Designing A Microsoft SharePoint 2010 Infrastructure Vol 2

OFFICIAL
MICROSOFT
LEARNING
PRODUCT
10231A
Designing a Microsoft SharePoint 2010 Infrastructure
Be sure to access the extended learning content on your Course Companion CD enclosed on the back cover of the book.
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Product Number: 10231A Part Number: 06623 Released: 09/2010
Planning Enterprise Content Management
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Module 10
Contents:
Lesson 1: Overview of Enterprise Content Management Lesson 2: Planning Tasks for Content Management Lesson 3: Planning Features and Policies for Content Management Lesson 4: Planning Web Content Management Lab: Planning Enterprise Content Management 10-4 10-14 10-26 10-46 10-59
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Module Overview
The term enterprise content management (ECM) in Microsoft SharePoint Server 2010 refers to the technologies, strategies, policies, and tools that you use to manage, store, and serve documents and other organizational content to users. This module describes the core ECM functionality that SharePoint Server 2010 provides and describes the major high-level steps that you must take to design a successful ECM plan for SharePoint Server 2010. It also discusses the considerations for planning features and policies for content management in SharePoint Server 2010. All of these steps for planning ECM constitute a vital part of the design of your SharePoint Server 2010 infrastructure.
Objectives
After completing this module, you will be able to: Describe the core functionality of ECM in SharePoint Server 2010 that influences your design. Describe the major steps that you should take when you plan a content management solution in SharePoint Server 2010.
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Describe the considerations for planning features and policies for content management for SharePoint Server 2010. Describe how to plan for Web content management in SharePoint Server 2010.
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Lesson 1
Overview of Enterprise Content Management
Enterprise content management in SharePoint Server 2010 includes the management of documents, records, Web content, and digital assets. You must understand these main concepts before you can plan your enterprise content management strategy and policies.
Objectives
After completing this lesson, you will be able to: Describe document management in an ECM solution. Describe records management in an ECM solution. Describe Web content management in an ECM solution. Describe digital asset management in an ECM solution.
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Document Management
Key Points
SharePoint Server 2010 includes document management features that you can use to control a documents life cycle in your organization. The documents life cycle includes how you create, review, publish, and retire or retain it. For your document management system to be effective, it should reflect your organizations culture. Your document management tools must be adaptable. You must be able to hold tight control of a document's life cycle if that suits your organization's culture and goals; however, you must also be able to implement a less stringent and structured system if necessary.
Key Elements of a Document Management Solution

The key elements of a document management solution specify the following: The types of documents and other content that your organization can create. The template to use for each document type. The metadata for each document type. The document storage location for each stage of a documents life cycle.
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The document access method for each stage of a documents life cycle. The method for moving documents around the organization as team members contribute as part of a documents creation, review, approval, publication, and disposition processes. The policies to apply to documents to ensure that document-related actions are audited, documents are retained or disposed of properly, and important content is protected. The document format conversions that are required as a document moves through the various phases of its life cycle. The principles that must be followed for all documents that are corporate records, including retention rules to comply with legal requirements and corporate documentation guidelines.
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Records Management
Key Points
In SharePoint Server 2010, a record is a document or other electronic entity in an organization that can provide evidence of an action or transaction that the organization performs. Records must be retained for a given period of time. Records management is the process by which an organization performs the following tasks: Considers which kinds of information it should declare as records. Decides how it should handle documents that will later become records while they are in use, and decides how it should collect the information after the documents are declared as records. Decides howand for what length of timeit retains each record type to comply with legal, business, or regulatory requirements. Implements technical solutions and business processes to help ensure that the organization complies with its records management obligations in a costeffective way without intruding on the normal running of the business.
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Performs routine tasks on its records, such as disposing of expired records or locating and protecting records that are related to external events such as lawsuits.
It is the responsibility of corporate compliance officers, records managers, and lawyers in your organization to determine which documents are records. These staff members can help you to ensure that documents are retained for the appropriate period of time, by carefully categorizing all enterprise content in your organization. A well-designed records management system is important for the following reasons: It helps to legally protect an organization. It helps the organization to comply with regulatory obligations. It increases the efficiency of an organization by encouraging the disposition of expired items that are not records.
Key Elements of a Records Management Solution

The key elements of a records management solution include the following: A content analysis document that categorizes enterprise content that can become records, provides source locations, and also describes how the content will move to the records management application. A file plan that specifies where each kind of record should be retained, the policies that apply to them, how long they must be retained, how they should be disposed of, and who is responsible for managing them. A compliance requirements document that defines the rules that the organization's IT systems must follow to ensure compliance and the methods used to ensure the participation of enterprise team members. The method for collecting inactive records from all record sources, such as collaboration servers, file servers, and e-mail systems. The method for auditing active records. The method for capturing and maintaining metadata and audit histories for records. The process for putting records on hold when events such as litigations occur. A monitoring and reporting system for the handling of records to ensure that employees are filing, accessing, and managing them according to defined policies and procedures.
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Web Content Management
Key Points
A Web content management solution is a content management system that you implement as a Web application. You use these solutions to create and manage Web content such as HTML, XML, pictures, and rich media such as video. Web content management enables content creation, content control, and content editing functions.
Key Elements of a Web Content Management Solution

The key elements of a Web content management solution include: Publishing features. Document and workflow tools. Search capabilities. Version control. Caching capabilities. Branding and personalization.
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Content variation capabilities. Analytics. Social media capabilities.
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Digital Asset Management
Key Points
Digital asset management is the process by which an organization creates, stores, organizes, manages, distributes, and disposes of its digital assets. A digital asset is an image, audio, or video file or other reusable rich content fragment that an organization uses in applications across the enterprise. The digital asset management feature in SharePoint Server 2010 can save an organization time and other resources by providing a specialized repository for storing and managing digital assets. This means that users do not have to search through multiple network locations to look for assets or create them from scratch if they cannot find them. By using a centralized storage location for digital asset management, an organization also gains tighter control over brand-sensitive content and can ensure that only approved assets for products are made available to the relevant users. SharePoint Server 2010 provides content types that are designed specifically for audio and video assets and that support the storage and playback of these assets in Web Parts and Web Part pages. Functionality for digital asset management in
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SharePoint Server 2010 is centered on an asset library, which is a type of document library.
Overview of Asset Libraries

Asset libraries are collections of media filessuch as image, audio, and video files on SharePoint Server 2010 that you share with other site users. As part of your planning for digital asset management, you must determine the asset library that best fits the requirements of your organization. The asset library is nothing more than a SharePoint Server 2010 library with specialized content types for digital assets; therefore, you use many of the same methods to plan a digital asset management solution as you use to plan a document management solution. You can use an asset library in two ways: As a general document library for digital assets at the team level. This can be as simple as a place to store image, audio, and video files for a department or team to use. For example, you may decide to give everyone in the Sales department permissions to upload, organize, and manage sales-related assets. Alternatively, you may restrict the task of organizing and managing assets to a small subset of staff members in the Sales department. As a centralized repository for digital assets for the organization. In this scenario, you use content approval and workflow for all assets that are added to the centralized library, and you give people different roles and make them responsible for separate stages of the approval process.
Key Elements of a Digital Asset Management Solution

The key elements of a digital asset management solution specify the following: The metadata to provide for each asset type. The storage space that you require for the assets. The performance issues to consider when you serve assets to your users. The storage location for each stage of an assets life cycle. The access method for each stage of an assets life cycle. The method for moving assets around the organization as team members contribute as part of an assets creation, review, approval, publication, and disposition processes. The policies to apply to assets to ensure that asset-related actions are audited, assets are retained or disposed of correctly, and important assets are protected.
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The way that assets are treated as corporate records, and how you must retain them to comply with legal requirements and corporate documentation guidelines.
Question: What are the two main levels at which you would use an asset library?
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Lesson 2
Planning Tasks for Content Management
There are several sets of tasks for each part of the planning process for content management in SharePoint Server 2010. You must be familiar with these major content management planning tasks for document management, records management, Web content management, asset library management, and digital asset management in SharePoint Server 2010 before you can design a content management plan.
Objectives
After completing this lesson, you will be able to: List the planning tasks for document management. List the planning tasks for records management. List the planning tasks for Web content management. List the planning tasks for digital asset management. List the planning tasks for asset libraries.
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Key Planning Tasks for Document Management
Key Points
Planning for document management includes the following major tasks: Identify document management roles. You must ensure that your plans include any feedback from key stakeholders in your organization. You must also ensure that you have the right implementation team in place and you are aware of the people who contribute to the document management processes. Analyze document usage. After you have determined which users work on documents, you should determine the types of documents that they work on and how they are likely to use them. Plan the organization of documents. SharePoint Server 2010 enables you to organize documents in site collections, sites, and libraries. It also offers a range of features, such as Document Sets, to help organize and store documents, from specialized sites such as a records repository to loosely structured document libraries for quick document creation and collaboration. You can further organize the content in libraries into folders and subfolders.
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Plan how content moves between locations. There are occasions where you may need to move or copy a document from a library or site to another library or site during its life cycle. For example, this will happen if your publishing process includes moving a document from a staging site to a production site on the Internet. This planning step may also include the planning of content that changes its state over its life cycle. For example, a document might start out as a request for proposal (RFP), become a final contract, and finally become a legal document that you must treat as a record. Plan content types. You use content types to organize information about types of documents, such as document templates, metadata, workflow processes, and document management policies. Plan workflows. When you plan your organizations workflows, you can control and track how documents move from one person in the workflow to another as each person collaborates during a document's life cycle. SharePoint Server 2010 includes workflows for common team-based tasks such as reviewing and approving content. SharePoint Server 2010 also enables you to create your own custom workflows. Plan content control. You can plan control levels for your content that are based on content type or storage location. For example, for a document library, you can plan to require check-in and check-out, and use Information Rights Management to protect documents from unauthorized distribution. Plan policies. For each content type, you should plan information management policies to ensure that documents are properly audited, labeled, and retained according to your organization's corporate and legal requirements. SharePoint Server 2010 includes policies that implement auditing, labeling, document retention, and barcodes.
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Key Planning Tasks for Records Management
Key Points
Planning for records management includes the following major tasks: Identify records management roles. You must identify specialized roles to have a successful plan for records management. These roles include the following: Records managers and compliance officers. These managers and officers are responsible for categorizing the organizations records and running the process for records management. IT personnel. These personnel are responsible for implementing the IT systems that provide efficient support for records management. Content managers. These managers are responsible for locating organizational information and ensuring that teams follow records management practices.
Analyze organizational content. Your records managers and content managers should analyze the organizations document usage to determine which documents can be declared as records before they create a file plan.
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Develop a file plan. When you have analyzed the organizational content and determined retention schedules, you can then fill in the rest of the file plan. File plans generally describe the types of items that the organization considers to be records, indicate their storage location, define their retention periods, and define who is responsible for managing them. Develop retention schedules. For each type of record in your organization, you must determine when it is inactive, how long you should retain it after you classify it as inactive, and how you should dispose of it. Design the records management solution. You must determine whether to create a records archive, manage records in place, or use a combination of the two approaches. Use your file plan to design the record archive or determine how to use existing sites to contain records. Plan how content items become records. For document and records management in SharePoint Server 2010, you can create custom workflows to move documents to a records archive. You can also use either SharePoint Server 2010 or an external document management system to plan and develop interface components. These components can move content to the records archive or declare a document to be a record without moving it. For example, in SharePoint Server 2010, you can use the Declare As Record option on a document to manually declare it as a record. Plan e-mail integration. As part of your plan, you must determine whether you will manage e-mail records in SharePoint Server 2010 or in the e-mail application itself. Plan compliance for social content. If you use social media sites such as blogs, wikis, or My Site Web sites in your enterprise, you must determine how the content items in these sites will become records. Plan compliance reporting and documentation. You should document your plans and processes for records management to verify that your organization is performing its required records management practices and to communicate these practices to others in the organization. There may be occasions when you must quickly and easily produce these records management guidelines, implementation plans, and effectiveness metrics.
Question: Which records management role is responsible for locating organizational information and ensuring that teams follow records management practices?
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Key Planning Tasks for Web Content Management
Key Points
Planning for Web content management includes the following major tasks: Plan publishing features. The term publishing refers to the authoring and deployment of branded content, custom assemblies, and configuration files across a SharePoint Server 2010 farm. The SharePoint Server Publishing Infrastructure feature provides publishing functionality at the site collection level, and the SharePoint Server Publishing feature provides publishing functionality at the site level. Plan Web pages. When you plan Web page publishing in SharePoint Server 2010, you design the appearance of your published content, determine where authors are allowed to add content on pages, and control the authoring features that authors are allowed to use. An effective plan for Web pages helps you to ensure that each type of content that your organization publishes has been designed correctly and has been made available to achieve your publishing goals. Plan Web page authoring. SharePoint Server 2010 supports browser-based authoring. When you plan for browser-based authoring, you must plan which
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resources, page layouts, images, videos, and commands to hide from or show to authors. You must also plan the editing experience in the field controls in which you will allow authors to create content. Plan content approval and scheduling. As you plan your SharePoint Server 2010 publishing sites, you must decide how much control you want users to have over the approval and scheduling of site content. For example, you may want to impose restrictions on how much control authors have over approving content that they have created themselves. You can give users no control, simple moderation, or the ability to start a workflow after they submit content. Plan caching and performance. You must consider the following three key caching and performance aspects of SharePoint Server 2010: Disk-based binary large object (BLOB) caching. SharePoint Server 2010 provides a disk-based BLOB cache that reduces database load and increases browser performance for users. Bit Rate Throttling. SharePoint Server 2010 also provides Bit Rate Throttling, an Internet Information Services (IIS) 7.0 extension that improves video performance for users when you serve videos as part of digital asset management. Maximum upload size. The maximum upload file size setting specifies the maximum size of a file that a user can upload to the server. The default setting is 50 MB. Every user who uploads a file to a library uses a connection to the server and increases the amount of data in the database. This impacts the load, response time, and data capacity for a server, which can negatively impact your server performance if you have not configured your server to handle large file volumes.
Plan large Pages libraries. A Pages library is a document library that contains all of the content pages for a publishing site. If your site has a Pages library that stores thousands or tens of thousands of pages, you must consider a unique set of issues that relate to managing these pages and providing navigation between them in a site. Plan content deployment. The planning process for content deployment starts with determining whether to use content deployment with your SharePoint Server 2010 solution. The other steps that you must take to plan content deployment include deciding how many server farms you require, planning the configuration of import and export servers, planning content deployment paths and jobs, and identifying the special consideration requirements for large jobs.
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Plan variations. When you plan for variations, you should start by considering the interaction between variations and other SharePoint Server 2010 features. These features include content approval, site navigation, content deployment, Web Parts, and multilingual sites. Other planning steps for using variations with SharePoint Server 2010 include determining the type of variations that you will require, specifying the source variation site and the target variation sites, deciding how sites and pages will be created on the target sites, and deciding how to schedule timer jobs for variations.
Question: What is the default setting for maximum upload size?
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Key Planning Tasks for Digital Asset Management
Key Points
Planning for digital asset management includes the following major tasks: Plan permissions and security. When you plan for permissions and security in an asset library, you must consider which permissions to grant to users and groups in your organization and whether you must define custom permission levels and groups. The standard available permission levels are as follows: Limited Access. Users can view specific lists, document libraries, list items, folders, or documents. Read. Users can view items on pages. Contribute. Users can add or modify items on pages and in lists and libraries. Design. Users can change the layout of site pages. Full Control. Users have all permissions.
Plan storage and performance. An asset library is a specialized kind of document library; therefore, determining storage requirements for digital assets is the
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same as determining storage requirements for documents. The main difference is that asset libraries contain fewer assets than document libraries, but these assets are often much larger. If you plan to use the asset library to store and serve audio and video files to users, you should enable the disk-based BLOB cache and Bit Rate Throttling options to provide better performance. Plan metadata and search. You add metadata to help describe the type and content of a digital asset. This makes it much easier to find assets in an asset library; rich media files are not automatically searchable because they do not contain text that a search engine can index. Some metadata, such as the size and dimensions of an image, is entered automatically when you upload the asset to the asset library. You must add other metadata manuallysuch as a text description, copyright information, or keywords. Plan Web Parts and Web pages. SharePoint Server 2010 has many Web Parts and field controls to take advantage of the new content types that are included as part of an asset library. When you design Web pages for sites, consider which fields you want to expose to users in Web pages and Web Parts to help users find the assets that they require. Plan client support. You must install the latest version of Microsoft Silverlight on all client computers that will access your Web sites if you want enterprise users to be able to take advantage of the rich media experience that SharePoint Server 2010 provides. This means that there are several things that you must consider about how and when you install Silverlight. These include deciding whether all users require access to the asset library and deciding whether the organization requires a managed deployment of the Silverlight client to desktops or users can install it themselves on an as-needed basis.
Additional Reading
For more information about ECM planning in SharePoint Server 2010, see http://go.microsoft.com/fwlink/?LinkID=200900&clcid=0x409.
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Key Planning Tasks for Asset Libraries
Key Points
Planning asset libraries for your digital asset management solution includes the following major tasks: Identify digital asset management roles. When you plan a digital asset library, the first step is to determine the participants and stakeholders for your solution. This will help you to determine who creates digital assets in your organization, the kinds of assets that they create, who manages the assets, and who maintains the asset storage servers. Analyze asset usage. After you determine who works with your digital assets, you must determine the kinds of assets that they work on and how they use these assets. You can then use this analysis to help you to determine other important information. This information includes how to structure the asset libraries, how many libraries you require, which content types to use for the assets, and which information management policies you should apply to the asset libraries. You must also plan for storage capacity, because most digital assets are larger than standard document files.
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Plan organization of asset libraries. As you plan the asset libraries, you must make some decisions about them. These decisions include where to create them, how users must use them, how many you require, and how to organize them. Plan content types. The content types that asset libraries include are image, audio, and video. You can either use these content types or create your own custom content types that you derive from the included content types. Plan content governance for digital assets. You must plan the appropriate level of control that is required for each content type and storage location for digital assets. For example, you may use versioning to store successive iterations of assets in the library, or you may require users to check assets in and out before they work on assets. You may also define an approval process so that assets must be approved before they can be made available to an audience. Plan workflows. You use workflows to perform management tasks on assets in the asset library. This means that you must consider and decide on several planning-related workflow issues. For example, you must decide whether assets have to be reviewed and approved before asset consumers can use them, who has responsibility for managing the expiration of assets, and whether you should retain or delete assets after they expire. Plan information management policies. You must plan the information management policies for each content type that you will use in your asset library. These policies will then dictate how you audit, retain, and label assets.
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Lesson 3
Planning Features and Policies for Content Management
There are several features and policies available in SharePoint Server 2010 that enable you to host an efficient and successful content management solution, and each of these requires planning before you implement them. You must be familiar with all of the planning steps that are required to implement these features and policies in your SharePoint Server 2010 content management solution before you can design a content management plan.
Objectives
After completing this lesson, you will be able to: Plan for versioning control, content approval, and check-in and check-out. Plan for information management policies. Plan for content types.
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Plan for document sets. Plan for document IDs. Plan for workflows. Plan for metadata-based routing and storage.
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Planning for Versioning Control, Content Approval, and Check-In and Check-Out
Key Points
SharePoint Server 2010 provides features to help you control documents in your document libraries. The following table describes these features.
Feature Versioning control Description The method by which successive iterations of a document are numbered and saved. The method by which site members with Approver permissions control the publication of content. The methods by which users can better control when a new version of a document is created and also comment on changes that they have made when they check in a document.
Content approval
Check-in and check-out
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When you plan content management policies, you must consider how you will use versioning control, content approval, and check-out and check-in features in SharePoint Server 2010 to control the versions of a document throughout its life cycle.
Planning Versioning Control

The default versioning control setting for a document library depends on the site collection template on which it is based. You can also configure different versioning control settings for different document libraries to suit the specific requirements of that document type. SharePoint Server 2010 has three versioning options: No versioning. This option specifies that no previous versions of documents are saved. You typically use this option for document libraries that contain content of low importance or content that never changes. Create major versions. This option specifies that numbered versions of documents are retained by using a simple versioning scheme such as 1, 2, 3. To control the effect on storage space, you can also specify how many previous versions to keep. You typically use this option when you do not want to differentiate between draft versions of documents and published versions. Create major and minor (draft) versions. This option specifies that numbered versions of documents are retained by using a more complex major and minor versioning scheme such as 1.0, 1.1, 1.2, 2.0, 2.1, and so on. To control the effect on storage space, you can also specify how many previous major and minor versions to keep. You typically use major and minor versioning when you want to differentiate between draft content that is not yet ready for publication and published content that is ready for viewing by an audience.
Note: Regardless of the versioning control that you choose, it is important to consider the effect that retaining multiple versions of the same document can have on storage space.
Planning Content Approval

Use content approval to control the process of making content available to an audience. You can also schedule content publishing depending on the document state. A document draft that is awaiting content approval is in the Pending state. When an approver reviews the document and approves the content, it becomes available for viewing by site users with Read permissions. A document library
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owner can enable content approval for a document library and optionally can associate a workflow with the library to run the approval process. The way in which documents are submitted for approval varies depending on the versioning settings in the document library, as previously mentioned.
Planning Check-In and Check-Out

You can specify that users must check documents out from a document library before they edit the documents. The key benefits of requiring check-in and checkout include gaining better control of when document versions are created and better capture of metadata. This is because an author can write comments that describe the changes that he or she has made to the document when he or she checks it in.
Tip: You configure settings for the content control features that are discussed in this topic in document libraries. To share these settings across libraries in your solution, you can create document library templates that include your content control settings to ensure that newly created libraries reflect your content control decisions.
Question: Which versioning option would you use if you wanted to keep previous versions, but did not need to differentiate between draft versions of documents and published versions?
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Planning for Information Management Policies
Key Points
When you plan content management policies, you must determine how you should plan and integrate information management policies with your SharePoint Server 2010 content management solution. An information management policy establishes a set of rules for a specific type of content. Information management policies enable you to control who can access your organizations information, what users can do with it, and how long to retain it. An information management policy can help you to enforce compliance with legal and governmental regulations or with your own internal business processes. For example, suppose an organization has to follow strict government regulations that require it to demonstrate proper control and management of its financial statements. This organization may create several information management policies that audit the actions of staff members, when performing the authoring and approval process for all documents that are related to financial filings.
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Information Management Policy Features

The following table describes the information management policy features that are available in SharePoint Server 2010.
Policy feature Retention Description This policy feature helps to retire or process content in a consistent way that you can track and manage. When a content item expires, you can specify that it is disposed of or that a custom workflow is run. This policy feature logs events and operations that are performed on documents and list items. You can configure Auditing to log events such as editing, viewing, checking-in, or deleting a document or item. This policy feature enables you to track physical copies of a document by creating a unique identifier value for a document. The user then inserts a barcode image of that value in the document. This policy feature specifies a label to associate with a type of document or list item. Labels are searchable text areas that SharePoint Server 2010 generates based on properties and formatting that you specify. Labels are particularly useful in printed versions of documents as a way to display document properties in printed copy. You can also create and deploy custom policy features to meet your specific organizational needs, but you must implement them by using the SharePoint Server 2010 object model or acquire them from a third-party software vendor. For example, a manufacturing organization may want to define an information management policy for all draft specification documents for product design that prohibits users from printing copies of these documents on unsecure printers. In this scenario, the organization can
Auditing
Barcodes
Labels
Custom
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Policy feature
Description create a Printing Restriction policy feature and add it to the relevant information management policy for the product design specification content type.
When you plan the policies for your solution, you should first determine organization-wide policy requirements and then design site collection policies to meet these requirements. You should then distribute these policies for inclusion in the site collection policy galleries of all relevant site collections. This may require you to plan custom policy features.
Note: If your policy requires custom policy features and resources, you must install and enable these features and resources on all server farms that use your solution.
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Planning for Content Types
Key Points
When you plan content management policies, you must determine how you should plan and integrate content types with your SharePoint Server 2010 content management solution.
Overview of Content Types

Content types enable you to organize, manage, and handle content in a consistent way across your SharePoint Server 2010 sites. By defining content types for specific kinds of documents or information products, you can ensure that you manage each group of content in a consistent way. A content type is a group of reusable settings that describe the shared attributes and behaviors for a specific kind of content. You can define content types for any item type in SharePoint Server 2010, including documents, list items, media files, and folders. The attributes that you can specify for each content type are as follows: The metadata that you want to assign to items of this type.
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The workflows that are available for items of this type. The information management policies that are associated with items of this type. The document templates for new items of this type (documents only). The document conversions that are available for this type (documents only). The custom solutions or features that are associated with items of this type.
Content types provide organizations with a way to manage and organize content consistently across sites, lists, and libraries. They also make it possible for a single list or library to contain multiple item types or document types. If a library has been set up to support multiple content types, the New Document menu will present users with a list of the available content types, and they can select the type that corresponds to the kind of document that they want to create.
Planning Document Content Types

To plan document content types for your solution, use a document usage worksheet and a content type worksheet, which records your decisions about each new content type. The first stage in planning document content types is to review each document type that is listed in your document usage worksheet to determine whether an existing content type will work for that type of document. If a core content type such as the Document content typeis sufficient, enter the content type name in the document usage worksheet. After you review your list of document types to determine which ones can use core content types, plan new document content types by using the following steps: Enter the document type from the document usage worksheet. Enter the site URL at which the new content type will be defined. Determine the parent content type. Determine the template. Determine the workflows. Determine the policy settings. Determine any required document conversions.
Fill in a separate content type worksheet for each content type that you plan.
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Planning List Content Types

The elements of a List content type include the columns of metadata that are associated with the content type, along with workflows that can run on items of that List content type. You use a List content type to define a type of list item that is unique to your solution. Plan new List content types by using the following steps: Enter List as the document type. Enter the site URL at which the new content type will be defined. Determine the parent content type. Determine the workflows.
You should fill in a separate content type worksheet for each List content type that you plan.
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Planning for Document Sets
Key Points
When you plan content management policies, you must determine how you should plan and integrate document sets with your SharePoint Server 2010 content management solution. A document set is a special kind of folder that combines unique Document Set attributes and the attributes and behavior of folders and documents. It also provides a user interface (UI), metadata, and object model elements to help manage all aspects of the work product.
Overview of Document Sets

SharePoint Server 2010 provides support for the creation and management of multiple-document work products with the new Document Set content type. The Document Set content type is a folder-based content type that organizes multiple related documents into a single view where you can work on them and manage them as a single entity. You can then create additional customized Document Set content types from the parent content type; each inherits properties and settings from the parent
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Document Set content type. When you add a Document Set content type to a library, users can create new instances of the document set by clicking New Document on the ribbon in a library.
Considerations for Planning Document Sets

Document sets in SharePoint Server 2010 have similar attributes and properties to folders. However, there are some important considerations that you should be aware of when you plan a document set solution: There is no limit on the number of documents that can exist in a document set. However, you cannot use folders or metadata navigation with document sets. Therefore, it is important to consider the likelihood of exceeding the list view thresholdwhich is set to 5,000 items by defaultand to consider your navigation design when you determine how many items should exist in a document set. In addition, if you use the Send To feature with a document set, the sum for all documents in a document set can be no larger than 50 MB. There is no limit on the number of document sets that can exist in a document library, but the number of document sets that can appear in lists is limited by the list view threshold. If you use shared metadata and there are more than 10 items in a document set, a timer job will run metadata updates every 15 minutes. When you use document set routing, document sets that are sent to the Content Organizer will remain in the drop off library and will be moved to the appropriate location by the Content Organizer processing timer job, which runs daily by default. If you use document sets in a site collection, you must enable the Document Sets feature for that site collection.
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Planning for Document IDs
Key Points
When you plan content management policies, you must determine how you should plan and integrate document IDs with your SharePoint Server 2010 content management solution.
Overview of Document IDs

In SharePoint Server 2010, the Document ID feature attaches unique identifiers to documents that make it easier to retrieve them independent of their current location. The Document ID service that supports it generates and assigns document IDs, and they are attached to a document throughout its life cycle. The key benefit of this feature is that you can always reference and find a document by using this unique identifier, regardless of where this document is located. For example, the SharePoint Document Center and Records Center have Document ID search capabilities. In addition, Search administrators can configure the Search Service to look up document IDs by adding the ID column as a managed search column and optionally creating a new search scope that is used to look up document IDs.
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Key Tasks for Planning Document IDs

The first thing to decide is whether you must activate the Document ID feature. Although it can be very useful, if your organization does not require it, there is no reason to activate and configure it. Also bear in mind that you activate the Document ID feature at the site collection level. Therefore, you may want to activate it on one site collection, but not on another, depending on the document retrieval requirements for specific site collections. If you decide to activate this feature, you must decide what prefix to use for all of your unique document identifiers for the site collection. You can specify a prefix of between four and 12 characters; typical examples of prefixes are department namessuch as Sales or Marketingor the company name if all of your documents are in one central site collection. When you configure your own prefix, you can also specify that all existing document IDs should be reset to begin with the same prefix. You configure the document ID prefix in the Document ID Settings option under Site Collection Administration, and it is only enabled after you have activated the Document ID feature.
Note: If you do not specify your own prefix, SharePoint Server 2010 creates a default alphanumeric prefix for you.
Question: At what level do you activate the Document ID feature?
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Planning for Workflows
Key Points
When you plan content management policies, you must determine how you should plan and integrate workflows with your SharePoint Server 2010 content management solution.
Overview of Workflows
Workflows implement business processes on documents, Web pages, forms, and list items in SharePoint Server 2010. You can associate them with libraries, lists, or content types. In terms of document management, you use workflows to route documents from one person to another so that each person can complete his or her document management tasks. This typically includes reviewing documents, approving document publication, or managing the disposal of documents. In addition, you can use custom workflows to move documents from one site or library to another, for example, when a document is scheduled to be archived. SharePoint Server 2010 includes the following workflows for lists, document libraries, and content types:
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Disposition Approval. You use this workflow to manage document expiration and retention by enabling participants to decide whether to retain or delete expired documents. Three-state. You use this workflow to track the status of a list item through three phases. Collect Feedback. You use this workflow to route a document for review. Reviewers can provide feedback, which is compiled and sent to the document owner when the workflow has completed. Approval. You use this workflow to route a document for approval. Approvers can approve or reject the document, reassign the approval task, or request changes to the document before they publish it. Collect Signatures. You use this workflow to gather signatures that are required to complete a Microsoft Office document.
Key Tasks for Planning Workflows

To plan workflows for your document management solution, perform the following tasks: Analyze each document content type that you plan to implement. Identify the business processes that must be available to run on content of that type. Identify the workflows that you must make available for that content. Associate a workflow with a specific content type to make the workflow available whenever that content type is used.
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Planning for Metadata-Based Routing and Storage
Key Points
When you plan content management policies, as part of your SharePoint Server 2010 content management solution, you must determine how you can use the metadata-based routing and storage in the Content Organizer.
Overview of Content Organizer

The new Content Organizer feature in SharePoint Server 2010 is a new metadatabased rules and routing feature that extends and enhances the routing engine that was used in the Records Center site template in Microsoft Office SharePoint 2007. This feature enables you to automatically route documents to different libraries and to folders in these libraries. You can also use it for day-to-day administrative tasks such as making sure that no folder in a document library contains more than 5,000 items. Administrators and users can use the Content Organizer site-level feature to classify, route, and store content by using rules that are based on metadata. After you activate the Content Organizer feature, you configure the settings and rules. Instead of directly uploading a document to a library or folder, your users
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can save, route, and apply rules to a document by using one of the following methods: Uploading a document to a drop off library. Using Save as from Microsoft Office Word, Microsoft Office Excel, and Microsoft Office PowerPoint. Using Send To from other SharePoint sites. Using the Web service object model. Using an e-mail drop off zone. Submitting to a Record Center site.
Planning Content Organizer Settings

You must carefully plan how the Content Organizer settings for your site will affect your overall metadata-based routing and storage strategy. You should also test various configurations before you implement your solution live on your production site. You can use the following Content Organizer settings in your site to help plan an effective solution for metadata-based content routing and storage: Redirect Users to the Drop Off Library. Sending to Another Site. Folder Partitioning. Duplicate Submissions. Preserve Context. Rules Managers. Submission Points.
Planning Content Organizer Rules

Content Organizer rules are at the center of your strategy for routing and storing content based on metadata. The conditions in the rules that you create determine whether a rule should be applied to an item; if all of your rule conditions have been met, the target location that you specify determines where the items are sent to. There are several important considerations when you plan Content Organizer rules:
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It can sometimes be better to create a set of common rules that send to a unique folder for every unique value of a particular metadata column. You should create rules that can apply to all possible submissions. This may mean creating one simple rule that applies to a particular content type, or it may mean creating several rules that apply to different content types in a number of complex ways. If a drop off library contains several items that do not match any of the rules, you must verify what those items are and try to determine why no rules are being applied to them.
Planning Target Locations

Each Content Organizer rule that you create must contain a target location setting that specifies where the items that match the rule should be sent. This target location can be another site, library, or folder. A rule can also specify that a new folder is created in the target location for each unique value of a particular property. When you specify another library, that library must include the content type that is specified in your rule. There are several important considerations when you plan Content Organizer target locations: If you choose to create a new folder for each unique property, it is important to consider how many items may populate each new folder. You may need to consider creating folders based on a unique property when such a grouping of items exists. If you choose to create a new folder for each unique property and there are hundreds or even thousands of unique properties, you may create a confusing and unnecessary number of folders that may be difficult to navigate in standard list views.
Question: Which three object types can you choose when defining a target location for Content Organizer rules?
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Lesson 4
Planning Web Content Management
The Web content management capabilities in SharePoint Server 2010 can help an organization to communicate, collaborate, and integrate more effectively with employees, partners, and customers. SharePoint Server 2010 provides easy-to-use functionality to create, approve, and publish Web content. This enables you to get information out quickly to intranet, extranet, and Internet sites and give your content a consistent look and feel. You can use these Web content management capabilities to create, publish, manage, and control a large and dynamic collection of content. As part of ECM in SharePoint Server 2010, Web content management can help to streamline your process for creating and publishing Web sites. You must be familiar with all of the planning steps that are required to implement the Web content management component of your SharePoint Server 2010 content management solution before you can design a content management plan.
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Objectives
After completing this lesson, you will be able to: Plan for Web content authoring. Plan for Web content approval and scheduling. Plan for Web content deployment. Plan for Web content branding.
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Planning for Authoring
Key Points
Web page authoring is the process by which authors add content to a publishing site such as a public-facing Internet site.
Planning Web Page Authoring

SharePoint Server 2010 supports browser-based authoring. Your browser-based authoring plan should include planning which resources, page layouts, supporting content such as images and videos, and commands to hide from or show to authors. It should also include planning the editing experience in the field controls that authors use to create content, planning for reusable content, planning dictionary customizations, and planning additional resources that page authors require.
Planning the Ribbon Authoring Experience

The ribbon contains UI elements such as menu items and buttons that provide access to commands. These commands include page editing commands, publishing and workflow commands, and most other commands in SharePoint
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Server 2010. The ribbon is available to all users who have at least Contribute permissions. To give your users additional functionality, you can customize the ribbon to add new commands and buttons to provide new functionality to authors. You can also restrict them from gaining access to certain editing features if required. When you plan for Web page authoring, consider whether you want to add or remove commands from the ribbon or the Quick Access toolbar. Also consider the level of access to editing features that you want content authors to have and what kinds of styles that you want to make available.
Planning Managed Metadata

You must consider how managed metadata can help to organize and display content pages and other data on your Web site. When you create page layouts that authors use to create new Web pages, you can add field controls such as text boxes and drop-down lists. These controls can either contain a predetermined value or can restrict the information that authors are allowed to enter on a page. When you plan your managed metadata, you should consider the following questions: Do you want to add managed metadata to your page layouts for page authors to use? How will users use the metadata? Which terms and term sets does your organization require? Who owns the term sets? How will you manage term sets?
Planning Reusable Content

In a publishing environment, it is useful to be able to reuse content. For example, you may want to create branded items that must be the same across your site collection, or you may want to create templates as starting points for page authors. SharePoint Server 2010 provides this capability by using the Reusable Content list. The top-level site in a publishing site collection includes a Reusable Content list that is available to every site below it in the site hierarchyas long as you have activated the SharePoint Server Publishing feature. You can add items to the Reusable Content list and create categories and folders in the list to help you organize these items. When you add items to the Reusable Content list, page authors can add these items to page content by using the Reusable Content Picker.
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When you create a reusable content item in the Reusable Content list, you can specify that it is shown in the menu during page editing. You can also specify whether it can be automatically updated.
Planning Dictionary Customizations

To prevent words that are unique to your content from being reported as spelling errors, you can add a custom dictionary to your publishing site. A good example of this is the use of commonly occurring product names and acronyms.
Planning Additional Resources

When you create a publishing site, SharePoint Server 2010 creates libraries to store additional resources for your content authors to use. When you plan for Web page authoring, you should consider the type of additional resources that page authors may require. You must consider who will create the resources and where you want to store them. If some resources are located in other sites, you must make a list of what these remote resources are and where they are located so that you can add them to the Suggested Content Browser Locations list. Additional resources might include master pages and layouts, custom cascading style sheets (CSS), documents, and images.
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Planning for Content Approval and Scheduling
Key Points
Content approval is the process by which authored content is approved or rejected for publication. Content scheduling is the process by which content is published and made available to readers according to a specified schedule. The Publishing feature in SharePoint Server 2010 provides the ability to approve and schedule content for publishing. The scope of your Web content management plan must cover the management and review of content that your users create. SharePoint Server 2010 provides a Content Approval workflow that you can use to meet this requirement.
Planning Content Approval

Users who have Approver permissions control the publication of content by using the content approval process. You enable content approval in the versioning settings part of the library or list settings for the document library or list that contains the content that you want to publish. When you plan for content approval, you must decide how you want content approval to work for your site and who can approve content for publishing. In SharePoint Server 2010, the control of content can be at one of the following levels:
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None. If content approval is not required for items in a document library, after an author submits content for publishing, it goes live immediately. Simple moderation. A member of the Approver group must manually approve content after an author submits it for publishing. The content is not visible to users with Read permissions until it has been approved. Approval workflow. You can use a workflow to run the approval process. If you use a workflow, the approval process is more automated. In addition, you can take advantage of the built-in workflow features. These features include automatically sending e-mail to approvers, adding approval tasks to approvers task lists, and enabling authors to track the status of the approval process. Users can also modify the Approval workflow template or develop their own custom approval workflow by using application tools such as Microsoft SharePoint Designer 2010 or Microsoft Visual Studio 2010.
Planning Content Scheduling

