This document discusses achieving content governance across collaborative and social business platforms. It begins by introducing content governance and the challenges of governing multiple target repositories, including traditional ECM, email, file shares, SharePoint, cloud ECM, and cloud file sharing. It then discusses different governance approaches like repository-based, content type-based, and lifecycle-based governance. It proposes a hybrid lifecycle model and "policy hub service" to help achieve governance across platforms in both on-premise and cloud environments. It concludes by questioning whether unified governance of SharePoint, email, and file shares provides full governance and how to best approach hybrid governance.

1. Achieving Content Governance in the
Collaborative and Social Business
Mike Alsup, Gimmal
September 24, 2013

2. Alsup Frame of Reference
• 34 Years as ECM/RM Consultant/Integrator
• Accenture, Booz Allen, BSG, Align Solutions, Gimmal
• 1980 career goal: help clients move from paper-based processes to automated Doc Mgmt. processes
• Assumption: this was beyond the span of my career
• Last seven years  focused on SharePoint as ENTERPRISE ECM & RM Platform
• www.gimmal.com for information on Gimmal
• Alsup blog – www.akqj10.com (ace, king, queen, jack, ten)
• Alsup blog – www.aiimcommunities.org ERM, SharePoint Communities
• AIIM Involvement
• Southwest Chapter  Programs VP (1991-97, 2000-09), President (1997-2000), VP since
• International Board  Member (1999 – 2001, 2007 – 2010)
• AIIM Conference Committee  Member (1995-2000, 2004-2007), Chair – 2000
• EmTAG  Member (1998 – 2011), Chair (2004 – 2006)
• AIIM SharePoint Course
• We built it. We are proud of it. We certified our team
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3. We Are… Information Management For Everyone
• Built on Leading Enterprise Platforms
• Higher Value and Lower Cost Business Solutions
Trusted Advisors and Implementers
• Across All Industries and Government
• Thousands of Successful Engagements
Industry Leading Software, inside SharePoint
• Information Governance & Unified Records Management
• DoD 5015.2 Certified, Chapters 2, 3 & 5
• SAP Content Archiving & Business Solutions
Award Winning
• Microsoft 2012 Software Partner of the Year Finalist
• Inc. 500|5000 for 8 consecutive years
www.gimmal.com
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4. Agenda
• Introduction to Content Governance
 My Presentation Focus is on Technology and Platforms, not People or Process
 SharePoint Perspective on Enterprise Information Management
 Is “One Ring to Rule Them All” Realistic?
• Many Target ECM Repositories for Governance
 Several Very Challenging Problems
• Alternative Governance Approaches
• Open Questions and the Art of the Possible in 2013
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5. Scope – Target ECM Repositories
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@
Traditional ECM
Email
ERP
File Shares
Traditional RM
SharePoint
Cloud ECM Cloud File Sharing

6. Information Management Policies
• When and How to Delete Content
• Applied to Documents, Records & Items
• Applied at Document or Container-level
• Associated w/ Content Types or Locations
• Date-driven
• Event-driven
• Settings for:
• Auditing
• Retention

7. • Retention
• Location
• Metadata
• Security
• Versions
• Disposition
• Many others
Retention
XX Days
Location(s)
Network Shares
E-mail Inbox
Metadata
Name
Retention
XX Months
Location(s)
Document Libraries
Metadata
Name
Content Type
Retention
Retention Schedule
Location(s)
Record Center or
3rd Party Product
Metadata
Name
Content Type
Information Lifecycle
• All Information is managed from creation to disposition
• Retention for all information in every state of the ILC
• Early classification (indexing) is an important step to compliance
• Rules are enforced by the technology
Temporary
Work In
Progress
Final
Hold
Disposition

