies in a record management system are configured by [records manager] to reflect the file plan requirement.

Two approaches inplementing policies —
(1) create indivisual policies for each document library if the requirements are unique to the content in each library.
(2) create site collection policies to cover an entire set of record types and apply them to several document libraries as needed.

When defining an information management policy, 4 features are available:
Rerention, Auditing, barcodes, Labels

**** After creating a policy, you implement it by associating it with a site collection, content type, list, or library. This association can be accomplished using one of the following 3 methods:
(1) Site Collection Policy —
(2) Content type Policy —
(3) List or Library Policy —

Implementing and Configuring IMP —

You can use the 4 IMP – retention, auditing, barcodes and labels – at the farm level using Central Admin. P.404
Central Admin à Security à Information Policy

Click on Labels or any other of the IMP, you see this:

Defining a Retention Policy —

A retention policy
allows you to specify how long a document will be retained and what will happen to the document throughout its life cycle. This is achieved by defining stages
in its life cycle that occur sequentially.

TO configure Policy in Site Collection, go to the site collection, Site Actions à Site Settings, click Site Collection Policies.

Click Create to create a policy

Enable retention, and…

Add a retention stage…

Event – the event that activates the stage based on a date property
Action – the action that takes place during that stage
Recurrence – optionally, force the action to occur repeatly.

The activation of an event is driven by a date property on the item or a custom event formula
located on the server.

Multiple retention stages —

Stage 1 – one year after creation, it become a record, and delete all previous versions of documents.
Stage 2 – 3 years after a document was declared a record, it is archived to another location
Stage 3 – 7 years after it was declared a record, deleted permanently.

Auditing —

Allow you to log events and operations performed on documents and list items.
P. 409 — 01/13/2011, 11:02PM

The Audit feature allows you to log events and operations performed on documents and list tiems
(tracing and tracking changes).

To associate a list/library with a specific IMP policy, go to the list/library settings Permission and Management, click IMP settings,

To unset/add/use an existing policy:

To see the audit log, go to site collection’s Site Collection Administration page, and click Audit Log Report:

When retrieving a report, specify a location in Sharepoint where you want to save the report – I picked Shared Document. Selecting a list doesn’t appear to work.

Bar code: When you enable Bar code feature, and upload a Word file to a library, and download it and try to porint, you will be asked to whether to insert bar code.
Only works with WORD.

Labelling – Sharepoint 2010 automatically generate searchable text areas that are based on a formula that can include static text and document metadata.

Labels and barcodes are not generated when the document is added to the library. They will not be applied until changes were made.

IMP usage report is in the Monitoring section —

The usage report and policy definition will be saved in a URL you prefer. (a library)

Implementing and Configuring a Record Center —

To configure a Records Center, yoou begin by defining the content types
that will be used to classify records in your enterprise.

For every record type in your file plan, create a corresponing content type. Content type supports inhereistance – but only within site collections
— , so you can base a new content type on aother one.

**** If you need to re-use the same content types among multiple site collections, use Managed Metadata Service application – use one site collection as a hub, publish it to other sites.

Creating Records Center – You should create the Record center
in a separate Web Application with the Records Center template
selected as the tempate for root site collection.

Feature of Records Center —
(1) Content Organizer
(2) Email Integration with Content Organizer
(3) Hold and eDiscovery.

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01/15/2011, 06:38AM

When a record is sent to the records center, it is placed in the Drop Off Library until the Content Organizer rules are accessed, at which point if there is a destination based on the content type or metadata, it is sent to the record library.
To manage your record center, (Create new web application, a new top site collection using Record Center template….) Site Action à Manage Record Center

There are 3 web parts on the RC management page:
(1) Setup tasks and File Plan Creation —
(2) Common Records Management Tasks
(3) Create Content Organizer Rule

When creating a content organizer rule, you select a priority (1-9), when the record matches more than one policies, then the one with highest priority is used. 1 is the highest.

If there are multiple conditions in the rule, all conditions must be met in order for the record to be routed to the destination.

Creating Records Libraries —
Record libraries
serve as the storage location for files in Record center. Each library can hold one type or many different types of files.

In Record Center, use Record Library Template
to create a Record Library. Each of the libraries will have IMP policies
applied to them. You can apply one policy for the entire record library, or one policy per content type in one library.

Creating a Farm-Level Send To
Option – Two places where you can define it:
(1) Document Library’s Advanced Setting
(2) Central Admin (ADVANTAGE: Once you defined here, every user in every web application in the farm can use it).

Where in Central Admin to configure Send-To? Central Admin à General Application settings à External Service Connection à Configure Send-To

When configuring the Send to location/address, use the URL of the Record Center as destination: (……./OfficialFile.asmx)

Placing a Hold on Records – In Record center you can place a HOLD on documents, preventing them from being deleted/purged. It involves creating a new item in the Hold List.

Site Actions à Site Settings à Hold and eDiscovery. (Search and Add to Hold)

Create a “Hold” tag so later you can assign record to this tag.

Or, you can go to the record library, right click a document, and select Compliance Details:

Add or remove record from the HOLD.

Generating a File Plan Report – (In Record Center Management)

Generating an Audit Report —

Implementing In-Place Records – a feature that allows you to declare any documents as a record – eliminate the need to have to send every doc to the RC. This is a site collection feature
that needs to be activated. After the documents are declared as record, they are in-place records.

You need to activate the in-place record feature at the site collection level:

Once activated, you wills ee the– Record declaration settings

setting of in-place record:
(1) Record restrictions: <1> no restriction, <2> block delete or <3> block edit and delete.
(2) Record Declaration Availability — <1> can be declared manually in lists/libraries or <2> has to go through policies or workflow
(3) Declaration Role – who can declare and undeclare record?

Configuring In-Place Record in List/Library —

You can go to the list/library settings page, and click “Record Declararion Settings”. You can make all incoming list items/library files automatically a record.

You can declare individual document to be a record (right click à Compliance Details)

You cannot edit and save a list item that is an in-place record (if bloc edit and delete).

Or, right click a document, and press the Declare Record in the ribbon area. There appears tobe no “Undeclare Record” button.

Once declared a record, a lock will appear at the bottom of the icon.

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