ARMA San Antonio 02 8-2012

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ARMA San Antonio 02 8-2012

  1. 1. ARMA – San Antonio Records Management 2.0 Presented by: Mike Alsup Date: February 8, 2012Information Management for Everyone 0
  2. 2. Agenda • Challenges that RM Solutions Must Address  The Problem • Best Practices: – Electronic Records Mgmt.  Current State of the Art – SharePoint Content & Records Mgmt.  New Tools and Features • Foundation for a Best Practices Framework SharePoint Best Practices • Implementing SharePoint for ECM & RM  We’re Excited! • How to Succeed in RM 2.0 Deployments  You Should Be Too!Information Management for Everyone 1
  3. 3. Alsup Frame of Reference• 35 Years as ECM/RM Consultant/Integrator – Accenture, Booz, Allen, BSG, Align Solutions / Luminant, Gimmal Group – 1980 career goal: help clients move from paper-based processes to automated document mgmt. processes – Assumption: this was beyond the span of my career – Last five 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) – International Board  Member (1999 – 2001, 2007 – 2010) – AIIM Conference Committee  Member (1995-2000, 2004-2007), Chair – 2000 – Accreditation/Education Committee  Member (1997-2011) – EmTAG  Member (1998 – 2011), Chair (2004 – 2006)• AIIM SharePoint Course – We built it. We are proud of it. We are certifying our entire team Information Management for Everyone 2
  4. 4. Gimmal is an ECM & RM Solution Provider For the World’s Leading Organizations • Across all Industries & Government • Thousands of successful engagements Enterprise Content and Records Experts • Consulting, Integration & Implementation Industry Leading SharePoint Software • Governance and Compliance • Unified Records Management • SAP & SharePoint Integration Industry Awards and Recognition • AIIM and ARMA • SharePoint Product Advisory Board • Inc. 500|5000 for 6 consecutive yearsInformation Management for Everyone 3
  5. 5. Top 10 Questions in RM • Can we do everything with SharePoint? – Does SharePoint RM scale to the Enterprise? – Does SharePoint 2010 RM fix the records problems from MOSS 2007? • Can we justify consolidating ECM & RM to a single vendor? – What about our investments in “X”? • Do we need one File Plan and Retention Schedule for Electronic and Physical Records? – What about our Paper-based Records Management? – How should we use “Big Buckets” in our File Plan? • Who should control our Records Management functions? • How is SharePoint related to eDiscovery? • Where do we start? • If we build it, will they all come? • How do I get Executives to Care?Information Management for Everyone 4
  6. 6. SharePoint is a Visionary Leader ➔ SharePoint is Consolidating the ECM and RM Markets – 125MM SharePoint Licensed Users* SharePoint – 65,000 Companies* – 67% are rolling out SharePoint to Enterprise* – 700,000 SharePoint Developers* – 50% of Gartner inquiries ➔ SharePoint is Energizing the ECM and RM Markets – Microsoft owns productivity market, ECM and RM a natural extensions – Many Best of Breed applications ➔ SharePoint is compelling platform for compliance & enterprise RMInformation Management for Everyone 5
  7. 7. Ungoverned “Organic” Environment Top Site Portal Issues: Chaos grows with new sites No central site directory Each site has own look and feel Navigation is inconsistent No standard security model Different definitions of content Site 1 has “Invoice – Purchasing” Site 2 has “Invoice” Content volume increasing rapidly Many convenience copies Metadata mgmt. is inconsistent All content is retained forever How are Records managed?Information Management for Everyone 6
  8. 8. Ungoverned “Organic” Environment Top Site Portal Some sites may be connected to Portal, others not How are you How do you going to govern this? support this?Information Management for Everyone 7
  9. 9. The Promise of Enterprise Content Management* • Higher revenue and productivity • Stronger compliance and control • Improved customer experience • Increased customer loyalty • Higher quality content • Streamlined processes * Gartner, The Copernican Revolution in Content, 8 June 2011Information Management for Everyone 8
  10. 10. The Reality of ECMInformation Management for Everyone 9
  11. 11. Some More ECM History • ECM began with Evolution: Mainframes Networks • Users given more autonomy in creating and managing information – Authoring tools like Microsoft Office & Word Perfect – Scanning and imaging, transforming paper to digital, • Earliest ECM was shared drives on the networks – Still the most prevalent document storage method • Electronic Document Management (EDM) driven by processes: – Engineering drawing management (CAD) – Contract management (version control) – Invoice processing (business process automation)Information Management for Everyone 10
  12. 12. Records Technology History • RM Solutions were born from a paper-based process – Driven by the need to manage large volumes of paper – Space management and inventory tracking with barcodes were common – Began in the DOS days or on Mainframes for large companies – Solutions were typically used by a small user community • Electronic RM Solutions began to emerge in the early 1990’s – Driven by the need for rigorous control of electronic records – DoD5015.2 (1993) and VERS (1997) were early and familiar standards – Most all electronic recordkeeping systems built to these standards – The industry was give a big “shot in the arm” with the scandals of the early 2000, (Enron and WorldCom)Information Management for Everyone 11