8. ECM Vision is simple  Is it Cloud or SaaS or Both?
Differences between Cloud and SaaS:
• Cloud only: Amazon EC2 is cloud, but a platform as opposed to consumer software
• SaaS only: Documentum is single tenant, hosted ECM managed as a cloud solution
• Both: Salesforce.com is both Cloud Only and SaaS Only  Multi-tenant cloud software
Why does it matter?
• Legacy ECM vendors support Cloud, but SaaS only  Virtual Machine for each solution
• Box, Office 365, SpringCM and others are Cloud and SaaS  Multi-tenant applications
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9. Have Cloud ECM & Collaboration changed Content Governance?
• Content Governance is challenged by Cloud ECM and Collaboration
Information policies  applied to more repositories
• Everyone recognizes need for governance to extend to all ECM repositories
 “One Ring to Rule Them All”
• Applying content governance to multiple ECM environments is competitive:
• Legacy ECM vendors
• Cloud file sharing vendors  Need Ecosystem Partners
• Federation vendors
• Microsoft  Need Ecosystem Partners
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10. Content Governance 2.0
• Transparent user participation
 End reliance on end users choosing to follow policy and rules
• Lines of Business collaborate with IT based on Content Types
• All content managed from a lifecycle perspective
• There are 4 key elements of Content Governance 2.0
• Information Lifecycle
• Content Types (& Containers)
• Metadata Inheritance
• Consistency in User Experience
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11. • Repository-based Governance (Includes Containers)
• Access Controls
• Update Controls
• Disposition Controls
• Deletion
• Archiving
• Offline
Questions
Does the Repository support Policy Governance?
Does the Repository support Federation of Policy?
Is Policy Federated at the Repository-level or Document-level?
Is Policy Synchronized between Cloud & On-Premise
Scope – Governance Methods
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12. • Content Type-based Governance
• High Level Content Type Model
• Functional Content Type Model
Governance options are either Content Type-based or Repository-based
Mixed Content Type Models can be effective  “Unknown” Content Type
Functional Content Type Models can drive ROI of ECM Investments
• Lifecycle Governance
• Multi-Repository Governance
• In Place Governance
• Search & Classify-based Discovery
• In Place
• Process Launched
• Copied or Moved
Scope – Governance Methods
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13. Let’s Start with SharePoint Content Governance
SharePoint
• SharePoint Consolidating ECM and RM?
135MM SharePoint Licensed Users*
65,000 Companies*
67%  SharePoint to Enterprise*
700,000 SharePoint Developers*
70% of Gartner ECM inquiries
2012  $2B business
• SharePoint is Energizing ECM and RM
Microsoft owns productivity market
 ECM and RM a natural extension
Many Best of Breed apps & extensions
• SharePoint is compelling platform for
compliance & enterprise governance
SharePoint
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14. Ungoverned “Organic” SharePoint Environment
Issues:
Chaos grows with new sites
No central site directory
Each site has own look and feel
Different definitions of content
Site 1 has “Invoice – Purchasing”
Site 2 has “Invoice”
Content volume increasing rapidly
All content is retained forever
How are Records managed?
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15. Ungoverned “Organic” SharePoint Environment
How are you
going to
support this?
How do you
govern this?
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16. SharePoint Framework
• File Plan
• Retention Schedule
• Information Policy
Enforcement
Record
Center
• Content Types
• Information Policy
• Site Templates
• Document Templates
Team Sites
MySites
Top Level Portal
• Lifecycle
• Taxonomy
• SP Features
• XML Config.
• Navigation
• Search
• Security
Site
Provisioning
Information Lifecycle
Term
Store /
Content Hub
File Plan /
Retention
Schedule
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17. Business
Function
(Base Document)
Finance &
Accounting Tax
(ACC)
Record
Categories
(Big Buckets)
ACC100
Accounting,
Banking, and
Payroll
Transactions
ACC200
Financial
Reporting
Organization
Content Types
Local Content
Type
Bank Deposit Rpt
6 Years
Accts Payable
6 years
Financial Stmt.
10 years
A/P Invoice
6 Years
Expense Report
6 Years
Balance Sheet
10 Years
Income Stmt.
10 Years
Banking Record
6 years
Enterprise Content Type
Properties:
• Retention Category
Properties:
• Document Title
• Modified Date
• Owning Organization
• Lifecycle State
Properties:
• Office of Record
• Category-specific attributes
Properties:
• Retention Category
• Category-specific attributes
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18. ContentTypeLevel
ContentTypeName
OwningOrganization
ILCState
ILCDate
CreateDate
LastModifiedDate
(systemgenerated)
SecurityClass
(internal,external,confidential)
EmployeeName
EmployeeNumber
ContentType
RetentionCategoryCode
EventTriggerDate
Enterprise
Content Type
Enterprise X X X X X X
Organization
Content Type
Human Resources –
Employee Specific
X X X
Local Content
Type
Personnel Files –
Personnel Actions
HUM70 X
Local Content
Type
Personnel Files – Hiring,
Termination, Training and
Summary Records
HUM73 X
Taxonomy Master Model in SharePoint

