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Records Management and eDiscovery
Rajesh Agadi
Principal Consultant
For Business Users and IT
Silicon Valley SharePoint Us...
Slide # Enabling Intelligent Enterprises
My Bio (Principal Consultant, Netwoven Inc)
• Over 20 years of Consulting Experie...
Slide # Enabling Intelligent Enterprises
Our Services – Consulting and Technology
Customers
TECHNOLOGY
CONSULTING
Slide # Enabling Intelligent Enterprises
Our Services – Consulting and Technology
Customers
• Microsoft Fast Search
• Smar...
Slide # Enabling Intelligent Enterprises
Our Services – Consulting and Technology
Customers
• Web Content Management
• Doc...
Slide # Enabling Intelligent Enterprises
Our Services – Consulting and Technology
Customers
• iPhone
• iPad
• Airwatch
• A...
Slide # Enabling Intelligent Enterprises
Our Services – Consulting and Technology
Customers
• Channel management
• Sale Fo...
Slide # Enabling Intelligent Enterprises
Our Services – Consulting and Technology
Customers
• Strategy • Migration
• Appli...
Slide # Enabling Intelligent Enterprises
Our Services – Consulting and Technology
Customers
• Data Visualization
• Hadoop ...
Slide # Enabling Intelligent Enterprises
Our Services – Consulting and Technology
Customers
• Social Strategy
• Social Pro...
Slide # Enabling Intelligent Enterprises
Agenda
• What is Records Management and eDiscovery?
• Discuss Best Practices
• Sh...
Slide # Enabling Intelligent Enterprises
Definition: Records Management
“Field of management
responsible for the efficient...
Slide # Enabling Intelligent Enterprises
Records Management Principles
Association of Records Managers and Administrators ...
Slide # Enabling Intelligent Enterprises
Records Management Best Practices
• Mind your “Four Cs”: compliance, cost, collab...
Slide # Enabling Intelligent Enterprises
Information Governance
• Information Governance is Critical.
• Characteristics dr...
Slide # Enabling Intelligent Enterprises
Approach for RM Implementation
• Capacity/Infrastructure Planning
• Plan for Scal...
Slide # Enabling Intelligent Enterprises
Infrastructure Readiness
• Capacity Planning
– Current Inventory (Count, Size)
– ...
Slide # Enabling Intelligent Enterprises
Choose In-Place vs. Record Center
• In-Place (Feature)
– Record stays where it is...
Slide # Enabling Intelligent Enterprises
Determine File Plan
• Determine Record Coding Schema
• Analyze Record Types
• Des...
Slide # Enabling Intelligent Enterprises
Mapping to SharePoint
• Review your record data attributes.
• Identify and design...
Slide # Enabling Intelligent Enterprises
Retention Schedule and Hold
• Duration of record existence before disposition per...
Slide # Enabling Intelligent Enterprises
Compliance Requirements
• Define Rules for IT Systems
• System Capabilities
• Reg...
Slide # Enabling Intelligent Enterprises
Records Management features in SP 2013
• Records Center Site
Template
• Content O...
Slide # Enabling Intelligent Enterprises
Record Center
• Site Collection Features
– In Place Records Management
– Library ...
Slide # Enabling Intelligent Enterprises
In Place Records Management
• Site Collection feature: In Place Records Managemen...
Slide # Enabling Intelligent Enterprises
Site-level Retention Policies (2013)
• Compliance levels
extended to sites
• Rete...
Slide # Enabling Intelligent Enterprises
Site Mailboxes (2013)
• Site Mail Box (Site Feature)
• Create Exchange Mail box p...
Slide # Enabling Intelligent Enterprises
EDISCOVERY
Slide # Enabling Intelligent Enterprises
eDiscovery Features (2013)
• The eDiscovery Center
– SharePoint Farms
– Exchange ...
Slide # Enabling Intelligent Enterprises
eDiscovery Function
• Uses Search Service Applications
• Site Holds
• Create a Di...
Slide # Enabling Intelligent Enterprises
eDiscovery Flow
Slide # Enabling Intelligent Enterprises
eDiscovery Center Site
Slide # Enabling Intelligent Enterprises
eDiscovery New Query Item
Slide # Enabling Intelligent Enterprises
eDiscovery Set
• Data source
• Filter/query
• Legal hold for
Changed Data
Slide # Enabling Intelligent Enterprises
eDiscovery Export
Slide # Enabling Intelligent Enterprises
Products
• Gimmal
• Collabware
• RecordPoint
Slide # Enabling Intelligent Enterprises
Business Use Cases
• Compliance
• Legal Requirements
• ……
Slide # Enabling Intelligent Enterprises
Q&A
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e-Discovery & Records Management

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• What is Records Management and eDiscovery?