  13. 13. History- Convergence of ECM & RM • Compliance drove convergence in the EDM/RM market – Hummingbird – Educom – Open Text – PS Software & Hummingbird – Documentum – TrueArc – IBM – Tarian & FileNet – Oracle – Stellent – Autonomy – MDY, HP Trim, Zantaz, Meridio • DoD5015.2 = primary design criteria for all these solutions • Very thin, paper-based featuresInformation Management for Everyone 12
  14. 14. EDiscovery further drives ECRM market • Enron & WorldCom in the early 2000 didn’t just spark the compliance flame, it ignited a new market  eDiscovery • Further fanning the flames of eDiscovery was the new Federal Rules of Civil Procedure (FRCP) in 2006Information Management for Everyone 13
  15. 15. The result of this ECRM evolution • Monolithic solutions • Heavily weighted towards control • Very little effort to engage the end usersInformation Management for Everyone 14
  16. 16. Records Management 1.0 Traditional ECM systems have missed the mark in delivering true records management • Non-intuitive end user experience • Too many systems • Expensive to integrate and maintain • Low user adoption • Not usable • Low findability • Low % of managed content • Too much content • High eDiscovery costsInformation Management for Everyone 15
  17. 17. Collaboration Solutions • The first widely adopted solution was Lotus Notes • These solution were designed to encourage knowledge sharing • Simple, ease to use, fast to deploy • Collaboration converges naturally with Content Management • SharePoint is now the run away leader in the Collaboration MarketInformation Management for Everyone 16
  18. 18. SharePoint, a History • First announced in 2001 - SharePoint Portal Server 2001 (SPS 2001) • Microsoft released a free add-on to Office 2000 called SharePoint Team Services (STS) focused on team collaboration • STS was renamed Windows SharePoint Services (WSS), and became part of Windows Server 2003 • SPS v2 was built on top of WSS and named Microsoft Office SharePoint Portal Server 2003 (SPS 2003) • Microsoft Office SharePoint Server (MOSS) 2007 was released, adding first ever RM features • Tremendous strides forward in ECM features as well • Fastest selling server product in Microsoft HistoryInformation Management for Everyone 17
  19. 19. The result of this SharePoint evolution • Flexible Solution • Heavily weighted towards ease of use and autonomy • Uptake of SharePoint is sometimes described as “Viral”Information Management for Everyone 18
  20. 20. Records Management 2.0It’s about finding a balanceInformation Management for Everyone 19
  21. 21. Balance • Balance the needs of the organizations with the wants of the users • Recognize that end users will NOT become records managers • Without all content being managed we will never be compliantInformation Management for Everyone 20
  22. 22. Records Management 2.0 • Leverage the Viral Adoption of SharePoint to connect with the Knowledge Worker • Transparent Participation in a Compliant Information Mgmt. • All content is managed, from a lifecycle, compliance and legal hold perspective • Ease the burden of Discovery with enhanced “Findability” • Eliminate reliance upon end users choosing and following policy and compliance rules • Lines of Business collaborate with IT in defining the rules and ongoing review processInformation Management for Everyone 21
  23. 23. What an RM 2.0 Solution is Not • SharePoint RM, either In-Place or via the Records Center – Gimmal’s largest SharePoint implementation is based on Open Text – Other very successful implementations include EMC|Documentum – SharePoint RM is attractive to many but not the only alternative • EDiscovery – Still need tools like Recommind & AutonomyInformation Management for Everyone 22
  24. 24. 2011 Findings RM 2.0  Informationis Lifecycle • This a very attractive message to IT • Companies agree that RM 1.0 failed and Hold that SharePoint is platform they want • Many want to consolidate for Work In economics instead of RM 1.0 failure Temporary • This Final Progress is an enterprise application, not a department application • Organizations understand potential of Disposition SharePoint in different ways  some organizations not ready for • All Information is managed from creation to disposition enterprise RM • 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 Result: Predictability, Relevance, Accuracy, Confidence and TrustInformation Management for Everyone 23
  25. 25. Best Practices for Electronic Records Mgmt. in SharePointInformation Management for Everyone 26
  26. 26. State of Electronic Records Management - 2012 • Most content does not have true “record” value • Once stored, most content is not retrieved after a few days • Large volumes of unmanaged content  critical to get rid of draft and WIP for storage and legal reasons • Still have “fire drills” when records are needed for FOIA, litigation, investigations, etc. • ECM solutions can be complicated and expensive and frustratingInformation Management for Everyone 27 27
  27. 27. OVERALL RM BEST PRACTICES • Governance Covers All Content • Retention Hold Process is Defined and Enforced • Communication and Training is in Place • Compliance Monitoring is in Place • Automated Destruction Process & Destruction Logs • Enterprise Information Lifecycle Model • Records Retention Schedule SharePoint 2010Information Management for Everyone 28 28