Content scheduling is the process by which users with at least Contributor permissions can specify a schedule to publish content to the site. If you enable the Content Approval option for a document library, content must also be approved before the schedule publishes it. You can schedule your content to be published, unpublished, or expired at specified dates and times. These tasks are initiated by timer jobs that continually check for pages and items in the document or image library that are ready for publishing or expiry. You can change the frequency with which each job runs by using the Review Job Definitions option on the Monitoring page of the Central Administration Web site.
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Planning for Content Deployment
Key Points
You use the content deployment feature of SharePoint Server 2010 to copy content from a source site collection to a destination site collection. You can either deploy the complete source site collection or a subset of sites. Content deployment deploys only changed pages and related assets, and it is incremental by default. The content deployment feature is designed for sites that use a multiple-farm topology, where separate authoring, staging, and publishing farms exist. If you are implementing a multiple-farm topology for your organization, you must identify all of the considerations that are outlined in this topic for each authoring farm in your environment. If you use content deployment together with content approval and content scheduling for your SharePoint Server 2010 solution, all approval processes occur on the source server where the content is authored. When content is deployed to the target server, the publishing schedule that is associated with each piece of content is also deployed.
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Note: The source and destination site collections can be in the same farm or in different farms.
You should start your content deployment planning by determining whether to use the content deployment feature in your SharePoint Server 2010 solution. Although content deployment can be useful for copying content from one site collection to another, it is not always a requirement for every situation. You may want to use content deployment for your solution in the following situations: The farm topologies are entirely different. The servers require specific performance tuning to optimize performance. You have security concerns about the content that you want to deploy to the target farm.
Other steps that you must take to plan content deployment include deciding how many server farms you require, planning the export and import servers, planning the content deployment paths and jobs, and determining special considerations for large jobs.
Planning Server Farm Requirements

A typical content deployment scenario includes two separate server farms: one farm that contains the source server that you use for authoring and one farm that contains the destination server that you use for production. You can use content deployment to copy content between two separate site collections in the same server farm, or you can use a three-tier server farm that contains a server for authoring, a server for staging and quality assurance, and a server for production.
Planning Export and Import Servers

As part of your content deployment plan, you must decide which servers will perform the roles of export and import servers. They do not have to be the same as the source or destination servers, but you must install the Central Administration Web site on them.
Planning Content Deployment Paths

Content deployment paths define source site collections from which content deployment can start and destination site collections to which content is deployed. You can associate a content deployment path with only one site collection. To plan the content deployment paths that you require for your solution, you must decide which site collections you will deploy and also define the source and destination for each of these paths.
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Planning Job Scheduling

After you define your content deployment paths, you must plan the specific jobs that will deploy the content. When you configure content deployment jobs, you specify whether you will deploy a whole site collection or only specific sites of a site collection for a specific content deployment path. You also define the frequency with which your content deployment jobs run and whether they should include all content or only new, changed, or deleted content. As you plan the scope of your content deployment jobs, you must think about the order in which the jobs will run. If your plan specifies that you will use content deployment jobs for specific sites, you must schedule the jobs so that sites that are higher in the site hierarchy are deployed before sites that are lower in the site hierarchy. You must also decide when to run each job, which should generally mean running the jobs during low activity periods on the source server.
Planning for Large Jobs

A content deployment job exports all content to the file system on the source server as XML and binary files, and then it packages these groups of files into .cab files with a default size of 10 MB. There will be occasions when individual files, such as video files, will be larger than 10 MB. In this scenario, each file will be packaged into its own .cab file, and these can be larger than 10 MB. The .cab files are then uploaded to a temporary location on the destination server where they are extracted and imported. Therefore, if the site collection that you are deploying contains some large files, you must ensure that the temporary storage locations for these files on both the source server farms and the destination server farms have the required space to store the files.
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Planning for Branding
Key Points
Most organizations understand the importance of branding; it gives a consistent look and feel to company information or products that is recognizable to customers or consumers. Branding is essential for Internet-facing Web content in the same way that it is for advertising or marketing materials. Even for intranet sites, it is important to maintain the organization brand and also develop divisional and departmental brands in a site. These create a common identity and encourage consistency of content. The publishing templates that are available in SharePoint Server 2010 provide additional branding and navigation settings beyond those that are available in other site templates. For example, you can use tree view and content by query controls to provide alternate navigation. The reason for this is that publishing has a far greater reliance on look and feel than other functions such as records management.
Tools for Creating a Consistent Look and Feel

The key elements that SharePoint Server 2010 provides for establishing a consistent appearance are master pages, page layouts, and CSS. You create your
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own master pages, page layouts, or CSS files by using an editor such as SharePoint Designer 2010 or Visual Studio 2010. You can even use third-party custom style sheets with SharePoint Designer 2010 as long as they are developed by using Microsoft supported guidelines. Master pages and page layouts are held in the Master Page and Page Layouts Gallery document libraryusually referred to as the Master Page Galleryin the top-level site of a publishing site collection.
Planning Branding in SharePoint 2010

The key considerations when you plan for branding in SharePoint Server 2010 are as follows: Provide tools and training. You must provide your SharePoint 2010 designers with the adequate tools and training to create the required branding for your site. Create specifications. You must give your site designers some clear ideas of what you want the eventual look and feel of the site to be like. Prioritize your requirements. You must determine what you must brand on your site. Perhaps a simple color change is sufficient for your requirements, or maybe you want to rebrand the whole site and brand items such as Search controls or calendars. However, if you hardly ever use the calendar view of events, perhaps this is too much branding at this stage in the sites development. Consider content editors. When you brand your site, you should ensure that it keeps a consistent look and feel throughout. With Web content management in SharePoint Server 2010, you can control the editing tools and styles that are available. The level of HTML experience that your content editors have may dictate how you decide to implement your branding plan. For example, a Content Editor Web Part may be too complex for some of your content editors, so you may need to consider enabling publishing features to allow users to edit content directly on the page. Simplify deployment. You should involve your developers in the content deployment phase. Determine how they want to deploy any customizations, and try to synchronize your deployment with theirs. In addition, you must ensure that your plan makes it easy to change your branding styles. For example, if you have to update a theme file or a logo image, you must reset IIS, and you may need to reapply it to many sites. This will be costly and timeconsuming. However, if you plan branding correctly, it will not be necessary to
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reset IIS. For example, you can use the Alternate CSS option or an import that points to another file.
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Lab: Planning Enterprise Content Management
Exercise 1: Developing a Content Management Plan

Scenario
Contoso, Ltd has specific requirements for its content management design. You need to use the additional information detailed in the supplied documents to complete a planning worksheet for your organizations ECM design for SharePoint 2010. The main tasks for this exercise are as follows: 1. 2. Read the supporting information. Complete the SharePoint 2010 ECM Planning worksheet.
Task 1: Read the supporting information

1. Read the lab scenario.
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2. 3.
Log on to 10231A-NYC-DC1-10 as CONTOSO\Ed with the password Pa$$w0rd. In the E:\Labfiles\Lab10\Starter folder, read the information in the ECM Business Requirements.docx file.
Task 2: Complete the SharePoint 2010 ECM Planning worksheet

In the E:\Labfiles\Lab10\Starter folder, complete the worksheet in the SharePoint 2010 ECM Planning Worksheet.xlsx file.
Exercise 2: Enabling and Configuring Document IDs and Content Organizer

Scenario
Before implementing your content management plan in your production environment, you need to configure and test some parts of the ECM design by using the information in the ECM Business Requirements document and the SharePoint 2010 ECM Planning worksheet. The main tasks for this exercise are as follows: 1. 2. 3. 4. 5. Activate document IDs and reset all document IDs to use the same prefix. Activate and configure the Content Organizer feature. Create a new Send To connection. Create a new Content Organizer rule. Test the new Content Organizer rule.
Task 1: Activate document IDs and reset all document IDs to use the same prefix
1. 2. In the intranet.contoso.com/sites/docs site, activate the Document ID Service feature. Configure all document IDs to use the CONTOSO prefix.
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Task 2: Activate and configure the Content Organizer feature

1. 2. 3. In the intranet.contoso.com/sites/docs site, activate the Content Organizer feature. In the intranet.contoso.com/sites/hrdocs site, activate the Content Organizer feature. In the intranet.contoso.com/sites/hrdocs site, in Content Organizer Settings, enable Folder Partitioning, and ensure that subfolders are created if a target location has too many items in it. Copy the Submission Points Web service URL to the clipboard.
4.
Task 3: Create a new Send To connection

In SharePoint 2010 Central Administration, create a new Send To connection by using the information in the following table.
Value HR Docs Content Organizer http://intranet.contoso.com/sites/hrdocs/_vti_bin/OfficialFile. asmx (You can paste this from the Clipboard.)
Option Display name Send To URL
Task 4: Create a new Content Organizer rule

In the intranet.contoso.com/sites/docs site, create a new Content Organizer rule by using the information in the following table.
Value Move Contoso Document items to HR Docs Contoso Content Type
Option Name Content type Group Content - Type Property-based conditions Property
Contoso Document Contoso Department
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Option Property-based conditions Operator Property-based conditions Value Target Location
Value Is equal to
HR
HR Docs Content Organizer
Task 5: Test the new Content Organizer rule

1. Create two text documents on the desktop called HR Doc and Non-HR Doc. Ensure that you add some basic text to these two documents because the upload process will not work otherwise. Navigate to the Docs Drop Off Library, and then submit the HR Doc document, specifying HR as the Contoso Department. Navigate to the Docs Drop Off Library, and then submit the Non-HR Doc document, specifying Marketing as the Contoso Department. Verify that the Content Organizer rule moves the HR Doc document to the HR Docs drop off library and leaves the Non-HR Doc document in the Docs drop off library.
2. 3. 4.
Exercise 3: Configuring Retention Policies and Records Management

Scenario
Before implementing your content management plan in your production environment, you need to configure and test some parts of the ECM design by using the information in the ECM Business Requirements document and the SharePoint 2010 ECM Planning worksheet. The main tasks for this exercise are as follows: 1. 2. Configure information management policy settings for document retention on a content type. Activate and configure the In Place Records Management feature.
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Task 1: Configure information management policy settings for document retention on a content type
In the intranet.contoso.com/sites/docs site, configure the information management policy settings for document retention for the Contoso Document content type by using the information that the SharePoint 2010 ECM Planning Worksheet Solution.xlsx file provides.
Task 2: Activate and configure the In Place Records Management feature

1. 2. 3. In the intranet.contoso.com/sites/docs site, activate the In Place Records Management feature. Configure the record declaration settings to allow record declaration in all locations. Change the Non-HR Doc document to a record.
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Module Review and Takeaways
Review Questions
1. What are the main differences between SharePoint documents and records, and how they should be managed in your enterprise content management plan? What are the three key caching and performance aspects of SharePoint Server 2010 that must be considered as part of your planning for Web content management? When planning for using document sets, what are the limits for the number and size of documents in a set that you must consider in your plan? When you are planning for branded items, which must be the same across your site collection, which SharePoint Server 2010 feature should you consider?
2.
3. 4.
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Best Practices Related to Enterprise Content Management

Supplement or modify the following best practices for your own work situations: If you plan to use the asset library to store and serve audio and video files to users, you should enable the disk-based BLOB cache and Bit Rate Throttling options to provide better performance. Use the Document ID feature to attach unique identifiers to your users documents so that they can find them more easily irrespective of the documents current location. If the site collection that you are deploying contains large files, ensure that the temporary storage locations for these files on both the source server farms and the destination server farms have enough space to store the files. Use the new Content Organizer feature to create metadata-based rules to automatically route documents to different libraries and folders.
Planning a SharePoint 2010 Implementation of a Business Intelligence Strategy
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Module 11
Contents:
Lesson 1: Overview of Business Intelligence Principles Lesson 2: Planning Data Access by Using BCS Lesson 3: Planning SharePoint 2010 Business Intelligence Solutions Lesson 4: Planning for Reporting and Presentation Lab: Planning a SharePoint 2010 Implementation of a Business Intelligence Strategy 11-51 11-4 11-14 11-26 11-44
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Module Overview
This module reviews the role of Microsoft SharePoint 2010 business intelligence (BI) solutions as components of a wider organizational BI implementation. SharePoint 2010 extends the BI features of Microsoft Office SharePoint Server 2007 by including PerformancePoint Services and the Visio Graphics Service, in addition to updates to Excel Services. A solution architect must also assess the role of Microsoft SQL Server Reporting Services for SharePoint 2010 as a significant component of an overall BI strategy. Critical in the development of a BI environment is the role of Business Connectivity Services (BCS) in the visualization of line-of-business (LOB) data from back-office systems. Although BCS is not a true BI tool in the mould of Excel Services, it is intrinsic to BI solutions for users.
Objectives
After completing this module, you will be able to: Describe the principles of BI. Describe how to plan for data access by using BCS.
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Describe data and security planning concerns for key BI tools. Describe the roles of SQL Server Reporting Services and the BI Center in reporting and presenting BI components.
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Lesson 1
Overview of Business Intelligence Principles
SharePoint 2010 delivers a greatly enhanced range of BI solutions. As part of your solution design, you must review the options that are available to you for BI deployment. BI is an enabler to business decision-making; the goal is to get the right information to the right people in a timely manner. You must ensure that you understand the business requirements for your organization and can interpret them. In this way, you can effectively map them against SharePoint 2010 BI solutions.
Objectives
After completing this lesson, you will be able to: Describe the goals of BI. Explain the business opportunities that are appropriate for SharePoint 2010 BI solutions.
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Explain the data management and access issues that are relevant to BI design. Plan how to implement BI in SharePoint 2010.
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Goals of Business Intelligence
Key Points
There are a range of definitions of BI, so it is probably more useful to assess the goals of BI instead. In this way, you can more fully understand what you should achieve through your solution design. There are three key goals: Self-service and personal business intelligence. Business intelligence for the community. Organizational business intelligence.
Self-Service and Personal BI

The goal of self-service and personal BI is to ensure that users can provide their own BI services. Usually, it involves personal productivity facilities such as Microsoft Office, in addition to access to back-end data sources such as SQL Server or other database software. Users, usually information workers, can format and
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analyze data to generate business logic models that help them make decisions. This involves little or no ongoing effort from the IT department.
Business Intelligence for the Community

The goal of BI for the community is the ability to analyze data in a collaborative environment. The aim is to create teams who can combine effort and therefore produce more complex or better informed business models. This requires a more sophisticated approach to business systems, but has the major benefit of eradicating silos of business information that are outside the control of the business. Eradicating such silos is the most common goal of BI implementations. Therefore, a solution architect must identify opportunities for teams to share common information to make corporate decisions. A good example of how this extends personal BI is exhibited by the difference between Microsoft Excel 2010 and Excel Services. Excel 2010 provides personal productivity, whereas Excel Services provides a truly collaborative environment. This approach creates a homogeneous data environment where both local information, such as Excel workbooks, and corporate data are used in a coherent manner across an organization. This usually involves greater input from IT services through the provision of collaborative tools, but the power of how to use information remains with information worker teams.
Organizational Business Intelligence

Organizational BI extends the use of business data beyond individual or team usage and creates a strategic model for business operation. The company goals are reflected in the use of data, with BI tools generating preanalyzed output that aligns with organizational goals. As a superset of the model of BI for the community, information workers can continue to collaborate on data analysis, but work is placed in the context of the overarching business strategy. This model commonly uses key performance indicators (KPIs), dashboards, and scorecards to publish achievements or targets. This model has the added benefit of enforcing governance across the business at a day-to-day level. This approach often requires a lot of architectural and developmental effort from the IT department, based on business requirements from BI stakeholders and the organizations management team.
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Identifying Business Intelligence Opportunities
Key Points
As a solution architect, it is essential that you can reconcile business requirements with opportunities for the use of BI. This does not mean that you must use BI. Rather, you must recognize when BI, and specifically the SharePoint 2010 BI toolset, is appropriate to your design. Here are some examples of requirements that should trigger a review of SharePoint 2010 BI components: Deliver user autonomy. If business stakeholders and users identify self-service as a key requirement, you should investigate their goals and reasons for this. The goal should be to enable users to more quickly generate business solutions through closer collaboration and accessibility to back-end corporate data. You should avoid the need to involve the IT department in protracted systems design projects. One of the key benefits of BI is that it enables information workers to have structured and managed access to corporate information when they need it. Be careful of the goal of unilateral independence from the IT department; sometimes users feel that the IT department is a blocker to BI, rather than an enabler.
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Share Excel workbooks through browsers. The ability to work collaboratively on Excel workbooks has previously involved saving a workbook on a shared drive so that others can access it. This is still possible with SharePoint 2010, and has the obvious advantages of version control and check-in and check-out from document libraries. SharePoint 2010 Excel Services enables users to view and interact with Excel 2010 workbooks through a browser, which is the key benefit. This browser functionality, together with Web Part visualization, means that users can now work collaboratively wherever they are and without the need to have the client license for Excel 2010. Deploy dashboards. Business dashboards enable you to deploy BI information to both BI and non-BI users through an onscreen Web Part. You should review requirements to identify where stakeholders need information delivered directly to users, too, rather than just for their own analysis. Deploy status indicators and KPIs. Status indicators and KPIs give the information worker a current view of performance. This is only deliverable with a connected system because you must have access to back-end data sources to ensure that the status reflects current business achievements. Generate business scorecards. Business scorecards provide overall view of status indicators. They are modeled after the business, not the data, to reflect goals. These may be included as part of a dashboard. Enable business process visualization. For environments such as process industries that map complex processes in Microsoft Visio 2010, you should investigate whether these are required just for Visio users or for a wider audience. This is especially the case when Visio diagrams are connected to back-end data systems that monitor or manage business processes. Create a central reporting location. Identify whether users want a centralized reporting environment. Deploying single instances of reports minimizes the effort that is wasted in user generation of multiple versions of the same information. Provide central management for external data connections. Assess the need for central management of connections to back-end business data sources. If your environment has a range of complex data access requirements, you should review the opportunities to create a managed set of data connections that are made available to users. This minimizes duplication of effort and makes solution deployment faster.
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Data Security Management in Corporate Business Intelligence
Key Points
When you are designing a BI deployment strategy for SharePoint 2010, you must ensure that you look at how your organization manages data, in addition to matching BI tools to requirements. Most companies have an overarching BI strategy, which includes elements such as data compliance and security. For your design to succeed, you must fit the SharePoint 2010 solutions into this strategy.
Organizational Compliance
The security component requires that you understand the company-wide standards for security, such as: Protocols. Which security protocols (HTTP, HTTPS, and so on) are used in your organization and does SharePoint 2010 support them?
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Authentication. Does your organization want to implement a single sign-on (SSO) approach, with authentication transferred through a given methodology between different platforms? Management. How does your environment manage personal credentials?
Security Integration
From a systems management perspective, it is important to aggregate the security mechanisms of various platforms. Each is likely to have its own implementation of data security, so you must understand which platforms and methodologies can integrate with SharePoint 2010. You can deliver a range of security and authentication implementations in SharePoint 2010, such as classic or claims. You must plan to implement the correct security implementation for your Web applications.
Seamless User Experience

Your users employ various systems, so they almost certainly want to minimize the need for multiple logon credentials. This is critical for a BI implementation because the goal is to provide a seamless flow of information and authentication. SharePoint 2010 delivers claims-based security and the Secure Store Service, which enables you to provide security accreditation across systems without intervention from users in the form of additional logons.
Central Control
In your BI plan, you must also establish the responsibilities of IT and deployed administration control of security. SharePoint security is, by default, centralized, which offers coordinated security management. You can also delegate security administration to departmental groups to minimize IT intervention and maximize effective response to users.
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Planning the Implementation of BI in SharePoint
Key Points
SharePoint 2010 improved BI options over those that were previously available in Office SharePoint Server 2007. New options include PerformancePoint Services, and enhancements to existing options include Excel Services. In addition, some BI solutions are available that are not directly SharePoint 2010 solutions, such as Excel 2010, which remains the most popular BI user tool. When you create a design, you must map BI solutions to your business requirements. These should relate to the three principal goals: Self-service and personal business intelligence. Business intelligence for the community. Organizational business intelligence.
Self-Service and Personal Business Intelligence

In the area of personal business productivity, use the essentially personal tools such as Excel 2010 (optionally with PowerPivot) and Visio 2010. These can draw
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information from external systems, but do not necessarily provide collaborative environments. It is possible to share output from these and, in the case of Excel 2010, provide input to BI components such as Status Indicator Web Parts, but only one worker at a time can use them. For these types of files, you may need to deploy centralized metadata tagging in SharePoint 2010 through custom content types and columns. These can implement business standards through workflows and the document information panel. You may also implement report standardization by provisioning Report Builder.
Business Intelligence for the Community

In the collaborative sector, use the SharePoint BI tools such as Excel Services and the Visio Graphics Service. These are collaborative tools that provide information to the wider user population through a browser-based user interface (UI). If you need to make workbooks available for multiuser updates, a possible solution is using Excel Services rather than Excel 2010. Using the Visio Graphics Service, you can make the function and business logic in Visio drawings available to all users of the SharePoint 2010 environment. PerformancePoint Services straddles the divide between community and organizational productivity. You may deploy PerformancePoint Services for a group or individuals to use to create BI solutions, such as dashboards or workflows, which are useful for personal or team productivity. SQL Server Reporting Services is a SQL Server function, but you can deploy it through SharePoint 2010. Lesson 4, Planning for Reporting and Presentation, discusses this more fully.
Organizational Business Intelligence

PerformancePoint Services is an essential tool for organizational BI. It enables you to design and deploy centralized BI solutions, such as dashboards and KPIs, across the user environment.
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Lesson 2
Planning Data Access by Using BCS
Although BCS is not usually included in the core BI tools in SharePoint 2010, it is an integral component for integrating LOB data with SharePoint applications. If back-end data integration is a key business requirement for your users, it is almost certain that you will need to implement BCS. You should review such integration in the widest terms, because BCS is also used in search and social computing solutions. For a SharePoint 2010 BI environment, it is essential to plan your data access strategy because issues over failed access or overly complex authentication configuration have often impacted BI implementations. SharePoint 2010 provides BCS, which provides data access to users and SharePoint applications beyond the traditional BI solutions of Excel Services.
Objectives
After completing this lesson, you will be able to: Describe the key components and functions of BCS.
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Describe the design options for BCS security. Explain planning options for authentication when using the Secure Store Service. Describe how to prevent the double-hop issue.
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Overview of Business Connectivity Services
Key Points
BCS is a foundation component for data integration in SharePoint 2010. It is one of the few service applications that are embedded in Microsoft SharePoint Foundation 2010. The terminology for BCS is potentially confusing for those who have experience of the Office SharePoint Server 2007 Business Data Catalog (BDC). BCS is described by using the following terms and acronyms: Business Connectivity Services. The overall name for the service. Business Data Connectivity (BDC). The runtime that enables connectivity to external data sources. External Content Type (ECT). An entity that is consumed through BCS. External List. A SharePoint 2010 list that is specifically designed to deliver data from external systems.
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BCS Overview
BCS is a set of features that enable you to connect through SharePoint 2010 to a range of external data sources. You can render this external content into SharePoint visualizations such as external lists or Web Parts. You can connect to data sources that include, but are not limited to: SQL Server databases SAP applications Web services (including Windows Communication Foundation (WCF) Web services) Custom applications SharePoint Web sites
BCS uses a standard set of interfaces that makes it possible for both users and developers to create business applications in SharePoint 2010. A key tool for users is Microsoft SharePoint Designer 2010, which enables them to develop solutions without the need to write programming code. For more sophisticated development, there is Microsoft Visual Studio 2010, with its SharePoint 2010 add-ins. SharePoint Designer 2010 is a powerful tool that you can deploy to users who need to develop and deploy business solutions. These may not be defined as BI solutions, but if the solutions are designed to help information workers to become more productive, you should treat them as BI solutions.
Note: If your design includes provision of self-service development through SharePoint Designer 2010, you should ensure that you include the use of sandboxed solutions in your development standards. These enable you to restrict resources that any application that runs in your SharePoint 2010 environment uses.
In a broader BI context, BCS provides external data access to Microsoft Office tools such as Excel 2010. It does this through a runtime environment in which solutions that include external data are loaded, integrated, and executed in supported Office client applications and on the Web server.
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Additional Reading
For more information about using SharePoint Designer 2010 with BCS, see http://go.microsoft.com/fwlink/?LinkID=200901&clcid=0x409. For more information about sandboxed solutions, see http://go.microsoft.com/fwlink/?LinkID=201241&clcid=0x409.
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Planning BCS Security
Key Points
The security architecture of BCS is primarily involved in integrating authentication with external systems.
Authentication
BCS is designed to integrate with external data sources, which means that you must ensure that you can pass authentication credentials from the user to the external platform. The two methods of authentication that are available in BCS are: Claims-based authentication Credentials-based authentication
Authentication of BCS Access with Claims

If you are planning for SharePoint 2010 BCS with a claims-aware data source, you may want to enable your Web application for claims-based authentication. For BCS authentication, your solution uses the SharePoint 2010 Security Token Service (STS). This service is preconfigured on a farm and authenticates users or functions,
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such as a Web service, to SharePoint. The service is a broker for SharePoint 2010 and supports multiple authentication providers for applications based on both ASP.NET and WCF. The process for claims-based authentication is as follows: 1. 2. 3. 4. 5. 6. The user accesses an application that is configured for claims authentication, such as an external list. The list access triggers an authentication request. The list requests a security token from the STS. The STS issues a token that contains a set of claims based on the user identity, and a target application identifier, which is returned to the list. The list passes the security token to the Secure Store Service. The Secure Store Service reads the user information and sends credentials to the external data source. The external source reviews the credentials and, if the claims are appropriate, sends the data to update the list.
Authentication of BCS Access with Credentials

BCS supports the following credential authentication options: Windows authentication: Windows Challenge/Response (NTLM) Microsoft Negotiate
Authentication other than Windows: Forms-based Digest Basic
Authentication Modes
You must ensure that application developers are aware of the options for authenticating data access from the BCS. You must associate each with an authentication mode, which is associated with an external content type. There are two methods of passing this information to the target data source: Pass the credentials directly to the target.
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Map the credentials to an account in the Secure Store Service.
The modes that are available include: PassThrough. Passes the credentials of the logged-on user to the external system, which means that the user credentials must exist on the target system. RevertToSelf. Maps the user credentials to the BCS application pool account and sends those credentials to the target system. WindowsCredentials. Can be used for both external Web services and database access. It uses a Secure Store Service to map the users credentials to a set of Windows credentials on the external system. Credentials. Can be used for external Web services. It uses the Secure Store Service to map the users credentials to a set of credentials that a source other than Windows supplies. These must be known to the target system, which uses a basic or digest authentication. RdbCredentials. Can be used for external database access. It uses the Secure Store Service to map the users credentials to a set of credentials that a source other than Windows supplies. These must be known to the target system, which uses a basic or digest authentication.
You should plan to use the latter two options with Secure Sockets Layer (SSL) or IPSec security protocols.
Permissions
You can associate BCS permissions with an individual account, group account, or claim with one or more permission levels on an object in a metadata store. When you plan a permissions strategy, you should give specific permissions to each user or group that needs it, in accordance with the principle of least privilege.
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Planning Data Access Security by Using the Secure Store Service
Key Points
The Secure Store Service is a service application that enables access to external data sources. It provides a store of credentials through which an active user can gain access to an external data source through impersonation. This impersonation functionality maps BI service applications, users, and credentials through use of a target application. This is a set of metadata that lists the users who have access to the credentials that a BI application uses to access external data. The metadata and credentials are stored in an encrypted Secure Store Service database in SharePoint 2010. The stored settings include: Administrators. This lists the target application administrators. These can be administrators or users to whom you delegate administrative rights to the Secure Store Service target application.
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Note: PerformancePoint Services automatically configures administrators for target applications that are configured through it.
Members. This lists users or Active Directory directory service groups for whom the Business Intelligence Service Application impersonates credentials.
Note: For target applications that are configured through PerformancePoint Services, PerformancePoint Services specifies the service account that the PerformancePoint Services application pool uses as a member.
Credentials. This lists the target application credentials, which consist of an Active Directory account with direct access to data sources. You must grant this account access to the data source outside SharePoint 2010, in line with the principle of least privilege. This account is impersonated to provide data access to users.
Farm administrators can configure all of these through the Secure Store Service for Excel Services and the Visio Graphics Service. However, PerformancePoint Services is configured through the PerformancePoint Service Application Settings.
Excel Services and the Visio Graphics Service

You can design two methods for use of the Secure Store Service for Excel Services and the Visio Graphics Service: Specified target application. The workbook or drawing specifies the target application. The Secure Store Service uses the associated credentials when a user requests data access. No specified target application (unattended service account). Again, the workbook or drawing specifies this. However, with this option, the Secure Store Service uses the unattended service account credentials that are specified in the Global Settings for the service application.
PerformancePoint Services
PerformancePoint Services cannot specify a specific Secure Store Service target application. It only uses the Secure Store Service by specifying the unattended service account.
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Data Connection Files

Excel, Visio, and PerformancePoint Services all use data connection files to specify authentication information. For Excel Services and the Visio Graphics Service, this is an Office Data Connection (ODC) file. For PerformancePoint Services, it is a PerformancePoint Services Data Connection (PPSDC) file.
Excel Services Connections

For Excel Services, you must plan and specify the ODC connection before you load the workbook. The settings include: Integrated Windows authentication. Integrated Windows authentication with Kerberos delegation to authenticate each user. Secure Store Service Identifier (SSS ID). The specific Secure Store Service target application that is used for data access. None. The credentials that are specified in the connection string or the unattended service account.
Note: You can only edit these settings by opening the worksheet or ODC file in Excel 2010.
Visio Graphics Service Connections

For the Visio Graphics Service, you can use either embedded connection information or connection information in an ODC file: Embedded connection. This requires you to specify that users connect to an external data source when they create Visio drawings, which stores the connection directly in the file. When a user accesses the drawing, the Secure Store Service uses the unattended service account. ODC connection. This uses an existing ODC file that is specified in the drawing. When you publish the drawing, the Visio Graphics Service maintains the link to the ODC file and uses the connection information.
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Preventing the Double-Hop Issue
Key Points
The double-hop issue is one that is a particular problem for BI implementations. It occurs when users successfully present their credentials to SharePoint 2010, but find that Internet Information Services (IIS) does not pass these credentials to the BCS, so the call to the external data source fails. NT LAN Manager (NTLM) authenticates only the client and not the server, so end users would not know whether their credentials were passed to a valid service. To avoid this scenario, you should plan to use the Secure Store Service to access external data.
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Lesson 3
Planning SharePoint 2010 Business Intelligence Solutions
The three core BI services for SharePoint 2010 are Excel Services, PerformancePoint Services, and the Visio Graphics Service. As part of your design for BI, you must understand how and when you should use each of these. You must also understand the security architecture of each, so that you can maintain security governance over business-critical information.
Objectives
After completing this lesson, you will be able to: Describe the key planning options for Excel Services. Describe how to plan Excel Services security. Explain the function and use of PowerPivot for SharePoint. Describe the key planning options for PerformancePoint Services.
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Describe how to plan PerformancePoint Services security. Describe the key planning options for the Visio Graphics Service.
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Planning for Excel Services
Key Points
Excel Services is a multifaceted service application. This means that there are several components that integrate to deliver the Excel Services functionality. The components are described in the following table.
Component Excel Calculation Services
Description The service that is responsible for loading Excel workbooks from trusted file locations, executing any workbook calculations, calling any user-defined functions, and refreshing workbook references to external data sources. It also creates, maintains, and closes user sessions to the service. You can configure it to cache open Excel workbooks, calculations, and data query results for improved performance.
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Component Excel Web Services
Description The developer interface to Excel Services. You can create applications that call the service to perform custom tasks on a workbook. You can also use Excel Web Services to incorporate server-based workbook logic into an application.
Excel Web Access
The component of Excel Services that is visible to information workers. This renders Excel workbook information into a Web browser.
This division of functionality will affect the physical design of your Excel Services implementation, because you will need to define the capabilities of both application and Web Front End (WFE) servers. Excel Services provides all of the visualization and computational analysis functionality that you usually expect to deliver through a personal computer. Your SharePoint 2010 servers deliver these loads, so you must be sure that you understand the loading effort that is involved. To do this, you must review the number, size, and complexity of the workbooks that you expect to manage in Excel Services. These are highly subjective metrics, so it is important that you pilot any environment and assess the performance of Excel Services for users. Large and complex Excel workbooks are processor-intensive applications, so you may find it fruitful to dedicate a server that has powerful processing capabilities as a dedicated Excel Services server. This high processing requirement also makes it preferable to dedicate a server to Excel Services, rather than share the hardware platform with other service applications.
Identifying the Need for Excel Services

You must identify the reasons for including Excel Services in your design, and you must base these reasons on business requirements. You can regard Excel Services as the mass reporting version of Excel 2010. Excel Services makes it simple to use, share, secure, and manage Excel 2010 workbooks as interactive reports in a consistent way throughout the enterprise. Excel Services is not a multiuser version of Excel 2010; users can interact with workbooks, but they cannot create new ones in Excel Services. This is an important distinction and may not be obvious to users. A key advantage is the ability to store a workbook in a central location and make it available to many users. You can also use Excel Services to create dashboards, which reflect current workbook statistics or metrics directly to a user Web page.
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Users often have complex business logic in Excel 2010 workbooks. In SharePoint 2010, you can access this business logic programmatically through a Web service based interface. Users would be unlikely to make such a request, so you need to identify where key business logic is held. You may find that business analysts are more attuned to this type of business solution. Many users, particularly those in financial services, are comfortable with the traditional spreadsheet reporting layout. You can use Excel Services to generate reports to include BI information, or any other data that you use in Excel Services.
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Planning Excel Services Security
Key Points
Excel Services enables you to centrally manage not only workbooks, but also the resources and connections to corporate data that a workbook may contain.
Access Components
The access components include: Trusted file locations. Trusted file locations may be: SharePoint document libraries. Universal Naming Convention (UNC) paths. HTTP Web sites.
These locations must be explicitly trusted before Excel Services can access them, because it can only open workbooks in trusted file locations. Trusted data providers. Trusted data providers are external databases that you define as trusted in Excel Services. The service application will only process data connections to a trusted data provider.
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Trusted data connection libraries. Trusted data connection libraries are SharePoint document libraries that contain ODC files. You can plan to centrally store these files, which you may also use for Visio Graphics Service. You must store the ODC files in a data connection library, which must then be trusted by Excel Services.
Authentication
Excel Services supports three authentication methods: Integrated Windows authentication. Integrated Windows authentication, or NTLM, is now used exclusively for IIS Authentication Settings in SharePoint Server 2010. If you choose to use NTLM, you should also use Kerberos for added security and as an option to circumnavigate the double-hop issue. However, you are more likely to use claims-based authentication, because all Excel Services scenarios use claims. Secure Store Service authentication. This supports individual or group credentials mapping. You may use individual credentials for usage monitoring, but it is more common to use group mapping. None (unattended service account). Excel Services tries to use inbound connection strings to connect to the database that is specified in the string. The connection strings are passed to the database provider. If the connection string contains a user name and password, and if the database authorizes access, the connection is established by using the security context of the authorized user account.
Server Communications
You should make every effort to use claims-based authentication because it improves security and authentication when you deploy farms, Office Business Applications (OBAs), and SharePoint services in different environments. Excel Services can use claims-based authentication for all deployment scenarios, whether they occur in a single server or multiple server farm.
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Planning for PowerPivot
Key Points
PowerPivot for SharePoint adds analysis services to SharePoint so that it can host and process workbooks that you create by using the PowerPivot for Excel add-in.
Architecture Components
When you install the PowerPivot for SharePoint add-in in a SharePoint farm, the following components are installed: PowerPivot System Service and SQL Server Analysis Services service. These services manage the data in PowerPivot Excel workbooks and handle data queries. The services run on an application server. PowerPivot Web Service. This service routes requests for workbooks in PowerPivot Excel to PowerPivot application servers. This service runs on a WFE server. PowerPivot service application. This is a SharePoint 2010 service application, which defines an endpoint for the PowerPivot System Service and enables centralized security for all instances of the PowerPivot System Service.
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PowerPivot application database. This is the service application database, which stores PowerPivot metadata. PowerPivot content and libraries. This includes the PowerPivot gallery, which provides previews of workbooks in PowerPivot and reports in SQL Server Reporting Services.
You can install PowerPivot for SharePoint on any application server, but you should pilot the service against your existing PowerPivot Excel workbooks to monitor and assess loading on server processor and memory. PowerPivot can be a heavy user of both resources because it offers in-memory server-side processing of workbooks.
Environment Planning
Your environment planning should reflect pilot and test deployments for PowerPivot for SharePoint. The three key areas are: Storage. All PowerPivot content is stored in SharePoint 2010 databases. Service application metadata is stored in the instance service application database. Networking. Data transfer speed can be an issue for PowerPivot query processing. Very large workbooks of 1 GB can take over 10 seconds to load over a 100-Mbps network. This time may be even longer during a save action because SharePoint is optimized for download. PowerPivot servers use a filecaching methodology to reduce file reloads. Processor and memory. You should plan for high-performance services for PowerPivot because of the long-running queries that are characteristic of PowerPivot processing. The minimum specification should include a 64-bit, dual-core processor and 8 GB of RAM.
Using PowerPivot for SharePoint

PowerPivot is a powerful BI extension for Excel 2010 and Excel Services. A resource as important as this should be widely available for use across an organization. If you have requirements for this sort of fast analysis, you should consider the centralization of business resources with PowerPivot for SharePoint. However, if you have few users, you may decide to localize resources. PowerPivot provides extensive analysis services. If you have strong business requirements for Excel analysis, you should investigate the options of working with PowerPivot.
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The server-side processing that is available with PowerPoint for SharePoint enables you to specify high-performance servers that can share resources across several users, rather than deploying multiple high-performance workstations. This is possible because PowerPivot for Excel provides browser-based delivery, so it has minimal performance impact on the client.
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Planning for PerformancePoint Services
Key Points
PerformancePoint Services is designed for the delivery of community or organizational BI. The features and tools that are associated with PerformancePoint Services focus on this sector of the BI marketplace, rather than on personal productivity. This should strongly influence your design for BI. You must focus on business requirements that specify the need for performance management, KPIs, and results alignment. The visualization and analysis functions of PerformancePoint Services can meet such requirements.
Components
PerformancePoint Services includes: Dashboard Designer. This provides a UI for users to develop and manage dashboards and their elements: Reports Analytic charts
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Scorecards Filters
Web Parts. PerformancePoint Web Parts are built-in, server-side controls that run inside the context of Web pages. You should identify Web Parts that fulfill user requirements during the design phase: Reports Web Part. The Reports Web Part includes analytic charts and grids, SQL Server Reporting Services reports, Excel Services reports, and the strategy map. Status Indicator Web Part. The Status Indicator Web Part report displays contextually relevant information about KPIs, metrics, rows, columns, and cells within a scorecard. Scorecard View Web Part. The Scorecard View Web Part provides view functionality for the scorecard. Without the Scorecard View Web Part, users cannot render the KPIs in a dashboard. Filter Web Part. The Filter Web Part enables synchronization of Web Part content through connections between different Web Parts.
PerformancePoint Site collections. The Dashboard Designer bases queries on the location of the Web service, which is scoped in a SharePoint Server 2010 site collection.
Using PerformancePoint Services

