Taming the West: ECM and RM in SharePoint 2010


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Presented at InnoTech Austin on October 20, 2011. For details on InnoTech, visit www.innotechconferences.com

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Taming the West: ECM and RM in SharePoint 2010

  1. 1. Taming the West: ECM and RM in SharePoint 2010October 27, 2011
  2. 2. Agenda• Introduction to Catapult Systems• ECM features of SharePoint 2010• Demo• Document Management in SharePoint – Business Drivers – Guidelines – Key Takeaways• Records Management in SharePoint• Case Study
  3. 3. Company Overview Private company founded in 1993 300+ employees We’ve delivered over 4,000 client engagements Seven regional offices: – Austin – San Antonio – Dallas – Tampa – Denver – Washington D.C. – Houston
  4. 4. Who We Are“The Microsoft Consulting Company”  Microsoft National Systems Integrator (NSI)  100% Microsoft focused  We provide:  Development  Integration  Infrastructure  Managed Services  Creative Services  Mobile Solutions
  5. 5. National Systems Integrator National Systems 37 Integrators (NSIs) 1,000+ Locally Managed Partners (LSIs) Microsoft Partners 400,000+
  6. 6. The Microsoft Consulting Company With 27 to date, no other Microsoft partner has achieved more competencies worldwide Gold Competencies Silver Competencies Business Intelligence  Application Integration  Midmarket Solution Provider Content Management  Business Intelligence  Mobility Desktop  Content Management  Portals & Collaboration Digital Marketing  Customer Relationship  Project & Portfolio Management Portals & Collaboration Management  Search Server Platform  Data Platform  Software Development Software Development  Desktop  Systems Management Systems Management  Digital Marketing  Unified Communications Unified Communications  Identity and Security  Virtualization Virtualization
  7. 7. Austin Clients Breed love AND ASSOCIATES
  8. 8. ECM Features of SharePoint 2010
  9. 9. Electronic Content Management in SharePoint 2010SharePoint 2010 is a web portal platform to manage and share electronic content
  10. 10. CollaborationMultiple users working on the same document asynchronously – Check-in/Check-Out – Versioning – Alerts
  11. 11. Content TypesTitles given to documents to classify and provide additional context – Templates – Metadata – Workflows Interoffice Meeting Memos Notes Travel Contracts Expenses Reports
  12. 12. WorkflowsDocuments can be sent to other users for feedback or approval, following any existingroute or process
  13. 13. Retention Policies• Based on content type• Can specify action after retention period expires (transfer or destroy)• Can include multiple stages of retention• Can maintain separate policies for records and non-records
  14. 14. In-Place Records vs. Record Center• NEW for SharePoint 2010• In-Place Records remain in original location, preserving accessibility and findability• Records Center collect and organize all records in a centralized location
  15. 15. Demo
  16. 16. Implementing a Document Management Solution
  17. 17. Document Management Rules and Governance Bells and whistles are great, but if you give all your users cars, make sure they also have street lights and traffic laws too!
  18. 18. Business Drivers for Document Management Solutions Business IT Productivity Costs
  19. 19. Productivity Costs• SharePoint enables users to create content easily, but lack of governance and rules can quickly make the environment unusable• Difficulty in finding the documents that you need – Bad naming conventions – No context provided in how document is used• Difficulty in determining which documents are important – Drafts vs. Final copies – Official documents vs. Scrap Notes
  20. 20. IT Costs• Over 90% of all documents created today are electronic• Amount of electronically stored information is doubling every two years• 1 TB of data storage (about 1,048,000 documents) costs over $180,000 per month in maintenance, including hardware and labor1• Over 33% of documents in a SharePoint environment can be considered temporary (i.e. drafts, scrap notes) and are being stored and maintained unnecessarily11 AIIM.org: Realize a Rapid Return on Investment by Eliminating Edge Content
  21. 21. ECM Maturity ModelCollaboration Publication Classification Retention Disposition• Collaboration: Documents are drafted in a central location (and not email!)• Publication: Documents are approved and published to secure yet accessible locations• Classification: Documents are organized and labeled to properly identify their contents• Retention: Documents are kept for a specific time based on the document type• Disposition: Documents are destroyed when retention period expires
  22. 22. The “Ugly” Truth Collaboration Publication Classification Retention Disposition• Most organizations only implement Collaboration and Publication in their SharePoint environments• Users often upload content to store and share but subsequently forget about it• Often companies have no measures in place to remove documents after they have been created• Because of this, organizations bear additional costs in productivity as well as IT storage
  23. 23. Guidelines for SharePoint Document Management• Collaboration: Users should use document libraries to work collaboratively on documents – Use check-in/check-out to prevent overwritten work – Enable versioning to be able to revert back to previous editions – Where appropriate, use alerts to notify users that changes have been made to a document• Publication: Use workflows and document states to promote and approve important documents, to distinguish them from temporary and draft documents
  24. 24. Guidelines for SharePoint Document Management• Classification – Enforce the use of content types to guide how long documents should be retained• Retention – Apply retention policies to clean up documents based on content type or document state• Disposition – Ensure that documents are removed promptly from the system when they are no longer needed – Documents with no content type should be assumed to be temporary and removed after a short period of time – Documents with content types or that have been approved should live longer, as appropriate