  28. 28. WHAT’S WORKING – BEST PRACTICES The Purpose of a Retention Schedule is record retention – Applicable to all record media, formats – Compliant w/ legal requirements in all jurisdictions – Compatible with how laws and regulations are organized – The Simpler the Better! – Integrated Legal Research – Big Buckets SharePoint 2010Information Management for Everyone 29
  29. 29. Legal Research and Legal Citations • Failure to comply with laws and regulations creates risks: fines, sanctions, and penalties, including embarrassment 15,000 legal citations at US federal and state Sites • Legal research usually performed by attorneys Legal Citations • Mapping Legal Citations to Retention Categories Retention Schedule • SharePoint 2010 Relates Citations to SharePoint Sites via Retention Categories and Content TypesInformation Management for Everyone 30
  30. 30. Big Bucket Approach • Retention Categories are “buckets” – where retention & disposition managed – Same or similar business processes – Same or similar legal and regulatory requirements – Maintained for the same or similar amount of time • Fewer/bigger “buckets” are better – Easier for users & automatic categorization tools – Improve ability to consistently retain records – Lower total cost of ownership • Best practice to structure retention schedules based on ISO 15489 – 1st Site is derived from functions and activities, not business unit names  (Business Function) – 2nd Site is based on the activities constituting the function; retention periods are assigned & destruction is managed at this Site  (Retention Category) – 3rd Site is comprised of record types generated as a result of activities orInformation Management for Everyone record series  (Record Type = Content Type) transactions within each 31
  31. 31. • File Plan • Retention Schedule • Legal Citations • Legal Holds Record Repository Top Level Portal Team Sites MySitesInformation Management for Everyone 32
  32. 32. Record Retention Schedule Retention Retention Retention Category Description Record Retention Retention Category Category (Content) Event Period Code Type HUM70 Personnel Files – Individual employee records related Retention period 6 years Personnel to hiring, promotion, performance begins with the Actions appraisals, transfers and disciplinary content is market action. Also includes employee final/ declared a relocation. record. HUM70 Employee Warnings HUM70 Performance Reports HUM73 Personnel Files – Individual employee records with Retention period 60 years Termination, terms of employment, salary and begins with the Training and wage schedules, technical training, content is market Summary safety training, resumes, applications, final/ declared a Records and termination records. record. HUM73 Employee Training Attendance Records HUM73 Letters of Resignation HUM73 Termination Documents HUM73 Exit Interviews HUM73 Employment ApplicationInformation Management for Everyone 33
  33. 33. Content Types & Record Routing Rules Retention Enterprise Content Type Business Category Function Organizational (Big Buckets) Local Content Content Type: Type Finance Fin.01 General Ledger 25 Years Managing Accounting Fin.01.01 Activities Ledger Voucher 25 years 15 Years Finance, Accounting & Tax (FIN) Expense Report Fin.01.02 15 Years Ledger Fin.02 15 years Bank Deposit Managing 10 Years Banking Activities Fin.02.01 Ledger Wire Transfer 10 Years 10 yearsInformation Management for Everyone 34
  34. 34. Information Lifecycle • Content Types • File Plan • Information Policy • Retention Schedule • Site Templates Term • Legal Citations • Document Templates Record • Legal Holds Store /Repository Content Hub Top Level Portal Team Sites MySitesSharePoint Framework
  35. 35. INFORMATION LIFECYCLE Retention XX Days Retention XX Months Retention Retention Schedule • Retention Location(s) Location(s) Location(s) • LocationNetwork Shares Document Libraries Record Center or E-mail Inbox 3rd Party Product • Metadata Metadata Name Metadata Name Metadata Name • Security Content Type Content Type • Versions • Disposition • Many others
  36. 36. FindingsTaxonomy Master Model of SharePoint Information • Heart in SharePoint Lifecycle Management • Companies like it but find it hard to (internal, external, confidential) understand what it means to implement Retention Category Code Owning Organization Content Type Name (system generated) Content Type Level Last Modified Date Employee Number Event Trigger Date Employee Name Security Class Content Type Create Date ILC State ILC Date Enterprise Enterprise X X X X X X Content Type Organizational Human Resources – X X X Content Type Employee Specific Local Content Personnel Files – HUM70 X Type Personnel Actions Local Content Personnel Files – HUM73 X Type Hiring, Termination, Training and Summary RecordsInformation Management for Everyone 37
  37. 37. Information Lifecycle • Content Types • File Plan • Information Policy • Retention Schedule • Site Templates Term • Legal Citations • Document Templates Record • Legal Holds Store /Repository Content Hub Top Level Portal Site Provisioning • Lifecycle • Taxonomy Team Sites • SP Features • XML Config. • Navigation • Search • Security MySitesSharePoint Framework
