Implementing a Records Repository Site and File Plan

Managing records in MOSS 2007 is accomplished by planning and implementing a records repository site. This site, based on the out-of-the-box Records Repository Site template, provides the features for the implementation of your file plan and management of the records while they are being retained.

To design a records repository site, follow these steps:

1.	Plan the document libraries you will use for records retention.
2.	Document the metadata for each record type. The metadata will translate into document library columns.
3.	Document policies, such as retention periods and auditing requirements, for each type of record that reflect your enterprise’s storage requirements.
4.	Plan the record routing table. The record routing table will map each type of record to the appropriate library in the records repository site. This table is used to determine how to classify and route the documents to the appropriate library based on the plan.
5.	Define your site columns. Site columns are used to create the content types that are to be retained. For example, you may want to create columns like “Stock Options.”

The records repository site template

The records repository site template combines many of the features of MOSS 2007 with records management features, providing an integrated experience for users. Site features that are not suited to a records center, such as a picture library or discussions, are hidden by default. The following sections go over the records repository features.

Record routing

When a document is moved to the repository, the record will be automatically moved to a document library based on its type. The mapping of document types to libraries is accomplished in the record routing list.

For each type of record in the list, you will specify the title and description of the record type, the location where you want to store those records, and the names of other record types (aliases) that you want to store in the same location. Any record type can be specified as a default, and any incoming record that doesn’t match any of the types in the list will be stored in the default location.

When records are sent to the repository, additional information is sent along with the record, including the record’s audit history (stored in an XML file) and its metadata.

Policy enforcement

MOSS 2007 provides several features to facilitate policy enforcement:

• Auditing: The recording of actions on a record such as viewing and accessing the information.

• Expiration: This feature is essentially a clock that starts ticking when a record enters the repository and includes the logic that specifies what should happen to the record when the period documented for that type of record has expired. For example, moving the item to an offline storage repository or deleting the item.

• Barcodes: Each record is provided with a unique barcode graphic and associated numeric value. In the context of records management, barcodes are useful for retaining and tracking physical records. When the records in a library have hard copy versions, barcodes provide a way to correlate the hard copy versions with their electronic counterparts. Barcode values are stored and indexed along with the electronic versions of records.

Integration and extensibility

The site provides a programmable interface that allows the creation of additional record policies as well as the ability to programmatically import documents from other systems, including their associated metadata and audit history as part of a business workflow.

Holds

In the case of a litigation or regulatory audit or event, it may be necessary or required by law to prevent the removal, destruction, or editing of certain records as of a specified date. The hold feature in MOSS 2007 allows the creation of named holds that will prevent records from expiring and/or being destroyed. Holds are described in more detail in the “Suspending Record Disposition with Holds” section of this chapter.

Tutorial: Records management deployment and configuration

After you’ve reviewed your enterprise content, created your file plan, and planned the metadata you would like to associate with both your documents and records, it is time to put this information to a practical application.

In this exercise, you will create an initial document library that holds employee benefit documents, such as a stock option plan. Next you will create a records repository site, configure it to receive and route records, and then you will initiate the disposition of your record from the employee benefits library to the repository.

Provisioning a Records Repository Site

Follow these steps to provision a records repository site:

1.	Go to your portal home page and select Create Site as in Figure 12.1 Figure 12.1. Click Create Site to add a new site.
2.	Use these settings for the New SharePoint Site page (see Figure 12.2). Figure 12.2. Records center site settings2 [View full size image] Title: Records Vault Description: Location for Avitiva long term document storage URL name: http://(your portal name)/records Template: Enterprise tab Records Center
3.	Click the Create button. The Operation in Progress screen appears. Your Records Repository site has been created and you are now at the Home page (see Figure 12.3).

Creating the records storage location document libraries

Now implement a portion of the file plan you created during the planning process. For this example, just use the Stock Option portion as an example (see Table 12.3) and set the retention period for 7 years. Your first task is to create the document library:

Table 12.3. Stock Option File Plan

Records	Description	Media	Record Category	Retention	Disposition	Contact
Stock option plan	Employee stock option plan	Print	Employee Benefit Plans	7 years	None	Stanley Stockton

1.	From the Site Actions menu, select Create.
2.	Under the Libraries heading, select Document Library.
3.	On the New Document Library page, enter Stock Options for Name and click Create, accepting the defaults for the rest of the fields.
4.	Click Stock Options under the Document heading in the left navigation bar, as shown in Figure 12.4. Figure 12.4. Records storage location for Stock Options
5.	Click Settings and select Create Column on the menu bar.
6.	On the add Column page enter these values: Column Name: Filing Date Type: Date and Time Require that this column contains information: Yes
7.	Click OK.
8.	Click Settings and select Document Library Settings.
9.	Under the Permissions and Management section, click Information management policy settings.
10.	On the Policy Settings page, choose the option for Define a policy and click OK.
11.	On the Edit Policy page use the following values: Administrative Description: Stock Option documentation will be retained for 7 years after its filing date. Policy Statement: Stock Option documentation will be retained for 7 years after its filing date. Check Enable Expiration. Under The retention period is click A time period based on the items properties. Select Filing Date + 7 years. Select Perform this action and Delete from the pull-down.
12.	Click OK. The policy for this document library has now been configured.
13.	Return to the Records Vault home page by clicking Records Vault in the breadcrumb at the top of the page.

Defining the records routing behavior for the record type

Follow these steps to define records behavior for the record type:

1.	Select Configure Record Routing from the Links section on the page.
2.	In the Record Routing page, click New.
3.	On the New Item page, enter the information for the Stock Option record routing, as shown in Figure 12.5: Title: Stock Options Description: Employee stock option plan documents and related materials and contracts Location: Stock Options Aliases: Stock Option Plan/Employee Stock Options Figure 12.5. Record Routing: New Item [View full size image]
4.	Click OK.