19. What are Items?Item
Document
Event
Issue
Announcement
Link
Contact
Message
Task
Workflow History
Post
Comment
Folder
Typical Governance Products
• Typical Governance Products address 16% of content in SharePoint
• Collaboration is over 60% list content
• From a User Perspective:
– Every user (even novices) have unique uses for lists
– Lists replace Excel Spreadsheets and Access Databases
– Once created, lists contain valuable knowledge and information assets
• From an IT Perspective
– Sites persist because lists with valuable information exist perpetually
– Management is site-by-site
– Items cannot be managed in SharePoint Record Centers
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20. How to Apply Information Policy to Legacy SharePoint Sites?
Top Site Portal
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21. Legacy SharePoint Sites
• Archive the Site
• Close the Site (Read Only)
• Move the content to a new site (+ Items, etc.)
• Apply to policy to content in legacy site based on rules
• Enforce the rules as site ages, including move to Records Center
• Hopeless task without planning and good tools
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22. What are your plans to leverage the Cloud?
Source: Forrester, “Global SharePoint Usage Online Survey,” August 2012
The responsibility for “Cloud Governance” remains at home…
InformationWeek

23. Hybrid model is Needed for Governance
Why is this important?
 Buyers expect Hybrid Content Governance for foreseeable future
 Long term Economics of Cloud Storage are not clear
 Office 365 is compelling “if records stored in our data centers”
 Hybrid Governance requires simplifying assumptions
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24. “Send
To”
Hybrid Lifecycle Model
SharePoint 2010 – On Premise
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“Send
To”
Synch
File Plan &
Retention
Schedule
Service
Policy
Hub
Service
EDiscovery
Search & Hold
Service
Two-way
Lifecycle
synch of
records
SharePoint Sites
“Send To”
SharePoint 2013 - Office 365
Record
Centers
Record
Centers
“Send To”
SharePoint Sites

25. Enterprise Approach Summary
• Team Sites & Governance
• Usability and Consistency
• Content Types & Metadata
• Libraries, Lists and Views
• File Templates
• Content Lifecycle
• Search
• Site Settings & Administration
• IM Policy Alignment
• Security
Best
Practices
Add-On Software
Effort/Time
SDK Framework
SharePoint OOTB

26. SharePoint Governance Summary
• Content Types are Essential
• On Premise vs. Office 365 vs. Hybrid are different
• Items are Critical to be Included
• Legacy Sites must be Considered
• Hybrid must be Considered
• Extensive Planning is Required
 A Challenging Problem without any other Repositories!
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27. Record
Centers
SharePoint Sites
“Send To”
SharePoint 2010
On Premise
SharePoint Sites
“Send To”
SharePoint 2013/
Office 365
Record
Centers
Email
File Shares
Legacy ECM
On-site & Off-site
Paper Storage
Web, Intranet, IM,
Collaborative Content
Social
File Sharing
Cloud ECM
Cloud Email
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Enterprise Information Management

28. • Email Governance Options
• Mailbox size management
• Journaling
• Drag to an Email folder  Act of Classification
• Three Zone Model (Temporary, WIP, Record)
• NARA Capstone Model
• What does Email Governance Look Like?
• In Place Retention Rules, then SharePoint or Legacy ECM or Email Archiving Tool
• User Declaration into SharePoint or Legacy ECM
• Site Mailboxes in SharePoint 2013
• Legacy PST’s?
• Policy in Email in Office 365 is different than Policy in Email On-Premise
Scope – Target Repositories
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29. File Shares
Traditional File Share Governance Process:
• Crawl Share Drives  derive classification information
• Tag content with best fit Content Types  requires work to define mapping
• Migrate content to SharePoint
• Have a Plan for File Shares Post-Migration
• Volumes are Daunting
Goal  do this automatically
SharePoint Governance Options:
• Catalogued File Shares
• AvePoint
• MetaLogix
• Bamboo
Legacy ECM Vendor Options are Similar
• Crawl, cleanse and migrate solutions
• Active Navigation
• Recommind
• IBM & Stored IQ
• EMC Kazeon
• Open Text
• Digital Reef
• Concept Searching
• One Time Crawl vs. Recurring Crawl
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30. • Legacy ECM /RM Governance
• Inside ECM Governance  Best Governed Content in Org.  Market-defining
• Federated Governance to Multiple Repositories  Not as successful
• Physical RM
• Most Physical Solutions are Legacy ECM
• Web Sites
• Web site snapshots
• Most websites retention is through:
• Publication/retraction process
• Roll-back/restore of site content
• ECM platforms not very successful for websites  new set of web site products
Scope – Target Repositories
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31. Can Governance be Federated into all these Platforms?
• Levels of Federation:
• Document, Container, Replication, Presentation
• Open Text, IBM, EMC and HP (Autonomy) have solutions in this area
• New federation vendors, e.g. RSD,  they can do it all
Questions:
• Does Federation work in the enterprise?
• Looking for case studies of successful federated ECM governance
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32. Cloud File Sharing are Competing in ECM
• Box, Syncplicity, DropBox, etc.
• Cloud-based file sharing vendors understand Cloud ECM Governance
• Lack rich object models and policy solutions to enable more than Share Drives in Cloud
• SkyDrive vs. SkyDrive Pro is still confusing for some users
• SkyDrive is Dropbox-like in its capabilities
• SkyDrive Pro is modern version of SharePoint My Sites
• What would Cloud File Share Governance Look Like?
• Register Site or Site Content
• Synchronize
• Send to My Account
 There will be room for all of these approaches, plus Google, Legacy ECM, many others
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33. • Social
• LinkedIn, Facebook, Twitter, Jive, etc.
• Yammer
• What would Social Site Governance Look Like?
• No Option to Federate Governance to Social
• Register the Site
• Manage the Process to Post to Site
• Enable Updates  e.g., Remove Post after 90 days
• Yammer = exception
 Microsoft integrating SharePoint Governance
Scope – Target Repositories
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34. Hybrid Lifecycle Model
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Record
Centers
SharePoint Sites
“Send To”
SharePoint Sites
“Send To”
Policy
Hub
Service
Record
Centers
Email
SharePoint 2010
SharePoint 2013/
Office 365