Depending on your user population, you can use PerformancePoint Services as an IT-provisioned solution, or provide users with the training to use development options such as the Dashboard Designer.
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Planning PerformancePoint Services Security
Key Points
PerformancePoint Services adds layers of security over SharePoint 2010, which are used for items held in lists or document libraries. You can manage the service application security from the SharePoint Central Administration Web site.
Authentication
PerformancePoint Services supports three authentication methods for source data access: Per-user identity. Access is based on transmission of the user identifier. This method requires you to include Kerberos delegation in your design. Unattended user account. Access is managed through a predefined unattended user account. The Secure Store Service holds this low-privilege account information. You must include provision to give this account access to the external data. Custom data. SQL Server Analysis Services manages access and includes the currently authenticated user name as a parameter on the custom data field in
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an Analysis Services connection string. The custom data option is only used for Analysis Services data sources.
Access Components
The access components include: Trusted file locations. You can design increased PerformancePoint Services security by using trusted file locations. In PerformancePoint Services, data source connections are stored in document libraries and data content is stored in document lists. You can set all locations on the farm as trusted, for minimal security, or you can specify centrally managed secure locations. Trusted data connection libraries. These contain the PPSDC files. Trusted lists. These contain the contentreports, scorecards, KPIs, and filters that is used for dashboards.
Roles and Permissions

PerformancePoint metadata content is stored in SharePoint lists and document libraries. Therefore, much of the security that you design is based on SharePoint 2010 security options for these file stores. PerformancePoint Services uses SharePoint Server authorization groups and permissions, so you must plan access to these groups: Farm Administrator. To edit dashboard items, this role needs at least contributor permissions on content lists (or list items) and data source libraries (or library items). Site Collection Administrator. To edit dashboard items, this role needs at least contributor permissions on data source libraries (or library items). Site Administrator or List and Document Library Contributor. To edit dashboard items, this role needs at least contributor permissions on content lists (or list items) and data source libraries (or library items).
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Planning for the Visio Graphics Service
Key Points
Like Excel Services, the Visio Graphics Service is an interactive reporting solution rather than a shared or multiuser version of Visio 2010. This service enables users to render Visio 2010 *.vdw files onto a Web browser in the Visio Web Access Web Part. The key advantage of the Visio Graphics Service is the ability to refresh the connected data and visuals of a Visio Web drawing. For process industries, this can provide visual indicators of performance metrics as part of an integrated management Web page to users who are not using Visio 2010. It is also possible to visualize SharePoint 2010 workflows to deliver more visual management options. These drawings are created in Visio 2010 and then published to the Visio Graphics Service.
Connected Drawings
Visio 2010 can link to external data sources to provide refreshable input to drawing variables. The Visio Graphics Service maintains this functionality, and uses SharePoint 2010 to manage security and authentication. SharePoint treats unconnected drawings in the same way as any other file that is held in its
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document library. You can plan security to make these files available to users either directly in Visio 2010, or through the Visio Graphics Service visualization options. Using Microsoft Office Visio 2007 or Visio 2010 data-link technology and publishing by using Visio 2010 publishing functionality, drawing creators can connect to and refresh data from the following sources: SQL Server 7.0. SQL Server 2000. SQL Server 2005 (32-bit and 64-bit). SQL Server 2008 (32-bit and 64-bit). SQL Server 2008 R2 (32-bit and 64-bit). Sheet information that is stored in Excel workbooks (.xlsx files) that are published from Microsoft Office Excel 2007 or Excel 2010 and hosted on the same SharePoint Server 2010 farm. SharePoint Server lists that are hosted on the same farm. OLE DB or Open Database Connectivity (ODBC). Custom data providers that are implemented as Microsoft .NET Framework assemblies.
To control access, you should plan to define the sources in the list of trusted data providers.
Excel Connections
Users can connect to Excel workbooks as data sources. You must ensure that your design hosts these on the same farm, in a multiple farm deployment. You must also provide appropriate permissions and authentication configuration.
SQL Server Databases

Visio drawings that are published to the Visio Graphics Service can use connections that are stored in ODC files. Visio 2010 does not have an option to create ODC files, but you can create them in Excel 2010.
Authentication
The Visio Graphics Service provides three authentication options: Integrated Windows authentication (NTLM). The Visio Graphics Service uses the identity of the user who is viewing the drawing to authenticate with the database. You can enhance security with Kerberos.
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Secure Store Service. As with other BI services, this uses impersonation through the Secure Store Service to map the users credentials to a different credential that has access to the database. You can only use Secure Store Service authentication for drawings that use an ODC file to specify the connection, because the ODC file specifies the target application.
Note: You can use NTLM with the Secure Store Service for files that require personal credentials.
Unattended service account. This provides a single account that an administrator can map to all authorized users in a Secure Store Service target application. This method, which is the default option for connection to SQL Server databases, does not enable personalized queries against a database and does not provide auditing of database calls.
For a mixed authentication environment, you should include the following in your planning: If users create a Visio drawing that connects to a SQL Server database, but do not specify an ODC file, the unattended service account is used by default. If integrated Windows authentication fails, the Visio Graphics Service will not use the unattended service account.
Performance
When you plan your Visio Graphics Service deployment, you must review performance factors, as you would for any BI function. For Web drawings in the Visio Graphics Service, these factors include: Size. Number. Complexity. Data refresh frequency (for connected drawings). Peak loads for rendering drawing and external data access.
You should test and then pilot your implementation so that you can establish a baseline for performance and capacity. When you have created a baseline, you
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should then monitor performance to establish functional trends. If you identify changes in the Visio Graphics Service loading, you can: Load balance the service by deploying additional instances. Scale up server configurations. Increase the minimum cache age for Visio Web drawings.
Using the Visio Graphics Service

Visio 2010 is a relatively specialist tool, particularly when you compare it to BI solutions such as Excel 2010. You must identify process-driven options in your business that would benefit from visualization. For wider use, you may consider provisioning workflow diagrams that show current status and visually flag overdue or failed workflow steps.
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Lesson 4
Planning for Reporting and Presentation
SharePoint 2010 is designed as an integration platform. SharePoint 2010 not only uses SQL Server as a data source, it can integrate with the data source by using SQL Server Reporting Services. This is an important enabler for your integration of SharePoint 2010 into a corporate BI strategy, particularly if users are already capitalizing on the reporting options of SQL Server Reporting Services. You also need to manage the breadth of BI functionality that is available in SharePoint 2010. Those who are familiar with the BI capabilities of Office SharePoint Server 2007 may be relatively comfortable with many of the BI options, but you can streamline overall BI management by using the BI Center. This provides a central site from which administrators can manage reporting and data presentation.
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Objectives
After completing this lesson, you will be able to: Plan the integration, authentication, and deployment aspect of SQL Server Reporting Services for SharePoint 2010. Describe the options and value of the SharePoint 2010 BI Center.
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Planning SQL Server Reporting Services
Key Points
You can plan SQL Server Reporting Services to extend into your SharePoint 2010 deployment. This delivers programmatic options for report generation and the ability to generate reports based on SharePoint 2010 lists. You can visualize these reports by: Publishing reports on SharePoint 2010. Incorporating report output in Web Parts. Providing managed reports in document libraries.
Clearly, the sophistication of SQL Server Reporting Services provides business advantages to SharePoint 2010 users who need to review report output for decision-making. You can include report information in SharePoint Web pages to streamline management information.
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Planning Usage Modes

There are two usage modes for SQL Server Reporting Services: Connected or Integrated Mode and Local or Native Mode. In Connected Mode, an instance of SQL Server Reporting Services provides backend services for report storage, caching, scheduling, and subscriptions, and SharePoint provides a UI through which the reports that are defined in the report server can be viewed and managed. Local Mode provides a more restricted option for SQL Server Reporting Services and SharePoint integration. Local Mode requires SharePoint 2010 and the SQL Server Reporting Services add-in. The deployment does not have a back-end server running SQL Server Reporting Services. SharePoint uses the SQL Server Reporting Services add-in to render reports. These reports are formatted in Report Definition Language (RDL) on SharePoint 2010 sites.
Planning Deployment Topologies

You can plan a range of deployment topologies for SQL Server Reporting Services for SharePoint. You must establish the number of users and the complexity of the reports to identify the most appropriate topology for your farm design. These design options are based on Connected Mode deployments: Stand-alone server. This topology has SQL Server Reporting Services and SharePoint 2010 on a single server. This is best suited for a development environment, or for a specialist departmental requirement. Two-tier deployment. This topology separates SharePoint 2010 and the SQL Server Reporting Services add-in from the SQL Server database, which would also have a SharePoint 2010 WFE implementation. This solution distributes workload and improves performance for complex reports. This topology is appropriate for a small company or large department. Three-tier deployment. This topology has three base servers to improve performance and manageability by using optimized database server hardware: SharePoint 2010 with the SQL Server Reporting Services add-in. SQL Server Reporting Services with a minimal installation of SharePoint Server to provide WFE functionality. SQL Server database engine.
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SQL Server Reporting Services Authentication

You can plan your design to use Windows authentication with Kerberos or a trusted account to access the report server. Unlike Excel Services, PerformancePoint Services, and the Visio Graphics Service, which use claims-based identity and must enforce constrained delegation in the same domain, you can use SQL Server Reporting Services reports in an external domain when you design them to use delegated Windows authentication. For more information about configuring authentication for SQL Server Reporting Services in SharePoint Integrated Mode, see Security Overview for Reporting Services in SharePoint Integrated Mode in SQL Server 2008 R2 Books Online.
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Managing BI Components by Using the Business Intelligence Center
Key Points
The Business Intelligence Center is a site template that is designed to help you manage BI components such as scorecards, dashboards, data connections, status lists, and status indicators. This is a good starting point for planning BI management for an environment that has little experience of BI in SharePoint 2010.
What Does the Business Intelligence Center Offer to Users?

Information panels provide examples of BI tools such as status indicators, analytic tools and spreadsheets, and dashboards. The help panes provide links to information about how to: Monitor key performance metrics by using PerformancePoint Services tools such as status lists and scorecards. Build and share reports by using Excel Services and PerformancePoint Services.
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Create dashboards by using PerformancePoint Services tools such as Dashboard Designer 2010.
The BI Center also provides direct navigation to: The dashboard library. This Web Part page provides a collection of dashboard BI components. New dashboards that you create in PerformancePoint Dashboard Designer 2010 are automatically added to the library. Data connections library. This is a link to the document library that stores ODC files that are created for Excel, PerformancePoint, and the Visio Graphics Services data links. Documents library. This is a link to the central documents library. PerformancePoint content list. This is a link to the PerformancePoint Services scorecard and report elements that were created in PerformancePoint Dashboard Designer 2010.
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Lab: Planning a SharePoint 2010 Implementation of a Business Intelligence Strategy
Exercise 1: Planning the SharePoint Business Intelligence Implementation

Scenario
Contoso, Ltd has an existing BI strategy and you must implement the SharePoint 2010 BI functions that you identify in the user requirements documentation. There are a range of requirements and your design topology must cater for isolation of some application services between Contoso, Ltd and Research. Use the template provided to plan your BI implementation. The main tasks for this exercise are as follows: 1. 2. Read the supporting information. Complete the Business Intelligence Planning worksheet.
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1. 2. 3. Read the lab scenario. Log on to 10231A-NYC-DC1-11 as CONTOSO\Ed with the password Pa$$w0rd. In the E:\Labfiles\Lab11\Starter folder, read the Contoso Business Requirements.docx file.
Task 2: Complete the Business Intelligence Planning worksheet

In the E:\Labfiles\Lab11\Starter folder, complete the Business Intelligence Planning Worksheet.xlsx file.
Exercise 2: Creating a BI Center and Enabling Excel Services

Scenario
To assess part of your design, you are asked to deploy some of the BI components for user acceptance testing. The main tasks for this exercise are as follows: 1. 2. Create an Excel Services application and start the Excel Calculation Services service. Create a new BI Center site collection and test the Excel Services application.
Task 1: Create an Excel Services application and start the Excel Calculation Services service
1. Use the Application Management page to create an Excel Services service by using the following configuration parameters: 2. Name: Excel Services 10231A Application Pool: ExcelServicesAppPool
Start the new Excel Calculation Services service.
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Task 2: Create a new BI Center site collection and test the Excel Services application
1. Use the Application Management page to create a new site collection by using the following inputs: 2. Title: BI Center URL: http://intranet.contoso.com/sites/BICenter Type: BICenter Enterprise template: Business Intelligence Center Site collection administrator: Ed
Open the new site collection and from the Documents link, test that you can load the Excel Services Sample Workbook workbook in a browser.
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Review Questions
1. 2. 3. What are the three key business goals for BI? What authentication options are available for Excel Services? What is the BI Center?
Best Practices Related to BI Planning

Supplement or modify the following best practices for your own work situations: Ensure that users understand the different capabilities of Excel Services and Excel 2010. Model your BI components to assess volumes and complexity of documents. Plan your authentication options for each BI component that you deploy.
Developing a Plan for Governance
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Module 12
Contents:
Lesson 1: Overview of Governance Lesson 2: Key Elements of a Governance Plan Lesson 3: Planning for Governance in SharePoint Server 2010 Lesson 4: Governance Implementation Features and Policies in SharePoint Server 2010 Lab: Developing a Plan for Governance 12-38 12-51 12-4 12-13 12-27
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Module Overview
The term governance refers to the group of roles, responsibilities, policies, and processes that direct and control how an organization's IT teams cooperate with their business departments to realize the organizations business goals. You must learn how to create an effective governance plan and understand the impact that key changes, such as enabling social features and solution development changes, can have on your plan. A comprehensive and successfully designed governance plan can benefit your organization by: Streamlining the deployment of products and technologies such as Microsoft SharePoint Server 2010. Helping to protect your enterprise from both security threats and noncompliance liability. Helping to ensure the best return on your investment in SharePoint Server 2010.
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This module introduces governance as a crucial element of a deployment of SharePoint Server 2010, explains what the essential components of your governance plan should be, and describes how best to implement your governance plan.
Objectives
After completing this module, you will be able to: Describe the concept of governance. Describe the key elements of a governance plan. Plan for governance in SharePoint Server 2010. Describe the governance implementation features and policies in SharePoint Server 2010.
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Lesson 1
Overview of Governance
Governance is an essential element of a successful deployment of SharePoint Server 2010. Effective governance planning is crucial to the continued success of your implementation of SharePoint Server 2010. Without the correct governance plan in place, even the best intentioned deployment of SharePoint can misfire. This lesson emphasizes the need for governance of deployments of SharePoint Server 2010, and introduces the key components of a governance plan.
Objectives
After completing this lesson, you will be able to: Describe the importance of planning governance. Identify what a governance plan needs to govern. Describe the key components of a governance plan.
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The Importance of Planning Governance
Key Points
An implementation of the SharePoint Server 2010 portal is only as good as its underlying structure and content. Therefore, a sturdy governance plan is critical to ensure that your implementation delivers the right and timely content to your users in an efficient and effective manner. In addition, SharePoint Server 2010 is designed to empower its users, who are not generally IT or content management specialists. Therefore, it is crucial that your governance plan does not just improve its usability, but also saves your users time and effort when they create and deploy new sites. A governance plan defines the roles, processes, and technologies that are required to: Prevent portal, team site, and content sprawl by defining a content and site review process. Ensure that content quality is maintained during its life cycle by implementing quality management policies for the content.
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Provide a consistently high-quality user experience by defining guidelines for site designers, content designers, and authors and by ensuring that the governance plan is correctly implemented and followed. Establish clear decision-making authority and escalation procedures so that you can handle and resolve policy violations and conflicts in a timely manner. Ensure that the implementation strategy correctly maps to business objectives and requirements so that it continuously delivers value to the organization. Ensure that content is secured and stored to comply with guidelines for records retention.
There are some key reasons as to why planning for governance in SharePoint Server 2010 is so important: Many SharePoint capabilities are not mandatory for your users, such as document IDs and Content Organizer, but they need guidance about what they can do with these capabilities if they are to get the true benefit from them. By design, in SharePoint Server 2010, users are given a lot of power and responsibility. Governance helps ensure that they accept their responsibility for the content that they create and use, and for the actions that they perform on the site. The increased emphasis and availability of social computing features such as tagging, bookmarking, and ratings means that there are more types of content to govern. SharePoint Server 2010 introduces new capabilities for sharing metadata across multiple site collections and server farms, which require a lot of planning and control to utilize. A successfully implemented governance plan will provide this required control. SharePoint Server 2010 provides new and more user-friendly records management capabilities, including the ability to declare a record in place. Inplace records management means that you can manage records in the same document repository as active documents. These new records management capabilities enable you to create and enforce your records management strategy as part of your overall governance plan for content management. SharePoint Server 2010 gives its users more customization power over their sites. For example, users can use out-of-the-box themes, Microsoft SharePoint Designer 2010, and create their own sandboxed solutions. Therefore, you must include decisions in your governance plan that consider how, where, and when to allow configuration using these new capabilities.
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Identifying What Needs to Be Governed
Key Points
Each organization has its own individual requirements and business goals that will influence the way that they handle and apply governance. Large organizations may take governance to one extreme of the spectrum and have everything locked down, whereas a small organization might only apply a very small amount of governance of users and their content. However, in both cases, any successful implementation of SharePoint Server 2010 must consider planning for governance of the following key areas of the business: Information architecture. The aim of information architecture is to create a solution that enables an organizations users to gather, store, retrieve, and utilize the information that is needed to meet the organizations business objectives. A wide-ranging appraisal of your company's information architecture can help you to determine possible inefficiencies such as: Inconsistent use of metadata that can make it difficult to search for, and compare, related data or content.
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A poorly designed and managed content storage infrastructure that can result in documents existing in multiple versions without any method for controlling and identifying authoritative and recent versions. A poorly catalogued and managed data storage infrastructure that can result in decision-makers finding and relying on incorrect data. A poorly designed portal navigation and presentation infrastructure that can make it difficult for users to find sites and data that are important to their job.
IT service hosting SharePoint Server. SharePoint Server 2010 provides several new features that your governance plan must address, including: A new service application architecture that replaces the Shared Services Provider (SSP) model. Improvements to backup and restore capabilities. Multi-tenancy capabilities. Managed accounts that automate password changes. The ability to use the Windows PowerShell command-line interface and scripting language tool for SharePoint administration.
SharePoint Server 2010 Web servers. Unless you have a governance plan, the fast spread of disparately managed Web servers running SharePoint Server 2010 can have unforeseen consequences, including: Rogue servers hosting loosely managed site collections that do not have a common search index, navigation, or security system. Servers hosting insecure applications, which can compromise the integrity of your content. Technical support requests for local SharePoint Server 2010 servers that are running without the support team's knowledge. Critical activities, such as compliance with regulatory standards being inconsistently administered across servers. Day-to-day maintenance tasks, such as data backup and restore operations or product updates, that may not be properly carried out because of lack of training or inconsistent server configuration. Changes in site ownership can create confusion about content ownership or lock sites.
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As the use of SharePoint Server 2010 increases in your enterprise, you must implement a set of well-governed hosting services that makes SharePoint Server 2010 available and establishes control over its use and configuration. Customization policy. SharePoint Server 2010 includes customizable features and capabilities, such as business intelligence, forms, workflow, and content management. This enhanced ability to customize brings more risks to the stability, maintenance, and security of your SharePoint Server 2010 environment. To support these new customization capabilities while maintaining control, as part of your overall governance plan, you must develop a customization policy that addresses the following considerations: Deciding whether to approve customization tools, such as SharePoint Designer 2010. Determining which elements of a site can be customized, and who can perform the customization. Determining methods for managing source code, such as a source control system, and standards for documenting the code. Providing standards for site development, such as guidelines for coding best practices. Providing standards for testing and verification processes. Providing standards for packaging and installation. You should control the use of sandboxing, which enables site owners to host custom solutions in a partly trusted environment so that they do not adversely affect the other parts of your implementation of SharePoint Server 2010. Supporting different methods of customization, such as allowing the use of Web parts to integrate Microsoft Silverlight 3 applications with SharePoint Server 2010 sites.
Branding. If you are designing an information architecture and a set of sites for use across your enterprise organization, you should include branding in your governance plan. A prescribed set of branding policies helps to ensure that sites have a consistent look and feel by using enterprise imagery, fonts, themes, and other design elements. For example, in SharePoint Server 2010, you can import a Microsoft PowerPoint 2010 theme directly into a SharePoint site, which then automatically applies the theme to all of its subsites.
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Additional Reading
For more information about processes for managing customizations in SharePoint products and technologies, see http://go.microsoft.com/fwlink/?linkid=92311.
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Key Components of a Governance Plan
Key Points
The key components of an effective plan for governance are: People. Define a clear vision for the solution and articulate the roles and responsibilities. Technology. Define policies for service levels and appropriate use. Policy. Articulate design and usage principles, such as best practices and formal policies. Process. Define procedures for common tasks such as creating a new site, requesting a new shared content type or attribute, or requesting a new site template. You should publish these procedures in a central portal location so that site owners can easily find and follow them.
An effective governance plan provides a framework for design standards, information architecture, service-level agreements (SLAs), infrastructure maintenance, and your overall measurement plan. The intention of a governance
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plan is to summarize and bind the documents that describe these activities in greater detail. Your governance plan should refer to all of your existing IT policies for items such as the appropriate use of technology resources, content confidentiality, and records retention. As your SharePoint Server 2010 environment develops, you will need new IT policies to control these new features and capabilities, which will impact your governance of SharePoint Server 2010. Therefore, you must make your governance plan flexible enough to add references to these new policies as they arise. Your governance plan should include the following critical elements. The next lesson discusses each element in more detail: Vision statement Roles and responsibilities Guiding principles Policies and standards Training
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Lesson 2
Key Elements of a Governance Plan
A successful governance plan contains several critical elements. You must carefully consider all of these elements when you develop your governance plan. This lesson describes the key elements of a governance plan.
Objectives
After completing this lesson, you will be able to: Describe the vision statement for your SharePoint Server 2010 implementation. Describe the roles and responsibilities for a governance plan. Describe the guiding principles for a governance plan. Describe the policies and standards included in a governance plan. Describe the role of training for a successful SharePoint Server 2010 implementation.
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Vision Statement
Key Points
Your vision statement should describe what you want to accomplish by using SharePoint Server 2010. It should describe how the solution delivers value to the business and to its employees. A lucid vision statement provides critical guidance on the decision tradeoffs that you will inevitably need to make when you create your governance plan. You will typically write the vision statement when the project to create the solution starts, but you will probably need to refine it as the project matures. Here is an example of a vision statement for SharePoint Server 2010: SharePoint Server 2010 provides a holistic view of organizational assets that simplifies employee interaction with our enterprise business systems. It also helps to improve collaboration within the company and with our suppliers, partners, and customers. In this way, it improves employee productivity and employee and customer satisfaction. After you have written your vision statement, the next step is to determine and document the roles and responsibilities of the people who are involved in your implementation of a SharePoint Server 2010 solution.
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Roles and Responsibilities for a Governance Plan
Key Points
Roles and responsibilities define how each employee as an individual or as a member of a team is responsible for ensuring the ultimate success of a solution. Documenting the roles and responsibilities of your SharePoint Server 2010 solution is a crucial part of your governance plan. It defines who has authority to mediate conflicting requirements and make overall decisions about branding and policy. Some of the policy decisions that will create the outline for your governance plan and therefore form the foundation of your definitions of the roles and responsibilities include deciding: Who you will make responsible for the technical management aspects of the environment, for items such as hardware and software implementation, configuration, and maintenance. Who you will allow to install new features, Web Parts, or other code enhancements. Who you will make responsible for setting up new sites.
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If this responsibility lies with your IT team, they will probably need to establish some SLAs for site setup responsiveness with the business stakeholders. However, if you delegate this responsibility to users, you must also give them adequate training to ensure that they follow agreed and acceptable principles and standards for allowed content, naming, storage, and so on. Who you will grant access to each page and site, and who you will enable to grant access to others. How much responsibility for page and site design you will delegate to page owners. Whether you will allow users to modify Web Parts on pages that they own in team sites. Can those users modify Web Parts on pages that are part of the corporate intranet publishing solution? Whether to fix some Web Parts on the page, or allow page owners to customize all of the content on their pages. Who you will make responsible for the management of metadata. Who you will allow to set up or request new content types or site columns, and how much central control you want to have over the values in site columns and the properties of content types. If your governance plan defines that page and site owners should be responsible for their own content management, whether you will decommission pages where no one in the organization claims page ownership and therefore responsibility for the content.
There are several key roles to consider in your governance plan, and in some smaller organizations, an individual can often fulfill multiple roles. The following tables list some of the typical roles and responsibilities for the overall solution and for each site or site collection in a successful solution. However, you will need to adapt both the responsibilities and the names that you use for each role to suit your specific organizational environment.
Overall solution role Executive sponsor Key responsibilities Serves as the executive-level champion for the solution, whose primary strategic responsibilities are positioning the solution as a critical mechanism for achieving business value and helping to communicate the value of the solution
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Overall solution role
Key responsibilities to the management levels of the organization.
Governance committee
Serves as a governance body that has ultimate responsibility for meeting the goals of the solution. Manages the overall design and functional integrity of the solution from a business perspective. Manages the overall design and functional integrity of the solution from a technology perspective. Works in partnership with the business owner.
Business owner
Solution administrator
Site and site collection role Site sponsor/owner
Key responsibilities Serves as the centralized, primary role for ensuring that content for a particular page or site is properly collected, reviewed, published, and maintained. Manages the site by performing the everyday tasks required to ensure that the content on the site or page is accurate, relevant, and up to date. This person will also act as the Content Steward for the sites for which they are responsible. Creates and maintains the site or site collection design in environments where site design is delegated to business users. Uses the solution to access and share information. Users may have different access permissions for different sections of the solution, sometimes acting as a content contributor, and at other times acting as a content consumer.
Site steward/contact
Site designer
Site user
Question: Which solution role holds the primary strategic responsibility to ensure that the business gets value from the solution?
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Guiding Principles for a Governance Plan
Key Points
The guiding principles of a governance plan define the organizational preferences to support the vision. These critical statements reflect best practices that all users and site designers must understand and internalize to ensure the success of your SharePoint Server 2010 solution. You can use the example principles in the following table as a starting point to help define a set of guiding principles for your solution. You might also want to consider creating some supplemental reference material to help users internalize these principles, or perhaps consider adding a principle of the day to the home page of your solution. If your users have a good understanding of your guiding principles, you are more likely to get them to follow your governance guidelines.
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Guiding principle of governance Example General Principle Policies are tied to the scope and intention of the site. Governance policies are more flexible for sites that have limited access than for sites that are shared with a broad audience.
Implication The different audiences for sites enable you to adapt the governance model according to business needs. You will enforce some policies across the entire organization, but site owners may also apply their own policies. Users may have different permissions on different areas of the portal, which has an implication for both governance and training. Although most users may not have content contribution privileges for tightly governed intranet pages, all users have Full Control privileges for their own My Site. All sites also follow a consistent baseline design template to ensure consistency and usability across collaboration sites.
Key consideration One size does not fit all. There are rules, but you must identify when it is appropriate to deviate from a standard to achieve a business objective more effectively.
Example Security Principle Role-based security governs access control and permissions on both intranet and extranet areas of the portal.
You may not have the same permissions on every page of the portal.
Example Site Design Principle You must provide a consistent user experience. Users should be able to find key information on any collaboration site and search for the content that they need.
When you design your site, you must consider what your users needs are.
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Guiding principle of governance Example Content Principle Site sponsors/owners are accountable, but everyone owns the responsibility for content management.
Implication Site owners are accountable for content quality and archiving old content on a timely basis, but site users are responsible for making site owners aware of content that needs updating.
Key consideration Everyone is responsible for content management.
It is especially important to remember the one size does not fit all guiding principle when it comes to developing your governance plan.
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Policies and Standards for a Governance Plan
Key Points
Policies define the rules for using SharePoint Server 2010 whereas standards describe the best practices for using SharePoint Server 2010. From a governance perspective, statutory, regulatory, or organizational requirements typically drive policies. However, experience of working with SharePoint, Web content, and Web users typically drives standards. When you create policies, you expect your users to follow them to the letter. If your organization is subject to regulatory oversight, you must ensure that you can enforce your policies because failing to do so may mean that the organization has become noncompliant. You typically create standards to encourage consistent working practices. You would expect your users to implement some aspects of the standards you define, but equally you would not expect them to implement others that are not relevant to them or their job function.
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To ensure that your policies and standards are current and relevant: Verify that your policies and standards for SharePoint Server 2010 are not at odds with other organization-wide policies. Publish policies and standards where your users can easily find and follow them. Regularly review and amend policies and standards to keep them correctly mapped to your changing organizational needs.
The next section describes some specific examples of policies and standards that you might want to consider using in the governance plan for your organization.
Example Content Policies and Standards

Consider the following example content policies and standards: Posting content to existing pages or sites. Your plan should include a policy or standard to cover the following: Ensuring that only single copies of documents exist. Only posting content that the user owns. Maintaining a content posting cycle. Only editing documents that are in place to avoid breaking links. Controlling file formats and names. Keeping links updated.
Posting content to the home page. You should consider creating a specific policy for posting content to the home page of your portal solution, particularly on the intranet home page. Content auditing and review. You should consider creating a policy to define the frequency and type of review that you will have on each type of content or site. You must also ensure that the review cycles that you define conform to any regulatory or statutory requirements. Records retention. You should ensure that you define clear policies regarding how users retain and dispose of records. You must also create policies that define the responsibilities of content owners to identify content as records and associate the appropriate record retention code to a given content item.
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Example Design Policies and Standards

Consider creating policies and standards for each of the following design elements: Creating new subsites. If end-user site owners have permissions that enable them to create their own information architectures for sites under their control, you must provide some guidance to help them understand best practices for creating nodes in an information hierarchy. Page layout and organization. Anyone who has page design permissions must remember the guiding principle about focusing on the end user. However, these page designers should also be familiar with best practices for general design usability. Content types and metadata. Your governance plan must include standards and policies for the content types and site columns that you have used in your solution. The plan must also include policies for how users can request the creation of a new enterprise content type or site column. Social tags and ratings. Your governance plan should include guidelines for how you want users to participate in social tagging and ratings, and should provide guidance and examples of meaningful tags for your organization. Content-specific guidelines and policies. You should provide some standards and policies for specific types of SharePoint Server 2010 content such as blogs, wikis, announcements, discussion boards, media libraries, document libraries, and links. Security. Your governance plan should clearly define any specific security policies and describe how they should be applied within your SharePoint Server 2010 sites. Branding. Your governance plan should take into account whether it is possible to change the corporate branding in a specific SharePoint Site Collection. Site users will be confused if the branding scheme changes from site to site. Therefore, when you consider defining branding standards and policies, you should do so with the site user in mind.
Question: What sort of policy should you create to ensure the quality and standard of content posted on your site?
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Implementing Training for a Governance Plan
Key Points
After the governance plan itself, the most important element in a successful SharePoint Server 2010 deployment is the human element. Training is one of those often forgotten components of a governance plan, but it is crucial. A widespread training plan should demonstrate how to use SharePoint Server 2010 according to the standards and practices that your governance plan defines. It should also explain why those standards and practices are important. The plan should cover the type and level of training that is required for specific roles, and it should prescribe any appropriate training tools. Training should not just happen once; it should be a continuing theme. Also, training is not just about the features and functions of SharePoint Server 2010; it is also about training your user base in the roles and responsibilities, guiding principles, and policies and standards of governance. By properly educating your user base, you can increase satisfaction with your implementation of SharePoint Server 2010 and help to reduce support costs.
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Who to Train
You should provide adequate and job-relevant training for all staff who are involved in your SharePoint Server 2010 solution including: Site administrators Site designers Site developers Help desk Content contributors Workflow approvers End users
What to Train
Your training plan should consider what kind of training to provide to your user base. Some key skills include: Site and page design. Site and site collection administration (including with Windows PowerShell). Document, records, and digital asset management. Site support.
Training Resources
There are several online resources that you can use to help educate your users such as: The SharePoint Training Kit. This is a set of articles, videos, and interactive tutorials that are designed to walk users through various aspects of the SharePoint platform. It comes in the following two editions: Office SharePoint Server 2007 Training is a portal-based edition that is designed for server administrators to install the training content on a Microsoft Office SharePoint Server site to help end users learn about Office SharePoint Server by using SharePoint itself. You can download it at http://go.microsoft.com/fwlink/?LinkID=200903&clcid=0x409. Office SharePoint Server 2007 Training Standalone Edition is a single installation edition that enables end users to install the content directly on
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their computers to learn how to use the features of Office SharePoint Server. You can download it at http://go.microsoft.com/fwlink/?LinkID=201242&clcid=0x409. The Productivity Hub. This is a SharePoint Server 2010 site collection that offers training materials for end users and serves as a fully customizable learning community. It provides a central place for your training efforts, and includes training content in the form of documents, videos, and podcasts that teach Microsofts core products including SharePoint Server. It uses the social networking capabilities of SharePoint Server, such as blogs and discussion groups. You can download it at http://go.microsoft.com/fwlink/?LinkID=201243&clcid=0x409.
Note: The SharePoint Training Kit resource is due to be updated to SharePoint Server 2010 in the near future.
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Lesson 3
Planning for Governance in SharePoint Server 2010
There are several stages in building and implementing a successful governance plan in SharePoint Server 2010. You must be aware of several considerations when you implement a governance plan. This lesson describes how to build, document, and communicate your plan for governance, and provides high-level descriptions of the key processes and considerations for implementing your governance plan in SharePoint Server 2010.
Objectives
After completing this lesson, you will be able to: Describe how to build a governance committee. Describe how to document and communicate your governance plan.
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Describe the process of implementing a governance plan. Describe the considerations for your governance plan.
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Building a Governance Committee
Key Points
A successful implementation of SharePoint Server 2010 requires constant communication and partnership among business managers, IT professionals, and information workers. One major aspect of your governance plan is the creation of the governance committee. This committee should include representatives from as many of the following groups and roles as possible: Executive stakeholders define the overarching goals of the governance committee. They should also provide the authority that it requires, and they should regularly assess the success of the policies and standards that your governance plan implements. Financial stakeholders ensure that governance policies and processes help increase the return on the enterprise's investment in SharePoint products and technologies. IT leaders help develop their service offerings and determine how to achieve their IT responsibilities, such as improving security and maintaining reliability, while still supporting the features that the business teams require.
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Business division leaders represent the teams that do the primary enterprise work and drive the architectural and functional requirements of the implementation of SharePoint Server 2010. They must work with information architects to determine the enterprise's information architecture and organizational taxonomy standards. Business leaders must also work with IT leaders to create SLAs and other support policies. Information architects or taxonomists have extensive experience in planning and designing information systems and taxonomies. They develop plans that support organizational goals and define site architecture and navigation based on their analysis of the end users information needs. Compliance officers ensure that an enterprise meets its regulatory and legal requirements. Software development leaders help determine which customization tools are approved, how to verify code security, and other code-related best practices. Information workers perform the regular day-to-day working tasks that use SharePoint Server 2010. Their input to the governance committee helps ensure that the services and information architecture of SharePoint Server 2010 meet their needs. Trainers provide the instructional expertise. They are responsible for developing a training plan and conducting all appropriate training and education.
Note: Your organization may not have exactly the same roles, or may use a different title.
Question: Which committee members are responsible for defining the architecture and navigation of the site?
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Documenting and Communicating the Governance Plan
Key Points
Successful governance is an iterative process, so your governance committee should conduct regular meetings to: Consider incorporating any new requirements into the governance plan. Reevaluate and adjust governance principles and standards to meet new guidelines or regulatory requirements. Resolve conflicts among business divisions for IT resources.
The committee should update its executive sponsors with regular reports. This will promote accountability and help enforce compliance across the enterprise.
Documenting Your Plan

If you are documenting your governance plan for the first time, you will find it valuable to distribute the work that is required to document the details of your governance plan among key members of the governance committee. Then, do the following:
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Before you begin to draft the actual governance plan, use the vision statement that you established as a foundation for your governance plan to identify the basic governance principles. Meet with governance committee members who have the appropriate expertise to draft sections that address how you want to manage the various aspects of your environment. Review each major component of your plan with sponsors, stakeholders, and other governance committee members to ensure that you agree about the major components of the plan: vision, roles and responsibilities, guiding principles, and key policy decisions.
As you develop your governance plan, think about how users will utilize and internalize the contents of your plan. Also, think about the length of your documentation. These planning documents can easily become lengthy, and the longer they are, the harder it is for users to absorb them. Try to ensure that your plan is as succinct as possible because this will make it easier for your users to understand and follow its principles and standards. Although you prepare a governance plan before the implementation of your solution, you must not think of it as being finished at any point. Your governance plan should be an ongoing, flexible, live document. As your SharePoint Server 2010 environment develops, you should return to your governance plan to adapt to the changing needs of both the organization and your users.
Communicating Your Plan

Communicating the body of the governance plan is a central element of planning the implementation and continuing management of your SharePoint Server 2010 environment. The main audiences for the governance plan are your key business stakeholders and the end users who create and consume the site content. However, you should communicate the goals and contents of your governance plan to everyone in the organization because all users can create some form of content by using the SharePoint Server 2010 social computing features such as tagging and ratings. One simple way to communicate the details of your governance plan to everyone in the organization is through a centralized governance portal off the intranet home page. On this site, you should include sections on topics such as: Governance hierarchy. Team roles and responsibilities.
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Individual roles and responsibilities. Operations policies and procedures. Application usage policies and procedures. How to obtain IT support. Site change requests. User experience feedback.
Additional Reading
For sample governance plans for SharePoint products and technologies, see http://go.microsoft.com/fwlink/?LinkID=200904&clcid=0x409, http://go.microsoft.com/fwlink/?LinkID=201244&clcid=0x409, and http://go.microsoft.com/fwlink/?LinkID=201245&clcid=0x409.
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Process of Implementing a Governance Plan
Key Points
To implement a successful plan for governance, you must follow a regimented process. The following steps provide an example of a process that you can follow in your organization when you implement your governance plan: Build the governance policies: Explore examples of governance plan templates and checklists from available online resources. Use any existing policies as a starting point. Group the key policy elements of your plan into high-level policy groups such as security, design, content management, and collaboration. Separate the high-level policy groups into subgroups, which then become your content types. Ensure that you assign metadata to the documents that you add to the subgroups to make them searchable, such as policy name, policy scope, policy type, review status, and approval data.
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Hold an initial policy review: Work closely with the relevant business unit to review the policies. Conduct meetings with each unit to go through each policy and review each one in detail. During this phase, you might conclude that you must delete, create, or modify some policies.
Edit the policies: Make any agreed modifications to the policies after your initial review meetings. Mark each policy as being ready for review by the business unit, and use versioning to maintain version control of your policy documents.
Hold a business unit review: Use policy scope to provide each business unit with a unique view. This way, units will only see the policies that apply to them. Use online reviews to avoid having to schedule multiple meetings. Ask the business units to review and approve their policies.
Make any final modifications and review the policies again: Make further modifications based on the business units online feedback. Mark policies as approved and get ready to publish them.
Publish governance information. Create a centralized SharePoint Server 2010 governance site, possibly as part of a central Web support portal. The governance section should contain: Governance policies grouped by category and made searchable. Governance training information by user role and topic. Governance FAQ list. Governance guidance and best practices.
Question: Why is it a good idea to hold business unit reviews online?
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Considerations for the Governance Plan
Key Points
There are several things you need to consider when designing your governance plan, and these include some common pitfalls and best practices.
Pitfalls of Governance Plans