  38. 38. 2011 Findings SITE PROVISIONING is required to enable enterprise • This content governance in SharePoint • •Produces standardized environments Companies like message but find it hard –to understand what membership them Security groups and it means to Roles • –Most companies don’t do this initially – Pages and navigation Administrative – Web Parts Governance Focus – Lists Content Governance• Support all Site Templates – Document Libraries Focus • Publishing – Content Types • Collaboration – Site and library columns and auto- • Organization population rules – Custom functions • Project • Community of Practice • Leverages request and approval workflow  Content Types & Features • Personal (MySites) • Limits Local Admin’s to local needs – Minimizes “Administration” training – Ensures governance settings 39
  39. 39. Advantages Information Lifecycle • Pure SharePoint User Experience External • Multiple Repositories supported / File Plan Repository Retention  Open Text, HP, EMC, Laserfiche Schedule • EBS, RBS products remove Types • ContentContent from • Information Policy SQL Server • Site Templates Term Disadvantages / • Document Templates Store Content Hub • Multiple Repositories Top• Additional Coordination Required Level Portal • Who owns File Plan? Site • Govern SharePoint Content Types Provisioning from an external source? • How to incorporate into• new Lifecycle • Taxonomy Optional: SharePoint sites? Team Sites • SP FeaturesStoragePoint • XML Config.Documentum • Additional Integration Required• Navigation Laserfiche Open Text • 25% of significant cost • Search • Security HP Trim MySites SharePoint Framework 40
  40. 40. MULTI-REPOSITORY MODEL FOR DOCUMENTUM AND SHAREPOINT Information Lifecycle EMC Applications built on EMC Solution EMC-1 EMC-2 EMC-3 EMC-4 EMC-5 EMC-6 EMC-7 EMC-8 EMC-9 EMC-10 EMC-11 EMC-12 EMC Platform Regulated Lifecycle Business Process Content Imaging Management Management Management PROCESS SERVICES Information Desktop Record Digital Asset Federated XML Auto Classification Transformations Search Rights Integration Management Management Services Management ADVANCED CONTENT SERVICES Storage Optimization Trusted Content Services Integrated Archiving Backup and Recovery REPOSITORY SERVICES Information Lifecycle
  41. 41. Information Lifecycle Advantages • SharePoint-pureSharePoint • Leverages SharePoint ecosystem / File Plan 2010 • Enterprise Scalable Retention Schedule • Content Types • Includes an Information Lifecycle • File Plan • Information Policy MSFT • Retention Schedule • Includes Site Provisioning Term • Site Templates • Legal Citations Store / • Document Templates Records • Legal Holds • Includes File Plan and Retention Content Hub Center Schedule Governance in sites Top•Level Portal Metadata Inheritance for ease of use • Supports Enterprise Routing Rules Site • FAST all Components Required Recommind / Exterro / Stored IQ / Clearwell / Kazeon / Not / Encase / Work Products / Autonomy etc. Provisioning Disadvantages • Lifecycle • Some Assembly Required • Taxonomy Team Sites • SP Features • Planning is Essential • XML Config. • Navigation • Harder to retrofit sites thanSearch with • start new sites • Security MySites SharePoint Framework 42
  42. 42. Bruce Miller – www.rimtech.ca • Bruce Miller founded two RM companies – TrueArc  became EMC|Documentum RM – Tarian  became IBM RM • Primary Author of DoD 5015.2 Standard • Two Reports – Registration Required – In Place Records Management in SharePoint 2010 – GimmalSoft SharePoint 2010 First Look Product Review – www.rimtech.caInformation Management for Everyone 45
  43. 43. Bruce Miller – www.rimtech.ca • DoD 5015.2 – 168 Requirements for Certification • SharePoint OOB – meets 72 of DoD Requirements • Fortune 1000 – Needs 105 of the DoD Requirements – File Plan Management – Formal, Multistage Records Disposition – Case File Handling of Records – Event Driven Disposition – Records Transfer – Email Integration – Vital RecordsInformation Management for Everyone 46
  44. 44. RECORD DECLARATION & DISPOSITION OPTIONS SharePoint OOB • Send to Record Center Users are Records Managers • In Place Records Mgmt. Site Administrators are Records Managers • SharePoint Event Records Managers are SharePoint Admin’s – Record Date Reached Additional Lifecycle RM Options • Declare “Final” – Change Lifecycle State to “Final” – Press the Final Button – “Select all Final” from List – System Event • System Event – Contract Termination Date in SAP  applied to all related contract documents • Crawler Event – Documents with PII locked downInformation Management for Everyone 47
  45. 45. SHARE DRIVE AND SHAREPOINT SITE MIGRATION Reality • Compelling Market and MessagesProcess: • Many vendors, no complete solution. • Crawl Share Drives & legacy SharePoint sites  derive classification information • Active Navigation • Tag content with best fit Content Types • Stored IQ • Suggest a navigating taxonomy for SharePoint sites  Lists and Libraries in SharePoint • EMC Kazeon • Users review & accept taxonomy  Best Practices to accelerate process • Digital Reef • Migrate content to the SharePoint sites • Concept Searching • Have a Plan for File Shares Post-Migration • RecommindGoal  do this automatically except reviewBenefit  Compliant SharePoint sitesWork  Define mapping to Content Types SharePoint SharePoint Sites Sites Share Drives Crawling and Classification Information Management for Everyone 48
  46. 46. Reality SHAREPOINT 2010 SITE This is the problem thatMODEL MIGRATION many • organizations will present Team Sites • Many variations based on: • State of legacy SharePoint sites Transfer Ownership • Complexity of SharePoint customizations • Budget to proceed Controlled Site Collections Record Snapshot • Discussion crystallizes organization Controlled Controlled Controlled Information perspective Information Information Site Site Information Site LifecycleInformation Management for Everyone 49 49
