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Coding Compliance Components

Coding Compliance Components. Writing Custom Policies for Auditing, Expiration and More Jason Morrill Program Manager Windows SharePoint Services. Agenda. Information Management Policies Records Management and the Records Center Additional records and compliance features Reporting Email.

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Coding Compliance Components

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  1. Coding Compliance Components Writing Custom Policies for Auditing, Expiration and More Jason Morrill Program Manager Windows SharePoint Services

  2. Agenda • Information Management Policies • Records Management and the Records Center • Additional records and compliance features • Reporting • Email

  3. Information Management Policies “Enabling an enterprise to define, instrument, and manage policies for how they use and retain information” • Standard definition and enforcement of business rules for content • Target both regulations and business needs • Automated for the information worker • Examples of policies • Expiration • Content format • Document identifiers • Differentiated along • Types of content • Places where content lives

  4. Retention and Expiration • Specify how long to keep content • Based on time period (Last modified+ 5 years) • Set programmatically • Specify an action to take when the event occurs • Delete • Run custom code • Start a workflow

  5. Labels and Barcodes • Enforce a particular string in a document • Base the string on a document property • “Confidential – Managed By: {ProjectManager}” • Add a barcode to the document • Pluggable interface for defining the format • Search for document using barcode • Enforced in the Office Clients

  6. Auditing • Events audited out of the box • Insert, Edit, View of an item • Workflow actions • Content Type or list schema change • Change audit settings • Check In/Out • Copy/Move • Delete/Restore deleted item • Event log deletion • Search queries • Security group changes • ACL changes • Plug in 3rd party events • New event definitions • Special class for workflows

  7. Custom Information Management Policies • Examples of new policy features you can build • Digital signature-based document integrity • Document “Hygiene” • Convert to Fixed Format • Tied to a content type and centrally managed • Parts of a custom policy • Feature definition • Custom user experience for management (ASCX) • Implement Ipolicy interface • Policy timer job • Long running job manages updating items when policy changes • Client OM • Access and act on policies in the client applications

  8. Policy Framework

  9. Reduce costs of retrieving information for legal discovery The Goals Of Records Management Reduce risk of non-compliance and legal liability Retain vital records for business continuity

  10. The Process of Records Management Records Manager Lawyers & Paralegals Knowledge Worker / Records Custodian Organize, Maintain, & Dispose Search, Hold, & Triage Collect Records Warehouse

  11. Our Records Center Records Manager Lawyers & Paralegals Knowledge Worker / Records Custodian Organize, Maintain, & Dispose Records Center SMTP & SOAP OFI Hold Collect Search, Hold, & Triage Windows SharePoint Services Policy Enforcement “Vault” Behaviors

  12. Our Records Center “Ship” To Records Custodian Nondigital records Records Manager 3rd-party imaging Knowledge Worker Desktop Items Send To SharePoint Lawyers & Paralegals Documents Exchange Mail Organize, Maintain, & Dispose Official File Records Center SMTP & SOAP OFI Hold Search, Hold, & Triage Windows SharePoint Services Policy Enforcement “Vault” Behaviors

  13. Management in place vs. Records Center • Policy features work in all SharePoint document repositories • Use permissions and workflows for in place records management • Retention requirements frequently outlive business value • Original document container no longer useful • Reduce amount of content exposed to end users • Legal hold special to Records Center • Suspension of policy is possible outside record center • Difficult to sufficiently enforce administration outside a records repository

  14. Records Center

  15. Legal Hold

  16. Records Center Extensibility • Custom Router • Process content on ingestion • Conversions • De-duplication • Route to 3rd party repositories • Submit new record types with SOAP API • Preserve existing categorization of content • Include audit events • Hold • OM for adding/removing items to a hold • Programmatic queries for items on a particular hold • Extend Hold use of “Search & Process” • New actions on search results • Custom Disposition Actions • Code to set an expiration event • Code to handle an expiration event

  17. Audit Reports

  18. Org. Health And Compliance Reports

  19. E-mail Integration • Managed Folders • Administrator defined expiration and quotas • Helps users organize their e-mail in a company compliant way • Helps get rid of the excess in a timely manner • Direct links to the Record Center from within Outlook • Helps users archive mail and attachments that are “corporate records” and apply the appropriate metadata as they become records

  20. Managed E-mail Folders

  21. Extensibility throughout • SDK Code available: Enterprise Content Management Starter Kit • Solution Builders • Vertical solutions • File plans, reports • Custom litigation hold UI • Custom record center submission • Workflows for expiration, vital records review, etc • Application Builders • New policy features • Add-ins to our OOB policy features • Record repository integration • Integration w/external storage • De-duplication

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