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

3. Agenda Information Management Policies Records Management and the Records Center Additional records and compliance features –Reporting –Email

4. Information Management Policies 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 “Enabling an enterprise to define, instrument, and manage policies for how they use and retain information”

5. 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

6. 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

7. 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 3 rd party events –New event definitions –Special class for workflows

8. 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

9. Policy Framework

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

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

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

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

14. 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

15. Records Center

16. Legal Hold

17. 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

18. Audit Reports

19. Org. Health And Compliance Reports

20. 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

21. Managed E-mail Folders

22. 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