  47. 47. Reality 3 Tier Email Model• Compelling Market and Messages • 3 Zone Model is Popular 80% 15% • Email volumes are daunting 5% • Many competitors, no complete solution Some email must be • Colligo email or Some retained on a temporary basis as work in progress. • MicrosoftisExchange unstructured information retained Majority of email created, • Symantec Enterprise Vault as a company record. received or sent. • Autonomy Work in Progress Assisted Delete Tier 1 Tier 2 • IBMOfficial Records Tier 3 Time Limited Space/Time Constrained • EMC|SourceOne Retention per Assisted Disposal Short Term Storage • Open Text Retention Schedule • Tiers 1 & 2 in Exchange, Tier 3 in SharePoint 2010 • ProofPoint (NextPage) • Tier 1  Time limited • Microsoft Exchange and SharePoint • Tier 2  Time and Space limited Teams are not in synch on Email RM • Tier 3 model • Retention Schedule Managed in SharePoint • Colligo Client for Records Declaration • Some additional integration may be justified in Tier 2  same user experienceInformation Management for Everyone 50
  48. 48. BreakInformation Management for Everyone 51
  49. 49. SHAREPOINT CONTENT GOVERNANCE MODEL Business Functions Projects/Communities Web Part II Web Part III Web Part IV Web Part VI • Identify Required Components Web Part I Web Part I Web Part I Web Part I Web Part V • Site Templates • Lists and Libraries • Content Types Site III Web Part IV Site IV Site III Site IV • ProcessesGovernance • Web Parts Roadmap Site II Site II Site II Sub site II Site II Site VI • Custom Functions • Define Direction and Phasing Site I Site I Site I Sub site I Site I Site I G&G OP’s HR Gulf of Drilling • Team Site Templates Implemented Site Finance. Mexico Community • Local Processes & Content Types Site Site Collection AP Site Site Site Collection Collection Collection Collection • Department or Team Administration • Content Types & Routing Rules • Managed Metadata / Term Store SharePoint Content Governance Infrastructure • Information Lifecycle Governance • Administration & Provisioning • Technical Architecture SharePoint Technical Infrastructure • Base SharePoint Configuration • SQL Server / .NET / RBS • Hardware / Storage/ Networks
  50. 50. Marathon Oil Case Study Integrated international energy company. 5th largest refiner in U.S. Retail marketing system comprises approximately 5,700 locations in 17 states. 18,000 knowledge workers globally. ECM/RM Program: – Relevant, up-to-date & trusted information – Consistent records management – Knowledge sharing platform Gimmal Services: – ECM Program feasibility in MOSS 2007 timeframe (2005-2006) – ECM vendor evaluation to support vendor selection – Enterprise Launch to 15,000 knowledge workers – Enterprise File Plan & Retention Schedule Update (2011) – Change Management Video – Case study on Microsoft.com  search for “Marathon Oil”Information Management for Everyone 53
  51. 51. Marathon - “Maraview” • SharePoint used to manage all unstructured content • Users Work In SharePoint Only • Integrated with an Open Text Records Repository • Filtering & Views are native SharePoint • Content In Either Repository based on Business Rules (Information Lifecycle States) • Movement Can Be User Or Process Driven • Location of content transparent to users • Uses SharePoint Desktop Integration With Office • Automated Site Provisioning & Standard TeamSites • File Plan In Open Text Records Repository Controlled By SharePoint Content TypesInformation Management for Everyone 54
  52. 52. Marathon: Deployment Model •File Plan • Content TypesEnterprise • Information Policy •Retention ScheduleIntranet • Retention Definition •Legal Citations MasterSite Records • Document Templates •Legal HoldsCollections Repository Site Open TextOrganization, AutomatedProject, SiteWorkgroup & ProvisioningCommunityTeamSitesMySites Information Management for Everyone 55 55
  53. 53. Information Lifecycle Hold Work In Temporary Final Progress Retention Retention Retention 90 Days 12 Months Retention Schedule Disposition Location(s) Location(s) Location(s) Network Shares SharePoint Open Text Metadata Metadata Metadata Name Name Name Content Type Content TypeInformation Management for Everyone 56
  54. 54. Marathon Lessons Learned • SharePoint ECM is a fine foundation for ECM & RM – 15K SharePoint Sites with one Information Lifecycle and Retention Schedule > 12K MySites – Very well received by users and supported by CEO • Divided into 2 Companies in 2011 • Completed SharePoint 2010 Team Site migration work in 2011 • Open Text works better for some things than others – Physical RM  yes – Search  no. Items found in multiple locations – Synchronization  no. Large % of cost is repository synchronization – Users prefer Office/Outlook  Native environment, not ECM or Web Parts • Content governance needed in SharePoint regardless of ECM SuiteInformation Management for Everyone 57
  55. 55. SHAREPOINT CONTENT GOVERNANCE MODEL Share Drive Replacement Basic Content Mgmt. Windows Explorer Replacement G&G OP’s HR Gulf of Drilling • Team Site Templates Implemented Site Site Site Finance. Mexico Community • Local Processes & Content Types AP Site Site Site Collection Collection Collection Collection Collection • Department or Team Administration • Content Types & Routing Rules • Managed Metadata / Term Store SharePoint Content Governance Infrastructure • Information Lifecycle Governance • Administration & Provisioning • Technical Architecture SharePoint Technical Infrastructure • Base SharePoint Configuration • SQL Server / .NET / RBS • Hardware / Storage/ Networks