There are several key design and implementation pitfalls that you must avoid when you develop your governance plan, such as: Not defining any policies on what you will allow users to use SharePoint Server 2010 for. Empowering your users without providing them with adequate and appropriate training. Allowing your users to manage their own security when they do not have the appropriate knowledge and experience. Allowing your users to add too many items to a list, causing downgraded server performance. Not planning for scale and growth.
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Not providing SharePoint Server 2010 as the focal point for organizational information and services. Not testing the backup and recovery processes and the data integrity. Governing your users too much and therefore stifling the dynamic nature of the business and its SharePoint implementation.
Best Practices for Governance Plans

Keep these best practice suggestions in mind when developing your governance plan: Use your governance plan to ensure quality and relevance of content and to ensure that all users understand their roles and responsibilities. Make sure that you have a governance committee that has a strong supporter in the role of executive sponsor. Keep your governance model as simple as possible while still maintaining its strength. Ensure that you do not make the solution more complex than necessary by overdesigning it. SharePoint may have a great feature, but that does not necessarily mean that you need to deploy it, or at least not immediately. Ensure that all users with design or Full Control privileges have internalized your design guiding principles and that content contributors understand your guiding principles for creating content. Think about how you will ensure compliance with your governance plan over time, particularly for highly visible sites. You might want to perform detailed monitoring and reviews of some sites, but only perform spot-checks on others. An effective governance plan should not need to restrict every move; it should provide guidance to users to ensure that the implementation of SharePoint Server 2010 remains effective and dynamic over time.
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Lesson 4
Governance Implementation Features and Policies in SharePoint Server 2010
SharePoint Server 2010 includes several features, capabilities, and built-in policies that an organization can use to help govern an implementation of SharePoint Server 2010. This lesson describes the key IT service, information management, and information architecture features and policies that you can use to implement your SharePoint Server 2010 governance plan. It also describes the governance of sandboxed solutions.
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Objectives
After completing this lesson, you will be able to: Describe the key IT service features for implementing governance in SharePoint Server 2010. Describe the key information management features for implementing governance in SharePoint Server 2010. Describe the key information management policies for implementing governance in SharePoint Server 2010. Describe the key information architecture features for implementing governance in SharePoint Server 2010. Describe the governance of sandboxed solutions in SharePoint Server 2010.
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IT Service Features for Implementing Governance
Key Points
A SharePoint service is an IT service that offers hosted sites and portals based on SharePoint Server 2010. SharePoint Server 2010 provides several IT service features that an organization can use to help govern the use of SharePoint Server 2010.
Blocking SharePoint Installations in an Enterprise

You manage SharePoint deployments at the farm level; therefore, a single SharePoint deployment is unaware of other SharePoint deployments that might exist in the same enterprise. Administrators need this information to manage and control all SharePoint deployments in the enterprise. For example, administrators need to know how many unauthorized deployments might exist in the enterprise. To help control and prevent unauthorized SharePoint deployments, SharePoint Server 2010 enables you to block users from installing SharePoint Server 2010 and related products in your enterprise. In Active Directory directory service, you create and configure the following Group Policy object to disable SharePoint installations:
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HKLM\Software\Policies\Microsoft\Shared Tools\Web Server Extensions \14.0\ SharePoint\DWORD DisableInstall To block installation, set DWORD DisableInstall=00000001.
IT Service Features
These are some of the IT service features in SharePoint Server 2010 that you can use to provide governance of your SharePoint Server 2010 implementation: Site templates. Using a site template, you can encourage consistent branding, site structure, and layout in the sites that your users create. You can create customized site templates for provisioning sites and use them instead of the templates that are included with SharePoint Server 2010. Quotas. A quota dictates a limit on the amount of storage that a site collection can use, and prevents users from adding content when the limit has been reached. Workflows. Workflows implement business processes for users of a SharePoint site, and are associated with site items such as documents, forms, or lists. Features. You can deploy a feature as a part of a site definition or a solution package, and you can individually activate a feature. You can hide features to prevent site users from manually deactivating them. You can use a technique called feature stapling to attach a feature to all new instances of sites that use a given site definition. This enables you to control the features that users of your service can access. Self-service site creation. You can enable users to create their own site collections by using the Self-Service Site Creation feature. A key decision in governing selfservice site creation is to determine the level of service that supports selfservice site creation. By default, this permission is enabled in SharePoint Server 2010 for all authenticated users. SharePoint Designer. You can manage how an organization uses SharePoint Designer 2010 at either the Web application level or the site collection level. User profiles and My Site policies. You can use user profile policies to control the site content that users can see and how they can interact with that content. By default, all authenticated users can create a My Site Web site, and you should use security groups to manage permissions for these sites. My Site features store and use personally identifiable information, so before you deploy My Site Web sites, you should either plan how to control the behavior of these features or turn them off completely to help protect the security of this information.
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Question: At which levels can you control the use of SharePoint Designer?
Additional Reading
For more information about setting the Group Policy object and for tracking SharePoint installations by using the Active Directory Domain Services marker, see http://go.microsoft.com/fwlink/?LinkID=200905&clcid=0x409. For more information about working with site templates, see http://go.microsoft.com/fwlink/?LinkID=184756. For more information about planning quotas management, see http://go.microsoft.com/fwlink/?LinkID=201246&clcid=0x409. For more information about planning workflows, see http://go.microsoft.com/fwlink/?LinkID=201247&clcid=0x409. For more information about using features, see http://go.microsoft.com/fwlink/?LinkID=201248&clcid=0x409. For more information about turning self-service site creation on or off, see http://go.microsoft.com/fwlink/?LinkID=201249&clcid=0x409.
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Information Management Features for Implementing Governance
Key Points
Information management in SharePoint Server 2010 consists of managing, retrieving, obtaining, and retaining information. SharePoint Server 2010 includes several information management features that an organization can use to help govern the use of SharePoint Server 2010. These are some of the information management features in SharePoint Server 2010 that you can use to provide governance of your implementation of SharePoint Server 2010: Document management. You use document management to control the life cycle of documents in your organization. You can use policies that implement auditing, document retention, labeling, and barcodes. You can implement these policies to help your organization achieve regulatory compliance, such as retaining records for a given time period. Content approval. You can use content approval to formalize and control the process of making content available to an audience, for example, to ensure that
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content has gone through the correct legal review and approval process before it is published. Versioning. You can use versioning to prevent users who have read permissions from viewing drafts of documents. Records management. Records management is the process by which an organization determines the types of information that should be considered records, how to manage records while they are active, and how long to retain each type of record. SharePoint Server 2010 includes features that can help organizations to implement integrated records management systems and processes. Digital asset management. Having a centralized repository for managing your digital assets enables you to apply firm control over brand-sensitive content, and helps to ensure that only approved assets are available to the appropriate users. Hold and eDiscovery. You can use this site-level feature to track external actions such as litigations, investigations, or audits that require you to suspend the disposition of documents. If you use SharePoint Server 2010 to manage any electronic information, you should consider using Hold and eDiscovery when you are developing your SharePoint Server 2010 governance plan.
Additional Reading
For more information about planning document management policy, see http://go.microsoft.com/fwlink/?LinkID=200906&clcid=0x409. For more information about content approval and versioning, see http://go.microsoft.com/fwlink/?LinkID=201250&clcid=0x409. For more information about records management planning, see http://go.microsoft.com/fwlink/?LinkID=201251&clcid=0x409. For more information about planning for eDiscovery, see http://go.microsoft.com/fwlink/?LinkID=201252&clcid=0x409.
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Information Management Policies for Implementing Governance
Key Points
SharePoint Server 2010 includes several information management policies that an organization can use to help govern the use of SharePoint Server 2010. An information management policy is a set of rules for a type of content, or for a location where content is stored. Each rule in a policy is a policy feature. You can use information management policies to control who can access organizational information, what they can do with it, and how long the information should be retained for. You can assign a policy to a list, document library, or content type.
Note: When you configure an information management policy, it is a recommended best practice to write a policy statement that is displayed in Microsoft Office 2010 client programs to inform document authors about the policies that are enforced on a document.
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SharePoint Server 2010 includes the following information management policies: The Auditing policy. This policy logs events and operations that are performed on documents and list items. You can configure Auditing to log events such as editing documents, viewing them, or changing a document's permissions level. The Retention policy. This policy helps to dispose of or process content in a consistent way that you can track and manage. For example, the policy can delete a document or define a workflow task to have SharePoint Server route the document for permission to destroy it. The Labeling policy. This policy specifies a label to associate with a type of document or list item. Labels are searchable text areas that SharePoint Server generates based on metadata properties and formatting that you specify. The Barcode policy. This policy enables you to track physical copies of a document. You create a unique identifier value for a document and then insert a barcode image of that value in the document. By default, barcodes are compliant with the common Code 39 standard (ANSI/AIM BC1-1995, Code 39), and you can use the object model of the policies to plug in other barcode providers.
Information management policy reports help you to monitor how consistently your organization uses policies. If you implement information management policies to help your organization comply with regulations, you should monitor policy usage frequently to help ensure that your organization is compliant.
Additional Reading
For more general information about planning information management policies, see http://go.microsoft.com/fwlink/?LinkID=200906&clcid=0x409.
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Information Architecture Features for Implementing Governance
Key Points
SharePoint Server 2010 includes several information architecture features that an organization can use to help govern the use of SharePoint Server 2010. Information architecture in SharePoint Server 2010 refers to the organization of enterprise information such as documents, lists, Web sites, and Web pages to take full advantage of the information's usability and manageability. You can increase your organizations return on its portal investment by including information architecture standards and policies in your governance plan. A wellgoverned architecture makes it easier for your users to find, share, and use your information. These are some of the information architecture features in SharePoint Server 2010 that you can use to provide governance of your SharePoint Server 2010 implementation: Content types. You use content types to organize, manage, and handle content in a consistent way. They define the attributes of a type of list item, document,
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or folder. Each content type can specify metadata properties to associate with items of its type, available workflows, templates, and information management policies. To govern content types, you should consider associating event receivers and workflows with the forms that are used to modify the content types. Blocked file types. You can use this feature to restrict files from being uploaded or downloaded to a server by basing the restriction on the file extension. For example, you can block executable files, which may contain malicious software, so that users cannot run them on their client computers. By default, many file types are blocked, and this includes executable files. Taxonomy and managed metadata. Managed metadata is a hierarchical collection of centrally managed terms that you can define and then use as attributes for items in SharePoint Server 2010. Users can see only global term sets and term sets that are local to the user's site collection. Therefore, if there are term sets that some users should be unable to view, you should assign these term sets to separate groups. An organizations governance policies can affect how you design managed metadata services and connections. If every document that is created must have a certain set of attributes, you may want to have a content type hub in at least one service. You should acquaint yourself with your organizations governance plan before you determine any managed metadata services and connections.
Question: Which managed metadata term sets can a user view?
Additional Reading
For more information about content types and workflow planning, see http://go.microsoft.com/fwlink/?LinkID=200908&clcid=0x409. For a complete list of the default blocked file types, see http://go.microsoft.com/fwlink/?LinkID=201253&clcid=0x409. For more information about managed metadata service applications, see http://go.microsoft.com/fwlink/?LinkID=201254&clcid=0x409.
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Governance of Sandboxed Solutions
Key Points
A sandbox is a restricted environment that enables programs to execute code that can access only specific resources, which means that any issues that happen in the sandbox do not adversely affect the rest of the environment. When you deploy a solution in a sandbox, it is known as a sandboxed solution. Sandboxed solutions run in an isolated worker thread, so they cannot use resources that belong to other solutions. In addition, they have restricted access to local and network resources, so they cannot gain access to content outside the site collection in which you have deployed them. The most common scenarios for using sandboxed solutions are when: Your organization wants to run code on a production SharePoint Server 2010 site, and you have not fully and rigorously tested the code. You want to provide hosted environment services and you need to allow the owners of the hosted SharePoint Server 2010 sites to upload and run custom code. You want to utilize sandboxed solutions for load-balancing purposes.
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Planning for Sandboxed Solutions

When you plan for sandboxed solutions, you must first determine whether you need to use them at all. If you decide that you need to use them, you must decide whether your main reason for wanting to deploy them is to achieve greater performance or greater security.
Planning Governance for Sandboxed Solutions

When planning governance for your sandboxed solutions, you should consider the following: When should a farm administrator block or unblock a sandboxed solution? Identifying the management policy for blocking and unblocking sandboxed solutions will help to reduce confusion if there is any uncertainty about whether to block a sandboxed solution. When can you transfer a sandboxed solution to the production environment as a fully trusted solution? You must define a policy for determining what level of testing is required for a sandboxed solution to be considered ready for production use in your organization. Who will you allow to deploy sandboxed solutions? Depending on your organizations security requirements, you could choose to add people directly to the site collection administrators group. Alternatively, you could establish a procedure for specifying a restricted number of site collection administrators to deploy sandboxed solutions on behalf of their users. Will you dedicate a separate server to running sandboxed solutions? You can increase isolation by using remote load balancing and by only running the sandboxing service on specific servers.
Note: Only members of the Farm Administrators group can block sandboxed solutions, configure load balancing, and reset exceeded quotas.
Additional Reading
For more information about planning sandboxed solutions, see http://go.microsoft.com/fwlink/?LinkID=200909&clcid=0x409.
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Lab: Developing a Plan for Governance
Exercise 1: Creating a Governance Plan

Scenario
You need to create a governance plan for the Contoso, Ltd SharePoint Server 2010 implementation. Additional information that your team needs is detailed in the supplied documents. You will use these documents to produce a planning worksheet to help create your governance plan. The main tasks for this exercise are as follows: 1. 2. Read the supporting information. Complete the SharePoint 2010 Governance worksheet.

1. Read the lab scenario.
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2. 3.
Log on to 10231A-NYC-DC1-12 as CONTOSO\Ed with the password Pa$$w0rd. In the E:\Labfiles\Lab12\Starter folder, read the information in the Contoso Provisioning and Customization Requirements.docx file.
Task 2: Complete the SharePoint 2010 Governance worksheet

In the E:\Labfiles\Lab12\Starter folder, complete the worksheet in the SharePoint 2010 Governance Worksheet.xlsx file.
Exercise 2: Implementing the Governance Plan

Scenario
You will now implement some of the settings in the planning worksheet for your governance plan for the team.contoso.com site. You will do this by using the information outlined in the Contoso Provisioning and Customization Requirements document and the SharePoint 2010 Governance worksheet. The main tasks for this exercise are as follows: 1. 2. 3. 4. 5. 6. Enable self-service site creation on the SharePoint Team Web application. Disable SharePoint Designer for the SharePoint Team Web application. Start the Microsoft SharePoint Foundation Sandboxed Code service. Configure load balancing for sandboxed solutions in the farm. Configure the site storage individual quota limit for the SharePoint Team site. Verify that users can upload sandboxed solutions in team.contoso.com.
Task 1: Enable self-service site creation on the SharePoint Team Web application
For the SharePoint Team Web application, enable the Self-Service Site Creation setting.
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Task 2: Disable SharePoint Designer for the SharePoint Team Web application
For the SharePoint Team Web application, disable SharePoint Designer.
Task 3: Start the Microsoft SharePoint Foundation Sandboxed Code service

Start the Microsoft SharePoint Foundation Sandboxed Code service on the server.
Task 4: Configure load balancing for sandboxed solutions in the farm

Verify that when users want to run sandboxed solutions in the farm, they are routed by using solution affinity load balancing.
Task 5: Configure the site storage individual quota limit for the SharePoint Team site
Configure the site storage individual quota limit to be 1 GB.
Task 6: Verify that users can upload sandboxed solutions in team.contoso.com

In team.contoso.com, verify that users can upload sandboxed solutions.
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Review Questions
1. 2. What are the five key elements of a SharePoint Server 2010 governance plan? Whose role is it to perform the day-to-day management tasks required to ensure that the content on the site or page is accurate, relevant, and up to date? What is a simple way of communicating the details of your governance plan to everyone in the organization? Which IT service feature enables you to stop users adding more content to the site after the site collection reaches a specific threshold?
3. 4.
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Best Practices Related to Developing a Governance Plan

Supplement or modify the following best practices for your own work situations: Make sure that you have a governance committee that has a strong supporter in the role of executive sponsor. Keep your governance model as simple as possible while still maintaining its strength. Ensure that you do not make the solution more complex than necessary by overdesigning it. SharePoint may have a great feature, but that does not necessarily mean that you need to deploy it, or at least not immediately. Ensure that all users with design or Full Control privileges have internalized your design guiding principles and that content contributors understand your guiding principles for creating content. An effective governance plan should not need to restrict every move; it should provide guidance to users to ensure that the implementation of SharePoint Server 2010 remains effective and dynamic over time.
Designing a Maintenance and Monitoring Plan
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Module 13
Contents:
Lesson 1: Principles of Maintenance and Monitoring Lesson 2: Creating a Maintenance Plan for SharePoint 2010 Lesson 3: Creating a Monitoring Plan for SharePoint 2010 Lesson 4: Considerations for the Maintenance and Monitoring of Associated Technologies Lab: Designing a Maintenance and Monitoring Plan 13-35 13-46 13-3 13-11 13-23
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Module Overview
You must ensure that your Microsoft SharePoint 2010 infrastructure can operate at maximum efficiency, given the constraints of your particular environment. To do this, you require a maintenance and monitoring plan. This plan will help you to ensure that the most vulnerable aspects of the infrastructure are in the best possible state.
Objectives
After completing this module, you will be able to: Describe the essential principles of a maintenance and monitoring plan. Create a maintenance plan for SharePoint 2010. Create a monitoring plan for SharePoint 2010. Describe the considerations for developing a maintenance and monitoring plan that incorporates technologies that support SharePoint 2010.
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Lesson 1
Principles of Maintenance and Monitoring
When you develop a maintenance and monitoring plan, you should be mindful of the end requirements. You must understand the goals of maintenance and monitoring in your organization. This will help you to plan for all of the necessary aspects of maintaining and monitoring your SharePoint 2010 infrastructure. It will also help you to meet service-level agreements (SLAs) and manage the change process.
Objectives
After completing this lesson, you will be able to: Describe the goals of maintenance and monitoring planning. Explain how to meet the requirements of quality assurance (QA) planning. Describe how to incorporate change management policies into the maintenance and monitoring plan.
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Goals of Planning for Maintenance and Monitoring
Key Points
To meet the business requirements of your organization, you should design and document a maintenance and monitoring plan. The goal of this plan is to enable you to keep SharePoint 2010 running at optimum performance and perform proactive maintenance tasks.
Service-Level Agreements
Many organizations issue one or more service standards that specify required uptime, performance levels, and recovery times. These service standards or SLAs may exist between departments in the organization to detail the expectations that one department has of another. Organizations also often use SLAs to detail a required level of service between the organization and its suppliers, customers, and partners. A well-designed maintenance and monitoring plan enables you to meet the SLAs that affect the SharePoint 2010 environment.
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Documentation
Detailed documentation simplifies monitoring and maintenance throughout the hierarchy. It ensures that the maintenance and monitoring processes that you define are repeatable. It is also easy to review and update the details of your maintenance and monitoring plan if you document it. Documenting the plan is especially important in large hierarchies where there can be many SharePoint 2010 administrators and other IT teams all working to meet SLAs for the IT infrastructure. When you design your maintenance and monitoring plan, you should liaise with other IT teams, such as the teams that are responsible for the following services: Active Directory directory service Internet Information Services (IIS) Microsoft SQL Server
SharePoint 2010 relies on all of these services, so you must ensure that your maintenance and monitoring plan incorporates any tasks that are necessary to maintain and monitor them. You can provide the plan document to the SharePoint 2010 administrators who are responsible for maintenance. Your plan should include: Which tasks to perform. How to perform each task. How often to perform each task. Who should perform each task. Who should update and maintain the necessary documentation.
Additional Reading
For a sample SLA, see Appendix B: Sample SLA at http://go.microsoft.com/fwlink/?LinkID=200910&clcid=0x409.
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Planning for Quality Assurance
Key Points
QA refers to a program for the systematic monitoring and evaluation of the various aspects of a service to ensure that you meet agreed standards of quality. QA programs vary, but they focus on improving and stabilizing the service that you provide and minimizing issues that lead to interruptions in service. Many service management methodologies incorporate QA processes. The following sections describe some examples.
ITIL
The IT Infrastructure Library (ITIL) is a set of concepts and practices for the development, management, and provision of IT services. ITIL gives detailed descriptions of a number of important IT practices and provides comprehensive checklists, tasks, and procedures that any IT organization can tailor to its requirements.
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MOF
Microsoft Operations Framework (MOF) 4.0 delivers practical guidance for everyday IT practices and activities. It helps you to establish and implement reliable, cost-effective IT services. MOF covers the entire IT life cycle by integrating: Community-generated processes for planning, delivering, operating, and managing IT. Governance, risk, and compliance activities. Management reviews. Microsoft Solutions Framework (MSF) best practices.
Sample QA Program
As an example, consider the QA processes that you require for the backup and recovery of your SharePoint 2010 infrastructure. You should define the following: SLAs. You should formalize expectations as to which data you can recover and how long it will take you to recover it. This may vary from site to site in your SharePoint 2010 infrastructure. This information should be part of the SLA documentation. Backup schedule. Your maintenance and monitoring plan should include a defined schedule for backup. You should define what you will back upsuch as content and metadataalong with schedules for backup. Again, the backup schedule will vary depending on the data that you must back up. Restore verification procedure. Your maintenance and monitoring plan should include processes for verifying your backups. You should verify that the backup and restore process will work by testing a selection of backups on a regular basis. Offsite storage. Many organizations use offsite storage as an added level of protection for their data. If you plan to use offsite storage, you should incorporate QA processes for your supplier. For example, does the offsite storage vendor have the appropriate certification to hold your data securely?
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Additional Reading
For more information about MOF 4.0, see http://go.microsoft.com/fwlink/?LinkID=201255&clcid=0x409.
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Change Management
Key Points
Change management is a key process in service management. Change management provides a way for you to track changes that are made in your organization, whether in IT or any other part of the business. The objective of change management is to ensure that people who make changes use standardized methods and procedures for all changes to the IT infrastructure. The use of standardized methods and procedures minimizes the number and impact of any unexpected results of the change. You should also include standardized procedures for the rollback of any changes. Externally imposed requirements, such as compliance with legal regulations, may lead to changes in your SharePoint 2010 infrastructure. Alternatively, the impetus for change may come from the need to improve efficiency and effectiveness or enable new business initiatives. Whatever the cause, you will be able to handle all changes in an efficient and prompt manner if you implement change management by using standardized methods and procedures. Well-defined change management also helps you to maintain the balance between the need for change and the potential impact of changes.
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Monitoring and maintaining your SharePoint 2010 infrastructure will include making changes such as applying service packs, changing user permissions, or moving content. Change management helps you to make changes in a controlled, predictable manner.
Change Management Policies

When you develop your maintenance and monitoring plan, you should incorporate change management policies. Change management policies define the standardized methods and procedures for changes to the environment. For example, your change management policies can mandate that you test custom SharePoint 2010 solutions in a staging farm before you move them to the production farm. You should make the following features part of your change management policy: Document and control change management procedures. Create a formal process for requesting changes and recording these change requests. Assess and document the effect of the requested change. Impose controls on changes. Create an emergency change process for errors and other issues that significantly impair system function and business operations or increase the systems vulnerability. Update change documentation when necessary. Record maintenance tasks and changes. Apply controls to new SharePoint 2010 solutions. You can use your SharePoint 2010 staging environment or sandboxing to ensure that new solutions do not behave in a detrimental manner. Submit changes for approval. Separate responsibility for creation, approval, and application by assigning them to different personnel to avoid changes that you do not want. Monitor changes to assess the efficacy of change management policies.
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Lesson 2
Creating a Maintenance Plan for SharePoint 2010
Creating a maintenance plan will help you to manage the most at-risk elements of SharePoint 2010. By automating maintenance tasks, you can ensure that regular tasks are performed as scheduled. Your maintenance plan should also include a plan for deploying software updates that meets the requirements of the organizations change management policies. You should also include maintenance policies for the different SharePoint 2010 environments in your organization, because the staging and development environments will have different maintenance requirements from the production environment.
Objectives
After completing this lesson, you will be able to: Describe considerations for automating maintenance tasks in SharePoint 2010. List guidelines for managing diagnostic log files in SharePoint 2010.
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Develop a plan for deploying software updates. Describe policies for staging and development environments. Discuss guidelines for developing a maintenance plan.
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Considerations for Automating Maintenance Responses
Key Points
You can automate maintenance tasks to improve your ability to respond to maintenance requirements in a timely fashion. It also enables you to manage regular tasks proactively. You can use a number of tools to help you to automate your regular maintenance tasks. The following sections will discuss the use of Windows PowerShell and timer jobs.
Windows PowerShell
Windows PowerShell is a command-line shell and scripting language that helps IT professionals to achieve greater control and productivity. You can use Windows PowerShell to manipulate Web applications, site collections, sites, lists, and almost any aspect of SharePoint 2010 administration. Windows PowerShell is excellent for automating maintenance tasks. For example, you can use Windows PowerShell to create scheduled tasks for site collection backups. You should use Windows PowerShell when you perform command-line administrative tasks, rather than the deprecated Stsadm command-line tool. The
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Stsadm command-line tool is included in SharePoint 2010 to support compatibility with previous product versions.
Timer Jobs
A timer job is a trigger to start to run a specific Windows operating system service for Microsoft Office SharePoint. It contains a definition of the service to run and specifies how frequently the service should start. Some services rely on timer jobs to run according to a schedule. You can view the status of timer jobs that have been run by using the Central Administration Web site or Windows PowerShell. The monitoring features in SharePoint 2010 use specific timer jobs to perform monitoring tasks and collect monitoring data. This health and usage data may consist of performance counter data, event log data, search usage data, or various performance aspects of the Web servers. The system uses this data to create health reports, Web Analysis reports, and administrative reports. The system writes usage and health data to the logging folder and to the logging database.
Additional Reading
For more information about SharePoint 2010 products administration by using Windows PowerShell, see http://go.microsoft.com/fwlink/?LinkID=200912&clcid=0x409. For more information about SharePoint 2010 timer jobs, see http://go.microsoft.com/fwlink/?LinkID=201256&clcid=0x409.
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Guidelines for Configuring Diagnostic Logging
Key Points
SharePoint 2010 collects data in the diagnostic log that can be useful for troubleshooting. The default settings are sufficient for most situations. However, you may want to customize the settings depending upon the business requirements and the life cycle of the farm. If you are deploying a new feature or making large-scale changes to the environment, you can change the logging level. You can change it to a more verbose level to capture as much data as possible about the state of the system during the changes. You can also change it to a lower level to reduce the size of the log and the resources that you require to log the data. You can set the level of diagnostic logging for the event log and for the trace log. This will limit the types and amount of information that will be written to each log.
Best Practices
The SharePoint 2010 environment may require configuration of the diagnostic logging settings after initial deployment and throughout the systems life cycle. Use the following guidelines as best practices: Change the drive that logging writes to. By default, diagnostic logging is configured to write logs to the drive and partition where SharePoint 2010 is
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installed. Diagnostic logging can use large amounts of drive space, and writing to the logs can affect drive performance; therefore, you should configure logging to write to a different physical drive. You should also consider the connection speed of the drive; if verbose-level logging is configured, many entries are written to the log. Consequently, a slow connection may result in poor log performance. Restrict log disk space usage. SharePoint 2010 does not limit the amount of disk space that diagnostic logging can use. You should limit the disk space that logging uses to make sure that it does not fill the disk, especially if you configure logging to write verbose-level events. When the space that is available to the log file is used, the oldest logs are removed and new logging data information is recorded. Use the Verbose setting sparingly. Verbose logging logs every action that SharePoint 2010 takes. Verbose-level logging can quickly use drive space and affect drive and server performance. You can use verbose-level logging to record a greater level of detail when you are making critical changes and then reconfigure logging to record only higher-level events after you make the change. Regularly back up logs. The diagnostic logs contain important data. Therefore, back them up regularly to make sure that this data is preserved. SharePoint automatically deletes when you restrict log drive space usage, or if you keep logs for only a few days. When the threshold is met, the oldest logs are deleted first. Enable event log flooding protection. You enable this setting to configure the system to detect repeating events in the Windows event log. When the same event is logged repeatedly, the repeating events are detected and suppressed until conditions return to a typical state.
Unified Logging Service

Office SharePoint uses the Unified Logging Service (ULS) to write content to log files. In SharePoint 2010, by default, the ULS log is located at C:\Program Files \Common Files\Microsoft Shared\Web Server Extensions\14\LOGS. When you plan file permissions for farm administrators, you should consider allowing access to this folder so that the farm administrator can read the log directly. The ULS log can be difficult to interpret in text form, so you should make the ULS Viewer available to those who must read the log. The ULS Viewer enables users who have access to ULS log files to view the logs by using a user-friendly interface. You can filter, sort, highlight, and append logs to help to locate data that is relevant
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to the issue that you are attempting to resolve. You can use this information to diagnose problems with machines running ULS services or to monitor machines and the events that they create. SharePoint 2010 uses correlation IDs, which are identifiers that are internally associated with every request and are displayed with error messages. By searching the ULS log for the correlation ID, you can identify the request that caused the error and resolve the issue.
Additional Reading
For more information about how to configure diagnostic logging for SharePoint Server 2010, see http://go.microsoft.com/fwlink/?LinkID=200913&clcid=0x409. For more information about the ULS Viewer, see http://go.microsoft.com/fwlink/?LinkID=201257&clcid=0x409.
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Considerations for Deploying Software Updates
Key Points
SharePoint 2010 has improved installation and management features that provide a better end-to-end administrative experience when you install a software update. The process of deploying software updates has two distinct phases: updating and upgrading.
Update Phase
The update phase has two steps: the patching step and the deployment step. The first step is the patching step. During the patching step, SharePoint 2010 copies new binary files to the Central Administration server. You must update all servers that are running SharePoint 2010, but you should begin with the Central Administration server to ensure that Central Administration reports the most upto-date information. Services that use files that have to be replaced are temporarily stopped, reducing the requirement to restart the server. However, there are some instances when you must restart the server. The second step in the update phase is the deployment step. In this step, the installer copies support files to the appropriate directories on the server that is
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running SharePoint 2010. This step ensures that all of the Web applications are running the correct binary files and will function correctly after the software update. The update phase is complete after the deployment step. The next and final phase to deploy software updates is the upgrade phase.
Upgrade Phase
After you finish the update phase, you must complete the installation by starting the upgrade phase. The upgrade phase is task-intensive and therefore takes the most time to finish. The first step is to upgrade all of the SharePoint 2010 processes that are running. The next step is to upgrade the databases. The upgrade process can run on a single server, so other servers in the farm can continue to service requests. You can postpone the upgrade phase. However, inconsistent farm behavior may result from postponing the upgrade for more than several days. If you postpone for a longer period, you increase the risk that farm behavior issues will occur.
Planning Considerations
When you plan the deployment of software updates and service packs, you should consider the following features: SharePoint 2010 supports backward compatibility between update versions on different servers. This enables you to install the update binary files and postpone update completion to a later time. You can use a staging environment to ensure that the software update will function correctly in your SharePoint 2010 environment. There is full support for automatic updates that use Windows Server Update Services (WSUS), Windows Update, and Microsoft Update. An automatic update will install the binary files on the farm servers, but you must complete the software update by running the upgrade on the servers. Administrators can monitor the status of the update by using the Central Administration Web site or Windows PowerShell.
Additional Reading
For more information about software updates in SharePoint Server 2010, see http://go.microsoft.com/fwlink/?LinkID=200914&clcid=0x409.
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Considerations for Maintaining Staging and Development Environments
Key Points
When you develop a maintenance plan for SharePoint 2010, you should consider the different environments in your organization. Large organizations may have a number of SharePoint 2010 environments, including production, staging, and development. Each environment has a different role to play in the maintenance of the SharePoint 2010 infrastructure as a whole. Many organizations implement various environments to meet their business goals. Depending on the environments that your company implements, you will need to ensure that they are managed in an appropriate manner.
Staging Environment
Staging environments provide a safe environment for testing changes to your SharePoint 2010 infrastructure before you deploy them in the production environment. A staging environment should therefore mimic at least the key features and configuration of the production environment to provide a useful testing platform.
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You should use staging environments to perform final tests on the solutions and content before they are published to content consumers and end users. Consider using a staging environment to test: Incremental updates of data. Deployment of software updates. Service packs. Custom components. Add-ons and integrations.
Development Environment
Development environments are used by developers who create custom components such as Windows Workflow assemblies, Web Parts, and event handlers. The development environment is not usually identical to the live production environment, because it typically includes developer tools such as Microsoft Visual Studio 2005, and Microsoft Visual Studio Team Foundation Server. You should use development environments to provide a platform for the development of SharePoint 2010 solutions, custom code, and other development features. Consider using a development environment for: The distribution and management of development virtual machines (VMs). License management. Source control.
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Discussion: Developing a Maintenance Plan
Key Points
Question: You must develop a wide-ranging maintenance plan for your SharePoint 2010 infrastructure. What categories would you use to organize your maintenance tasks? Question: What is the next step in developing a maintenance plan? Question: Give examples of tasks and activities for each category that you have defined.
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Lesson 3
Creating a Monitoring Plan for SharePoint 2010
The monitoring features in SharePoint 2010 help you to check how the SharePoint 2010 system is running. Monitoring tools such as SharePoint Health Analyzer and Performance Monitor help you to analyze and resolve problems, and view metrics for the sites.
Objectives
After completing this lesson, you will be able to: Describe considerations for using SharePoint Health Analyzer. Describe considerations for logging usage and health data in SharePoint 2010. List guidelines for monitoring search. List guidelines for using Performance Monitor to monitor SharePoint 2010. Discuss how to develop a monitoring plan.
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Considerations for Using SharePoint Health Analyzer
Key Points
SharePoint 2010 includes SharePoint Health Analyzer, which is a new analysis tool that enables you to check for potential configuration, performance, and usage problems. SharePoint Health Analyzer runs predefined health rules against servers in the farm. A health rule runs a test and returns a status that tells you the outcome of the test. If any rule fails, the status is written to the Health Reports list in Microsoft SharePoint Server 2010 and the Windows event log. SharePoint Health Analyzer also creates an alert in the Health Analyzer Reports list on the Review problems and solutions page in Central Administration. You can click an alert to view more information about the problem and see steps to resolve the problem. You can also open the rule that raised the alert and change its settings. You can edit Health Analyzer Report list items, create custom views, export the list items into Microsoft Office Excel, subscribe to the RSS feed for the list, and perform many other tasks. Each health rule falls into one of the following categories: Security, Performance, Configuration, or Availability.
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Health Rules
You can configure a health rule to run on a defined schedule or on an impromptu basis. All health rules are available through Central Administration, on the Monitoring page, for either immediate or scheduled execution. You can configure specific health rules to perform the following tasks: Enable or disable rules. Configure rules to run on a predefined schedule. Define the scope where the rules run. Receive e-mail alerts when problems are found. Run rules on an impromptu basis.
The status of the Health Analyzer rules for a SharePoint farm are displayed in the Review Problems and Solutions link in the Monitoring section of Central Administration. The rules are also available in the SharePoint 2010 management pack for Microsoft System Center Operations Manager. SharePoint 2010 ships with more than 50 predefined health rules to help to ensure that the SharePoint 2010 environment is properly configured and healthy right from the start.
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Considerations for Logging Usage and Health Data
Key Points
SharePoint 2010 can log usage information such as feature usage and performance data to the new usage logging database and log files. The Usage and Health Data Collection Service application performs the logging and is enabled during the initial farm setup. Health and usage data consists of event log data, performance counter data, timer service data, metrics for site collections and sites, search usage data, and various performance aspects of the Web servers. SharePoint 2010 uses this data to create health reports, Web Analysis reports, and administrative reports. SharePoint 2010 writes usage and health data to the logging folder and the logging database. The default logging database is WSS_Logging.
Configuring Usage and Health Data Collection

You can use the Central Administration interface to configure logging settings for usage data collection. You can specify which events to log and a location and maximum size for the log file. You can also configure health data collection, including scheduling collection times.
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Usage data collection is enabled by default, and the events logged are: Content import usage Content export usage Page requests Feature use Search query usage Site inventory usage Timer jobs Rating usage
Configuring Usage Data Collection for a Specific Event

You can also configure some aspects of Usage and Health Data Collection by using the SharePoint 2010 Management Shell. You can use Windows PowerShell cmdlets to configure settings for logging; for example, you can specify a new logging database. You can also configure settings for single events, such as setting longer retention periods for page request events.
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Guidelines for Monitoring Search
Key Points
Search is a key service in SharePoint 2010, and you must monitor it closely to ensure optimal performance. SharePoint 2010 includes several tools that you can use to help you to monitor search services.
Search Alerts
Search alerts enable end users to receive e-mail and Short Message Service (SMS) text message notification when specified search query results are changed or updated. You should enable search alerts when you want to allow end users to create alerts for search queries. Users can configure search alerts on the search query page when a search query is completed and results are displayed. Each user can only configure and view search alerts that he or she has created.
Query Logging
SharePoint 2010 search logs information about user search queries and search results that users select on their computers. SharePoint 2010 uses this information to improve the relevancy of search results and improve query suggestions.
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Members of the Farm Administrators group or an administrator of the Search Service application can also create reports that are based on this information.
Search Administration Reports

You can use search administration reports to help you to determine the health of Search Service applications on a SharePoint farm. There are three types of search administration reports: Basic search administration reports. These reports are enabled by default. They show high-level monitoring data aggregated from all components for the selected Search Service application. Advanced search administration reports. These reports are enabled by default. They show more in-depth monitoring data aggregated from all components for the selected Search Service application. Verbose search administration reports. After you enable verbose query monitoring for search, this trend report uses per-query data to derive query latency percentiles.
Guidelines for Crawl