Moving content from MOSS 2007 Sites to the Records Repository site

MOSS 2007 has the ability to receive records via Web Services and e-mail. Additionally, MOSS 2007 can be configured to send files to the Records Repository sites. This is accomplished by providing the URL to the Records Repository site on the Central Administration site, allowing both the UI and object model to use the Send To function when a document should be retained as a record.

This system allows users to simply send a document to the Records site while the site uses logic to route the record to the appropriate Document Library. This section of the exercise will:

• Configure the connection from a server running MOSS 2007 to a Records Repository.

• Configure a Document Libraries content type to match the record type described in the Records Repository file plan, configured earlier.

• Submit a document from the Document Library to the Records Repository site.

Configuring the connection to Records Repository settings

Follow these steps to configure the connection to the records repository setting.

1.	Access your MOSS 2007 server console.
2.	Go to Central Administration by choosing Start All programs Administrator Tools SharePoint 3.0 Central Administration.
3.	Click the Application Management tab.
4.	Under the External Service Connections section, click Records center.
5.	Set the values as follows (Figure 12.6): Figure 12.6. The Configure Connection to Records Center Page [View full size image] Choose Connect to a Records Center URL: http://(your portal name)/records/_vti_bin/officialfile.asmx Display name: Records Vault
6.	Click OK. Your SharePoint applications will now be able to send files to the Records Repository (if it refers to the template within MOSS, it should be Records Center).

Sending content from a SharePoint site

The content type of a document is passed automatically as a routing parameter to the Records Repository site, directing the site to copy the file to the appropriate document library. In this part of the exercise, you will create a Document Library, change the name of that library’s content type, and send a file to the Records Repository.

1.	Go to the portal home page.
2.	Choose Site Actions Site Settings Modify All Site Settings from the menu on the upper-right side of the home page (see Figure 12.7). Figure 12.7. Modify All Site Settings. [View full size image]
3.	In the Galleries section, click Site content types.
4.	Click Create.
5.	Use the following entries: Name: Stock Options Select parent content type from: Document Content Types Parent Content Type: Document Existing Group: Document Content Types
6.	Click OK.
7.	Return to your portal home page.
8.	Select View All Site Content from the quick launch in the left navigation.
9.	Click Create.
10.	On the Create page, in the Libraries section, click Document Library.
11.	Create a document library named Employee Stock Options using the defaults for all other fields.
12.	In the Stock Options document library, select Settings and the click Document Library Settings on the menu.
13.	In the General Settings section, click Advanced Settings.
14.	On the Advanced Settings page, in the Content Types section, under Allow management of content types, choose Yes.
15.	Leave the other default options and Click OK.
16.	In the Content Types section, click Add from existing site content types.
17.	Choose Document Content Types from the Select site content types from the drop-down.
18.	Highlight Stock Options and click the Add button (see Figure 12.8). Figure 12.8. Add Content Types: Employee Stock Options document library [View full size image]
19.	Click OK.
20.	Go to the Employee Stock Options document library.
21.	Upload a sample document called Employee Stock Options.
22.	Select Stock Options from the Content Type drop-down menu.
23.	Click OK.
24.	Click the Document select menu Send To Records Vault to send the document to the Records Repository (see Figure 12.9). Figure 12.9. Send the document to the records repository [View full size image]
25.	Fill in the required Filing Date and click OK.
26.	You should not be at the Operation Completed screen. Click OK.
27.	Verify that the record went to the Records Repository by opening the site and clicking the Stock Options document library. You should see a screen similar to Figure 12.10. Figure 12.10. Stock Options Record successfully copied [View full size image]

This completes the exercise. Note that the name of the document has some additional characters appended to it. These characters are added to ensure that all files sent to the Records Repository site have a unique name and will therefore never overwrite other files in the site.

The names and values for columns that have metadata associated with them are saved along with the record in a (recordnumber).xml file in a hidden _properties folder that is created in the destination library. The metadata values are copied to matching columns in the destination library.

It is recommended that for each column of metadata for a type of record, a column should be defined in the destination document library that matches the incoming column’s name and type. To have the column submitted along with the record and to require the column to have an associated data value, you should configure the column in the MOSS 2007 user interface to require data. Required fields are configured by selecting the Require that this column contains information option when creating the columns.

Considerations for configuring permissions in the Records Repository site

Moving records between sites requires configuring the appropriate security model to allow this action while maintaining the integrity of the record and audit process. There are several security considerations that you should be aware of when creating a records repository site:

• Create a separate Web application for the records repository site: A separate Web application is a more secure option, and can guarantee that the records won’t be commingled with active documents in the database used by the site. Additionally, using a separate Web application can allow for the optimization of your backup and restoration schedule to meet your records management needs.

• Don’t configure the records repository Web application on which the records repository site is running to use Forms Authentication: Requiring Forms Authentication requires enabling anonymous submissions to the records repository site to allow for the submission of records via the user interface or programmatically.

• Add the repository site as a user that has Create List rights, but not Edit Items rights: For records that are being submitted to the repository from sites in other Web applications, the shared services application pool identity should be

• Configure rights on the files and repository site: File submission to the records repository site requires users to have Edit Items rights to the files on the document management source library, and Add Items rights on the records repository site. Microsoft advises the creation of a group on the records repository site with Create List rights, but not Edit Items rights. You should also add the accounts on other servers that will submit items to the repository to this group.

• Assign Edit Items rights to records managers: To manage records, a user of the Records Repository site must have Edit Items rights. Generally, it is advised to give only records managers and legal team members edit rights to content on the Records Repository site. MOSS 2007 provides the ability to create granular security down to the item level for special cases. This ability was not available in the previous release of the product.