  56. 56. Fortune 20 Company Requirements • Information Management – or ‘IM’ – is the processes, procedures, technology tools, and behaviors by which ORG controls and leverages information to achieve our mission and ensure compliance with legal and regulatory obligations. • ORG information – physical and electronic – is an organizational asset • ORG has a legal obligation to retain and preserve documents – Compliance is not optional • IM Program is responsible for fulfilling the IM Policy mandate, including the preservation hold, and providing operational support to ensure consistent information management practices across all ORG functions and locations. – IM Processes and Procedures are derived from the IM Policy. – IM Technology Tools establish a secure information mgmt. environment. – IM Behaviors must be adopted by everyone – “I am IM”. • Working together we can manage our information effectively to help achieve our operational mission and ensure compliance with legal and regulatory obligations. • One team – one mission – “We are IM”Information Management for Everyone 59
  57. 57. Fortune 20 Company Implementation • Connect – ORG tool for managing information – Provides a single storage location for managed and controlled documents – Next generation SharePoint solution similar to Windows Explorer – Organizes and secures electronic information making it available to the right people at the right time with preservation hold compliance built in consistent with the IM Policy • Result – A phased rollout of Connect occurred in 2011 – Every function/location participated in the implementation process – Communication activities provided relevant information when needed – Training to ensure users understand Connect to create, store, and manage information – IM Program team facilitates adoption process providing expert assistance – All employees, contractors, third party service providers and employees required to comply with the IM Policy and utilize ConnectInformation Management for Everyone 60
  58. 58. SHAREPOINT CONTENT GOVERNANCE MODEL SharePoint Records Management Proof of Concept SharePoint Records Metadata & Center Rule Inheritance or Content Organizer 3rd Party • SharePoint Records Center Repository Drop of Record Zones • File Plan Builder Implemented • Content Organizer Implemented • Team Site Templates Implemented File Plan OP’s HR Builder Site Site Finance. • Local Processes & Content Types Collection Collection AP Site • Department or Team Administration • Content Types & Routing Rules • Managed Metadata / Term Store SharePoint Content Governance Infrastructure • Information Lifecycle Governance • Administration & Provisioning • Technical Architecture SharePoint Technical Infrastructure • Base SharePoint Configuration • SQL Server / .NET / RBS • Hardware / Storage/ Networks
  59. 59. Unified Records Management – A Case Study Our Mission: Information Management for Everyone Microsoft Legal & Corporate Affairs Information The World Lifecycle and Leader in Governance Information Solutions for Management SharePoint ServicesInformation Management for Everyone 62
  60. 60. The problem we are solving • Information is siloed across multiple applications making information hard to find for users • Because of siloed applications, retention policies are managed and applied in multiple systems or not at all, creating risk to the company • The rise in litigations means attorneys and paralegals spend an enormous of amount time search multiple systems for early case assessments. This results in rising soft costs and hard costs when working with outside counsel • Many of the applications being supported are old and expensive to maintain. Microsoft wanted to leverage Office 365 and SharePoint as much as possible.Information Management for Everyone 63
  61. 61. RM Personas Amy is a Business User.  Amy would like to declare a record. Three primary users  She wants to search and retrieve records at the file rather than the box level.  She wants to view the check in/check out Tim is a Records status of her records. Manager.  Amy needs a reminder when records are checked out to her for longer than a Tim wants a robust search function across the certain period of time. multiple document repositories. He needs a consistent taxonomy so a single entry locates records related to a specific topic. Tim would like more visibility into record Marisa is a Super history and interactions, including all User. electronic and physical record movements. He would like to see the chain of custody.  Marisa would like to un-declare a record Tim needs to be able to apply retention for a team member. requirements, up to and including final  She would like to view the check in/check disposal. out status of her team’s records. He would like to restrict record ownership  Marisa can search and retrieve records based on specific user permissions, including with minimal third party intervention. restricting certain users to read-only.  Marisa gets a reminder when records Tim needs reports on checked out records, checked out by her department are due including a status on customer alerts. for return.  She also needs an alert when customers 65Information Management for Everyone 65 have returned records.