The crawl log tracks information about the status of crawled content. You can use this log to determine whether crawled content was successfully added to the index, whether it was excluded because of a crawl rule, or whether indexing failed because of an error. The crawl log also contains more information about crawled content, including the time of the last successful crawl, the content sources, and whether any crawl rules were applied. You can use the crawl log to diagnose problems with the search experience.
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Guidelines for Using Performance Monitor
Key Points
Performance Monitor is a simple yet powerful visualization tool for viewing performance data, both in real time and from log files. Using Performance Monitor, you can examine performance data in a graph, histogram, or report. You can also configure Performance Monitor to alert you if a counter passes a specified threshold. This enables you to manage the system proactively. SharePoint 2010 automatically installs new performance counters that you can use to monitor the performance of various aspects of the SharePoint 2010 infrastructure. The following table lists some useful counters to monitor that are related to SharePoint 2010.
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Counter Search - Query rate
Description The number of queries that are posted to the server per second. The number of queries that produce successful searches.
Threshold 10 per second.
Search - Succeeded queries
You should mostly use this counter for troubleshooting search problems. Microsoft has tested up to 5 million documents per content index. This indicates the catalogs that users search most frequently.
Search catalogs Number of documents
The total number of documents in the catalog.
Search catalogs - Queries rate_(index names or all instances)
The number of queries that are posted to indices per second.
You should also monitor hardware-related performance counters for your servers. The following table lists some useful hardware-related counters to monitor.
Counter Processor - % Processor Time Memory - Available Mbytes Physical Disk - Current Disk Queue Length Description The percentage of processor time that is used. The amount of memory that is available, in MB. The number of read or write requests that are waiting to execute to the disk. For a single disk, it should idle at two to three or lower. The number of packets in the queue that are waiting to be sent. A sustained average of more than two packets in a queue indicates a bottleneck that you must resolve. Required value Low
High
Low
Network Interface Output Queue Length
Low
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You should also monitor Web service performance counters for your servers, because SharePoint 2010 implements Web applications. The following table lists some useful counters to monitor that are related to Web services.
Counter Request - Avg Req/Sec
Description The average number of requests per second. Includes failed and passed requests, but not cached requests. The average of passed requests. This information also helps to determine the average number of failed requests per second. The average of the total time that is taken to load a page with all of its HTTP elements. The maximum user load that is provided during a test run. The average number of errors that occur per second. Includes all types of errors.
Required value High
Request - Avg Req Passed/Sec
High
Page - Avg Page Time (Sec)
Low
Scenario - User Load
High
Errors - Errors/Sec
Low
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Finally, you should monitor SQL Server performance counters for your servers, because SharePoint 2010 uses SQL Server databases. The following table lists some useful database-related counters to monitor.
Counter SQL Server: Buffer Manager - Buffer cache hit ratio SQL Server: Cache Manager - Cache hit ratio
Description The percentage of pages that are found in memory.
Required value High
The ratio between cache hits and misses. This counter is a good indicator of the caching mechanism in SQL Server. The number of times that the log files have been extended. If there is a lot of activity in this counter, allocate static space large enough for log files. The number of users who are currently connected to the computer running SQL Server.
High
SQL Server: Databases Log growths
Low
SQL Server: General Statistics - User Connections
N/A
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Discussion: Developing a Monitoring Plan
Key Points
Question: You must develop a monitoring plan for your SharePoint 2010 infrastructure. What categories would you use to organize your monitoring tasks? Question: What is the next step in developing a monitoring plan? Question: Give examples of tasks and activities for each category that you have defined.
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Lesson 4
Considerations for the Maintenance and Monitoring of Associated Technologies
SharePoint 2010 relies on SQL Server to provide database hosting and IIS to provide Web services. You must include these associated technologies in your maintenance and monitoring plan. If any issues arise in any of these applications, they may cause a catastrophic failure of your SharePoint 2010 infrastructure.
Objectives
After completing this lesson, you will be able to: Describe aspects of database management that you should perform to maintain SharePoint 2010. Describe aspects of IIS management that you should perform to maintain SharePoint 2010.
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Describe how System Center Operations Manager can support SharePoint 2010. Discuss maintaining and monitoring the technologies that are associated with SharePoint 2010.
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Database Management
Key Points
For SQL Server databases to perform at optimal levels, it is recommended that SharePoint 2010 administrators conduct routine maintenance on each database. In large organizations, SharePoint 2010 administrators may not perform database management tasks themselves. Instead, they must liaise with the database administrator (DBA) team to ensure that appropriate maintenance and monitoring is performed for the SharePoint 2010 databases. These routine database maintenance tasks are often overlooked because they are redundant, tedious, and time-consuming. Moreover, SharePoint 2010 administrators are overwhelmed with many other tasks throughout the day. In recognition of these issues, Microsoft has provided a way to automate these daily tasks with a SQL Server maintenance plan. A SQL Server maintenance plan performs a comprehensive set of SQL Server jobs that run at scheduled intervals. The maintenance plan conducts scheduled SQL Server maintenance tasks to ensure that databases are performing optimally, are regularly backed up, and are checked for anomalies. You can use the Maintenance
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Plan Wizard to create and schedule these daily tasks automatically. In addition, the wizard can configure database and transaction log backups. A comprehensive maintenance plan includes these primary administrative tasks: Checking database integrity. Rebuilding indices. Updating index statistics. Performing internal consistency checks and backups. Updating database statistics. Cleaning up database job history.
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IIS Management
Key Points
SharePoint 2010 relies on IIS to host the Web applications that contain SharePoint site collections and sites. You should ensure that your maintenance and monitoring plan includes this, so that you are aware of any potential issues with the hosting environment. There are many ways to monitor IIS, including the following: Use Performance Monitor to monitor counters and configure alerts. Examine the IIS log files. Use SharePoint Health Analyzer.
To help you with IIS-specific troubleshooting, IIS version 7 logs real-time state information about application pools, worker processes, sites, application domains, and running requests. IIS 7 also provides detailed trace events that track a request throughout the complete request-and-response process. To enable the collection of these trace events, you can configure IIS 7 to automatically capture full trace logs for any request, specified by elapsed time or error response codes.
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Logs
In addition to the Windows Server 2008 system log and security log, you can configure IIS to log site visits. When users access your Web Front End (WFE) server that is running IIS 7, IIS logs the information. The logs provide valuable information that you can use to identify any unauthorized attempts to compromise your Web server. You can enable or disable logging at the server level or the site level. You should enable logging for a server when you want IIS to log only certain requests to a server based on configured criteria. As soon as you enable server logging, you can enable logging for any site on the server. You can also then view the log file to see which requests are failing and which requests are succeeding. You should disable logging for a site when you no longer want IIS to log requests to a site selectively. You can configure per-server logging options when you want logging settings to apply to all sites on your server by default. In addition, you can configure logging options at the site level if you want to set logging settings for a site that differ from those that you have set at the server level. Finally, you can configure log file rollover options to control the length of time that log file data is stored on the server.
Worker Processes
The worker processes feature enables you to monitor sites, application pools, server worker processes, application domains, and requests.
Failed Request Tracing Rules

Failed request tracing rules enable you to capture an XML-formatted log of a problem when it occurs. This means that you do not necessarily have to reproduce the problem before you start troubleshooting. You can define failure conditions for applications and configure which trace events to log for each URL. Tracing for failed requests is configured at two levels: At the site level, you enable or disable tracing and configure log file settings. At the application level, you specify the failure conditions for capturing the trace events and also configure which trace events should be captured in the log file entries.
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Additional Reading
For more information about how to monitor activity on a Web server that is running IIS 7, see http://go.microsoft.com/fwlink/?LinkID=200915&clcid=0x409.
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Systems Management
Key Points
You can use System Center Operations Manager to alert you to issues with certain preconfigured availability, performance, configuration, or security situations. You can also use views that show state, health, and performance information. By using System Center Operations Manager, you can gain rapid insight into the state of the IT environment and the IT services that are running across different systems and workloads. By using System Center Operations Manager, you can improve your availability and performance metrics through enhanced service-level monitoring. You will have improved access to the key functionality that you require to maintain and enhance the service that you deliver to the organization. End-to-End Service Management System Center Operations Manager works seamlessly with Microsoft software and applications, helping organizations to increase efficiency and maintain greater control of the IT environment. System Center Operations Manager provides endto-end service management that is easy to customize and extend for improved service levels across your IT environment. This enables operations and IT
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management teams to identify and resolve issues that affect the health of distributed IT services. End-to-end service management is not restricted to Microsoft-based environments. Support for WS-Management, Simple Network Management Protocol (SNMP), and partner solutions enables you to include systems and hardware from vendors other than Microsoft in your service monitoring. Best for Windows System Center Operations Manager 2007 includes expertise from the Microsoft server, client, and application teams, providing you with knowledge and capabilities to drive greater efficiency. Improvements in management packs for Microsoft products have increased knowledge and reports based on the best practices of Microsoft IT and Product Support Services. Microsoft currently has more than 50 management packs for various Microsoft products, ranging from the Windows operating system to applications such as Office SharePoint and IIS. Increased Efficiency and Control System Center Operations Manager 2007 automates routine, redundant tasks and provides intelligent reporting and monitoring to help you to increase efficiency and maintain greater control of your IT environment. Role-based security, Active Directory integration, and new infrastructure elements make it easier to monitor, configure, and deploy in complex environments. Support for high-availability features such as clustering and failover ensure that the IT environment is always monitored.
System Center Management Pack

The System Center management pack for SharePoint 2010 products includes monitoring for: SharePoint Server 2010 Microsoft Project Server 2010 Microsoft Search Server 2010
The management pack monitors important events, performance counters, services, and SharePoint Health Analyzer rules that are found in SharePoint 2010 products. The management pack informs operators when incidents occur that may endanger the health of the SharePoint farm. Notifications can be either: Components that are displayed in red to indicate an unhealthy status in the System Center Operations Manager diagram view.
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Alerts that are sent directly to the operator (this notification happens only for critical incidents).
Additional Reading
For more information about System Center Operations Manager, see http://go.microsoft.com/fwlink/?LinkID=200916&clcid=0x409. For more information about the System Center Operations Manager knowledge articles (SharePoint Server 2010), see http://go.microsoft.com/fwlink/?LinkID=202091&clcid=0x409.
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Discussion: Planning for Associated Technologies
Key Points
Question: You must incorporate associated technologies into your maintenance and monitoring plan for SharePoint 2010. What categories would you use to organize these technologies? Question: What is the next step in developing a maintenance and monitoring plan? Question: Give examples of tasks and activities for each category that you have defined.
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Lab: Designing a Maintenance and Monitoring Plan
Exercise 1: Resolving an Error in SharePoint 2010

Scenario
You have identified two common maintenance tasks that the support team will perform. You want to provide verified procedures for the team. The first task is resolving an error that users have encountered in the Business Intelligence Center (BI Center) when they attempt to open a spreadsheet in Microsoft Excel 2010 in the browser. The main tasks for this exercise are as follows: 1. 2. 3. 4. Read the supporting information. Document the steps for resolving an error in SharePoint 2010. Identify an error in SharePoint 2010. Resolve the error.
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1. 2. Read the lab scenario. Log on to 10231A-NYC-DC1-13 as CONTOSO\Ed with the password Pa$$w0rd.
Task 2: Document the steps for resolving an error in SharePoint 2010

Define your steps for resolving an error in SharePoint 2010 by using a correlation ID. Record the steps in the E:\Labfiles\Lab13\Starter \Contoso Ltd. Error Resolution Operational Procedures.docx file.
Task 3: Identify an error in SharePoint 2010

1. 2. 3. 4. 5. 6. In SharePoint 2010 Central Administration, browse to the User Profile Service application, and then attempt to open it. On the desktop, open the ULS Viewer. In the ULS Viewer, open the ULS log file. Switch back to SharePoint 2010 Central Administration, and then copy the first eight characters of the correlation ID. In the ULS Viewer, filter the ULS log file to display only the entries for that correlation ID. Identify the correct error message. Read the message to determine the problem.
Task 4: Resolve the error

1. 2. 3. In SharePoint 2010 Central Administration, start the User Profile Service. From an administrator command prompt, run iisreset. In SharePoint 2010 Central Administration, verify that the User Profile Service has started.
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Exercise 2: Splitting a Content Database

Scenario
The second error for which you want to provide a verified procedure is resolving an issue with a content database, Content_Docs2. This database has exceeded your predefined threshold and must be split by moving the HRDocs site collection to a new content database. The main tasks for this exercise are as follows: 1. 2. Document the steps for splitting a content database. Split the content database, Content_Docs1.
Task 1: Document the steps for splitting a content database

Document your steps for splitting a content database with multiple site collections into multiple content databases. Record the steps in the E:\Labfiles\Lab13\Starter \Contoso Ltd. Content Database Operational Procedures.docx file.
Task 2: Split the content database, Content_Docs1

1. 2. 3. In SharePoint 2010 Central Administration, view the content databases for /sites/hrdocs and verify that the Database Name is Content_Docs1. Run the SharePoint 2010 Management Shell as an administrator. Use the command in the following code example to move the database.
MoveSPSite Identity http://intranet.contoso.com/sites/hrdocs DestinationDatabase content_docs2
4. 5.
From an administrator command prompt, run iisreset. In SharePoint 2010 Central Administration, view the content databases for /sites/hrdocs and verify that the Database Name is now Content_Docs2.
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Review Questions
1. 2. 3. What are the key elements of SharePoint 2010 that you must monitor? What tools are available to help you to monitor and maintain your SharePoint 2010 infrastructure? Will the SharePoint 2010 administrators perform all necessary maintenance and monitoring tasks?
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Best Practices Related to Maintenance and Monitoring for SharePoint 2010

Supplement or modify the following best practices for your own work situations: Maintain the network environments systems to avoid any inefficiency. Identify tasks that are important to the overall health and security of the system. Thoroughly test and evaluate service packs and updates in a staging environment before you install them on production servers and client machines.
Planning Business Continuity
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Module 14
Contents:
Lesson 1: Overview of Business Continuity Management Lesson 2: Developing a Business Continuity Plan for SharePoint Server 2010 Lesson 3: Creating a Backup and Restore Plan for SharePoint Server 2010 Lab: Planning Business Continuity 14-34 14-47 14-15 14-4
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Module Overview
Business continuity management consists of the business decisions, processes, and tools that you implement to handle any catastrophic events that might occur. These include events that might affect only your organization, such as loss of power to your building, but also events that affect your local geographical region, such as an earthquake or flood. This module introduces the concept of business continuity. It also describes how to develop a plan for business continuity in Microsoft SharePoint Server 2010, and explains how to plan for backup and restore in your SharePoint Server 2010 environment.
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Objectives
After completing this module, you will be able to: Describe business continuity management. Describe how to develop a business continuity plan for SharePoint Server 2010. Describe how to create a backup and restore plan for SharePoint Server 2010.
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Lesson 1
Overview of Business Continuity Management
To keep your SharePoint Server 2010 infrastructure running smoothly and to keep your services fully operational and available to your users, you must consider business continuity management in your implementation of SharePoint Server 2010. This lesson provides an overview of business continuity management in the context of an implementation of SharePoint Server 2010.
Objectives
After completing this lesson, you will be able to: Describe the concept of business continuity in SharePoint Server 2010. Explain the difference between availability and disaster recovery.
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Describe the business continuity management features that are available for SharePoint Server 2010. Explain the concepts of service-level agreements (SLAs), recovery point objectives (RPOs), recovery time objectives (RTOs), and recovery level objectives (RLOs).
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What Is Business Continuity?
Key Points
The term business continuity refers to the actions that an organization performs to guarantee that vital business functions and services are available to everyone who needs access to them, including customers and suppliers. The various daily tasks that an organization might perform include data and operating system backups, change management, and support operations. Business continuity management is a combination of high availability and disaster recovery: High availability. Ensures a certain fixed level of operational continuity in the event that one or more components fail. Disaster recovery. Ensures a certain fixed level of operational continuity in the event that all systems fail, by providing some form of redundancy for your services.
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Although the key elements of business continuity are high availability and disaster recovery, backup and restore processes are often considered to be subsets of disaster recovery. Business continuity planning is the process by which you determine how to provide business continuity. Any business continuity plan that you create is the manifestation of the procedures that you expect all of the users in your organization to follow on a daily basis to guarantee continuing standard operations. The business continuity features in SharePoint Server 2010 should definitely be a part of your business continuity management plan. However, your overall plan should be much more wide-ranging and should include the following elements: Clearly documented procedures. Offsite storage of key business records. Clearly designated roles that should responsible in the event of a disaster. Ongoing staff training, including practices and drills. Offsite recovery mechanisms.
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Comparing Availability and Disaster Recovery
Key Points
There can be some confusion and some gray areas when discussing the terms availability and disaster recovery.
Availability
Availability is the degree to which users of a SharePoint Server 2010 environment consider it to be available and fully operational during a given time period. An available system should also be a resilient system. This means that incidents that affect your services should rarely occur, and when they do occur, you should implement timely and effective action to rectify them. One of the most common gauges of availability is the percentage of uptime, which is the percentage of time that a given system is active and working. This percentage is expressed as a number of nines. A system with an uptime of 99.999 percent is referred to as having five nines of availability. If a system is unavailable, the term downtime is typically applied.
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Disaster Recovery
Disaster recovery is the ability to recover from a situation in which a computer running SharePoint Server 2010 becomes unavailable. You must synchronize the disaster recovery strategy that you use for SharePoint Server 2010 with the disaster recovery strategy for the remainder of your infrastructure. You must work alongside the administrators of the infrastructure that it is based on to design a successful disaster recovery plan. The time and effort that is required to get another farm up and running in a different location is often referred to as a hot, warm, or cold standby, which are defined as follows: Hot standby. A second data center that can provide availability within seconds or minutes. Warm standby. A second data center that can provide availability within minutes or hours. Cold standby. A second data center that can provide availability within hours or days.
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Overview of Business Continuity Management Features in SharePoint Server 2010
Key Points
SharePoint Server 2010 includes several capabilities and features that you can use to manage business continuity.
User-Controlled Business Continuity Capabilities

SharePoint Server 2010 includes the following user-controlled capabilities that support business continuity management: Recycle Bin. SharePoint Server 2010 includes a two-stage Recycle Bin. Users who have the appropriate permissions can use the first-stage Recycle Bin to recover documents, list items, lists, and document libraries that they or someone else has deleted from a site. Site collection administrators can use the second-stage Recycle Bin, which is also called the Site Collection Recycle Bin, to recover items that users have deleted from the first-stage Recycle Bin. If you enable the first-stage Recycle Bin, users can recover their data themselves. Versioning. Users can lose data by overwriting a document. Using versioning, users can keep multiple versions of the same document in a document library.
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In the event of an unwanted change, such as an overwritten document or document corruption, the user can easily restore the previous version. When you enable versioning, users can recover their data themselves. Records Center. Records Center sites support managing records storage for legal, regulatory, or business reasons.
Administrator-Controlled Business Continuity Capabilities

SharePoint Server 2010 includes the following administrator-controlled capabilities that support business continuity management: Availability. No single feature or capability provides availability in a SharePoint Server 2010 environment. You can choose from many approaches to improve availability, including: Fault tolerance of components and the network. Mirroring of databases. Redundancy of server roles and servers in a farm.
Disaster recovery. No single feature or capability provides disaster recovery in a SharePoint Server 2010 environment. You can choose among many approaches to improve availability when a data center goes offline, including: Offsite storage of backups, both within and outside your region. Shipping images of servers to offsite locations. Running multiple data centers, but serving data only through one, keeping the others available on standby.
Backup and restore. You can use Windows PowerShell cmdlets or the SharePoint Central Administration Web site to back up and recover SharePoint Server 2010 farms, databases, Web applications, and site collections. There are also many other tools that you can use to back up and recover data, which are discussed later in this course.
Additional Reading
For more information about how to protect content by using Recycle Bins and versioning, see http://go.microsoft.com/fwlink/?LinkID=200917&clcid=0x409. For more information about records management planning, see http://go.microsoft.com/fwlink/?LinkID=201269&clcid=0x409.
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Overview of SLAs, RPOs, RTOs, and RLOs
Key Points
When you are creating your business continuity plan for SharePoint Server 2010, you must think in terms of service-level agreements, recovery point objectives, recovery time objectives, and recovery level objectives. These terms can be defined as follows: SLAs. An SLA is a formal or informal contract between two parties that defines an agreed level of service. It is typically used to refer to the expected performance or delivery time of that service. The two parties concerned might be a supplier and a customer or they might be different departments within the same organization. RPOs. These define the amount of data loss that has been deemed acceptable over a given time period. Therefore, they also define a point in time that your organization has determined that you must be able to recover data to in the event of a disaster. RPOs are set in seconds, minutes, hours, and days, and represent the minimum regularity with which you must create backups.
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RTOs. These define the amount of time that it takes to make a service available again after a disaster has occurred. Therefore, they also define the maximum acceptable downtime of the service. This time measurement also includes the time that it takes the support team to analyze, test, and fix the problem. RTOs are usually calculated and based on lost revenue or productivity periods, and are set in terms of seconds, minutes, hours, and days. This value corresponds to the measurable uptime of an SLA expressed as percentages such as 99.99 percent or 99.999 percent. RLOs. These define the granularity with which you must be able to recover data. In the case of SharePoint Server 2010, this might be whether you must be able to recover the entire farm, just a Web application, site collection, site, library, list, or even a single list item.
RPOs and RTOs form two of the most explicit and significant elements of an SLA. You use them in conjunction to make the foundation on which you should develop your business continuity plan.
Business Continuity Management SLAs for SharePoint Server 2010

Business continuity management is a key area where your IT team may offer SLAs to set expectations within your customer groups. The following list describes some common features of business continuity management SLAs in SharePoint Server 2010: Availability: The service availability as a percentage of uptime. This is usually expressed as a number of nines that classify the percentage of time that a given service is active and working.
Recycle Bins: Whether the two-stage Recycle Bin feature is offered. The amount of space that is allocated for the first-stage Recycle Bin and second-stage Recycle Bin. The length of time for which items are held before they are permanently deleted in each Recycle Bin. Any additional charges for recovering items that have been permanently deleted from the second-stage Recycle Bin.
Versioning: Whether the versioning feature is offered.
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The amount of space allocated for versioning.
Disaster recovery: The RPOs and RTOs. Different RTOs are often set for different circumstances, for example, a local emergency versus a regional emergency.
Backup and recovery: The objects and services that you can back up and recover. The RPO, RTO, and RLO for each object or service. The available backup window for each object or service.
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Lesson 2
Developing a Business Continuity Plan for SharePoint Server 2010
There are several strategies, technologies, and aspects to consider when you develop a plan for business continuity in SharePoint Server 2010. This lesson describes the key processes and strategies that are available to provide high availability and disaster recovery for your SharePoint Server 2010 environment.
Objectives
After completing this lesson, you will be able to: Plan for availability in SharePoint Server 2010. Describe the strategies for database availability in SharePoint Server 2010. Describe the difference between failover clustering and high-availability mirroring.
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Plan user-controlled business continuity features. Plan for disaster recovery in SharePoint Server 2010. Use log shipping for disaster recovery in SharePoint Server 2010. Identify considerations for high-level business continuity planning.
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Planning for Availability in SharePoint Server 2010
Key Points
You must make several key decisions when you plan your availability strategy for an implementation of SharePoint Server 2010.
Evaluating Costs
As you plan your availability requirements, you must be aware that the greater the degree of availability and the more systems that you decide to protect, the more complex and expensive your availability solution is liable to be. Be mindful also that not all of the scenarios in your organization are necessarily going to require equal levels of availability. You might decide to provide different degrees of availability for different sites, different application services, or different farms. When you plan your investment in an availability solution, you must consider the following costs: Additional hardware and software, which can increase the complexity of interactions among software applications and settings.
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Additional operational complexity.
You should evaluate the costs of improving availability in conjunction with your business needs. Do all of your services require the same level of availability? To gauge your organization's tolerance for downtime for a site, service, or farm, you must ask yourself the following questions: If the site, service, or farm becomes unavailable, will employees be unable to perform their expected job responsibilities? If the site, service, or farm becomes unavailable, will business and customer transactions stop, leading to a loss of business and customers?
If you answer yes to either of these questions, you should invest in an availability solution.
Choosing an Availability Strategy and Level

There are several approaches to increase the availability of your SharePoint Server 2010 environment, but the most typical approaches are to: Improve the fault tolerance of your server hardware components. Fault tolerance of hardware components is the redundancy of hardware components and infrastructure systems such as power supplies at the server level. When you are planning for fault tolerance of hardware components, you must: Be aware that complete redundancy of every component in a server may be impossible or impractical. Use additional servers for additional redundancy. Ensure that servers have multiple power supplies connected to different power sources for maximum redundancy. Obtain fault-tolerant hardware from your hardware vendors that is appropriate for the system, including redundant array of independent disks (RAID) arrays.
Increase the redundancy of server roles within your farm. SharePoint Server 2010 supports running server roles on redundant computers within a farm to increase capacity and provide basic availability. The capacity that you require determines both the number of servers and the size of the servers in a farm. After you have met your base capacity requirements, you may decide to add more servers to increase overall availability.
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Choosing Database Availability Strategies

To support the availability of databases in your SharePoint Server 2010 environment, you can use Microsoft SQL Server failover clustering or SQL Server high-availability database mirroring.
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Introducing Strategies for Database Availability in SharePoint Server 2010
Key Points
To support the availability of databases in your SharePoint Server 2010 environment, you can use SQL Server failover clustering or SQL Server highavailability database mirroring.
SQL Server Failover Clustering

You can use SQL Server 2008 with Service Pack 1 (SP1) and Cumulative Update 2 failover clustering to provide availability in a SharePoint Server 2010 farm. A failover cluster is a combination of one or more nodes or servers, and two or more shared disks. A failover cluster instance appears as a single computer, but has functionality that provides automatic failover from one node to another if the current node becomes unavailable for any reason. SharePoint Server 2010 can run on any combination of active and passive nodes in a cluster that SQL Server supports and that interprets the failover cluster as a whole entity. Therefore, failover is automatic and seamless from the perspective of SharePoint Server 2010.
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SQL Server High-Availability Mirroring

Database mirroring is a capability in SQL Server that you can use to gain database redundancy for your SharePoint Server 2010 databases. You implement mirroring on a per-database basis and it works only with databases that use the full recovery model. Database mirroring provides significant availability and presents an alternative or addition to failover clustering or log shipping that is far easier to manage. If you want to use database mirroring to gain high availability for your SharePoint Server 2010 farm, you need to use high-availability database mirroring. This is also sometimes referred to as high-safety mode with automatic failover. High-availability database mirroring differs from standard database mirroring in that it uses the following three server instances: A principal server. This server instance serves the database to clients, and its copy of the database is the current principal database. This role is the same for standard database mirroring and high-availability mirroring. A mirror server. This server instance acts as a hot standby or warm standby server, depending on the configuration and state of the mirroring session. Its copy of the database is the current mirror database. In standard database mirroring, the principal and mirror servers communicate and cooperate as partners in a database mirroring session. The two partners perform complementary roles in the session: the principal role and the mirror role. A witness server. Unlike the principal server and the mirror server, the witness server does not serve the database. The witness server enables SQL Server to automatically fail over from the principal server to the mirror server by regularly verifying whether the principal server is running correctly. The mirror server instigates automatic failover only if the mirror server and the witness server remain connected to each other after both have been disconnected from the principal server.
There are two operating modes for configuring database mirroring: Asynchronous. This does not require a witness server instance, which means that there is no automatic failover. When the database server is not available, an administrator must stop the database mirroring session manually. Synchronous. You can optionally configure this by using a witness server. If you do so, you get the benefit of the automatic failover feature. Synchronous mode with a witness server is recommended for high availability.
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You can use SharePoint Central Administration or Windows PowerShell cmdlets to identify the failover, or mirror, database server location for your database after you have configured a database mirror instance of SQL Server. By setting a failover database location, you add a parameter to the connection string that SharePoint Server 2010 uses to connect to the server running SQL Server. In the event of a time-out event on the server running SQL Server, the following occurs: 1. 2. The witness server that is configured for SQL Server mirroring automatically swaps the roles of the primary and mirror databases. SharePoint Server automatically attempts to contact the server that is specified as the failover database.
Additional Reading
For more information about SQL Server failover clustering, see http://go.microsoft.com/fwlink/?LinkID=200918&clcid=0x409. For more information about how to configure SQL Server database mirroring, see http://go.microsoft.com/fwlink/?LinkID=201259&clcid=0x409.
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Comparing Failover Clustering and High-Availability Mirroring
Key Points
There are several differences between the database availability strategies that the previous topic introduced. The following table compares those strategies by using several key considerations and factors.
Factor Time to fail over
SQL Server failover clustering Cluster member takes over immediately upon failure. Yes.
SQL Server high-availability mirroring Mirror takes over immediately upon failure. Yes.
Transactional consistency? Transactional concurrency?
Yes.
Yes.
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Factor Time to recovery Steps required for failover?
SQL Server failover clustering Shorter time to recovery (milliseconds). The database nodes automatically detect failure; failover is seamless and automatic. Does not protect against failed storage; storage is shared between cluster nodes.
SQL Server high-availability mirroring Slightly longer time to recovery (milliseconds). The database automatically detects failure; SharePoint Server 2010 is aware of the mirror location, so failover is automatic. Protects against failed storage because both the principal and mirror database servers write to local disks. Can use less expensive direct attached storage. Principal, mirror, and witness servers must be on the same local area network (LAN) (up to 1 millisecond latency roundtrip). Requires SQL Server full recovery model.
Protection against failed storage?
Storage types supported Location requirements
Shared storage (more expensive).
Cluster members must be on the same subnet.
Recovery model
SQL Server full recovery model recommended. You can use the SQL Server simple recovery model, but the only available recovery point if the cluster is lost will be the last full backup. Some decrease in performance may occur while a failover is occurring.
Performance overhead
High-availability mirroring introduces transactional latency because it is synchronous. It also requires additional memory and processor overhead. The operational burden is larger than for clustering. Must be set up and maintained for all databases. Reconfiguring after failover is manual.
Operational burden
Set up and maintained at the server level.
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Planning User-Controlled Business Continuity Features
Key Points
SharePoint Server 2010 includes several user-controlled capabilities and features that you can use for business continuity. You must carefully plan how you might use them in your environment. You should plan to use the Recycle Bin and versioning features of SharePoint Server 2010 in your environment to help users protect and recover their data. Recycle Bins and versioning are key components of a business continuity strategy.
Protecting Content by Using Recycle Bins

You can use Recycle Bins to retrieve deleted SharePoint Server 2010 objects such as files, documents, list items, lists, and document libraries. SharePoint Server 2010 supports two stages of recycle bins: the first-stage Recycle Bin and the secondstage Recycle Bin. You enable and configure the Recycle Bins at the Web application level.
Note: You cannot use Recycle Bins to recover previous versions or accidental overwrites of documents. You must use versioning to enable this functionality.
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The following table describes how an item is deleted and recovered from the firststage Recycle Bin and the second-stage Recycle Bin.
Action User deletes item Item state Item is held in the first-stage Recycle Bin until the item is deleted from the Recycle Bin or the item has been in the Recycle Bin for longer than the time limit configured for an item to be held in the Recycle Bin Item is held in the second-stage Recycle Bin Item restored by User or site collection administrator
User deletes item from the Recycle Bin
Site collection administrator
Caution: Turning off the Recycle Bin for a Web application empties all Recycle Bins and permanently deletes all items in them.
First-Stage Recycle Bin

The first-stage Recycle Bin is located at the site level and is available to users who have Contribute, Design, or Full Control permissions on a site. The first-stage Recycle Bin process works as follows: When a user deletes an item from a Web site, the item goes to the site's firststage Recycle Bin: Items in the first-stage Recycle Bin count toward the site quota. Items remain in the sites first-stage Recycle Bin until a specified time period elapses. By default, this time period is 30 days. The time limit for the Recycle Bin applies to the total time after the item was first deleted, not the time spent in the Recycle Bin.
When a user deletes an item from the Recycle Bin, the item goes to the secondstage Recycle Bin.
Second-Stage (Site Collection) Recycle Bin

The second-stage Recycle Bin is located at the site collection administrator level, and is organized into two views:
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Objects in the first-stage Recycle Bins of all sites in the site collection. Objects in the second-stage Recycle Bin.
The second-stage Recycle Bin process works as follows: When a user deletes an item from the first-stage Recycle Bin, it goes to the second-stage Recycle Bin. When an item goes to the second-stage Recycle Bin, only a site collection administrator can recover it. Items remain in the second-stage Recycle Bin until either a specified time period elapses (by default, this is 30 days) or until the second-stage Recycle Bin reaches its size limit (set as a percentage of the size quota), at which time the oldest items are deleted.
Protecting Content by Using Versioning

You can use versioning to help prevent data loss that is caused by someone overwriting a document. When a site owner turns on versioning in a document library or a list, the library or list keeps multiple copies of a document, item, or file. In the event of an unwanted change, an overwritten file, or document corruption, the user can easily restore the previous version. You can enable versioning at the library or list level, and you can version both items and files. You must closely manage your versioning implementation. If sites have too many versions of files and documents, the sites can become quite large. If you do not limit the size of sites, your sites can exceed your storage capacity. Farm administrators can manage this issue by establishing SLAs with site owners and by setting size quotas on sites.
Additional Reading
For more information about how to use the Recycle Bin in SharePoint Server 2010, see http://go.microsoft.com/fwlink/?LinkId=90917&clcid=0x409. For more information about how to configure Recycle Bin settings, see http://go.microsoft.com/fwlink/?LinkID=201260&clcid=0x409. For more information about how to manage site collection storage limits, see http://go.microsoft.com/fwlink/?LinkID=202092&clcid=0x409.
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Planning for Disaster Recovery in SharePoint Server 2010
Key Points
You must make several key decisions when you plan your disaster recovery strategy for an implementation of SharePoint Server 2010.
Evaluating Costs
As you plan your disaster recovery requirements, you must be aware that disaster recovery can be one of the more expensive requirements for a system. The shorter the interval between failure and availability and the more systems that you decide to protect, the more complex and expensive your disaster recovery solution is liable to be. When you plan your investment in a disaster recovery solution, you must consider the following costs: Additional hardware and software, which often increase the complexity of operations between software applications, such as custom scripts for failover and recovery. Additional operational complexity.
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You should evaluate the costs of maintaining hot or warm standby data centers in conjunction with your business needs. Do all of your services require the same level of recoverability after a disaster? You should offer different degrees of disaster recovery for different content, sites, services, or farms. For example, content that has a high impact on your business or an Internet publishing farm might need a greater degree of recoverability than other content.
Tip: When you implement failover between server farms, it is recommended that you first deploy and tune the core solution within a farm, and then implement and test the disaster recovery strategy.
Identifying System Requirements for Disaster Recovery

In an ideal scenario, your failover components and systems would match the primary components and systems in all areas: platform, hardware, and number of servers. At a minimum, your failover environment must be able to cope with the extra traffic that you would expect during a failover operation. You should keep in mind that the failover system may only serve a subset of users. Whatever your scenario, the systems must match in at least the following areas: Operating system versions and updates. SQL Server versions and updates. SharePoint Server 2010 product versions and updates.
Although we are principally discussing the availability of SharePoint Server 2010, other components can affect the system uptime, so you should also: Ensure that infrastructure dependencies such as power, cooling, network, directory, and Simple Mail Transfer Protocol (SMTP) are fully redundant. Choose a switching mechanism such as Domain Name System (DNS) or hardware load balancing that meets the needs of your organization and environment.
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Choosing a Disaster Recovery Strategy

You can choose from several approaches to provide disaster recovery for your SharePoint Server 2010 environment, depending on your business needs. The following table lists example scenarios that show reasons for choosing cold, warm, or hot standby disaster recovery strategies.
Strategy Cold standby
Example scenario A business ships backups to support computer system recovery to local and regional offsite storage on a regular basis. The business has contracts in place for emergency server rentals in another region. A business ships virtual server images to local and regional disaster recovery farms.
Pros Often the cheapest option to maintain, operationally. Often an expensive option to recover, because it requires you to configure physical servers correctly after a disaster has occurred.
Cons Usually the slowest option to recover.
Warm standby
Often relatively inexpensive to recover because a virtual server farm can require little configuration upon recovery. Often relatively fast to recover.
Can be very expensive and time-consuming to maintain.
Hot standby
A business runs multiple data centers, but serves content and services through only one data center.
Can be quite expensive to configure and maintain.
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Using Log Shipping for Disaster Recovery in SharePoint Server 2010
Key Points
The most common solution for providing disaster recovery for SharePoint Server 2010 is to use SQL Server log shipping. You can use SQL Server log shipping to create a disaster recovery farm in a geographically distributed data center for SharePoint Server 2010. Using this configuration, you can provide a disaster recovery site that provides services when a failover occurs.
Overview of SQL Server Log Shipping

Log shipping enables you to configure SQL Server to continually send transaction log backups from a primary database on a primary server instance to one or more secondary databases on separate secondary server instances. You then apply the transaction log backups to each secondary database individually. Continually backing up the transaction logs from a primary database and then copying and restoring them to a secondary database keeps the secondary database almost synchronized with the primary database. Log shipping can also include an optional third server instance, which is known as the monitor server. This server records the
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history and status of backup and restore operations and raises alerts if these operations do not occur as scheduled. Log shipping consists of three operations: 1. 2. 3. Back up the transaction log on the primary server instance. Copy the transaction log file to the secondary server instance. Restore the transaction log backup on the secondary server instance.
The image on the slide for this topic illustrates the log shipping process.
SharePoint Server 2010 and Log Shipping

You can use SQL Server log shipping to send content databases, including My Sites databases, from one SharePoint Server 2010 farm to one or more geographically dispersed secondary farms.
Considerations for Using Log Shipping for SharePoint Server 2010

You must consider several things when you plan to use log shipping for SharePoint Server 2010 disaster recovery: By default, the failover process for log shipping is manual. You can create scripts to automate failover. The minimum time that you can configure for synchronization is one minute. When failover happens, you must run a SQL Server script to make all of the content databases writeable. You cannot use log shipping to send the configuration database to another farm because it contains computer-specific information. You must maintain the same customizations and configuration settings on both farms manually. In the event of an unplanned failover, some data loss is possible, depending on the frequency of log shipping and the time of failure. Site collections that are added to the primary farm are not automatically added to the configuration database on the secondary farm. You must add them by using either Stsadm operations or a script.
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Discussion: High-Level Business Continuity Planning
Key Points
Answer the following questions in the context of the sample business continuity plan. Question: What effects does implementing versioning have on your design? Question: What areas of your design are impacted by requirements for business continuity?
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Lesson 3
Creating a Backup and Restore Plan for SharePoint Server 2010
There are several strategies, tools, and scenarios to consider when you create a successful backup and restore plan for SharePoint Server 2010. This lesson describes the key tools and strategies for backing up and restoring your SharePoint Server 2010 environment.
Objectives
After completing this lesson, you will be able to: Determine what to protect in your SharePoint Server 2010 environment. Plan the backup and restore of SharePoint Server 2010. Identify backup and restore strategies for SharePoint Server 2010.
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Identify virtual recovery scenarios for SharePoint Server 2010. Describe how to script backup and restore operations for SharePoint Server 2010.
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Determining What to Protect in Your Environment
Key Points
Your business requirements will help you to determine which components of your SharePoint Server 2010 environment you must protect and the granularity with which you must be able to recover them: Farm and Web applications. You can back up these items by using either SharePoint Server 2010 or Microsoft System Center Data Protection Manager 2010. When you use System Center Data Protection Manager 2010, you can only recover these items by using a combination of a computer system backup and SharePoint Server backup. You cannot back up and restore these items as objects. Search and other service applications. You can back up these items by using SharePoint Server 2010. Backing up and recovering the Search service application is a special case because of the complexity of interactions between the components of the application. When you start a backup of the Search service application,
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SharePoint Server 2010 starts a SQL Server backup of the Search administration database, crawl databases, and property databases, and also backs up the index partition files in parallel. Service applications in a SharePoint Server 2010 environment can consist of both service settings and one or more databases. You cannot restore a complete service application by restoring the database only; however, you can restore the databases for a service application and then reprovision the service application. Content databases, sites, site collections, document libraries, and document lists. You can back up these items by using SharePoint Server 2010, System Center Data Protection Manager 2010, or SQL Server: You can use farm-level and database-level backups with unattached database recovery for SharePoint Server to restore site collections, sites, lists, and configurations. You can use farm-level and database-level backup and restore for site collection recovery if a single site collection is stored in a database.
SharePoint configuration settings. You can back up these items by using SharePoint Server 2010, System Center Data Protection Manager 2010, or SQL Server: You can use farm-level and database-level backups with unattached database recovery for SharePoint Server to restore configuration settings. You can recover configuration settings from farm-level backups. You can recover the Central Administration content database and the configuration database for a farm in SharePoint Server 2010, but only as part of a full-farm recovery to the same farm with the same servers.
List items and documents. You can back up these items by using System Center Data Protection Manager 2010. Content that is stored in remote binary large objects (BLOBs). You can back up these items by using SharePoint Server 2010, System Center Data Protection Manager 2010, or SQL Server. You can back up and restore these items with other content, as long as the remote BLOB storage (RBS) provider that you are using has this capability.
Web.config changes that were made by Central Admin or an application programming interface (API). You can back up these items by using SharePoint Server 2010, System Center Data Protection Manager 2010, or SQL Server.
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When you use System Center Data Protection Manager 2010, you can back up changes to Web.config by using the file system backup option. Web.config changes that were not made by Central Admin or an API. You can back up these items by using System Center Data Protection Manager 2010 or file system backup. When you use System Center Data Protection Manager 2010, you can back up changes to Web.config by using the file system backup option.
Additional Reading
For more information about how to restore a service application, see http://go.microsoft.com/fwlink/?LinkID=200920&clcid=0x409.
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Planning Backup and Restore for SharePoint Server 2010
Key Points
You must make several key decisions when you plan for backup and restore in a SharePoint Server 2010 environment. These decisions include determining which backup and recovery strategies to use and deciding which tools to use.
Defining Business Requirements