• Discuss Best Practices
• Share your Business Use Cases
• Review SharePoint eDiscovery and Records Management
• Capabilities in SharePoint 2013
• Review products in this space

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Transcript of "e-Discovery & Records Management"

  1. 1. Records Management and eDiscovery Rajesh Agadi Principal Consultant For Business Users and IT Silicon Valley SharePoint Users Group 8/15/2013
  2. 2. Slide # Enabling Intelligent Enterprises My Bio (Principal Consultant, Netwoven Inc) • Over 20 years of Consulting Experience • Focused on Microsoft Stack of ECM • Worked and deployed across all SharePoint versions. • Organizational Portals/Extranets/Public Sites/Migration/Branding/Workflows/Custom • Infrastructure/Information/Technical Architecture and Hardcore development. • Held Consulting Architecture and Organizational Leadership roles. • http://rajeshagadi.blogspot.com/ • #rajeshia
  3. 3. Slide # Enabling Intelligent Enterprises Our Services – Consulting and Technology Customers TECHNOLOGY CONSULTING
  4. 4. Slide # Enabling Intelligent Enterprises Our Services – Consulting and Technology Customers • Microsoft Fast Search • Smartlogic • BA-Insight • Semantic Modeling • Taxonomy Design • Search Analytics • Data Visualization • Search based Application • Text Analytics
  5. 5. Slide # Enabling Intelligent Enterprises Our Services – Consulting and Technology Customers • Web Content Management • Document Management • Portal and Collaboration • SharePoint 2013 • K2 Workflow • SharePoint Workflow • BA-Insight • Nintex • AvePoint
  6. 6. Slide # Enabling Intelligent Enterprises Our Services – Consulting and Technology Customers • iPhone • iPad • Airwatch • Android • Mobileiron • Phonegap • Windows Phone • MDM • MEAP • Security • Application Development • Mobile Content Mgmt. • SharePoint Integration
  7. 7. Slide # Enabling Intelligent Enterprises Our Services – Consulting and Technology Customers • Channel management • Sale Force effectiveness • Contact Center Automation • Customer Analytics • SharePoint Integration • Salesforce.com • Microsoft CRM • Force.com
  8. 8. Slide # Enabling Intelligent Enterprises Our Services – Consulting and Technology Customers • Strategy • Migration • Application Development • Windows Azure • Office 365
  9. 9. Slide # Enabling Intelligent Enterprises Our Services – Consulting and Technology Customers • Data Visualization • Hadoop Consulting • Advanced Analytics • Enterprise Reporting • Master Data Management • Executive Dashboards and Scorecards • SAP Hana • SAP Business Objects • Tableau • PowerView • Reporting Services • Microsoft SQL Server • PerformancePoint • PowerPivot
  10. 10. Slide # Enabling Intelligent Enterprises Our Services – Consulting and Technology Customers • Social Strategy • Social Product Selection • Implementation • Jive Migration • SharePoint 2013 • Yammer • Newsgator
  11. 11. Slide # Enabling Intelligent Enterprises Agenda • What is Records Management and eDiscovery? • Discuss Best Practices • Share your Business Use Cases • Review SharePoint eDiscovery and Records Management capabilities in SharePoint 2013 • Review products in this space
  12. 12. Slide # Enabling Intelligent Enterprises Definition: Records Management “Field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including the processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records” From Wikipedia
  13. 13. Slide # Enabling Intelligent Enterprises Records Management Principles Association of Records Managers and Administrators (ARMA) • Records are created, received, and used in the conduct of organizational activities. • Organizations should create and maintain authentic, reliable, and usable records. • Records should be accessible to authorized users • Users should be able to search for and access records in usable formats. • Records should be organized to support access and management • Records must be managed through their lifecycle. • Records should be kept as long as required to meet legal requirements and business needs. • Retaining records longer than required may increase organizational liability. • Disposition is an accepted phase of the records lifecycle. • Records should be disposed of at the end of the lifecycle.