  62. 62. What Keeps Them Up at Night? • General Counsel • Worries if they are in compliance with legal and regulatory rules related to their retention policy • Worries if they have found all the content and email needed to meet their eDiscovery obligations • CIO’s • Struggling to consolidate platforms in an effort to lower cost and improve corporate performance • CFO • Is worried about the high cost of supporting multiple environments and the rising cost of outside counsel wading through mountains of content in early case assessmentInformation Management for Everyone 66
  63. 63. Solution Framework Retention Policies Long Term Create Collaborate Review/Approve Store Disposal Retention SharePoint & SharePoint SharePoint Record SharePoint & Office Products SharePoint Office 365 “in place” Center Iron Mountain Outlook/Colligo Lync 2010 Iron Mountain Physical Records Management System 68Information Management for Everyone 68
  64. 64. Records Architecture LCA Enterprise (300K Sites) LCAWeb Collections “In Place” Compliance Driven OneLCA SharePoint Sites Microsoft Enterprise Portals SharePoint SharePoint Collections Online Farms //SharePoint //portal Managed Sites Unmanaged Sites Link and Move to Record Center Send to Record Center SharePoint Record Center Term Store (Taxonomy) FAST Search Role Based Security Managed Metadata Information Management PoliciesUnified Records Management Content Sync & Migration E-mail Management, (URM) File Shares & Offline
  65. 65. Unified Records Management (URM) • The role of GimmalSoft  The role of Iron Mountain-Accutrac  Purpose Built Physical Records – Built Inside SharePoint Management – SharePoint Information Lifecycle &  Physical Process Workflow Governance Solutions  Record Classification > Automated Site Provisioning  Index and Label Files > Enterprise Information Lifecycle  Barcode Tracking > Transparent Record Declaration  Request and Retrieval Processes  View of all Physical Inventory – DoD5015.2 Certified Records  Access Offsite Inventory Management  Apply Retention and Holds > The management and disposition of  Management and Reporting both electronic & physical record  Space Management > Central creation of file plan and deploys to all site collections globally > Manage email as a record through simple drag and drop > Case or matter based retention and disposition policiesInformation Management for Everyone 70
  66. 66. URM in SharePoint • End users have unified view of physical and electronic records within a SharePoint • Users can: – Search for physical and electronic records in SharePoint – Manage physical item containership – Retrieve and create physical records – Request pickup, delivery, and check out • Records Coordinators can: – Apply retention policy to physical and electronic records – Apply legal holds to physical and electronic records • SharePoint & Accutrac become systems of record across physical and electronic contentInformation Management for Everyone 71
  67. 67. Actionable menu for physical records Physical records ribbon exposes services end users can provision directly from their desktop. Request will be passed directly through to IM ConnectInformation Management for Everyone 72 72
  68. 68. Unified view of Physical & Electronic Physical & Electronic content is managed with a consistent set of policies and a common disposition process Allows users to associate physical records with their containers through a parent child relationshipInformation Management for Everyone 73 73
  69. 69. The problem we are solving • Information is siloed across multiple application making information hard to find for users • Because of siloed applications, retention policies are managed and applied in multiple systems or not at all, creating risk to the company • The rise in litigations means attorneys and paralegals spend an amount of enormous time search multiple systems for early case assessments. This results in rising soft costs and hard costs when working with outside counsel • Many of the applications being supported are old and expensive to maintain. Microsoft wanted to leverage Office 365 and SharePoint as much as possible.Information Management for Everyone 74
  70. 70. SHAREPOINT CONTENT GOVERNANCE MODEL SharePoint Records Management SAP Applications AP Processing (P2P) SharePoint SAP HR Processing (R2R) Records Metadata & Searching for Documents Accounts Receivable (O2C) Center Rule Inheritance Business Processes or Content Content Governance for SAP Scanning Organizer Any to Any Doc to SAP OCR / ICR 3rd Party Repository Drop of Record Zones ArchiveLink Connectors File Plan Contracts HR Site Finance. SAP Communication Service Builder Site Collection AP Site Collection  Use Capture Framework for o Oracle Financials SharePoint Content Governance Infrastructure o Microsoft Dynamics SharePoint Technical Infrastructure