  25. 25. Document Management Takeaways Collaboration Publishing Classification Retention Disposition• Collaborating in document libraries enables users to work together more efficiently and ensures the most current version is easily found• Publishing documents as final makes them more identifiable to other users• Classifying documents with content types provides valuable context to other users• Applying Retention Policies to documents prevents documents from living on indefinitely without purpose• Disposing documents when they are no longer needed has expired ensures a clean and efficient SharePoint environment
  26. 26. Records Management in SharePoint
  27. 27. What is a SharePoint Record?• A SharePoint record is a document stored in SharePoint that has been declared as a record• Records cannot be edited or deleted; access to the record may be limited• Records can be stored in original location or in a special SharePoint site for records• If records are declared “in place,” the lock icon appears next to the document to clearly designate records from regular documents
  28. 28. What is a SharePoint Records Management solution?• Part of a larger overall Records Management initiative• Provides methods to allow users to identify and declare documents in SharePoint as records – Records can also be declared in-place using “Declare Record” button – Records can be sent to separate Record Center storage site using “Send To” menu item• Once declared, a retention policy is automatically applied to documents based on content type, preventing the record from being edited, moved, or deleted• After the retention period has expired, SharePoint will automatically move or destroy the record as required
  29. 29. Business Drivers for Records Management Solutions Business Productivity Legal IT Risk and Compliance Costs
  30. 30. Business Compliance• Since the early 2000s, public companies have faced increased scrutiny in their record keeping practices – Scandals at Enron/Arthur Andersen and Worldcom, among many others, have drawn the attention of both the media and lawmakers• Sarbanes-Oxley Act of 2002 – Title VIII mandates specific criminal penalties for manipulation, destruction, or alteration of records• Government, Health Care, Legal, and other industries have longstanding records management requirements – HIPPA – MoReq – DoD 5015.2 – ISO 9001
  31. 31. Legal Risk• Holding on to records beyond the legal requirement is a source of liability – Any document that exists, no matter how old or out-of-date, is viable as evidence in a legal lawsuit or investigation – Organizations can be held liable for producing these documents, even if they are unaware of their existence – Organizations have an obligation to maintain records for the length of their legal retention, but beyond that, they simply represent exposure• Deletion of records too early, even accidentally, can also be a source of legal liability – Failure to produce relevant documents during an investigation or lawsuit can result in additional fines or sanctions, and, in some cases, jail time – Courts do not expect perfection; however proper steps must be demonstrated in order to disprove gross negligence
  32. 32. Litigation Risk• In the event of a lawsuit or investigation, companies are responsible for producing all pertinent documents• In a completely unregulated SharePoint environment, this amounts to hiring a team of lawyers to manually sift through all sites and all document libraries to locate relevant records• Legal costs can be exacerbated by an organization’s lack of understanding of which documents are germane and which aren’t
  33. 33. Litigation CostsDiscovery case in unregulated document storage environment:6 ÷ 2,000 ℎ × $400 = $1,200,000
  34. 34. Litigation CostsDiscovery case in managed records repository: 500,000 ÷ 2,000 ℎ × $400 legal bill rate = $100,000 Cost of most Records Management solutions are outweighed by the estimated savings of a single discovery case
  35. 35. Guidelines for SharePoint Records ManagementClassification - Match content types to your existing File Plan HR Documents Job Employee Contracts Postings Handbooks Internal External Full-Time Consultant
  36. 36. Guidelines for SharePoint Records Management• Retention - Match retention policies to your existing Records Retention Schedule• Disposition – In addition to proper records disposition, remove unclassified documents/non-records after a specified time period – Cleans up unwanted documents – Encourages users to classify/declare documents
  37. 37. Records Management Benefits• Compliance with legal and industry regulations• Reduced legal liability – Records are kept for exactly as long as prescribed – Relatively little intervention is needed – Integrity of records is maintained throughout retention
  38. 38. Takeaways• SharePoint 2010 is an effective platform that can support any Document Management or Records Management initiative• SharePoint provides a wide range of tools that can bring value no matter your organization’s ECM maturity – Able to grow along with your organization’s ECM program• Find the best fit for your SharePoint approach by determining your business drivers – Document Management for reducing costs and increasing productivity – Records Management for decreasing risk and liability• A complete SharePoint Records Management solution is as much policy and education as it is actual SharePoint development
  39. 39. Case Study
  40. 40. Case Study• Public Utility Management Company – 230 users – 300 GB of data (~60,000 documents)• Migrated to SharePoint 2010 for document storage as part of larger RM initiative• Goals – Enable users to declare records – Enforce Records Retention Schedule – Automate retention and destruction – Enable discovery of information and legal holds• Client wanted a solution that was mostly invisible to users, but also provided flexibility in their retention
  41. 41. Solution• Users declaring records are prompted for basic background info instead of assigning content type – Short survey that asked what department and business purpose – SharePoint logic decides what retention to apply to the document – Records Retention Schedule is invisible to end user• Records Managers use a “living Records Retention Schedule” to manage retention – Records Managers can make changes to the schedule at any time – New records declared receive the most up-to-date retention policy – Date of declaration time-stamped on each record
  42. 42. Cost Benefit AnalysisType SummaryProject Cost ($580,000)Recurring Cost ($29,000)Direct Savings $55,000Efficiencies $1,200,000Cost Avoidance $730,000Total $1,400,000
  43. 43. Questions?Justin OngSenior Lead Consultantjustin.ong@catapultsystems.com