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Best Practices and Options for Records Management in the Cloud, Office 365, and SharePoint.
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Best Practices and Options for Records Management in the Cloud, Office 365, and SharePoint.

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Cloud-based content management is becoming increasingly popular and includes options for using SharePoint, SharePoint as a service, Office 365, and cloud content management systems such as SpringCM, …

Cloud-based content management is becoming increasingly popular and includes options for using SharePoint, SharePoint as a service, Office 365, and cloud content management systems such as SpringCM, Alfresco, Box, Dropbox, and Google. Content, which may be considered a business record, may also be created and consumed in social networking applications like Yammer, Jive, Chatter, and others. What are the best practices and options for maintaining regulatory compliance given that many of these systems and applications have no provision for records management?

This session lays out the issues for records management for cloud content management systems and then provides the best practices and options for using these systems. Is SharePoint Records Manager your only option?

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  • 1. Best Practices and Options forRecords Management in the Cloud Kodak Global Directions 2012 Las Vegas, NV September 25, 2012 Bud Porter-Roth Porter-Roth Associates
  • 2. Porter-Roth AssociatesIndependent, vendor neutral, consulting in:  Cloud Information Management (CIM)  Electronic Document Management  Document Imaging  Records Management  Workflow  RFP Developmenthttp://www.erms.cominfo@erms.com415-381-6217 2
  • 3. Agenda Introduction Governance Review Technologies Benefits Risks Best Practices Conclusion 3
  • 4. Governance, Risk, and Compliance (GRC)+ Records and Information Management (RIM) Governance - is the set of policies, procedures, and processes that you establish in your enterprise to guide, direct, and control how it uses technologies to accomplish business goals Risk - is how management identifies, analyzes, and, where necessary, responds appropriately to risks that might adversely affect realization of the organizations business objectives Compliance - is the process of adhering to the established policies, procedures, and processes for governance RIM – is defined as the systematic control of records throughout their life cycle (paper and electronic) 4
  • 5. But...GRC does not work if you do not or cannot control andmanage your content and information...You cannot comply with SOX if you don’t maintain,manage, and audit your content…You cannot assign a seven year retention period to adocument if there is no system to assign and manage theretention schedule...Today’s volumes and complexity of information make italmost impossible to manage information manually 5
  • 6. Why GRC/RIM? Home Work On-Premise Electronic & Paper Documents Work File Sync Cloud-based (n+1 services) Work Electronic DocumentsPorter-Roth Associates 6
  • 7. Introduction or How Many Paper/Document Systems do You Have? Paper management systems Shared Drives Document Imaging Electronic Document Management (ECM) Records Management Workflow/BPM Website Content Management (WCM) Database Management Systems (DBMS) Cloud Content Management (CCM) Systems Cloud-based functional application systems (ERP, CRM)Porter-Roth Associates 7
  • 8. Cloud-based Systems 8
  • 9. CCM Offerings1. Store and Retrieve – very basic and functions like an FTP site2. Content Collaboration – offers basic storage & retrieval - also includes document management capabilities that allow multiple people to collaborate on content3. Platform – offers a complete environment including storage and retrieval, content management, and office productivity applications such as word processing, spreadsheet, presentations, calendaring, workflow, etc.4. Functional Applications – offers functional applications such as project management, CRM, ERP, HR in addition to simple storage and retrieval of documents5. Social Networking – offers the ability for social communities to be formed in addition to simple storage and retrieval of documentsPorter-Roth Associates 9
  • 10. Simple Storage and RetrievalAllows for simple file storage and retrieval. Allowsyou to “share” documents by email invitation orshared password. No document/recordsmanagement/compliance/legal capability.Amazon Cloud DriveSkyDoxDropboxSkyDriveiCloudPorter-Roth Associates 10