35. One Ring to Rule Them All  Policy Hub Service
Record
Centers
SharePoint Sites
“Send To”
SharePoint 2010
SharePoint Sites
“Send To”
SharePoint 2013/
Office 365
Policy
Hub
Service
Record
Centers
Email
File Shares
Legacy ECM
On-site & Off-site
Paper Storage
Web, Intranet, IM,
Collaborative Content
Social, File Sharing,
Cloud ECM Content
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36. Governance Method SharePoint Legacy ECM Federation File Sharing
Container-based Governance
Access Controls
Update Controls
Disposition Controls
Strong Strongest Not Native
Strength, Requires
Connectors and
Integration
Not Natively
Available
Search Governance
In Place (Search and Classify)
Process (Search and Process)
Copy or Move to Repository
(Search & Harvest)
Strongest w/
SharePoint, Email & File
Shares, Requires
Planning, Add-on
Products & Connectors
for other Repositories
Strong, but
Requires Planning,
Connectors &
Integration for
other Repositories
Requires
Planning,
Connectors &
Integration for all
Repositories
Not Natively
Available
Content Type-based
Governance
High Level Content Types
Functional Content Types
Strongest, but Requires
Planning, Connectors &
Integration for other
Repositories
Strong, but
Requires Planning,
Connectors &
Integration for
other Repositories
Remote Control,
No Internal Events
Not Natively
Available
Lifecycle Governance
Multi-Repository Governance
In Place Governance
Strongest, but Requires
Planning & Integration
for other Repositories
Strong, but
Requires Planning &
Integration for
other Repositories
Remote Control,
No Internal Events
Not Natively
Available
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37. The Future – Two Short Term Questions
• Does Unified SharePoint, Email & Share Drive = Content Governance?
• This is the burning question for many organizations
• Including more ECM platforms in content governance is a bonus, but not core
• How to integrate these environments into a single, simpler enterprise solution?
• If Hybrid Content Governance is the future, how to do it?
• High priority architectural question in many organizations, especially the largest
• Clients are investing in cloud, but not storing records or even business critical content there
• How to integrate Cloud and on-premises ECM into a single, simpler enterprise solution?
 Find Someone to help who has done it before
 Make Sure they have Good Tools, Frameworks, and References
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38. The Future – 2020 Vision
• The ECM Dial Tone
• Unified Object Environment (Document, Voice Message, Email, Viewer, etc.)
• Departments, Legal, Records and IT collaborate on Governance Policy at Content Type Level
• Governance Policy Automatically Applied through Containers & Templates
• Much Planning and Setup  then it just works
• Departmental ECM Solutions will go the way of:
• Word Processors  Word
• Microfilm  Storage
• Optical Disk  Storage
• Local Area Networks  Cable Plug or WiFi
• People don’t care about Technology, they want Solutions that Work
• How many Repositories for Unstructured Content do you Really Need?
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Kurzweil Vision  15 Years

39. Questions
Achieving Content Governance in the
Collaborative and Social Business
Mike Alsup, Gimmal
September 24, 2013
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