  71. 71. Fortune 100 Food Company Problem: TCO of legacy FileNet system too expensive;  wanted to move to SharePoint • 65,000 SharePoint Users, wanted Team Sites with both SAP and SharePoint access to documents for HR, Finance, Logistics, Plant Maintenance, IT, and PLM functions • Future: automated invoice processing; desire for more open ECM and portal environment – Yearly Invoices and Receipts Processed: 20M invoices, 13M delivery receipts Solution: Replace FileNet with MOSS for SAP ECM • MOSS, KnowledgeLake and Nintex as complementary enabling technologies • ReadSoft for automating invoice processing • Records Archival: SAP Outbound & Inbound Documents • “Cloud hosted” Record Archive for Inactive Doc/Records – SharePoint2007/SQL Server 2008 sits in the cloud at Microsoft BPOS • Upgrading to SharePoint 2010 • Evaluating Content Type Model for Records ManagementInformation Management for Everyone 76
  72. 72. Microsoft View of SharePoint Products Foundational ECM  Limited Support for Products Web Rich Document Human Document Records Email Content Media Output Centric Mgmt. Mgmt. Archiving Mgmt. Mgmt. Mgmt. Workflow Supplemental ECM  Embrace and extend SharePoint with Product Partners Physical, DoD Business Transactional Archiving & Scanning and Records Process Content Library Capture Mgmt. Mgmt. Mgmt. ServicesInformation Management for Everyone 77
  73. 73. 2011 Findings SHAREPOINT ECOSYSTEM OF ECM PRODUCTS • The best-of-breed nature of SharePoint solutions makes companies nervous Physical, DoD Business • Companies hungry for consistent & Transactional Scanning and Archiving Records Process Content Library Mgmt. Mgmt. Mgmt. content governance for applications Capture Services File Trail, Nintex, K2, • SharePoint ecosystem providers hungry Hyland, SAP Kodak, ECopy Metalogix, OmniRIM (AS), Global360, Kofax, Oracle consistent content governance for for MetaVis,LaserFiche, GimmalSoft, Metastorm applications AvePoint,HP Trim, Autonomy RM, Readsoft Quest, Iron Mtn. (Accutrac) • SharePoint is still building momentum HP Trim Kofax KnowledgeLake EMC IBM Open Text Tools: AvePoint, Idera, Quest, Axceler, Neverfail Email: Symantec, CommVault, Autonomy (Mimosa), EMC|SourceOne, Proofpoint, Colligo Connectors: ESRI, Intergraph, SAP, Stone Bond, ERP-Link Share Drive Migration: StoredIQ, Kazeon, Active Navigation, Digital Reef, Concept Searching Search: FAST, Autonomy, Coveo, Google, MetaCarta, Recommind, EDiscovery Vendors Services: KnowledgeLake, Hitachi, Catapult, Gimmal, Neudesic, EMC, Open Text, Dell + many Information Management for Everyone 78 78
  74. 74. Best Practices for RM 2.0 Content Governance • Define Content Governance Roadmap – Define your Content Governance partner / product ecosystem – Define your Content Type and Site Provisioning Templates and Inheritance – Provide a Foundation for Consistent Team Sites and MySites • Define an Enterprise Information Lifecycle – Separate from business process – Enforced across multiple repositories 10 – 12 – Achievable with a practical minimum of user involvement Weeks • Enable Content Governance and Policy with a Framework – Not just Infrastructure Governance  Content Governance – With Support and Refresh of a Records Management Program(s) – With Support and Refresh of a Legal and eDiscovery Program(s) – With Support and Refresh of Knowledge Management Program(s) • Demonstrate it with a Proof of Concept • Prioritize the Projects for Enterprise Deployment • The best time is with a new version of SharePoint (2010 vs. Wave 15?)Information Management for Everyone 80
  75. 75. Summary • Current RM solutions are not working and we need a better way • Learn from highly adopted solutions like SharePoint on how to engage end users • SharePoint has the user adoption to enable Enterprise Records Management to happen • Need a crawl-walk-run strategy to achieve Enterprise Records ManagementInformation Management for Everyone 81 81
  76. 76. Top 10 Questions in RM • Can we do everything with SharePoint? – Does SharePoint RM scale to the Enterprise? – Does SharePoint 2010 RM fix the records problems from MOSS 2007? • Can we justify consolidating ECM & RM to a single vendor? – What about our investments in “X”? • Do we need one File Plan and Retention Schedule for Electronic and Physical Records? – What about our Paper-based Records Management? – How should we use “Big Buckets” in our File Plan? • Who should control our Records Management functions? • How is SharePoint related to eDiscovery? • Where do we start? • If we build it, will they all come? • How do I get Executives to Care?Information Management for Everyone 82
  77. 77. THANK YOU! SharePoint Capture, Workflow and Records Management Presented by: Mike Alsup Date: February 8, 2012Information Management for Everyone 83

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