  • 11. SkyDoxPorter-Roth Associates 11
  • 12. Simple CollaborationAllows simple DM capabilities such asfolders/subfolders, versioning, checkin/out, simpleworkflows, search, and audit trails. No document/records management/compliance/legal capability.Box.comGoogle DocsIgloo SoftwareZohoHuddlePorter-Roth Associates 12
  • 13. Box.comPorter-Roth Associates 13
  • 14. Box.comPorter-Roth Associates 14
  • 15. Complex CollaborationIncludes DM/RM, office applications, workflow,email, calendaring, workspaces, forums (wiki,blog), and other features. RM/legal capability isavailable depending on the product.SharePoint (on-premise or provided as SaaS)Office 365 (includes SharePoint)AlfrescoSpringCMGoogle Docs & Google DrivePorter-Roth Associates 15
  • 16. CCM and Legacy Systems Latest advances offer CCM and a legacy ECM system  OpenText and Tempo  EMC and Syncplicity  SharePoint and Office 365  FileNet and IBM Docs?? (still new & not sure of direction) CCM systems may integrate to established legacy systems via an API to allow documents to be transferred to the legacy system for archiving and records management Interesting – Box API allows 2-way sync of files between Box and a ECM application including SharePoint Alfresco can sync files with SharePoint – i.e., Alfresco frontend collaboration and SharePoint backend. SpringCM can be both a frontend (cloud collaboration) and backend on-premise system 16
  • 17. Cloud-based Functional Applications (not document/file based but store documents) Offers functional applications such as project management, CRM, ERP, HR, social networking (business and personal) in addition to simple creation and storage and retrieval of documents. No document/records management/ compliance/legal capability.  EPMLive - Enterprise Project Management (EPM)  Basecamp (PM)  Workday (HR)  NetSuite (ERP)  Salesforce/Chatter/Chatterbox (CRM/social networking)  Evernote (note taking) Porter-Roth Associates 17
  • 18. Business & Social Networking w/ DMSocial networking apps – can also be used for file storageand sharing. Also used for corporate docs and presence.No document/records management/compliance/legalcapability. Jive – Social software Yammer – Social Software (now part of SharePoint) Facebook LinkedIn Twitter Google Plus+ 18
  • 19. Key Benefits of Cloud Computing On-demand Self-Service - User can order and provision services directly – user is empowered to acquire and maintain the application Basic site can be setup and operating within 30 minutes of provisioning User/owner can set libraries, folders, security, permissions, versions, workflows, and other aspects of site operation directly – no IT required User can invite other users from within the company to share documents User can invite other users from outside of the company to share documentsPorter-Roth Associates 19
  • 20. Risks On-demand Self-Service - User can order and provision services directly – user is empowered to acquire and maintain the application Company can easily lose control of information without GRC Lack of (for most) records management Inability to manage legal/audit/business holds on any scale Compliance may (will) be challenging for regulated industries Document/files may be spread among many devices and platforms such as file share, SharePoint, Box, and OpenText for example Security (physical and data) Cloud sprawl will happen without GRCPorter-Roth Associates 20
  • 21. Best Practices for Getting Started Begin planning with a GRC/RIM team (IT, Legal, CIO, LOB) Audit and map all your content (and potential) site repositories Records retention/taxonomy/file plan must come before the system – very hard to retrofit a taxonomy afterward Establish a Pilot/Learning System Establish requirements using information from your pilot system Plan for security – use pilot to establish deltas Plan for migration – do you plan to migrate large data sets from shared drives, eRooms, Lotus, legacy systems? Plan for user training – especially in the RIM/GRC area Plan to automate GRC Plan to automate RIMPorter-Roth Associates 21
  • 22. Conclusion Governance is team effort IT owns the systems that manage the content but… Users own the content Processes/procedures (that we create) tell us what to do with the content Technology enables the processes/proceduresIn today’s modern business, it may not be feasible for individualsto “manually” participate in the information governance processand the process has to be under computer control to besuccessfully 22
  • 23. Questions? 23