To define your business requirements, for each farm and service in your environment, you need to determine the: RPO. Define the maximum amount of time between the last available backup and any potential failure point. You determine this by calculating the amount of data that your organization can afford to lose in the event of a failure. RTO. Define the maximum time that a data recovery process can take. You determine this by calculating the amount of time your organization can afford for the site or service to be unavailable. RLO. Define the granularity with which you must be able to recover data. You must determine whether you only need to be able to recover the farm as a
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whole entity, or whether you need to perform more granular restores down to Web application, site collection, site, list, library, or even item level.
Determining What Backup and Restore Tools to Use

To select the appropriate tools for backup and recovery, you must determine whether you can meet the business continuity requirements that you have set for your organization within your budgetary constraints for time and resources. When you are choosing tools, consider the following key issues: Backup speed. Completeness of recovery. Recovery granularity for objects. Supported backup types such as full, differential, or incremental. Complexity of managing the backup tool.
Considering Protection for Customizations

Customizations to SharePoint sites can include: Master pages, page layouts, and cascading style sheets. These objects are stored in the content database for a Web application. Web Parts, site or list definitions, custom columns, new content types, custom fields, custom actions, coded workflows, or workflow activities and conditions. Changes to standard XML files. Custom site definitions (Webtemp.xml). Changes to the Web.config file.
How you deploy customizations and how you make changes to the Web.config file have a significant effect on which tools you can use to back up and recover customizations. To provide the greatest opportunity for recovery, it is best practice to deploy customizations by using solution packages. Then, you can make changes to the Web.config file by using Central Administration or the SharePoint APIs and object model.
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Data Backup and Restore Strategies
Key Points
Based on your business requirements, the determination of your recovery needs, and the determination of which backup tools to use, you must determine and document the backup and recovery strategies for your SharePoint Server 2010 environment. As you determine the strategies that you must use, you may also determine that you need to use more than one tool to protect your SharePoint Server 2010 environment.
Example Strategies
If your environment includes databases that database administrators manage, you can employ the strategies in the following table.
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Example strategy Use SQL Server to back up all databases
Strategy basis The backup interval that you set for each database is based on the: Business impact of the content or service. Standard rate of change for the database. Effect on performance that the backup has on the environment.
Use SQL Server database snapshots stored on a separate physical disk to protect small, rapidly changing content databases that have a high impact on the business
The snapshot interval that you set for each database is based on the: Business impact of the content or service. Standard rate of change for the database. Effect on performance that the snapshot has on the environment. Amount of space that is required to store the snapshot.
Recovering from a snapshot is faster than standard recovery because SharePoint Server can treat a snapshot, along with its underlying database, as an unattached database. However, the process of creating snapshots can decrease the performance of the underlying database. You should test the effect that snapshots have on the performance of your system before you implement them, and you should regularly discard your snapshots to reduce storage space requirements. Use SharePoint Server 2010 backups to protect services The backup interval that you set for each database is based on the: Business impact of the service. Standard rate of change for the database. Effect on performance that the backup has on the database.
Perform all restore The choice of which restore system you use is operations by using determined by the type of backup that is available SharePoint Server 2010 and the objects being restored.
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Implementing Disaster Recovery by Using Virtualization
Key Points
You can use a virtualized environment to help simplify your disaster recovery planning for SharePoint Server 2010.
Warm Standby Data Centers

You can create a warm standby solution by making sure that you consistently and frequently create virtual images of the servers in your farm and then transport them to a secondary offsite location. At the offsite location, you must have an environment available in which you can easily configure and connect the images to re-create your farm environment.
Virtualized Recovery Farms for System Center Data Protection Manager 2010
You can also use a virtualized recovery farm with System Center Data Protection Manager 2010 to improve its disaster recovery capabilities for SharePoint Server 2010. When you use System Center Data Protection Manager 2010, the typical strategy for restoring individual SharePoint Server 2010 items from backups is to
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create a recovery farm that you use to restore the content database from which you will extract the required item, or items. The standard method for provisioning this virtualized recovery farm is to install all of the required roles on a single virtual server and ensure that it has sufficient storage capacity to store the largest possible content database in your environment. You can then use this farm solely for the purpose of recovering SharePoint content when you use System Center Data Protection Manager 2010. When it is not in use, you can either maintain it in a paused state or turn it off.
Virtualization of SharePoint Farms for Disaster Recovery Testing

An often disregarded task in many SharePoint implementations is testing disaster recovery failover of the SharePoint farm. Organizations may have plans in place, but they do not test the actual procedures with production data. If you use a virtualized environment, you can test your disaster recovery scenarios in a realworld environment with real data.
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Scripting Backup and Restore for SharePoint Server 2010
Key Points
Windows PowerShell is the command-line tool and supporting scripting language from Microsoft for Windows administration. In the context of SharePoint Server 2010 administration, it supersedes the Stsadm.exe administration tool. Windows PowerShell provides both a general command-line interface and a SharePoint-specific add-in tool called the SharePoint 2010 Management Shell.
SharePoint Backup and Restore Cmdlets

There are over 500 SharePoint-related cmdlets for performing various tasks such as getting, creating, configuring, and deleting on various SharePoint objects such as sites, site collections, Web applications, and service applications. Each object has several specifically related commands. Of these SharePoint-related cmdlets, several have been designed to cover major backup and restore operations, and they include:
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Backup-SPFarm Restore-SPFarm Backup-SPSite Restore-SPSite Export-SPWeb Import-SPWeb Backup-SPConfigurationDatabase
For example, you could run the following scripts in the SharePoint 2010 Management Shell to back up and restore your SharePoint Server 2010 farm configuration database.
Backup-SPConfigurationDatabase Directory c:\backups DatabaseServer servername DatabaseName SharePoint_Config Restore-SPFarm Directory c:\backups RestoreMethod Overwrite ConfigurationOnly
Performing Remote Backup and Restore of SharePoint

In addition, Windows PowerShell includes a remote interface. Therefore, you can use the SharePoint 2010 Management Shell to perform backup and restore operations on all of your servers from a central location. For example, you could run all of your backups from your Windows 7 desktop computer.
Additional Reading
For more information about how to use Windows PowerShell with SharePoint Server 2010, see http://go.microsoft.com/fwlink/?LinkID=200922&clcid=0x409.
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Lab: Planning Business Continuity
Exercise 1: Creating a Backup and Restore Plan

Scenario
Given the business continuity requirements for Contoso, Ltd and the physical architecture design, your team must create a business continuity plan for the SharePoint farm. The information that your team requires is detailed in the supplied documents. Use these documents to produce your business continuity plan. The main tasks for this exercise are as follows: 1. 2. Read the supporting information. Complete the SharePoint 2010 Backup and Restore Planning worksheet.
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1. 2. 3. Read the lab scenario. Log on to 10231A-NYC-DC1-14 as CONTOSO\Ed with the password Pa$$w0rd. In the E:\Labfiles\Lab14\Starter folder, read the information in the Contoso Ltd. Business Continuity Requirements.docx file.
Task 2: Complete the SharePoint 2010 Backup and Restore Planning worksheet
In the E:\Labfiles\Lab14\Starter folder, complete the worksheet in the SharePoint 2010 Backup and Restore Planning Worksheet.xlsx file.
Exercise 2: Testing the Recovery Process

Scenario
You are going to verify that a service application is missing and then restore it from a recent backup. The main tasks for this exercise are as follows: 1. 2. 3. 4. Verify that a service application is missing. Restore a missing service application. Restore a missing service application proxy. Confirm that you have restored the missing service application and service application proxy.
Task 1: Verify that a service application is missing

1. 2. In SharePoint 2010 Central Administration, view the list of managed service applications. Verify that the User Profile Service Application is not listed.
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Task 2: Restore a missing service application

In SharePoint 2010 Central Administration, restore a missing service application from the most recent farm backup by using the information in the following table.
Options Restore from a backup Service application
Value Full farm backup- dated 6/15/2010 Shared Services\Shared Services Applications\User Profile Service Same configuration Login name: Use the default Password: Pa$$w0rd
Restore options Login names and passwords
Task 3: Restore a missing service application proxy

In SharePoint 2010 Central Administration, restore a missing service application proxy from the most recent farm backup by using the information in the following table.
Options Restore from a backup Service application proxy Restore options Value Full farm backup- dated 6/15/2010 Shared Services\Shared Services Proxies\User Profile Service Same configuration
Task 4: Confirm that you have restored the missing service application and service application proxy
1. 2. In SharePoint 2010 Central Administration, view the list of managed service applications. Verify that the User Profile Service Application and the User Profile Service Application Proxy now both appear in the list.
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Review Questions
1. 2. 3. What are the user control business continuity features that you may choose to include in your design? What are the key differences between RTOs and RPOs? What are the performance overheads if you decide to plan for high-availability with mirroring, rather than failover clustering?
Best Practices Related to Designing a Security Plan

Supplement or modify the following best practices for your own work situations: Your planning should include options for availability and disaster recovery, rather than treating these as the same thing.
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You must establish RTO, RPO, and RLO metrics before you establish a formal business continuity SLA. You must establish a budget for business continuity that reflects the resources necessary to achieve business goals.
Planning for Upgrading to SharePoint 2010
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Module 15
Contents:
Lesson 1: Identifying Upgrade Scenarios Lesson 2: Planning Your Upgrade Lesson 3: Upgrade Considerations Lab: Planning for Upgrading to SharePoint 2010 15-4 15-23 15-42 15-57
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Module Overview
Planning an upgrade is one of the most complex tasks that solution architects perform. It requires an in-depth understanding of at least two product versions. It also requires technical project management and requirements analysis skills. You must plan upgrades with even more attention to detail than is necessary in a new installation, because there is much more that can go wrong if you fail to prepare adequately. Microsoft SharePoint 2010 products offer a greatly enhanced upgrade experience over previous versions. You must understand the methods and tools that are available with SharePoint 2010 so that you can plan an efficient and successful upgrade.
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Objectives
After completing this module, you will be able to: Describe the range of upgrade requirement options and the available upgrade methods. Describe how to plan an upgrade to SharePoint 2010. Explain the key upgrade considerations.
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Lesson 1
Identifying Upgrade Scenarios
SharePoint 2010 offers a range of business benefits for users and IT staff, so it is likely that you will need to plan an upgrade. In addition to your technical understanding, you must also understand the business benefits of performing an upgrade. This will enable you to manage expectations and identify new opportunities. SharePoint 2010 has well-documented upgrade options, but you must understand which is most appropriate for your organizationparticularly if you must upgrade from older product versions or migrate from platforms other than SharePoint Products and Technologies.
Objectives
After completing this lesson, you will be able to: Describe the benefits of upgrading to SharePoint 2010. Describe the supported methods for upgrading from Microsoft Office SharePoint Server 2007 to SharePoint 2010.
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Explain the options available for upgrading from older versions of Office SharePoint to SharePoint 2010. Describe some of the solution-specific upgrade options that should be reflected in an upgrade plan. Describe options for migrating from platforms other than SharePoint Products and Technologies to SharePoint 2010.
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Benefits of Upgrading to SharePoint 2010
Key Points
Solution architects must recognize the benefits of upgrading a current Office SharePoint product implementation to SharePoint 2010. Stakeholders and the business community may not be aware of the potential benefits, so you should know what SharePoint 2010 can do for your organization. This does not mean that you should be selling the new solution; instead, you should understand how the new functionality that is available meets your business requirements. You should also identify current customizations that can be replaced by out-of-the-box functionality available in SharePoint 2010. This functionality falls into the following areas: Sites and collaboration. SharePoint 2010 offers increased site deployment flexibility and usability through: A single platform for intranet, extranet, and Internet sites that is often more cost-effective. The familiar Fluent user interface (UI).
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Search. The integration of Microsoft FAST Search Server 2010 for SharePoint technologies and the extension of People Search provides: Greater speed and flexibility to search for, and drill down into, business information. The ability to create more effective groups by identifying key team members. Enhanced options for customized search solutions.
Community development. SharePoint 2010 has greatly enhanced social computing features that can deliver: Personalized environments with My Site Web sites, wikis, and blogs. The ability to tag and comment on business content.
Business insights. SharePoint 2010 provides greatly enhanced business intelligence (BI) options that provide: The information that information workers need directly to their Web pages. The flexibility to develop user dashboards for personal and organizational BI. Integration with existing BI assets, such as Microsoft Excel 2010.
Content management. Using SharePoint 2010, businesses can manage: Business documents and records and Web content. Deployment of governance strategies and requirements through policies and workflows.
User self-service. SharePoint 2010 enables users to develop business solutions without the need to place additional workloads on IT staff through: The availability of composite development tools, such as SharePoint Designer 2010 and Dashboard Designer 2010. Self-service site and My Site deployment.
These are primarily user benefits and opportunities, but SharePoint 2010 can also provide platform and IT services advantages with better administrative tools, information logging, and deployment security. As a solution architect, you must be able to review the business requirements from corporate strategy to usability and map potential solutions to requirements.
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Methods for Upgrading from Office SharePoint Server 2007
Key Points
There are two supported methods to upgrade from Office SharePoint Server 2007 Service Pack 2 (SP2) or later to SharePoint 2010.
In-Place Upgrade
An in-place upgrade installs SharePoint 2010 on an existing Office SharePoint Server 2007 implementation by installing the binaries and using the PSConfig command to configure the installation. There are some prerequisites, such as a 64bit server environment and SP2, which must be available for you to be able to use this option. This may sound the most obvious route to take, and it is recommended for small topologies, but there are advantages and disadvantages to this approach, as follows: Advantages. An in-place upgrade can maintain farm settings as long as these are compatible with the new SharePoint 2010 options. Farm-wide settings and customizations are preserved and upgraded, although all customizations should be tested after the upgrade completes. This also means that URLs remain the same without any need for IT interventions.
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Disadvantages. An in-place upgrade means that there will be server downtime during the upgrade process. This is affected by the size of the implementation (such as the number of servers) and the volume of data on the farm. There is also little opportunity for rollback, because the upgrade will run until completion or failure. The rollback scenario is to restore the original Office SharePoint Server 2007 farm. The in-place upgrade is not granular, because it works on a server and farm basis. You should identify all customizations, which may require manual intervention to ensure successful upgrade. You must also review the automatic upgrade of Shared Services Provider (SSP) services.
You must have a thorough understanding of farm content, customizations, and configuration before you attempt an in-place upgrade. This is necessary so that you can estimate the effort and resources that you require to perform the upgrade, such as additional database capacity to hold two versions of the business data. It is therefore essential that you pilot an in-place upgrade, with real data, to ensure that you know whether an in-place upgrade is practical. Of course, this entails more effort and available equipment.
Database Attach Upgrade

The second option is to perform a database attach upgrade. This takes place on separate hardware that is currently in use on the Office SharePoint Server 2007 farm. The process involves the installation and configuration of the SharePoint 2010 environment. The implementation team then attaches the Office SharePoint Server 2007 content databases to the new farm environment, which triggers a schema update on the SharePoint 2010 farm. This has a greater cost in server and database hardware, because you must deploy a new environment while the old one remains in place. However, if you are migrating from 32-bit servers to 64-bit servers, this may not be an issue. This is because you will have to install new server versions on the new equipment, and it would be of no benefit to install the previous release to perform an in-place upgrade. The advantages and disadvantages include: Advantages. The major benefit of this approach is the ability to maintain business productivity, because the original implementation remains available except during the upgrade of individual databases. For speed, you can plan to attach multiple databases simultaneously, which may significantly reduce the overall upgrade time. You can also reorganize your content databases, consolidating several together to take advantage of revised software boundaries.
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Disadvantages. This approach provides upgrades for site or SSP content databases, but does not automatically update all customizations. This means that you must re-create all customizations manually.
The database attach upgrade is generally preferred for business continuity and control, because you can upgrade databases in a granular manner. You can create a read-only version of the content database and provide user access to this to mitigate loss of productivity. This minimizes rollback issues, although it requires additional database resources. For implementations where you have large content databases, this is definitely the preferred option.
Hybrid Upgrade
You can plan to use a combination of the two upgrade options. This hybrid approach enables you to take advantage of the simplicity of an in-place upgrade and also gives you greater control over the upgrade process itself. An example plan may recommend the following approach: Detach content databases from the Office SharePoint Server 2007 farm. Perform an in-place upgrade on the farm, which now has no content. Reattach the content databases to the new SharePoint 2010 farm, which triggers a database attach upgrade.
This provides some of the advantage and disadvantages of each upgrade path: You must have a 64-bit environment, but you will upgrade customizations. You have limited rollback options, but you will have granularity of content upgrades. You will have downtime during the in-place upgrade, but you will be able to limit downtime by providing read-only copies of content databases.
Additional Reading
For more information about hybrid upgrade options, see http://go.microsoft.com/fwlink/?LinkID=200923&clcid=0x409.
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Methods for Upgrading from Earlier Versions of SharePoint
Key Points
The supported scenarios are all based on Office SharePoint Server 2007 SP2 upgrades to SharePoint 2010. However, you will not always be in this situation. You will find that user departments may have a range of versions available to them, including: Windows SharePoint Services 2.0 Microsoft Office SharePoint Portal Server 2003 Windows SharePoint Services 3.0 Office SharePoint Server 2007
You may also find situations where you are asked to plan for upgrades from platforms other than SharePoint technologies. This is a migration rather than an upgrade, but it is often the case that these requests arise when you are planning to upgrade a platform.
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You should include a full backup of the farm as part of your upgrade plan, irrespective of which version of Office SharePoint you want to upgrade. You then require a plan that details the upgrade steps that are necessary to successfully upgrade your deployment. The next step for any plan is an in-place or database attach upgrade, so much of your plan involves getting the farm to a point at which you can perform one of these. As with any upgrade, it is essential that you perform a complete technical and user acceptance test review of the deployment. Whenever you complete a database update, you should create new content database backups.
Windows SharePoint Services 2.0

For Windows SharePoint Services 2.0 updates, you must first upgrade the platform to Windows SharePoint Services 3.0. This is because there was a major redesign of the database schema between these versions. The three options available are: In-place upgrade Gradual upgrade Data migration
In-Place Upgrade
The in-place upgrade is functionally the same and retains the same issues regarding rollback. When Office SharePoint Server 2007 was launched, this approach was recommended only for development, test, or staging environments. If you opt for an in-place upgrade, you must have a plan for a full restore in case of a catastrophic upgrade failure. You must also test for capacity and time resource requirements.
Gradual Upgrade
A gradual upgrade is a granular side-by-side upgrade process that enables you to upgrade a Windows SharePoint Services 2.0 deployment by one site collection at a time. This is the most common form of upgrade, because you maintain control over the entire upgrade process. A gradual upgrade also enables you to support users through the changes. This may be a particular advantage if you have a large number of customized, or unghosted, pages because users have modified pages that are now held in the content database. Uncustomized, or ghosted, pages are Web Part pages that are based on site definitions and are readily upgraded. This option was not included in the upgrade options from Office SharePoint Server 2007 to SharePoint 2010.
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Data Migration
Data migration is the third upgrade strategy that is available when you move from old to new Office SharePoint environments. This is very similar in process and goals to the database attach option. The process of data migration involves the creation of a new SharePoint 2010 farm environment and the movement (or migration) and addition of the existing site databases to the new installation. When you add databases to the new installation, the upgrade process automatically upgrades them. Data migration is considered to be the same as an in-place upgrade; however, the changes are made on a copy of the content rather than the content.
Office SharePoint Portal Server 2003

For Office SharePoint Portal Server 2003 updates, you must first upgrade the farm to Office SharePoint Server 2007 SP2. The options are the same as for Windows SharePoint Services 2.0 upgrades. For Office SharePoint Portal Server 2003, you must create upgrade definition files for translating the page templates into new page layouts. This is because page layouts replace page templates in the new site architecture, and you must specify which page layout to use for each page type. During the pre-upgrade process, you deploy the new custom site definition and any upgrade definition files to the installation directory so that they are available when you upgrade the site collections.
Windows SharePoint Services 3.0

When you plan to upgrade Windows SharePoint Services 3.0 to Microsoft SharePoint Foundation 2010 or SharePoint 2010, you should first install the latest service pack and cumulative updates on the farm servers. The service pack provides the Pre-Upgrade Checker tool, which you can use to scan your farm to identify possible issues. You should resolve any issues that the Pre-Upgrade Checker report identifies before you proceed to an in-place or database attach upgrade to the required version of SharePoint 2010. With the farm servers at the appropriate software levels, you can choose to complete an in-place or database attach upgrade. Again, the most common choice is to perform a database attach upgrade, unless you have a small and discrete farm. You should make a new backup of content databases before you start any upgrade, because the schema will have changed during the upgrade process. To continue, you must build a SharePoint 2010 farm with the appropriate Web applications and configuration to match your site requirements. You can then attach the content database and complete the upgrade. Deploy any customizations, such as custom master pages, to the site when you have completed the upgrade process.
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Office SharePoint Server 2007

If you are upgrading an Office SharePoint Server 2007 or Office SharePoint Server 2007 SP1 farm, you should first upgrade to the latest service pack and then run the Pre-Upgrade Checker tool. This process is then the same as the upgrade path for Windows SharePoint Services 3.0.
Additional Reading
For more information about how to plan and prepare for upgrade to Office SharePoint Server 2007 and the tools that are available to support you, see http://go.microsoft.com/fwlink/?LinkID=200924&clcid=0x409.
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Upgrade Considerations
Key Points
There are a number of solution-specific options that you should review when you plan an upgrade.
Business Data Catalog Upgrades

If you have Office SharePoint Server 2007 applications that run the Business Data Catalog (BDC), you must make specific plans for upgrade or migration. The service application models are different for BDC and Microsoft Business Connectivity Services (BCS), so there will be a number of changes. You can perform an in-place upgrade, or you can choose the database attach option, which involves greater configuration effort.
Note: The acronym BDC is used in this section to describe the Office SharePoint Server 2007 Business Data Catalog Service. The acronym BCS is used to describe SharePoint 2010 Business Connectivity Services and all associated services, including the Business Data Connectivity Service.
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When you perform an in-place upgrade of a farm that uses BDC, you automatically create a BCS instance. This will have associated service databases for BCS and the Application Registry Service, which directly replaces the BDC from Office SharePoint Server 2007 and supports the backward compatibility of solutions that are based on BDC. The Application Registry Service supports Office SharePoint Server 2007 applications that include: Custom Web Parts Custom code Searching
A copy of each application definition in BDC is added to the Application Registry Service, and an upgraded version is added in BCS. If you perform a database attach upgrade, you must plan to upgrade BDC individually, by first exporting the application definitions from the Office SharePoint Server 2007 BDC. After you complete the upgrade, you must update the solution to use BCS and import the updated BDC models into the Business Data Connectivity Service.
Search
It is important to understand that the Search Service is not upgraded when you use the database attach upgrade option. If your organization uses Office SharePoint Search, you must identify any customizations and prepare to redeploy them. These customizations may include: Custom protocol handlers. Custom iFilters. Modifications to managed properties. Custom word-breakers. Custom thesauruses. Customized noise-word files. Custom security trimmers.
You should also recrawl content databases when you upgrade. Depending on your content volumes and the dependence of your business on search, you must plan for appropriate time to completely reindex your environment.
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Excel Services
For the database attach upgrade approach, you must reconfigure Excel Services in your new farm.
InfoPath Forms
If you plan to use a database attach option, you must plan to reinstall any Microsoft InfoPath forms that are currently used in your environment. Irrespective of the upgrade approach, you should review and test all forms. You should check specifically for forms that use fully qualified URLs and any forms that are packaged with custom assemblies. The command stsadm -o exportipfsadminobjects exports administrator-approved form templates and data connection files that are stored in the Office SharePoint Server 2007 or Microsoft Office Forms Server 2007 configuration database.
Language Packs
SharePoint 2010 ships in a number of localized SKUs. During the installation process, installers will be prompted to choose which language they want to use. The decision that they make here will influence the language that Central Administration uses. In addition, various language templates will be made available to enable an environment to support languages other than the language in which the initial installation was performed. You must be fully aware of the language requirements for your environment, particularly in a global deployment.
Feature Upgrades
Office SharePoint Server 2007 included a move toward the use of features in the product. SharePoint 2010 includes a feature upgrade capability. There is a version section in the XML of each Feature.xml file, where you can declare the version number of the feature. You can use this to specify whether the upgrade should use a newer version of a feature. If no version is declared in the file, the features are maintained and used in their current form.
Additional Reading
For more information about how to export application definitions, see http://go.microsoft.com/fwlink/?LinkId=189010. For more information about how to manage BDC models in SharePoint 2010, see http://go.microsoft.com/fwlink/?LinkID=200925&clcid=0x409.
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For more information about Excel Services administration, see
http://go.microsoft.com/fwlink/?LinkID=201263&clcid=0x409.
For more information about upgrading forms templates, see
http://go.microsoft.com/fwlink/?LinkID=201264&clcid=0x409.
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Considerations for Migration from Other Platforms
Key Points
There are two key types of migration from non-SharePoint platforms to SharePoint 2010: Application migration Content migration
Application migration involves the movement of application logic into a SharePoint 2010 environment. Content migration is concerned with the movement of data rather than business logic. It is far easier to migrate data than logic, because you can assume that most applications reflect business logic that the application itself is able to reproduce. You should review any request for an application migration to check whether it would be easier to re-create the application based on current requirements than to migrate the requirements that must, by definition, have been established in the past.
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These two options can be extreme. For example, you may have raw documents that you just need to move to a document library, or you may have complex business logic that will take a great deal of effort to migrate. For users, it may seem obvious to migrate because they already have an application that they know. However, you will almost always find that an application migration leads to some loss of function, even if new functionality is available. You should also establish whether an application is an off-the-shelf solution or a heavily customized solution.
File Shares
You should concentrate your planning effort on the delivery of functionality to users. The data is easy to move; file shares contain files and documents, which generally have no interdependencies or links to external sources. An obvious exception may be worksheets in Microsoft Office Excel that may have embedded links to external data sources. You can ask users to identify such additional complexities to ensure that you can plan for data access or file modification.
Data Types
You must understand the type of data that you are going to migrate. You may find that file shares are more appropriate for a particular file type, such as virtual images or very large files that will gain little from content management features such as check-in, check-out, or versioning. SharePoint 2010 can hold these files through the remote binary large object (BLOB) storage functionality. However, you must establish whether this provides a business benefit.
Security and Structure

More complex considerations for file shares are the depth of hierarchy and the current application of access control lists (ACLs). Office SharePoint provides access through URLs. If your file share has very long folder and file names or very deep folder hierarchies, you may not be able to manage these because the URLs may become too long. If a file share has complex ACLs and inheritance, you will find that a direct security mapping is not a trivial task. You can leave this as a self-service option, so users migrate files to SharePoint sites as they require them. Be aware that the creation date of a file will change when you migrate to SharePoint 2010. If file creation or modification dates are important for regulatory compliance, you can create a new SharePoint document library for new content and treat the existing content as an historical archive. Remember to plan for any search issues that are associated with document interrogation.
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Microsoft Exchange Public Folders

For Microsoft Exchange public folders, there are out-of-the-box forms for migration of entities such as contact lists directly into SharePoint 2010. As with shared folders, it is unusual for you to find links between documents. ACL management is more complex, because Microsoft Exchange has a different ACL model. It gives rights based on e-mail addresses rather than Active Directory directory service service tokens. You may have to manually map between these two, which can be a considerable effort.
Public Folder Analysis

One of the main difficulties can be the analysis of your public folders; these may not be well documented, especially if the environment has been in service for a long time. You may find that the effort involved in public folder analysis is difficult to justify in terms of time and resources. On a more technical level, you must plan for the types of documents that you commonly find in a public folder. For example, it is common to embed images, such as print screens, in e-mails. However, this is not easy to represent in HTML because a print screen is a Component Object Model (COM) component object. Compound documentsfiles that contain filesmay also require a lot of planning. You can save these as .msg files, but users must have the Microsoft Office Outlook client to view these.
Web Content Management Content

If you have a request to migrate from an existing Web content management system, you must plan the move based on the complexity of this environment. For example, it is easy to move Web pages and image libraries directly into SharePoint 2010, but you must ensure that there are no environment-specific or applicationspecific components that the users assume will migrate, such as page layouts. You can re-create these, but it will take effort, so your plan should include analysis of such requirements. Solution components such as navigation, Web Parts, and applets can cause difficulties. You should plan for a developer or development team to review these to estimate any time that you may need to budget for re-creation of components.
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Third-Party Platforms
Far more complexand probably out of the scope of an upgrade planis migration from another application platform to SharePoint 2010. For example, if you have a request to migrate from Lotus Domino, you should treat this as a separate project. Migration of content, such as forms-based data, is relatively simple. However, you may find that you have well-established or business-critical systems that may be included in a data migration project. You should not permit this to become part of the general upgrade plan. Instead, you should establish a new project with new budget, schedules, and success criteria, because a complex application migration may extend your overall migration effort and impact overall productivity. If you must migrate from an external platform, you should check for available tools to assist you in complex projects.
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Lesson 2
Planning Your Upgrade
Planning is critical to a successful upgrade project. You must be methodical in your approach, because you will have to prepare all of the solution design areas, from requirements analysis to support. Prepare by assembling the right team, which should deliver business, technical, and project management skills. The team must then establish the working practices and resources that are necessary for the upgrade to complete successfully.
Objectives
After completing this lesson, you will be able to: Describe the upgrade cycle. List the tasks that are necessary to plan an upgrade. Describe the importance of business communications in the upgrade process. Describe the goals of a farm survey.
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Describe how to use tools to gather information about the current environment. Describe the steps for cleaning up the current environment. Describe how to develop an upgrade schedule. Describe how to use the upgrade planning worksheet.
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The Upgrade Cycle
Key Points
There are five key stages to a successful upgrade. The following sections describe these stages.
Learn
Ensure that you fully understandand your plan reflectsupgrade requirements such as 64-bit hardware and software. Use the available tools to preempt issues such as missing dependencies or lack of storage capacity. You should know and evaluate the update options for your farm or farms. This should include development of a plan for the completion of all of the tasks that are necessary for all of the versions of Office SharePoint that you must upgrade. You must also ensure that your plan reflects business requirements such as system downtime.
Prepare
Your upgrade plan should reflect what you have learned. It must have an exhaustive breakdown of events in chronological order, so that the administrators who implement your plan have all of the correct components in place. This plan should include all prerequisites. It should also include information about how to
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identify and manage any existing customizations and how to manage individual solutions and items. Always establish a fallback position. An upgrade failure may be beyond your control, such as a hardware or power problem, so you must have a plan for ensuring that your business users can still work in the morning.
Test
If you are upgrading a business-critical system, you must always pretest your plan; this should be no different for SharePoint 2010 upgrades. If possible, you should build a test environment and test each component of your upgrade. This does, of course, take time. However, attempting to rebuild a business system after a failed upgrade will take longer, and it will cause greater problems for your organization. Use copies of production data and hardware if possible, but you can sample data and virtual machines to do worthwhile upgrade testing.
Implement
When you have completed your tests and are satisfied with your mitigation plan, you should schedule the upgrade. You should have established how much time the upgrade will take through your test runs, but monitor the progress of your upgrade by viewing the status indicators. This will help you to assess any time differences between your tests and the upgrade exercises.
Validate
Always validate an upgrade by reviewing logs and testing applications. After a long upgrade, it can be easy to ignore apparently minor errors, but you must check everything thoroughly. As part of your upgrade, you should have experienced users who can test the validity of data to reveal any potential issues. You should also test for user experience (UX) in addition to UI changes. Note that the UX concerns the overall familiarity of your applications, and not just the visual changes in the UI. Your user acceptance testing must ensure that users are happy with any changes to working practices enforced by the upgrade. This will be of particular relevance to users who upgrade from Office SharePoint Portal Server 2003 or migrate from third-party platforms.
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Upgrade Planning Tasks
Key Points
Planning an upgrade is more complex than planning a new deploymentit has all of the challenges of a fresh deployment and the additional problems of migrating existing business environments to the new platform. This means that in addition to planning to perform all of the installation tasks, you must also plan a complete review of your existing environments. The list of tasks that you should perform when planning an upgrade includes: Gather business requirements. Plan business communications. Undertake farm surveys. Execute upgrade tools to gather information about the current environment. Test the upgrade. Perform environment cleanup. Build hardware.
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Perform pre-upgrade backups. Establish a project schedule. Test rollback and restore options. Perform post-upgrade activities. Establish launch and ongoing support management.
Some of these areas, such as testing and business requirements gathering, are covered elsewhere in this or other modules in this course and are not duplicated here. Others may be specific to your organization and will not be covered in any detail, such as backups.
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Planning Business Communications
Key Points
Upgrades may affect users through changes to applications, unavailability of service, or changes to working practices. You must prepare the users for these events. If you do not, you may find that their response to the newand hopefully improvedservices may be negative. This is not solely your responsibility and should be undertaken by the entire project leadership team, particularly the project sponsor and business stakeholders. These team members are probably closer to the business than you and should be able to identify key departments and workers who must be engaged in the project or supported through the changes.
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The key elements of your communications planning should include the following: Announce the upgrade. Do not surprise users with a new deployment, even if everything happens during business downtime, such as over a weekend. You must prepare users and preferably engage them in the preparation for the upgrade. Identify user training requirements. You must ensure that project team stakeholders identify all of the groups and the changes that may occur to their working environments. You must plan and predeliver any training that is necessary on a test system. This will minimize support desk calls on launch day. It may also identify potential issues that you can then use as input to your overall upgrade plan. Identify administration training. You and the upgrade team are almost certainly familiar with SharePoint 2010, but the administrators and system operators are still working to maintain the Office SharePoint Server 2007 environment. Make sure that these people, who will include frontline support staff, are fully conversant with both the applications and the administrative functions that they are likely to use. Plan launch support. You should plan to have mentors available on launch day to help with any transition issues. These mentors should be staff from either the IT department or the business, and they should work with users rather than just offering telephone support. This will reduce support calls significantly and will engender a team ethic in the company. How you plan your upgrade can have a significant effect in this area. An inplace upgrade in any but a small departmental environment will involve more support staff in this role, so you should work to involve key users and their managers in this activity.
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Planning a Farm Survey
Key Points
When you have your business requirements, the next step is to plan a thorough survey of your farm. If you understand your farm environment, you will find it easier to ensure that your upgrade is trouble-free. This can be a sizeable effort, so do not underestimate the time that is necessary to complete a farm survey. You should already have documentation that supports your farm, and this is a good place to start. It you are not confident in your system documentation, you must plan a thorough review.
Steps that you may need to take include: Planning to run the Pre-Upgrade Checker tool to quickly identify problems that SharePoint 2010 flags. Planning to perform a manual inspection of the farm to identify potential issues, such as customizations.
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Establishing whether you must identify changes by rebuilding an uncustomized version of your production farm and comparing it with the live environmentperhaps by running WinDiff. Clearly this is a major task, but if your documentation is incomplete, you must factor this into your plan. Identifying numbers of sites and customizations.
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Gathering Information about the Current Environment
Key Points
There are several tools that you can use to gather information about the current environment so that you can plan the upgrade better. These have been enhanced because Office SharePoint Server 2007 has the potential to include a large array of customizations. These tools are primarily designed to help you discover the composition of your Office SharePoint Server 2007 deployment. Many of these tools ship with Office SharePoint Server 2007 SP2.
Pre-Upgrade Checker Tool

You run this utility with the stsadm command. You can run the command against the entire farm or against individual servers in the farm. The utility reads SharePoint database information but makes no changes to your environment. You can therefore run and rerun the utility as many times as you want to review changes that you make. The command generates an XML log, a text log, and an HTML report. It provides two different types of information:
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Information report: Farm servers Databases Alternative address mapping configuration Site definitions Features Web Parts Event receivers Installed language packs
Issue report Missing site definitions Missing features Missing assemblies Data orphans Modified content databases
The Pre-Upgrade Checker provides reference links to Knowledge Base articles that will support you in using the tool. You do not have to run the Pre-Upgrade Checker tool before you upgrade, as was the case with PreScan for Office SharePoint Server 2007. However, you are strongly advised to do so.
Gathering Information about Sites

There are several tools for gathering information about sites. Although it may seem surprising to some, most farm administrators are not aware of all of the sites that exist in their Office SharePoint Server 2007 farms. The stsadm o EnumAllWebs command provides a list of all of the sites that exist in a farm. SPDiag V2 ships with the SharePoint Administration Toolkit. This can help you to identify customizations and custom settings in the current environment. SPDiag V2 is designed to collect and review data from SharePoint Web servers, application servers, and computers running Microsoft SQL Server, which it stores in a SQL Server database for analysis. SPDiag V2 can collect performance data from: Internet Information Services (IIS) logs. Unified Logging Service logs.
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Performance counters. Windows Management Instrumentation (WMI).
You can display data in the Trends pane of the SPDiag interface and use filters to reveal trends, bottlenecks, and other performance issues. You can also view the individual components and the logical structure of the farm in the Snapshot pane.
Gathering Information about Customizations