  14. 14. Slide # Enabling Intelligent Enterprises Records Management Best Practices • Mind your “Four Cs”: compliance, cost, collaboration, and (business) continuity. • Take a holistic approach • Assign responsibility at the top • Create a recognized, central discipline within the enterprise. • Create a common language and controlled vocabulary • Create classification schemes • Apply standard indexing terms across the organization via metadata. • Keep it simple • Train staff and hold them accountable • Essential computer applications • Institute training and change management • Point out the positives • Avoid techie jargon
  15. 15. Slide # Enabling Intelligent Enterprises Information Governance • Information Governance is Critical. • Characteristics driven grading the system level – Level 1 (Sub-Standard) Not addressed or ad hoc. – Level 2 (In Development) Recognized but ad hoc. – Level 3 (Essential) Minimum Defined, room for streamline. – Level 4 (Proactive) Governance is routine business, explore business benefits. – Level 5 (Transformational) Compliance is routine. • Maturity Model Assessment across eight Principles as well as foundation of standards, best practices, and legal/regulatory requirements. – Accountability, Transparency, Integrity, Protection, Compliance, Availability, Retention, Disposition. http://www.arma.org/r2/generally-accepted-br-recordkeeping-principles/metrics
  16. 16. Slide # Enabling Intelligent Enterprises Approach for RM Implementation • Capacity/Infrastructure Planning • Plan for Scalability Aspect • Choose In-Place vs. Record Centers • File Plan • Attributes and mapping in SharePoint • Retention Schedule • Compliance Requirements • Hold Plan • Security • Monitoring and Reporting
  17. 17. Slide # Enabling Intelligent Enterprises Infrastructure Readiness • Capacity Planning – Current Inventory (Count, Size) – Estimate Growth • Plan for Scalability Aspect – RBS – Single Site (Millions) vs. Distributed Sites (100s of Millions) – Infrastructure and Farm Design • SharePoint 2013 Improvements – Minimal Download strategy, Query and Index improvements, Distributed Cache, Scalable Search, Request Management, Shredded Storage
  18. 18. Slide # Enabling Intelligent Enterprises Choose In-Place vs. Record Center • In-Place (Feature) – Record stays where it is. – Information Policies are applied • Record Center (Site Template) – Record is moved to Record Center – Inherits Retention Rules
  19. 19. Slide # Enabling Intelligent Enterprises Determine File Plan • Determine Record Coding Schema • Analyze Record Types • Designate Record Owner(s) • Review possible events that can occur for the record • Formulate the Retention Period • Determine Version Management Policy • Decide on the Archival or Disposition
  20. 20. Slide # Enabling Intelligent Enterprises Mapping to SharePoint • Review your record data attributes. • Identify and design your Terms Sets and Terms in Managed Metadata • Design your Site Columns and Content Types based on record types. • Associate your Term Sets with appropriate Site Columns • Associate appropriate Content Types to your lists and libraries. The Content Type maps to Record Types • Define Retention Policies under Content Types
  21. 21. Slide # Enabling Intelligent Enterprises Retention Schedule and Hold • Duration of record existence before disposition per Record Type • Driven by – Legal Requirements – Risks to the Organization – Business Need • Disposition process • Hold – Suspend the disposition to support Litigation/Audit/Investigation
  22. 22. Slide # Enabling Intelligent Enterprises Compliance Requirements • Define Rules for IT Systems • System Capabilities • Regular Monitoring Requirements • Report on employee handling of the record.
  23. 23. Slide # Enabling Intelligent Enterprises Records Management features in SP 2013 • Records Center Site Template • Content Organizer • Document ID • Managed Meta Data • Compliance Details • Hold and eDiscovery • Content Type Publishing Hub • Multi-Level Retention • Metadata based navigation • Send To • Document Set • Site Policies • Site Mail Box • Feature Parity with O365
  24. 24. Slide # Enabling Intelligent Enterprises Record Center • Site Collection Features – In Place Records Management – Library and Folder Based Retention – Document ID Service – Disposition Approval Workflow – Site Policy • Site Features – Hold – Content Organizer • Libraries – Drop Off Library – Record Library
  25. 25. Slide # Enabling Intelligent Enterprises In Place Records Management • Site Collection feature: In Place Records Management • Manual and Automatic • Mixed with Declared Record and regular documents
  26. 26. Slide # Enabling Intelligent Enterprises Site-level Retention Policies (2013) • Compliance levels extended to sites • Retention policy for sites and Team Mailbox associated with site • Project closure and expiration policy
  27. 27. Slide # Enabling Intelligent Enterprises Site Mailboxes (2013) • Site Mail Box (Site Feature) • Create Exchange Mail box per Site • Bring emails to SharePoint • View SharePoint Documents in Outlook • Drag emails in to SharePoint Document Library • Apply Expiration Policy for both SharePoint and Site Mailbox
  28. 28. Slide # Enabling Intelligent Enterprises EDISCOVERY
  29. 29. Slide # Enabling Intelligent Enterprises eDiscovery Features (2013) • The eDiscovery Center – SharePoint Farms – Exchange Server – File Shares • SharePoint and Exchange In-Place Hold • Export from SharePoint, Exchange and File Shares • Query-based preservation • eDiscovery sets • Cased Manager • Enterprise-wide access • In-Place Holds • Analytics
  30. 30. Slide # Enabling Intelligent Enterprises eDiscovery Function • Uses Search Service Applications • Site Holds • Create a Discovery Case • Retaining content where it lives • When items are edited or deleted, places a copy Preservation Hold Library • Most users without permissions do not see the library • Copy on writer • Keeps only the current checked-in or deleted version • Programing Custom Solutions
  31. 31. Slide # Enabling Intelligent Enterprises eDiscovery Flow
  32. 32. Slide # Enabling Intelligent Enterprises eDiscovery Center Site
  33. 33. Slide # Enabling Intelligent Enterprises eDiscovery New Query Item
  34. 34. Slide # Enabling Intelligent Enterprises eDiscovery Set • Data source • Filter/query • Legal hold for Changed Data
  35. 35. Slide # Enabling Intelligent Enterprises eDiscovery Export
  36. 36. Slide # Enabling Intelligent Enterprises Products • Gimmal • Collabware • RecordPoint
  37. 37. Slide # Enabling Intelligent Enterprises Business Use Cases • Compliance • Legal Requirements • ……
  38. 38. Slide # Enabling Intelligent Enterprises Q&A
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