If your organization has deployed customized InfoPath form solutions, you should plan to run the stsadm -o ExportIPFSAdminObjects command. In these cases, a globally unique identifier (GUID) is inserted into the configuration database for which you may not have installation source code. The command gathers the deployment information, which you can then export for application if you perform a database attach upgrade.
Gathering Information about Content Databases

For content databases, you should plan to use the new Test-SPContentDatabase command. This tool tests the combination of a content database and the Web application. Again, this does not modify a database. You can run this on Office SharePoint Server 2007 and SharePoint 2010 prerelease versions. The report that this tool generates provides information about: Current or potential issues. Data orphans. Missing site definitions. Missing features. Missing assemblies.
The report also shows table sizing metrics. There are also several Windows PowerShell commands that your administrators can use during the upgrade process. Although these are not necessarily important to your planning, you should ensure that the upgrade team is aware of the function and use of the following commands: Upgrade-SPContentDatabase Upgrade-SPEnterpriseSearchServiceApplication Upgrade-SPSingleSignOnDatabase
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Cleaning Up the Current Environment
Key Points
You should always plan a system cleanup prior to an upgrade. Often, people regard the upgrade itself as the system cleanup; it is a chance to start again and leave behind issues from the previous version. If you fail to clean up your environment prior to upgrade, you may find that the problems from the past quickly become the problems of the present. You can minimize time and issues by removing components and content that you do not use. Always perform a full backup before you delete content or customizations that you believe are no longer used. As part of your upgrade, you should perform the following actions: Delete unused sites and Web applications. This reduces the time for the upgrade and may remove potential customization problems. Remove unnecessary document versions. This reduces the volume of data and will reduce upgrade time.
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Clean up templates, features, and Web Parts. This removes customizations that your organization no longer uses and will minimize the number of customization issues. This is particularly important if you plan to perform an in-place upgrade. Repair data issues. You should identify problems such as undeletable sites or lists. There are additional tools in Office SharePoint Server 2007 SP2 and cumulative updates that administrators can use for problems such as these. The tools include the following commands: stsadm -o DatabaseRepair [-deletecorruption] stsadm -o ForceDeleteList stsadm -o VariationsFixupTool
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Planning the Upgrade Schedule
Key Points
Your upgrade is a long-term project. Most people only regard the upgrade as starting when you begin the first data backup; this is realistically the conclusion of your upgrade planning. You should spend far more time in planning and discussion than you spend in performing an upgrade. You must treat your upgrade as you do any large project. Assemble your team, which should include someone with project management experience. You should have an initial schedule, which defines the top-level activities and the key dates on which you must complete them to deliver the upgrade at the agreed time. You can keep this schedule information in an Excel 2010 workbook, but most upgrade projects are better organized in a Gantt chart. This is because all upgrades involve a team of business and technical staff and a number of interrelated steps. It is important to be able to track dependencies in this sort of project.
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Establishing Upgrade Milestones

Each milestone is associated with a series of dependent or independent activities, each of which you must complete before you can achieve the milestone. For anything less than the most trivial upgradea test environmentyou should create a project plan that associates all milestones with activities and all activities with a named person who is responsible for them. You must also specify a completion date for each activity. If you follow this practice, you will find it possible to manage and preempt issues.
Planning for Risk Management

You should always plan for problems. This means that you provide additional time to ensure that you can deliver against your plan, even if problems occur; experience shows that you can never have too much time allocated to an upgrade project. It is notoriously difficult to give an exact timescale for an upgrade project. However, if you find that you are running ahead of schedule, you have an opportunity to reschedule the upgrade for an earlier date. The list of activities is too extensive to post here, and they are often specific to a company. The best way to test your plan is to perform a dry run in a meeting of the project team with an independent project manager acting as assessor or mentor. This independent view can ensure that you do not miss anything critical, such as ordering 64-bit equipment in time for the upgrade date.
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Documenting the Upgrade Plan
Key Points
You must document your upgrade plan in detail. A good way to document the upgrade plan is by using a worksheet. A worksheet can help you marshal the key upgrade information for an existing farm and establish the high-level steps that are necessary to complete your upgrade projects. The columns in the worksheet should include: Farm. The name, or identifier, of the farm that you plan to upgrade. Site name. The name of the site to which you will upgrade. Parent site. The name of the parent site or Web application. Site URL. The URL for the site, based on the parent site prefix. Purpose. A description of the purpose of the site. Template. The template that was used to create the site. This is useful for identifying templates that may have been deprecated by Microsoft. Version. The current version of Microsoft Office.
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Content database name. The name of the current content database. Customizations. A list of the customizations on the site, such as Web Parts, master pages, and site templates. This does not specify the particular Web Part or master page, which you should detail in a separate document. Operating system version. The Windows operating system server version and service pack level. SQL Server version. The SQL Server version and service pack level. Upgrade approach. The preferred upgrade optiondatabase attach, in-place, or hybrid. Upgrade steps. The high-level steps for completing the upgrade. Note that this document assumes that elements such as requirements gathering have already been completed. There should be a more detailed plan that breaks each of these steps into procedures. Target Web application. The URL for the target Web application.
The goal of the upgrade planning worksheet is to gather all of the core data in a single place. For highly complex or large upgrades, you should create additional documentation that details planning steps for specific issues.
Additional Reading
For more information about planning worksheets, see http://go.microsoft.com/fwlink/?LinkID=200926&clcid=0x409 and http://go.microsoft.com/fwlink/?LinkID=201265&clcid=0x409.
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Lesson 3
Upgrade Considerations
An upgrade plan provides the high-level steps for a project and possibly some detailed elements. There are several technical and business elements that also have an effect on the plan, such as minimizing production downtime. You should always create your upgrade plan and then review your plan with reference to these considerations. Your plan must also reflect consideration for how the upgrade will affect users. SharePoint 2010 ships with several IT and user options that will affect how you perform and then manage the entire upgrade experience for IT staff and information workers. You must always remember that the reason for upgrading is to enhance the productivity of the business, not just to have the latest version.
Objectives
After completing this lesson, you will be able to: List the hardware requirements for the upgrade. List the software requirements for the upgrade.
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Describe the options that you can use to minimize farm downtime during the upgrade process. Describe the options that you can use to preserve the appearance of the applications that you upgrade. Explain how administrators can use the logging and reporting services that are available in SharePoint 2010 to maximize upgrade efficiency. Describe how to plan for and manage problems in a SharePoint 2010 upgrade.
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Hardware Requirements
Key Points
The requirements in the following sections apply both to installations on a single server with a built-in database and to servers running SharePoint Server 2010 in a multiple-server farm installation.
Application Servers
The following table describes the minimum hardware requirements for application servers.
Hardware Processor RAM
Minimum requirements 64 bit, four cores. 4 gigabytes (GB) for developer or evaluation use. 8 GB for production use in a single-server or multiple-server farm.
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Hardware Hard disk
Minimum requirements 80 GB for system drive. Provide sufficient disk space for content databases and projected growth and peak period usage. Maintain sufficient free space for memory swapping, which is normally twice the amount of memory in a production environment.
Database Servers
The following table describes the minimum hardware requirements for database servers.
Hardware Processor Minimum requirements 64 bit, four cores for small deployments. 64 bit, eight cores for medium deployments. RAM 8 GB for small deployments. 16 GB for medium deployments. Use SQL Server capacity recommendations for large deployments. Hard disk 80 GB for system drive. Provide sufficient disk for content databases and projected growth for peaks and growth. Maintain sufficient free space for memory swapping, which is normally twice the amount of memory in a production environment.
Additional Reading
For more information about the hardware requirements for SharePoint 2010, see http://go.microsoft.com/fwlink/?LinkID=201266&clcid=0x409. For more information about storage and SQL Server capacity planning and configuration, see http://go.microsoft.com/fwlink/?LinkID=201270&clcid=0x409.
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Software Requirements
Key Points
The following table lists the software requirements for SharePoint 2010 by server type.
Environment Database server in a farm Minimum requirements One of the following:
The 64-bit edition of Microsoft SQL Server 2008 with SP1

and cumulative update (CU) 2 or 5
Microsoft SQL Server 2008 R2 SQL Server 2005 with SP3

Single server with a built-in database One of the following:
The 64-bit edition of Windows Server 2008 Standard,

Enterprise, Datacenter, or Web Server with SP2
The 64-bit edition of Windows Server 2008 R2 Standard,

Enterprise, Datacenter, or Web Server Web server (IIS) role
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Environment
Minimum requirements Microsoft software:

Web Front End (WFE) servers and application servers in a farm
Application server role Microsoft .NET Framework version 3.5 SP1 SQL Server 2008 Express with SP1 Microsoft Sync Framework Runtime v1.0 (x64) Microsoft Filter Pack 2.0 Microsoft Chart Controls for the Microsoft .NET Framework 3.5 Windows PowerShell 2.0 SQL Server 2008 Native Client Microsoft SQL Server 2008 Analysis Services ADOMD.NET ADO.NET Data Services Update for .NET Framework 3.5 SP1 Windows Identity Foundation (WIF)
One of the following:
The 64-bit edition of Windows Server 2008 Standard,

Enterprise, Datacenter, or Web Server with SP2
The 64-bit edition of Windows Server 2008 R2 Standard,

Enterprise, Datacenter, or Web Server Web server (IIS) role Microsoft software:

Client computer
Application server role Microsoft .NET Framework 3.5 SP1 Microsoft Sync Framework Runtime v1.0 (x64) Microsoft Filter Pack 2.0 Microsoft Chart Controls for the Microsoft .NET Framework 3.5 Windows PowerShell 2.0 SQL Server 2008 Native Client Microsoft SQL Server 2008 Analysis Services ADOMD.NET ADO.NET Data Services Update for .NET Framework 3.5 SP1 WIF
A supported browser, preferably tier one
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Additional Reading
For more information about the software requirements for SharePoint 2010, see http://go.microsoft.com/fwlink/?LinkID=200868&clcid=0x409.
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Minimizing Downtime
Key Points
All upgrades take time and resources, but you must minimize your farm downtime so that your organization can remain productive.
Read-Only Content Databases

For many databases, and particularly Web publishing environments, most transactions are reads rather than writes. You can maintain content availability by providing a read-only version of the data that users can access while you update the original database. You can deliver this productivity by locking the copy version through SQL Server. SharePoint 2010 is coded to automatically trim all update functionality from the UI when it presents information from a read-only database.
Note: The use of read-only databases requires different server machines, because you cannot install both Office SharePoint Server 2007 and SharePoint 2010 server code on the same system. You may also consider different systems for databases, because the production processes and the upgrade process may cause performance issues. You can
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test to see whether this may be a problem; however, it is difficult to develop a test scenario that behaves exactly like a production environment. Note: This solution is available for content databases only; service databases will not work as expected if set to read-only.
Parallel Database Upgrades

You can plan to perform parallel database attach upgrades through a manual process. SharePoint 2010 supports multiple sessions, which means that you can upgrade more than one database at a time. You must test your hardware to establish how many upgrade sessions you can run concurrently.
Content Database Attach with Alternate Access Mapping Redirection

If your organization must upgrade in phases, you can plan to use the redirect functionality that is now available to alternate access mapping in SharePoint 2010. This is a complex option and has a large number of manual steps to achieve a working solution. You may also need to use additional tools to complete the process, such as URL fix-up tools for InfoPath forms and form templates. This process does not replace an automated gradual upgrade system with a manual one.
Additional Reading
For more information about how to use alternate access mapping URL redirection as part of the upgrade process in SharePoint Server 2010, see http://go.microsoft.com/fwlink/?LinkID=200927&clcid=0x409.
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Using Visual Upgrade
Key Points
If business users have a reason for maintaining the look and feel of their SharePoint environment, such as the need for additional training, you can choose to maintain the appearance of Office SharePoint Server 2007 in an upgraded SharePoint 2010 site. SharePoint 2010 ships with Office SharePoint Server 2007 master pages and cascading style sheets (CSS) so that you can preserve application appearance. This is the default when you upgrade. There are properties on each site collection and site that you can use to specify a UI version for the site. Setting 3 specifies the Office SharePoint Server 2007 UI, and setting 4 indicates the SharePoint 2010 UI. As part of your test plan, and later for education, you can preview the new UI at a site collection or site level. You can delegate the UI migration to site collection administrators.
Note: If you make changes to pages or add new pages while in preview mode, these pages may not work as expected if you revert to Office SharePoint Server 2007.
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You should note in your plan that some pages only work in the new UI version: The My Site host page, although individual site page do revert. A Project Web Access site collection. Report Server Web Parts.
The new UI uses strict mode XHTML. This may cause issues in rendering, so you should test all screens and Web Parts as part of your visual check of upgraded pages in the SharePoint 2010 UI mode.
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Logging and Status Reporting During Upgrades
Key Points
The use of logs and status reports may seem to be a post-planning activity. This may be true, but you should plan for how your site administrators should use logs and status reports during the upgrade process. You should also review logs and reports on your test upgrades to mitigate problems later.
Logging During Upgrades

SharePoint 2010 provides a single upgrade log for each upgrade session, so there will be a log for each session in a parallel database attach upgrade. This makes it easier to review issues, because you can focus on specific upgrade tasks. This was not the case with previous versions of Office SharePoint, where the single log just grew larger with each upgrade. You should also plan for administrators to review all entries in the upgrade error log, which only writes errors to disk. You can now interrogate and report on all of the logs by using parsing tools, because the report log schema is now structured.
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Status Reporting During Upgrades

It is also useful for you to ensure that administrators track the status page, which is now available throughout the upgrade process. The status report tracks the upgrade history. Again, this enters multiple references for parallel upgrade sessions If your administrators prefer to use the command-line upgrade options, these now have a status indicator, so there should not be any doubt about whether the upgrade is proceeding.
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Mitigating Risks and Managing Failure
Key Points
For a smooth and successful upgrade, you must have a mitigation plan for all possible upgrade risks.
Preventing Issues
If you prepare properly, you will have a much smoother transition, so remember to: Perform farm analysis so that you understand the current SharePoint structure, the business functionality, and the hardware platform. This will enable you to develop both a cleanup schedule and a checklist for functional testing. Prepare the farm so that you can minimize issues such as service application upgrade changes, solution deployments, problems, and platform support issues. Identify and assess customizations so that you can redevelop or replace customizations that do not work with SharePoint 2010.
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Test the upgrade in a test environment so that you can address functional and user issues before you perform the production environment upgrade. Perform a database content check to ensure that data validity is not compromised. Always check data with users.
Managing Failures
If you do encounter issues during your upgrade process, you must not panic. There is a process for failure management, and you must build this into your upgrade plan. The process is as follows: Determine the cause of failure. In the event of a failure, you should initially consult the status page, the upgrade error log, and then the upgrade log. These are designed to trap and report errors that you can then troubleshoot. Some of these errors already have links to Knowledge Base and other documents that refer to the errors that you may encounter. Fix the issue. This may seem obvious, but you must ensure that the people who implement your plan have the knowledge and the authority to fix problems. If you do not do so, you may find that the upgrade ended on Saturday morning for an error that could have been fixed in a very short period of time. Resume the upgrade. You can restart SharePoint 2010 upgrades at the point of failure. This means that you do not require a plan for backing out of a partial upgrade because of a minor problem that you can fix, such as a minor customization. In some cases, you might have to restart the upgrade to finish upgrading your sites from Office SharePoint Server 2007 to SharePoint 2010. For example: During an in-place upgrade, if the server restarts or the upgrade fails, you must restart the upgrade process by using Psconfig.exe to upgrade the remaining sites. During a database attach upgrade, any sites that cannot be upgraded will be skipped. After you have corrected any issues in the sites (such as a missing template or language pack, or the site being set to read-only or having exceeded its quota), you can restart upgrade by using a Windows PowerShell cmdlet to upgrade just the skipped sites.
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Lab: Planning for Upgrading to SharePoint 2010
Exercise 1: Creating an Upgrade and Migration Plan

Scenario
Contoso, Ltd is about to acquire a smaller pharmaceutical company, Trey Research. The SharePoint infrastructure at Trey Research includes Windows SharePoint Services 2.0, Windows SharePoint Services 3.0, and Office SharePoint 2007 deployments. Trey Research includes SharePoint deployments over three farms. Your team must create an upgrade plan that will incorporate the intranet and research sites at Trey Research into the central SharePoint 2010 farm. The Finance department at Trey Research would like to keep its farm independent of the central Contoso, Ltd farm. However, Contoso, Ltd IT will support this farm, and it will require upgrading to SharePoint 2010. You should reuse Trey Research hardware where appropriate.
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Trey Research has a file share that it uses for document management. You must ensure that the documents in this file share are transferred into the Contoso, Ltd document site collection (Docs). You have already gathered the requirements information about the three farms and included it in an upgrade planning worksheet. You must now add your recommendations on the Upgrade Approach, Steps, and Target Web Applications to complete the upgrade planning worksheet. The main tasks for this exercise are as follows: 1. 2. Read the supporting information. Complete the Upgrade Planning worksheet.

Task 2: Complete the Upgrade Planning worksheet

In the E:\Labfiles\Lab15\Starter folder, complete the worksheet in the Upgrade Planning Worksheet.xlsx file.
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Review Questions
1. 2. 3. What are the two options for upgrading to SharePoint 2010? If you perform an in-place upgrade of a farm with SSP, what happens to the services? How can the use of read-only databases help you to minimize upgrade downtime?
Best Practices Related to Upgrade Preparation

Supplement or modify the following best practices for your own work situations: Update your servers to SP2 of Office SharePoint Server 2007. Ensure that the environment is fully functioning before you perform an upgrade.
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Run the Pre-Upgrade Checker tool to look for potential issues. Perform a trial upgrade on a test farm first.
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Course Evaluation
Your evaluation of this course will help Microsoft understand the quality of your learning experience. Please work with your training provider to access the course evaluation form. Microsoft will keep your answers to this survey private and confidential and will use your responses to improve your future learning experience. Your open and honest feedback is valuable and appreciated.
Lab: Designing a Logical Architecture
L1-1
Module 1
Lab Answer Key: Designing a Logical Architecture
Contents:
Exercise 1: Mapping Business Requirements to a Logical Architecture Design Exercise 2: Creating a Logical Architecture Diagram L1-2 L1-3
L1-2
Module 1: Designing a Logical Architecture
Module 1: Designing a Logical Architecture

Exercise 1: Mapping Business Requirements to a Logical Architecture Design
1. 2. 3. 4. Log on to 10231A-NYC-DC1-01 as CONTOSO\Ed with the password Pa$$w0rd. Read the lab scenario. Click Start, and then click Computer. In Windows Explorer, move to the E:\Labfiles\Lab01\Starter folder, double-click Contoso Business Requirements.docx, and then read the requirements document. In Windows Explorer, in the E:\Labfiles\Lab01\Starter folder, double-click Logical Architecture Requirements.docx, and then read the requirements document.
5.
Task 2: Complete the Logical Architecture Planning worksheet

1. 2. In Windows Explorer, double-click Logical Architecture Planning Worksheet.xlsx, and then complete the worksheet. Compare your solution to the sample solution located at E:\Labfiles\Lab01\Solution\Logical Architecture Planning Worksheet Solution.xlsx. Close all windows.
3.
L1-3
Exercise 2: Creating a Logical Architecture Diagram

Task 1: Complete a logical architecture diagram
1. 2. In Windows Explorer, move to the E:\Labfiles\Lab01\Starter folder, and then double-click Logical Architecture Diagram.vsd. Complete the Microsoft Visio diagram so that it looks similar to the sample solution located at E:\Labfiles\Lab01\Solution\Logical Architecture Diagram Solution.vsd.
Lab 2: Planning a Service Application Architecture
L2-1
Module 2
Lab Answer Key: Planning a Service Application Architecture
Contents:
Exercise 1: Designing a Logical Architecture Exercise 2: Creating Service Applications and Assigning Proxy Groups L2-2 L2-3
L2-2
Module 2: Planning a Service Application Architecture
Module 2: Planning a Service Application Architecture

Exercise 1: Designing a Logical Architecture
1. 2. 3. 4. Read the lab scenario. Log on to 10231A-NYC-DC1-02 as CONTOSO\Ed with the password Pa$$w0rd. Click Start, and then click Computer. In Windows Explorer, move to the E:\Labfiles\Lab02\Starter folder, double-click Contoso Business Requirements.docx, and then read the requirements document. In Windows Explorer, double-click Logical Architecture Requirements.docx, and then read the requirements document.
5.
Task 2: Complete the Service Applications Planning worksheet

1. 2. In Windows Explorer, double-click SharePoint 2010 Service Applications Planning Worksheet.xlsx, and then complete the worksheet. Compare your solution to the sample solution located at E:\Labfiles\Lab02\Solution\SharePoint 2010 Service Applications Planning Worksheet - Solution.xlsx. Close all windows.
3.
L2-3
Exercise 2: Creating Service Applications and Assigning Proxy Groups

Task 1: Create Managed Metadata Service applications
1. 2. 3. 4. 5. 6. 7. 8. 9. Click Start, click All Programs, click Microsoft SharePoint 2010 Products, and then click SharePoint 2010 Central Administration. In the User Account Control dialog box, click Yes. Under Application Management, click Manage service applications. Click New, and then click Managed Metadata Service. In the Create New Managed Metadata Service dialog box, in the Name box, type MMS_Default In the Database Name box, type TermStore_Default Under Application Pool, click Use existing application pool, in the list, click SharePoint Web Services Default, and then click OK. Click New, and then click Managed Metadata Service. In the Create New Managed Metadata Service dialog box, in the Name box, type MMS_Research
10. In the Database Name box, type TermStore_Research 11. Under Application Pool, click Use existing application pool, in the list, click SharePoint Web Services Default, and then click OK.
Task 2: Associate a service application with a custom proxy group

1. 2. 3. 4. 5. On the Browse tab, click the Central Administration breadcrumb link, and then click Application Management. Under Service Applications, click Configure service application associations. Under Web Application / Service Application, click SharePoint Research. In the Configure Service Application Associations dialog box, in the Edit the following group of connections list, click [custom]. Select the MMS_Research check box, and then click OK.
Lab: Planning for Performance and Capacity
L3-1
Module 3
Lab Answer Key: Planning for Performance and Capacity
Contents:
Exercise 1: Creating a Performance Plan Exercise 2: Creating a Capacity Plan L3-2 L3-3
L3-2
Module 3: Planning for Performance and Capacity
Module 3: Planning for Performance and Capacity

Exercise 1: Creating a Performance Plan
1. 2. 3. 4. Read the lab scenario. Log on to 10231A-NYC-DC1-03 as CONTOSO\Ed with the password Pa$$w0rd. Click Start, and then click Computer. In Windows Explorer, move to the E:\Labfiles\Lab03\Starter folder, double-click Performance and Capacity Requirements.docx, and then read the document. In Windows Explorer, double-click SharePoint 2010 Capacity Planning Excerpt.docx, and then read the document. In Windows Explorer, double-click SPServer2010CapacitySizingOverview.docx, and then read the Workload section within the Right-Sizing SharePoint Server 2010 Deployments section of the document.
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Task 2: Complete the Performance worksheet in the Performance and Capacity Planning Worksheet.xlsx file
1. 2. In Windows Explorer, double-click Performance and Capacity Planning Worksheet.xlsx, and then complete the Performance worksheet. Compare your solution to the sample solution located at E:\Labfiles\Lab03\Solution\Performance and Capacity Planning Worksheet Solution.xlsx.
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Exercise 2: Creating a Capacity Plan

1. 2. Review the lab scenario. In Windows Explorer, double-click SPServer2010CapacitySizingOverview.docx, and then read the Dataset section within the Right-Sizing SharePoint Server 2010 Deployments section of the document.
Task 2: Complete the Capacity worksheet in the Performance and Capacity Planning Worksheet.xlsx file
1. 2. In the Performance and Capacity Planning worksheet, complete the Capacity worksheet. Compare your solution to the sample solution located at E:\Labfiles\Lab03\Solution\Performance and Capacity Planning Worksheet Solution.xlsx. Close all windows and logoff.
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Lab 4: Designing a Physical Architecture
L4-1
Module 4
Lab Answer Key: Designing a Physical Architecture
Contents:
Exercise 1: Planning the Physical Architecture Exercise 2: Troubleshooting a Name Resolution Problem L4-2 L4-3
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Module 4: Designing a Physical Architecture

Exercise 1: Planning the Physical Architecture
1. 2. 3. 4. Read the lab scenario. Log on to 10231A-NYC-DC1-04 as CONTOSO\Ed with the password Pa$$w0rd. Click Start, and then click Computer. In Windows Explorer, move to the E:\Labfiles\Lab04\Starter folder, double-click Physical Architecture Requirements.docx, and then read the non-functional requirements.
Task 2: Complete the Physical Architecture Planning worksheet

1. 2. 3. In Windows Explorer, double-click Physical Architecture Planning Worksheet.xlsx, and then complete the worksheet. On the Servers sheet, fill in the details for all production, staging, and test servers. Compare your solution to the sample solution located at E:\Labfiles\Lab04\Solution\Physical Architecture Planning Worksheet Solution.xlsx.
Task 3: Complete the Physical Architecture diagram

1. 2. 3. In Windows Explorer, double-click Physical Architecture Diagram.vsd, and then complete the diagram. Compare your solution to the sample solution located at E:\Labfiles\Lab04\Solution\Physical Architecture Diagram - Solution.vsd. Close all windows.
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Exercise 2: Troubleshooting a Name Resolution Problem

Task 1: Attempt to access the Contoso, Ltd intranet by using two different URLs
1. 2. 3. 4. Click Start, point to All Programs, click Internet Explorer, and then go to http://nyc-dc1. You will be able to browse the Contoso, Ltd home page. In Windows Internet Explorer, go to http://intranet.contoso.com. Verify that you receive an error and the Web page cannot be displayed. Minimize Internet Explorer.
Task 2: Resolve the name resolution problem

1. 2. 3. 4. 5. 6. 7. 8. 9. Click Start, point to All Programs, click Microsoft SharePoint 2010 Products, and then click SharePoint 2010 Central Administration. In the User Account Control dialog box, click Yes. Under System Settings, click Configure alternate access mappings. Click Edit Public URLs. In the Alternate Access Mapping Collection, click No selection, and then click Change Alternate Access Mapping Collection. In the Select An Alternate Access Mapping Collection dialog box, click SharePoint - 80. In the Intranet box, type http://intranet.contoso.com and then click Save. Click Start, point to Administrative Tools, and then click DNS. Expand Forward Lookup Zones, expand Contoso.com, right-click Contoso.com, and then click New Host (A or AAAA).
10. In the New Host dialog box, in the Name box, type intranet 11. Verify that the Fully qualified domain name (FQDN) field contains intranet.Contoso.com. 12. In the IP address box, type 10.10.10.1 and then click Add Host. 13. In the DNS dialog box, click OK. 14. In the New Host dialog box, click Done.
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15. In DNS Manager, in the left pane, right-click Contoso.com, and then click Refresh. You should now see that the intranet Host (A) record has a static timestamp. 16. Close DNS Manager. 17. Click Start, point to All Programs, point to Administrative Tools, and then click Internet Information Services (IIS) Manager. 18. Under Connections, expand NYC-DC1 (CONTOSO\ed), and then expand Sites. 19. Right-click SharePoint 80, and then click Edit Bindings. 20. In the Site Bindings dialog box, click Add. 21. In the Add Site Bindings dialog box, in the Host name box, type intranet.contoso.com and then click OK. 22. In the Site Bindings dialog box, click Close, and then close IIS Manager. 23. Click Start, point to All Programs, click Accessories, right-click Command Prompt, and then click Run as administrator. 24. In the User Account Control dialog box, click Yes. 25. At the command prompt, type ping intranet.contoso.com and then press ENTER. The ping command should fail. 26. At the command prompt, type ipconfig /flushdns and then press ENTER. This command should successfully flush the Domain Name System (DNS) cache. 27. At the command prompt, type ping intranet.contoso.com and then press ENTER. This command should now successfully resolve intranet.contoso.com to the IP address 10.10.10.1. 28. Close the Command Prompt window. 29. Restore the minimized Internet Explorer window, where you previously failed to go to http://intranet.contoso.com. 30. Click the Refresh button. The address will now be resolved and the Contoso, Ltd home page will appear. 31. Close all windows, and then log off.
Lab 5: Designing a Security Plan
L5-1
Module 5
Lab Answer Key: Designing a Security Plan
Contents:
Exercise 1: Designing for Least-Privilege Security Exercise 2: Identifying and Resolving Potential Security Issues Exercise 3: Granting Read Access to the Production Auditors Group L5-2 L5-3 L5-5
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Module 5: Designing a Security Plan

Exercise 1: Designing for Least-Privilege Security
1. 2. 3. 4. Read the lab scenario. Log on to 10231A-NYC-DC1-05 as CONTOSO\Ed with the password Pa$$w0rd. Click Start, and then click Computer. In Windows Explorer, move to the E:\Labfiles\Lab05\Starter folder, double-click Contoso Business Requirements.docx, and then review the document. In Windows Explorer, double-click Logical Architecture Diagram Solution.vsd, and then review the diagram. In Windows Explorer, double-click SharePoint 2010 Service Applications Planning Worksheet - Solution.xlsx, and then review the worksheet.
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Task 2: Complete the SharePoint 2010 Security Planning worksheet

1. 2. In Windows Explorer, double-click SharePoint 2010 Security Planning Worksheet.xlsx, and then complete the worksheet. Compare your solution to the sample solution located at E:\Labfiles\Lab05\Solution\SharePoint 2010 Security Planning Worksheet Solution.xlsx. Close all windows.
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Exercise 2: Identifying and Resolving Potential Security Issues

Task 1: Apply least privilege to the farm account and reset IIS
1. 2. 3. 4. 5. 6. 7. 8. 9. Click Start, point to All Programs, click Administrative Tools, and then click Active Directory Users and Computers. Click the Users container, and in the right pane, double-click Domain Admins. In the Domain Admins Properties dialog box, on the Members tab, click SharePoint server farm account, and then click Remove. In the Active Directory Domain Services dialog box, click Yes. In the Domain Admins Properties dialog box, click OK. Click Start, point to All Programs, click Microsoft SharePoint 2010 Products, and then click SharePoint 2010 Central Administration. In the User Account Control dialog box, click Yes. Under Security, click Configure service accounts. Next to Credential Management, click the drop-down list, and then click Farm Account.
10. In the Select an account for this component list, click CONTOSO\sp-farm, and then click OK. 11. Click Start, point to All Programs, click Accessories, right-click Command Prompt, and then click Run as administrator. 12. In the User Account Control dialog box, click Yes. 13. At the command prompt, type iisreset and then press ENTER. 14. Minimize the Command Prompt window.
Task 2: Create and register a new service account as a managed service account and modify which service account is used for an application pool
1. 2. In Active Directory Users and Computers, click the Managed Service Accounts container. Right-click Managed Service Accounts, point to New, and then click User.
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In the New Object - User dialog box, in the Full name box, type SharePoint App Pool Service Account and in the User logon name box, type sp-apppool and then click Next. In the Password and Confirm password boxes, type Pa$$w0rd Clear the User must change password at next logon check box, click Next, and then click Finish. Close Active Directory Users and Computers. In Central Administration, under Security, click General Security, click Configure managed accounts. Click Register Managed Account. In the User name box, type CONTOSO\sp-apppool and in the Password box, type Pa$$w0rd and then click OK.
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10. On the left menu, click Security, and then under General Security, click Configure service accounts. 11. Next to Credential Management, click the drop-down list, and then click Web Application Pool SharePoint 80. 12. In the Select an account for this component list, click CONTOSO\spapppool, and then click OK. 13. In the Message from webpage dialog box, click OK. 14. Restore the Command Prompt window. 15. At the command prompt, type iisreset and then press ENTER.
Task 3: Remove an account from the managed accounts list and reset IIS
1. 2. 3. 4. 5. 6. In SharePoint Central Administration, under Security, click General Security, click Configure managed accounts. Next to CONTOSO\Administrator, under Remove, click X. On the Remove Managed Account page, click OK. Restore the minimized administrator Command Prompt window. At the command prompt, type iisreset and then press ENTER. Close the administrator Command Prompt window.
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Exercise 3: Granting Read Access to the Production Auditors Group

Task 1: Grant a group Full Read access to a Web application
1. 2. 3. 4. 5. 6. 7. 8. In SharePoint Central Administration, click Application Management, and then under Web Applications, click Manage web applications. Under Name, click SharePoint 80, and then on the toolbar ribbon, click User Policy. In the Policy for Web Application dialog box, click Add Users. On the Select the Zone page, click Next. On the Add Users page, in the Users box, type CONTOSO\production auditors and then click Check Names. Under Permissions, select the Full Read Has full read-only access check box, and then click Finish. In the Policy for Web Application dialog box, click OK. Close all windows, and then log off.
Lab 6: Planning Authentication
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Module 6
Lab Answer Key: Planning Authentication
Contents:
Exercise 1: Planning Authentication for Contoso, Ltd Exercise 2: Enabling Claims-Based Authentication L6-2 L6-3
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Module 6: Planning Authentication

Exercise 1: Planning Authentication for Contoso, Ltd
Task 1: Complete the Planning Authentication Methods worksheet
1. 2. 3. 4. Read the lab scenario. Log on to 10231A-NYC-DC1-06 as CONTOSO\Ed with the password Pa$$w0rd. Click Start, and then click Computer. In Windows Explorer, move to the E:\Labfiles\Lab06\Starter folder, double-click Planning Authentication Methods Worksheet.xlsx, and then complete the worksheet. Compare your solution to the sample solution located at E:\Labfiles\Lab06\Solution\Planning Authentication Methods Worksheet Solution.xlsx. Close Microsoft Excel.
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Task 2: Complete the Logical Architecture Diagram with Authentication diagram

1. In Windows Explorer, in the E:\Labfiles\Lab06\Starter folder, double-click Logical Architecture Diagram with Authentication.vsd, and then complete the diagram. Compare your solution to the sample solution located at E:\Labfiles\Lab06\Solution\Logical Architecture Diagram with Authentication - Solution.vsd. Close Microsoft Visio.
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Exercise 2: Enabling Claims-Based Authentication

Task 1: Delete the internet.contoso.com Web application
1. 2. 3. 4. 5. 6. Click Start, point to All Programs, click Microsoft SharePoint 2010 Products, and then click SharePoint 2010 Central Administration. In the User Account Control dialog box, click Yes. Under Application Management, click Manage web applications. Click SharePoint Internet, on the toolbar ribbon, click Delete. In the Delete Web Application dialog box, verify that No is selected for both options, and then click Delete. In the Message from webpage dialog box, click OK.
Task 2: Create a new Web application and configure it to allow anonymous access and to use claims-based authentication
1. 2. 3. 4. 5. In Web Applications Management, on the toolbar ribbon, click New. In the Create New Web Application dialog box, under Authentication, click Claims Based Authentication. In the IIS Web Site section, click Use an existing IIS web site, and then in the drop-down list, click SharePoint Internet. In the Security Configuration section, under Allow Anonymous, click Yes. In the Application Pool section, click Use existing application pool, and then in the drop-down list, click SharePoint www.contoso.com80 (CONTOSO\sp-farm). In the Database Name and Authentication section, in the Database Name box, type Content_www and then click OK. In the Application Created dialog box, click OK.
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Task 3: Set the anonymous policy for the SharePoint Internet Web application and set anonymous access for the site collection
1. In Web Applications Management, click the SharePoint Internet Web application, and then on the toolbar ribbon, click Anonymous Policy.
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In the Anonymous Access Restrictions dialog box, verify that Zones is set to All zones and Anonymous User Policy is set to None No policy, and then click Save. Press CTRL+T to open a new tab, in the Address bar, type http://www.contoso.com and then press ENTER. On the Error: Access Denied page, click Sign in as a different user. In the Windows Security dialog box, in the User name box, type CONTOSO\sp-farm and in the Password box, type Pa$$w0rd and then click OK. On the home page, click Site Actions, and then click Site Permissions. On the toolbar ribbon, click Anonymous Access. In the Anonymous Access dialog box, click Entire Web site, and then click OK.
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Task 4: Test anonymous access to www.contoso.com

1. 2. 3. 4. 5. 6. 7. On the Permissions page, click the Browse tab, and then click the Contoso Internet link. In the upper-right corner, click System Account, and then click Sign Out. In the Windows Internet Explorer dialog box, click Yes, and then close all Windows Internet Explorer browser windows. Click Start, point to All Programs, and then click Internet Explorer. In the Address bar, type http://www.contoso.com and then press ENTER. On the Adventure Works home page, in the upper-right corner, verify that Sign In is displayed. This confirms that anonymous access is enabled. Close all windows, and then log off.
Lab 7: Planning Managed Metadata
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Module 7
Lab Answer Key: Planning Managed Metadata
Contents:
Exercise 1: Designing Content Types and a Term Set Framework Exercise 2: Creating the Managed Metadata Service Application Exercise 3: Importing Term Sets Exercise 4: Publishing a Content Type L7-2 L7-2 L7-4 L7-5
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Module 7: Planning Managed Metadata

Exercise 1: Designing Content Types and a Term Set Framework
1. 2. 3. 4. Read the lab scenario. Log on to 10231A-NYC-DC1-07 as CONTOSO\Ed with the password Pa$$w0rd. Click Start, and then click Computer. In Windows Explorer, move to the E:\Labfiles\Lab07\Starter folder, double-click Managed Metadata Requirements.docx, and then read the additional requirements.
Task 2: Complete the Managed Metadata Planning worksheet

1. 2. 3. In Windows Explorer, double-click MMS Planning Worksheet.xlsx, and then complete the Services and Content Types worksheets. Compare your solution to the sample solution located at E:\Labfiles\Lab07\Solution\MMS Planning Worksheet - Solution.xlsx. Close all windows.
Exercise 2: Creating the Managed Metadata Service Application

Task 1: Create a site collection called CTHub on intranet.contoso.com
1. 2. 3. Click Start, point to All Programs, click Microsoft SharePoint 2010 Products, and then click SharePoint 2010 Central Administration. In the User Account Control dialog box, click Yes. Under Application Management, click Create site collections.
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In the Title and Description section, in the Title box, type CTHub and in the Description box, type Contoso Content Type Hub In the Web Site Address section, ensure that /sites/ is selected in the Choose a site prefix box, and in the URL box, type cthub In the Template Selection section, ensure that Team site is selected. Scroll down to the bottom of the page, and in the Primary Site Collection Administrator section, in the User name box, type ed and click Check Names, and then click OK. On the Top-Level Site Successfully Created page, click OK.
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Task 2: Create a new Managed Metadata Service application to publish the CTHub site collection as the content type hub
1. 2. 3. 4. 5. 6. 7. 8. 9. In Application Management, on the left menu, click Central Administration. Under System Settings, click Manage services on server. In the Service list, next to Managed Metadata Web Service, click Start. On the left menu, click Central Administration. Under Application Management, click Manage service applications. In the toolbar ribbon, click New, and then click Managed Metadata Service. In the Create New Managed Metadata Service dialog box, in the Name box, type Managed Metadata Service Application In the Database Name box, type TermStore_Default Scroll down the page, and in the Application Pool section, click Use existing application pool. In the Use existing application pool list, click SharePoint Web Services Default. 10. Scroll down the page, and in the Content Type hub box, type http://intranet.contoso.com/sites/cthub and then click OK.
Task 3: Verify that the Content Type Syndication Hub feature is active
1. Press CTRL+T to open a new tab, and then go to http://intranet.contoso.com/sites/cthub.
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On the CTHub home page, click Site Actions, and then click Site Settings. Under Site Collection Administration, click Site collection features. On the Site Collection Features page, verify that the Content Type Syndication Hub feature is Active. If required, click Activate. Close the Windows Internet Explorer tab.
Exercise 3: Importing Term Sets

Task 1: Create a new term set group called Contoso
1. 2. In Manage Service Applications, click the Managed Metadata Service Application that you just created, and on the ribbon, click Manage. In the Term Store Management Tool, in the left pane, under TAXONOMY TERM STORE, right-click Managed Metadata Service Application, and then click New Group. Name the new term set group Contoso, and then press ENTER. In the Properties pane, in the Description box, type Contoso Terms and then click Save.
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Task 2: Import the Cost Center and Department term files

1. 2. 3. In the left pane, right-click the Contoso term set group, and then click Import Term Set. In the Term set import dialog box, click Browse. In the Choose File to Upload dialog box, browse to E:\Labfiles\Lab07\Starter, click the Contoso Sample Terms for Import Cost Center.csv file, and then click Open. In the Term set import dialog box, click OK. In the left pane, right-click the Contoso term set group, and then click Import Term Set. In the Term set import dialog box, click Browse. In the Choose File to Upload dialog box, browse to E:\Labfiles\Lab07\Starter, click the Contoso Sample Terms for Import Department.csv file, and then click Open.
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In the Term set import dialog box, click OK. Scroll up the page, and then click the Central Administration link.
Exercise 4: Publishing a Content Type

Task 1: Create a new site collection called Marketing
1. 2. 3. 4. Under Application Management, click Create site collections. In the Title and Description section, in the Title box, type Marketing In the Web Site Address section, in the URL box, type marketing Scroll down to the bottom of the page, and in the Primary Site Collection Administrator section, in the User name box, type ed and click Check Names, and then click OK. On the Top-Level Site Successfully Created page, click OK.
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Task 2: Create a custom content type in the CTHub site collection

1. 2. 3. 4. 5. 6. 7. 8. 9. Press CTRL+T to open a new tab, and then go to http://intranet.contoso.com/sites/cthub. On the CTHub home page, click Site Actions, and then click Site Settings. Under Galleries, click Site content types. In Site Content Types, click Create. In the Name box, type Marketing Document In the Description box, type Marketing Document In the Select parent content type from list, click Document Content Types. In the Parent Content Type list, click Document. Under Put this site content type into, click New group, and in the box, type Contoso and then click OK.
Task 3: Publish the custom content type

1. 2. Under Settings, click Manage publishing for this content type. Ensure that Publish is selected, and then click OK.
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Task 4: Run timer jobs manually

1. 2. 3. 4. 5. 6. 7. In Windows Internet Explorer, click the Application Management tab. Click the Central Administration link, and then click Monitoring. Under Timer Jobs, click Review job definitions. Scroll down the page, and then click Content Type Hub. Click Run Now. Scroll down the page, and then click Content Type Subscriber SharePoint 80. Click Run Now.
Task 5: Verify that the custom content type is available in the Marketing site
1. 2. 3. 4. 5. 6. 7. 8. 9. Press CTRL+T to open a new tab, and then go to http://intranet.contoso.com/sites/marketing. Click Site Actions, and then click Site Settings. Under Site Collection Administration, click Content type publishing. In the Hubs section, under Subscribed Content Type, verify that Marketing Document is listed, and then click OK. On the left menu, click Shared Documents. On the Library Tools tab, click Library. On the ribbon, click Library Settings. Under General Settings, click Advanced settings. In the Content Types section, under Allow management of content types, click Yes, scroll down to the bottom of the page, and then click OK.
10. On the Document Library Settings page, scroll down, and then under Content Types, click Add from existing site content types. 11. On the Add Content Types page, under Select site content types from, click Contoso, click Add, and then click OK. 12. On the left menu, click Shared Documents. 13. On the Library Tools tab, click Documents.
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14. On the ribbon, expand the New Document drop down, and then verify that Marketing Document is now listed as a content type. 15. Close all windows, and then log off.
Lab 8: Planning Social Computing
L8-1
Module 8
Lab Answer Key: Planning Social Computing
Contents:
Exercise 1: Planning User Profiles Exercise 2: Configuring User Profile Synchronization L8-2 L8-2
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Module 8: Planning Social Computing

Exercise 1: Planning User Profiles
1. 2. 3. 4. Read the lab scenario. Log on to 10231A-NYC-DC1-08 as CONTOSO\Ed with the password Pa$$w0rd. Click Start, and then click Computer. In Windows Explorer, move to the E:\Labfiles\Lab08\Starter folder, double-click User Profile Requirements.docx, and then read the document.
Task 2: Complete the User Profile Property Planning worksheet

1. 2. In Windows Explorer, double-click User Profile Property Planning Worksheet.xlsx, and then complete the worksheet. Compare your solution to the sample solution located at E:\Labfiles\Lab08\Solution\User Profile Property Planning Worksheet Solution.xlsx. Close all windows.
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Exercise 2: Configuring User Profile Synchronization

Task 1: Configure Active Directory permission for synchronization
1. 2. 3. 4. Click Start, point to Administrative Tools, and then click Active Directory Users and Computers. Right-click Contoso.com, and then click Delegate Control. In the Delegation of Control Wizard, on the Welcome to the Delegation of Control Wizard page, click Next. On the Users or Groups page, click Add.
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In the Select Users, Computers, or Groups dialog box, in the Enter the object names to select box, type sp-farm and click Check Names, and then click OK. On the Users or Groups page, click Next. On the Tasks to Delegate page, click Create a custom task to delegate, and then click Next. On the Active Directory Object Type page, click Next. On the Permissions page, ensure that General is selected, scroll down the list, select the Replicating Directory Changes check box, and then click Next.
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10. On the Completing the Delegation of Control Wizard page, click Finish. 11. Expand Contoso.com, and then click the Production Organizational Unit. 12. Double-click Neil Charney. 13. In the Neil Charney Properties dialog box, on the Account tab, under Account options, scroll down, and then verify that the Account is disabled check box is selected. 14. Click Cancel, and then close Active Directory Users and Computers.
Task 2: Create a synchronization connection and a connection filter

1. 2. 3. 4. 5. 6. 7. 8. 9. Click Start, point to All Programs, click Microsoft SharePoint 2010 Products, and then click SharePoint 2010 Central Administration. In the User Account Control dialog box, click Yes. Under Application Management, click Manage service applications. Click User Profile Service Application. On the ribbon, on the Service Applications tab, click Manage. Under Synchronization, click Configure Synchronization Connections. Click Create New Connection. In the Connection Name box, type Contoso and in the Forest name box, type Contoso Scroll down the page, and in the Account name box, type contoso\sp-farm and in the Password and Confirm password boxes, type Pa$$w0rd
10. Scroll down to the bottom of the page, and then click Populate Containers.
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11. Expand CONTOSO, select the IT, Marketing, and Production check boxes, and then click OK. 12. On the Synchronization Connections page, click Contoso, and then click Edit Connection Filters. 13. In the Exclusion Filter for Users section, in the Attribute list, click userAccountControl. 14. In the Operator list, click Bit on equals. 15. In the Filter box, type 2 and then click Add. 16. Scroll down to the bottom of the page, and then click OK.
Task 3: Run the user profile import

1. 2. 3. 4. 5. In the left menu, click Application Management. Under Service Applications, click Manage service applications. Click User Profile Service Application. Under Synchronization, click Start Profile Synchronization. Click Start Full Synchronization, and then click OK.
Note: This process can take several minutes to complete.
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Refresh the page until the Profile Synchronization Status changes to Synchronizing. Refresh the page until the Profile Synchronization Status changes to Idle. When it has completed, click Idle to view the synchronization report. Close the report.
Task 4: Confirm the user profile synchronization by checking that the Ed Meadows and Adam Carter profiles were imported and that the Neil Charney profile was not imported
1. 2. Under People, click Manage User Profiles. In the Find profiles box, type ed and then click Find.
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Click Contoso\Ed, and then click Edit My Profile. Scroll down the page to view his profile information, and then click Cancel and Go Back. In the Find profiles box, type adam and then click Find. Click Contoso\Adam, and then click Edit My Profile. Scroll down the page to view his profile information, and then click Cancel and Go Back. In the Find profiles box, type neil and then click Find. Verify that no results are displayed. This confirms that the profile for the disabled user account for Neil Charney was not imported.
Task 5: Provision Ed Meadows My Site Web site

1. 2. 3. 4. 5. On the Manage User Profiles page, on the upper right, click Ed Meadows, and then click My Site. In the dialog box, in the user box, type Ed and in the password box, type Pa$$w0rd, and then click OK. Click My Content. Click My Profile. Close all windows, and then log off.
Lab 9: Designing an Enterprise Search Strategy
L9-1
Module 9
Lab Answer Key: Designing an Enterprise Search Strategy
Contents:
Exercise 1: Planning for Search Exercise 2: Planning Physical Topology Exercise 3: Creating Search Service Applications Exercise 4: Configuring Search L9-2 L9-3 L9-4 L9-4
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Module 9: Designing an Enterprise Search Strategy

Exercise 1: Planning for Search
1. 2. 3. 4. Read the lab scenario. Log on to 10231A-NYC-DC1-09 as CONTOSO\Ed with the password Pa$$w0rd. Click Start, and then click Computer. In Windows Explorer, move to the E:\Labfiles\Lab09\Starter folder, double-click Contoso Search Requirements.docx, and then read the additional requirements.
Task 2: Update the Logical Architecture Planning worksheet

1. 2. In Windows Explorer, double-click Logical Architecture Planning Worksheet.xlsx, and then complete the worksheet. Compare your solution to the sample solution located at E:\Labfiles\Lab09\Solution\Logical Architecture Planning Worksheet Solution.xlsx.
Task 3: Update the SharePoint 2010 Service Applications Planning worksheet

1. 2. In Windows Explorer, double-click SharePoint 2010 Service Applications Planning Worksheet.xlsx, and then complete the worksheet. Compare your solution to the sample solution located at E:\Labfiles\Lab09\Solution\SharePoint 2010 Service Applications Planning Worksheet - Solution.xlsx.
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Task 4: Update the Physical Architecture Planning worksheet

1. 2. In Windows Explorer, double-click Physical Architecture Planning Worksheet.xlsx, and then complete the worksheet. Compare your solution to the sample solution located at E:\Labfiles\Lab09\Solution\Physical Architecture Planning Worksheet Solution.xlsx.
Task 5: Update the SharePoint 2010 Security Planning worksheet

1. 2. In Windows Explorer, double-click SharePoint 2010 Security Planning Worksheet.xlsx, and then complete the worksheet. Compare your solution to the sample solution located at E:\Labfiles\Lab09\Solution\SharePoint 2010 Security Planning Worksheet Solution.xlsx.
Task 6: Complete the SharePoint 2010 Search Planning worksheet

1. 2. In Windows Explorer, double-click SharePoint 2010 Search Planning Worksheet.xlsx, and then complete the worksheet. Compare your solution to the sample solution located at E:\Labfiles\Lab09\Solution\SharePoint 2010 Search Planning Worksheet Solution.xlsx.
Exercise 2: Planning Physical Topology

Task 1: Plan the physical topology for search
1. In Windows Explorer, move to the E:\Labfiles\Lab09\Starter folder, doubleclick Physical Architecture Planning Worksheet.xlsx, and then read the information. In Windows Explorer, double-click Physical Architecture Diagram.vsd, and then complete the diagram. Compare your solution to the sample solution located at E:\Labfiles\Lab09\Solution\Physical Architecture Diagram - Solution.vsd. Close all windows.
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Exercise 3: Creating Search Service Applications

Task 1: Create the search service application
1. 2. 3. 4. 5. 6. 7. Click Start, point to All Programs, click Microsoft SharePoint 2010 Products, and then click SharePoint 2010 Central Administration. In the User Account Control dialog box, click Yes. Under Application Management, click Manage service applications. Click New, and then click Search Service Application. In the Create New Search Service Application dialog box, in the Search Service Account list, click CONTOSO\sp-serviceapp-search. In the Application Pool for Search Admin Web Service section, click Use existing application pool, and from the list, select SearchAdminAppPool. In the Application Pool for Search Query and Site Settings Web Service section, click Use existing application pool, and from the list, select SearchQueryAppPool. Click OK to close the Create New Search Service Application window. Click OK to close the Manage Search Topology window.
8. 9.
Task 2: Ensure that the SharePoint Server Search service is started

1. 2. 3. 4. On the left menu, click Central Administration. Under System Settings, click Manage services on server. Scroll down the page, and verify that the SharePoint Server Search service is started. Scroll back up the page, and on the left menu, click Application Management.
Exercise 4: Configuring Search

Task 1: Remove people searching from the default content source, configure the crawl schedule according to your plan, and run a full crawl
1. 2. Under Service Applications, click Manage service applications. Click the Search Service Application 1 link.
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3. 4. 5.
On the left menu, click Content Sources. Right-click Local SharePoint sites, and then click Edit. In the Start Addresses section, delete the following entries from the list: http://my.contoso.com sps3://intranet.contoso.com
6. 7. 8. 9.
Scroll down to the bottom of the page, and then under Full Crawl, click Create schedule. In the Manage Schedules dialog box, click Weekly, select the Saturday check box, and then click OK. Under Incremental Crawl, click Create schedule. In the Manage Schedules dialog box, under Settings, select the Repeat within the day check box, in the Every box, type 60 and then click OK.
10. In the Start Full Crawl section, select the Start full crawl of this content source check box, and then click OK.
Task 2: Create a new content source for People Search, configure the crawl schedule according to your plan, and run a full crawl
1. 2. 3. Click New Content Source. In the Name box, type People In the Start Addresses box, add the following addresses: 4. 5. 6. 7. 8. http://my.contoso.com sps3://my.contoso.com
Scroll down to the bottom of the page, and then under Full Crawl, click Create schedule. In the Manage Schedules dialog box, click Weekly, select the Saturday check box, in the Starting time list, click 3:00 AM, and then click OK. Under Incremental Crawl, click Create schedule. In the Manage Schedules dialog box, under Settings, select the Repeat within the day check box, in the Every box, type 60 and then click OK. In the Start Full Crawl section, select the Start full crawl of this content source check box, and then click OK.
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Task 3: Create a new content source for a file shares search, configure the crawl schedule according to your plan, and run a full crawl
1. 2. 3. 4. 5. 6. 7. 8. 9. Click New Content Source. In the Name box, type File Shares In the Content Source Type section, click File Shares, and in the Start Addresses box, type \\nyc-dc1\fileshare Scroll down to the bottom of the page, and under Full Crawl, click Create schedule. In the Manage Schedules dialog box, click Monthly, select all of the month check boxes, and then click OK. Under Incremental Crawl, click Create schedule. In the Manage Schedules dialog box, click Weekly, select the Sunday check box, and then click OK. In the Start Full Crawl section, select the Start full crawl of this content source check box, and then click OK. Click Refresh to see the status of the three crawls.
Task 4: Create an enterprise search center site collection and search for a user and a file
1. 2. 3. 4. 5. 6. 7. 8. Click the Central Administration link. Under Application Management, click Create site collections. In the Title box, type Search Center In the Web Site Address section, next to http://intranet.contoso.com, in the list, click /sites/, and then in the text box, type searchcenter Under Select a template, click the Enterprise tab, and then click Enterprise Search Center. In the Primary Site Collection Administrator section, in the User name box, type ed Click the Check Names icon, and then click OK. On the Top-Level Site Successfully Created page, click OK.
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9.
Press CTRL+T to open a new tab, and then navigate to http://intranet.contoso.com/sites/searchcenter.
10. In the search box, type ed and then click the Search icon. 11. On the Search Results page, verify that you can see a document called Microsoft SharePoint 2010 IT Professional Evaluation Guide, and on the right side of the page, a people match for Ed Meadows. 12. Above the search box, click People, and then verify that Ed Meadows is displayed. 13. Close all windows and log off.
Lab 10: Planning Enterprise Content Management
L10-1
Module 10
Lab Answer Key: Planning Enterprise Content Management
Contents:
Exercise 1: Developing a Content Management Plan Exercise 2: Enabling and Configuring Document IDs and Content Organizer Exercise 3: Configuring Retention Policies and Records Management L10-2 L10-6 L10-2
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Module 10: Planning Enterprise Content Management

Exercise 1: Developing a Content Management Plan
1. 2. 3. 4. Read the lab scenario. Log on to 10231A-NYC-DC1-10 as CONTOSO\Ed with the password Pa$$w0rd. Click Start, and then click Computer. In Windows Explorer, move to the E:\Labfiles\Lab10\Starter folder, double-click ECM Business Requirements.docx, and then read the requirements document.
Task 2: Complete the SharePoint 2010 ECM Planning worksheet

1. 2. In Windows Explorer, double-click SharePoint 2010 ECM Planning Worksheet.xlsx, and then complete the worksheet. Compare your solution to the sample solution located at E:\Labfiles\Lab10\Solution\SharePoint 2010 ECM Planning Worksheet Solution.xlsx. Close all windows.
3.
Exercise 2: Enabling and Configuring Document IDs and Content Organizer

Task 1: Activate document IDs and reset all document IDs to use the same prefix
1. Click Start, point to All Programs, and then click Internet Explorer. Navigate to the intranet.contoso.com/sites/docs home page.
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2. 3. 4. 5.
Click Site Actions, and then click Site Settings. Under Site Collection Administration, click Site collection features. Next to Document ID Service, click Activate, and then click the Site Collection Administration breadcrumb link. Under Site Collection Administration, click Document ID settings, verify that Assign Document IDs is selected, and then change the prefix to CONTOSO. Select the Reset all Document IDs in this Site Collection to begin with these characters check box, and then click OK.
6.
Task 2: Activate and configure the Content Organizer feature

1. 2. 3. Under Site Actions, click Manage site features. Next to Content Organizer, click Activate. Click the Site Settings link, and then verify that the following two new settings appear under Site Administration: 4. 5. 6. 7. 8. 9. Content Organizer Settings Content Organizer Rules
Select Content Organizer Settings. Under Sending to Another Site, check Allow rules to specify another site as a target location, and then click OK. In the address box, type intranet.contoso.com/sites/hrdocs and then press ENTER. Click Site Actions, and then click Site Settings. Under Site Actions, click Manage site features. Next to Content Organizer, click Activate.
10. Click the Site Settings breadcrumb link, and then verify that the following two new settings appear under Site Administration: Content Organizer Settings Content Organizer Rules
11. Under Site Administration, click Content Organizer Settings.
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12. Under Folder Partitioning, select the Create subfolders after a target location has too many items check box. 13. Under Submission Points, highlight the Web service URL entry, right-click it, click Copy, and then click OK.
Task 3: Create a new Send To connection

1. 2. 3. 4. 5. 6. Click Start, point to All Programs, click Microsoft SharePoint 2010 Products and then click SharePoint 2010 Central Administration. In the User Account Control dialog box, click Yes. On the left menu, click General Application Settings. Under External Service Connections, click Configure send to connections. Under Connection Settings, in the Display name box, type HR Docs Content Organizer Right-click in the Send To URL box, and then click Paste to paste the URL that you copied previously into the box. (Delete any spaces at the end of the URL.) Click Add Connection, scroll up, under Send To Connections, verify that the new connection is listed, and then click OK. Close the Central Administration window.
7. 8.
Task 4: Create a new Content Organizer rule

1. 2. 3. 4. 5. 6. 7. In the address box, type intranet.contoso.com/sites/docs and then press ENTER. Click Site Actions, and then click Site Settings. Under Site Administration, click Content Organizer Rules. Click Add new item. In the Content Organizer Rules: New Rule dialog box, under the Rule Name section, in the Name box, type Move Contoso Document items to HR Docs Under Content type, in the Group list, click Contoso Content Types. In the Type list, click Contoso Document.
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8. 9.
In the Conditions section, under Property-based conditions, in the Property list, click Contoso Department. Verify that the Operator is set to is equal to, and in the Value box, select HR
10. Under Target Location, click Another content organizer in a different site, select HR Docs Content Organizer, and then click OK.
Task 5: Test the new Content Organizer rule

1. 2. 3. 4. 5. 6. 7. 8. 9. Minimize the Windows Internet Explorer window. Right-click the desktop, point to New, and then click Text Document. Name the document Non-HR Doc.txt, and then press ENTER. Double-click the document icon to open it. In the document, type Non-HR Doc test and then close the document. In the Notepad dialog box, click Save to save it. Right-click the desktop again, point to New, and then click Text Document. Name the document HR Doc.txt, and then press ENTER. Double-click the document icon to open it.
10. In the document, type HR Doc test and then close the document. 11. In the Notepad dialog box, click Save to save it. 12. On the taskbar, click the Internet Explorer icon to restore the window. 13. In the left navigation menu, under Libraries, click Drop Off Library. 14. Click Add document. 15. In the Submit Document dialog box, click Browse. 16. In the Choose File to Upload dialog box, click the HR Doc.txt document, and then click Open. 17. In the Submit Document dialog box, click OK. 18. In the Drop Off Library - HR Doc.txt dialog box, in the Title box, type HR Doc and in the Contoso Department box, type HR, in the Expiration box type an appropriate date, and then click Submit. 19. In the Drop Off Library: HR Doc dialog box, verify the message Saved to final location is displayed, and then click OK.
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20. Click Add document. 21. In the Submit Document dialog box, click Browse. 22. In the Choose File to Upload dialog box, click the Non-HR Doc.txt document, and then click Open. 23. In the Submit Document dialog box, click OK. 24. In the Drop Off Library - Non-HR Doc.txt dialog box, in the Title box, type Non-HR Doc and in the Contoso Department box, type Marketing, in the Expiration box type an appropriate date, and then click Submit. 25. In the Drop Off Library: Non-HR Doc dialog box, verify the message Moved to Drop Off Library is displayed, and then click OK. 26. Verify that the Non-HR Doc document is listed in this drop off library. 27. In the address box, type intranet.contoso.com/sites/hrdocs and then press ENTER. 28. Under Libraries, click Drop Off Library. 29. Verify that the HR Doc document is listed in this drop off library. 30. Close all windows.
Exercise 3: Configuring Retention Policies and Records Management

Task 1: Configure information management policy settings for document retention on a content type
1. 2. 3. 4. 5. 6. 7. Click Start, point to All Programs, and then click Internet Explorer to go to the intranet.contoso.com/sites/docs home page. Click Site Actions, and then click Site Settings. Under Galleries, click Site content types. Under Contoso Content Types, click Contoso Document. Under Settings, click Information management policy settings. Under Retention, select the Enable Retention check box, and then click Add a retention stage. In the Stage properties - - Webpage Dialog dialog box, under Event, in the Time Period list, click Expiration, and then type 0 for the number of years.
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8. 9.
Under Action, ensure that Move to Recycle Bin is selected, and then click OK. Click Add a retention stage.
10. In the Stage properties - - Webpage Dialog dialog box, under Event, in the Time Period list, click Expiration, and then type 3 for the number of years. 11. Under Action, click Permanently Delete, and then click OK. 12. On the Edit Policy page, click OK.
Task 2: Activate and configure the In Place Records Management feature

1. 2. 3. 4. 5. 6. 7. 8. 9. Click the Site Settings link. Under Site Collection Administration, click Site collection features. Next to In Place Records Management, click Activate. Click the Site Collection Administration link. Under Site Collection Administration, click Record declaration settings. Under Record Declaration Availability, click Available in all locations by default, and then click OK. Under Libraries, click Drop Off Library. Position the cursor over the Non-HR Doc document, click the drop-down arrow, and then click Compliance Details. In the Compliance Details Non-HR Doc - -Webpage Dialog dialog box, click Declare as a record.
10. In the Message from webpage dialog box, click OK. 11. In the Compliance Details Non-HR Doc - - Webpage Dialog dialog box, verify that this document is now declared as a record, and then click Close. 12. Close all windows, and then log off.
Lab 11: Planning a SharePoint 2010 Implementation of a Business Intelligence Strategy
L11-1
Module 11
Lab Answer Key: Planning a SharePoint 2010 Implementation of a Business Intelligence Strategy
Contents:
Exercise 1: Planning the SharePoint Business Intelligence Implementation Exercise 2: Creating a BI Center and Enabling Excel Services L11-2 L11-3
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Module 11: Planning a SharePoint 2010 Implementation of a Business Intelligence Strategy

Exercise 1: Planning the SharePoint Business Intelligence Implementation
1. 2. 3. 4. Read the lab scenario. Log on to 10231A-NYC-DC1-11 as CONTOSO\Ed with the password Pa$$w0rd. Click Start, and then click Computer. In Windows Explorer, move to the E:\Labfiles\Lab11\Starter folder, double-click Contoso Business Requirements.docx, and then read the requirements document.
Task 2: Complete the Business Intelligence Planning worksheet

1. 2. In Windows Explorer, double-click Business Intelligence Planning Worksheet.xlsx, and then complete the worksheet. Compare your solution to the sample solution located at E:\Labfiles\Lab11\Solution\Business Intelligence Planning Worksheet Solution.xlsx. Close all windows.
3.
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Exercise 2: Creating a BI Center and Enabling Excel Services

Task 1: Create an Excel Services application and start the Excel Calculation Services service
1. 2. 3. 4. 5. 6. 7. 8. 9. Click Start, point to All Programs, click Microsoft SharePoint 2010 Products and then click SharePoint 2010 Central Administration. In the User Account Control dialog box, click Yes. Under Application Management, click Manage service applications. Click New, and then click Excel Services Application. In the Create New Excel Services Application dialog box, in the Name box, type Excel Services 10231A In the Application Pool section, under Create new application pool, in the Application pool name box, type ExcelServicesAppPool In the Configurable list, click CONTOSO\sp-serviceapp, and then click OK. On the left menu, click the Central Administration link. Under System Settings, click Manage services on server.
10. In the Service list, next to Excel Calculation Services, click Start.
Task 2: Create a new BI Center site collection and test the Excel Services application
1. 2. 3. 4. 5. 6. 7. On the left menu, click the Central Administration link. Under Application Management, click Create site collections. In the Title and Description section, under the Title box, type BI Center In the Website Address section, under the second URL list box, next to http://intranet.contoso.com/sites/, type BICenter In the Template section, under Select a template, on the Enterprise tab, click Business Intelligence Center. In the Primary Site Collection Administrator section, in the User name box, type ed Click Check Names, and then click OK.
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8. 9.
On the Top-Level Site Successfully Created page, click the http://intranet.contoso.com/sites/BICenter link. Maximize the BI Center window.
10. On the left menu, click Libraries. 11. Under Document Libraries, click Documents. 12. Move the mouse pointer over Excel Services Sample Workbook, click the drop-down arrow, and then click View in Browser. 13. Verify that the Excel Services Sample workbook.xslx opens in the browser window. 14. Close all windows, and then log off.
Lab 12: Developing a Plan for Governance
L12-1
Module 12
Lab Answer Key: Developing a Plan for Governance
Contents:
Exercise 1: Creating a Governance Plan Exercise 2: Implementing the Governance Plan L12-2 L12-2
L12-2
Module 12: Developing a Plan for Governance

Exercise 1: Creating a Governance Plan
1. 2. 3. 4. Read the lab scenario. Log on to 10231A-NYC-DC1-12 as CONTOSO\Ed with the password Pa$$w0rd. Click Start, and then click Computer. In Windows Explorer, move to the E:\Labfiles\Lab12\Starter folder, double-click Contoso Provisioning and Customization Requirements.docx, and then read the requirements document.
Task 2: Complete the SharePoint 2010 Governance worksheet

1. 2. In Windows Explorer, double-click SharePoint 2010 Governance Worksheet.xlsx, and then complete the worksheet. Compare your solution to the sample solution located at E:\Labfiles\Lab12\Solution\SharePoint 2010 Governance Worksheet Solution.xlsx. Close all windows.
3.
Exercise 2: Implementing the Governance Plan

Task 1: Enable self-service site creation on the SharePoint Team Web application
1. 2. 3. Click Start, point to All Programs, click Microsoft SharePoint 2010 Products and then click SharePoint 2010 Central Administration. In the User Account Control dialog box, click Yes. Under Application Management, click Manage web applications.
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4. 5.
Click the SharePoint Team Web application, and then on the ribbon, click Self-Service Site Creation. In the Self-Service Site Collection Management dialog box, click On, and then click OK.
Task 2: Disable SharePoint Designer for the SharePoint Team Web application
1. 2. 3. Click the SharePoint Team Web application. On the ribbon, under General Settings, click the drop-down arrow, and then click SharePoint Designer. In the SharePoint Designer Settings dialog box, clear the Enable SharePoint Designer check box, and then click OK.
Task 3: Start the Microsoft SharePoint Foundation Sandboxed Code service

1. 2. 3. On the left menu, under Central Administration, click the System Settings link. Under Servers, click Manage services on server. In the Service list, next to Microsoft SharePoint Foundation Sandboxed Code Service, click Start.
Task 4: Configure load balancing for sandboxed solutions in the farm

1. 2. 3. On the left menu, under Central Administration, click the System Settings link. Under Farm Management, click Manage user solutions. Scroll down, verify that Requests to run sandboxed code are routed by solution affinity is selected, and then click OK.
Task 5: Configure the site storage individual quota limit for the SharePoint Team site
1. On the left menu, under Central Administration, click the Application Management link.
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2 3. 4. 5. 6. 7. 8.
Under Site Collections, click Configure quotas and locks. Click the Site Collection list, and then click Change Site Collection. In the Select Site Collection dialog box, click the Web Application list, and then click Change Web Application. In the Select Web Application dialog box, click SharePoint Team. In the Select Site Collection dialog box, click OK. On the Site Collection Quotas and Locks page, scroll down to the bottom of the page. In the Site Quota Information section, select the Limit site storage check box, in the text box, type 1000 and then click OK.
Task 6: Verify that users can upload sandboxed solutions in team.contoso.com

1. 2. 3. 4. 5. 6. 7. In the address bar, type http://team.contoso.com and then press ENTER. Click Site Actions, and then click Site Settings. Under Galleries, click Solutions. Click the Solutions tab. In the Solutions tab of the SharePoint ribbon, click Upload Solution. This confirms that you can upload sandboxed solutions. In the Upload Document dialog box, click Cancel. Close all windows, and then log off.
Lab 13: Designing a Maintenance and Monitoring Plan
L13-1
Module 13
Lab Answer Key: Designing a Maintenance and Monitoring Plan
Contents:
Exercise 1: Resolving an Error in SharePoint 2010 Exercise 2: Splitting a Content Database L13-2 L13-4
L13-2
Module 13: Designing a Maintenance and Monitoring Plan

Exercise 1: Resolving an Error in SharePoint 2010
Task 2: Document the steps for resolving an error in SharePoint 2010

1. 2. Click Start, and then click Computer. In Windows Explorer, move to the E:\Labfiles\Lab13\Starter folder, and then double-click Contoso Ltd. Error Resolution Operational Procedures.docx. Document your steps for resolving an error in Microsoft SharePoint 2010 by using a correlation ID. Compare your steps to the steps in Task 3 of this exercise.
3. 4.
Task 3: Identify an error in SharePoint 2010

1. 2. 3. 4. 5. 6. 7. Click Start, point to All Programs, click Microsoft SharePoint 2010 Products, and then click SharePoint 2010 Central Administration. In the User Account Control dialog box, click Yes. Under Application Management, click Manage service applications. Click User Profile Service Application. Verify that you receive an error. On the desktop, double-click UlsViewer.exe. On the File menu, point to Open From, and then click ULS.
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8. 9.
In the Setup the ULS Runtime feed dialog box, click OK. Switch back to Windows Internet Explorer, and then click Go back to site.
10. Under Application Management, click Manage service applications. 11. Click User Profile Service Application. 12. Verify that you receive an error. 13. Copy the first eight characters of the correlation ID. 14. Switch back to ULS Viewer. 15. On the toolbar, click Filter. 16. In the Filter by dialog box, under Field, in the drop-down list, click Correlation. 17. In the Value box, paste in the correlation ID characters that you copied previously, and then click OK. 18. In ULS Viewer, scroll across to the rightmost side of the window, and then increase the width of the Message column. 19. In the list, click the log entry that is second from the bottom. This will then display the message in the top pane of the window, so that you can read it more easily. 20. Read the message to determine what might be the cause of the problem: "This User Profile Application's connection is currently not available. The Application Pool or User Profile Service may not have been started..."
Task 4: Resolve the error

1. 2. 3. 4. Switch back to the Error Windows Internet Explorer window, and then click Go back to site. Under System Settings, click Manage services on server. Scroll down to the bottom of the page, and in the Service list, next to User Profile Service, click Start. After the service has started, click Start, point to All Programs, click Accessories, right-click Command Prompt, and then click Run as administrator. In the User Account Control dialog box, click Yes. At the command prompt, type iisreset and then press ENTER.
5. 6.
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7. 8. 9.
When IIS restarts, close the Command Prompt window. In the Services on Server window, on the left menu, click Application Management. Under Service Applications, click Manage service applications.
10. Click User Profile Service Application. 11. Verify that you can now manage this service. 12. Close all open windows, click Start, and then click Log off.
Exercise 2: Splitting a Content Database

Task 1: Document the steps for splitting a content database
1. 2. 3. Log on to 10231A-NYC-DC1-13 as CONTOSO\sp-farm with the password Pa$$w0rd Click Start, and then click Computer. In Windows Explorer, move to the E:\Labfiles\Lab13\Starter folder, and then double-click Contoso Ltd. Content Database Operational Procedures.docx. Document your steps for splitting a content database with multiple site collections into multiple content databases. Compare your steps to the steps in Task 2 of this exercise.
4. 5.
Task 2: Split the content database, Content_Docs1

1. 2. 3. 4. 5. 6. Click Start, point to All Programs, click Microsoft SharePoint 2010 Products, and then click SharePoint 2010 Central Administration. In the User Account Control dialog box, click Yes. Click Application Management. Under Site Collections, click View all site collections. Click /sites/hrdocs, verify that the Database Name is Content_Docs1, and then click OK. Click Start, point to All Programs, click Microsoft SharePoint 2010 Products, right-click on SharePoint 2010 Management Shell, and then click Run as Administrator.
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7. 8.
In the User Account Control dialog box, click Yes. At the administrator Windows PowerShell prompt, type the command in the following code example, and then press ENTER.
MoveSPSite Identity http://intranet.contoso.com/sites/hrdocs DestinationDatabase content_docs2
9.
At the confirmation prompt, type Y and then press ENTER.
10. At the confirmation prompt, type iisreset and then press ENTER. 11. Switch back to the Application Management window, and then under Site Collections, click View all site collections. 12. Click /sites/hrdocs, and then verify that the Database Name is now Content_Docs2. This confirms that you have moved the database to another database. Click OK. 13. Close all windows, and then log off.
Lab 14: Planning Business Continuity
L14-1
Module 14
Lab Answer Key: Planning Business Continuity
Contents:
Exercise 1: Creating a Backup and Restore Plan Exercise 2: Testing the Recovery Process L14-2 L14-2
L14-2
Module 14: Planning Business Continuity

Exercise 1: Creating a Backup and Restore Plan
1. 2. 3. 4. Read the lab scenario. Log on to 10231A-NYC-DC1-14 as CONTOSO\Ed with the password Pa$$w0rd. Click Start, and then click Computer. In Windows Explorer, move to the E:\Labfiles\Lab14\Starter folder, double-click Contoso Ltd. Business Continuity Requirements.docx, and then read the requirements document.
Task 2: Complete the SharePoint 2010 Backup and Restore Planning worksheet
1. 2. In Windows Explorer, double-click SharePoint 2010 Backup and Restore Planning Worksheet.xlsx, and then complete the worksheet. Compare your solution to the sample solution located at E:\Labfiles\Lab14\Solution\SharePoint 2010 Backup and Restore Planning Worksheet - Solution.xlsx. Close all windows.
3.
Exercise 2: Testing the Recovery Process

Task 1: Verify that a service application is missing
1. 2. 3. Click Start, point to All Programs, click Microsoft SharePoint 2010 Products and then click SharePoint 2010 Central Administration. In the User Account Control dialog box, click Yes. Under Application Management, click Manage service applications.
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4.
Scroll down the page, and then verify the User Profile Service Application does not exist.
Task 2: Restore a missing service application

1. 2. 3. 4. 5. 6. 7. 8. 9. On the left menu, click Backup and Restore. Under Farm Backup and Restore, click Restore from a backup. In the backup jobs, in the Select column, click the item dated 7/27/2010, and then click Next. Scroll down to the bottom of the page, and under Shared Services, expand Shared Services Applications. Scroll down to the bottom of the page, select the User Profile Service Application check box, and then click Next. In the Restore Options section, under Type of restore, click Same configuration. In the Message from webpage dialog box, click OK. In the Login Names and Passwords section, under User Profile Service, in the Password box, type Pa$$w0rd Scroll down to the bottom of the page, and then click Start Restore.
10. Wait for a couple of minutes, and then click Refresh. 11. When the Phase status changes to Completed, on the left menu, click Backup and Restore.
Task 3: Restore a missing service application proxy

1. 2. 3. 4. 5. Under Farm Backup and Restore, click Restore from a backup. In the list of backup jobs, in the Select column, click the top item dated 7/27/2010, and then click Next. Scroll down to the bottom of the page, and under Shared Services, expand Shared Services Proxies. Scroll down to the bottom of the page, select the User Profile Service Application check box, and then click Next. In the Restore Options section, under Type of restore, click Same configuration.
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6. 7. 8. 9.
In the Message from webpage dialog box, click OK. Scroll down to the bottom of the page, and then click Start Restore. Wait for a couple of minutes, and then click Refresh. When the Phase status changes to Completed, on the left menu, click Application Management.
Task 4: Confirm that you have restored the missing service application and service application proxy
1. 2. 3. 4. Under Service Applications, click Manage service applications. Scroll down the page, and then verify that you can locate the User Profile Service Application and the User Profile Service Application Proxy. Click the User Profile Service Application link. Close all windows, and then log off.
L15-1
Module 15
Lab Answer Key: Planning for Upgrading to SharePoint 2010
Contents:
Exercise 1: Creating an Upgrade and Migration Plan L15-1
L15-2
Module 15: Planning for Upgrading to SharePoint 2010
Module 15: Planning for Upgrading to SharePoint 2010

Exercise 1: Creating an Upgrade and Migration Plan
Task 2: Complete the Upgrade Planning worksheet

1. 2. Click Start, and then click Computer. In Windows Explorer, move to the E:\Labfiles\Lab15\Starter folder, double-click Upgrade Planning Worksheet.xlsx, and then complete the worksheet. Compare your solution to the sample solution located at E:\Labfiles\Lab15\Solution\Upgrade Planning Worksheet - Solution.xlsx.
3.

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Product Number: 10231A Part Number: 06623 Released: 09/2010

Planning Enterprise Content Management