1. SharePoint Records (Information) Management
What works, what doesn’t?
Chris Caplinger
RecordLion, Inc.

2. Who am I?
And why am I talking about Records Management and SharePoint? Founder and President of Vice President of the St. Louis Chapter of ARMA Former CTO and co-founder of Co-author of “SharePoint 2010 ECM”

3. Session Overview What we are going to discuss: RIM Components
(Mostly) SharePoint 2013 On Premise and Online
What RIM features work and what are the issues
The RecordLion Solution
What we will briefly discuss:
Microsoft Exchange
What we are not going to discuss:
Rights Management
Technical details on SharePoint
Something else that’s likely important to you

4. The Cost of Obsolete Information
Data Growth
Organizations double amount of data they store each year
Moore’s
Law
Information Breach
The more data you keep, the greater the risk of information breach
Noise
More data you keep - the harder it is to find
The more data you keep - the harder it becomes to analyze
Data is useless if it can’t be analyzed
Legal Costs
Opponents discovering information that could have been destroyed can cost millions of dollars.
Error in obsolete data are prone to penalties
Local company fined for old accounting data

7. 9 Big RIM Rocks File Plan Management Classification
Event based retention
Disposition
Auditing
Handling
Physical File Handling
Legal Holds
eDiscovery

8. File Plan Management and taxonomy
“By failing to prepare, you are preparing to fail.”  - Benjamin Franklin

9. File Plan Overview
A document or a way to document the retention schedules for all your information.
Your Records Manager should create and maintain your File Plan
You must publish your File Plan
File Plans should include a cutoff event, retention period and disposition information

11. File Plan, what works? Record Managers need File Plan Management
Use Excel Spreadsheet
Use SharePoint List(s)
Use a third party product
Taxonomy Structure
Show example of Excel Spreadsheet
Location Based for Homogenous environments
Content Type Based for Heterogeneous environments

12. Location Based Taxonomy
Only possible if similar information is stored together !
One site (or site collection) for each business unit
Human Resources
Accounting
Corporate
Libraries for high level record types
Employee Records
Hiring Records
Employee Benefits
Folders for different cases
Employees
Candidates
Benefit Year
Find information by browsing !

13. Find information by searching
Content Type Based
Crucial in heterogeneous environments !
Use Content Type Publishing
Central location for document types and policies
Helps ensure governance
Find information by searching

14. Record Centers vs. In-Place
Records Center
In Place
Record Status
Good for archive and in- active records
Good for active and collaborative information
Security
Records are kept separate and secure
Information is secured while active
Accessibility
Good when only Records Managers access
Good when teams still need access
Versions
Final version is a record
All versions are records
Policies are driven by
Usually by location
Usually by Content Types
Administration
Harder
Easier

15. ! ! ! File Plan Issues Taxonomy is not generated from File Plan
Changing File Plan does not change taxonomy !
No help in understanding regulations and laws

16. Classification

17. Classification Overview
Classification assigns information to a specific class of content which should be related to policies.
Creates defensible policy assignment
Simplifies searching
Reduces cost of eDiscovery

18. Classification, what works?
Drop Off Libraries
Route content based on Metadata
Metadata foldering (great for handling case type files)
Available in SharePoint 2010, 2013 and Online
Employee Records
John Doe
Jane Doe
Fred Smith

19. Classification, what works?
Location based classification
Upload from library
Drag and drop on browser
Drag and drop using Synced Libraries (also OneDrive Business) !
Potential Governance Risk

20. Classification Issues!
No Meta Data Classification
Forces too many Content Types !
No Automatic Document Classification
Meta Data Extraction
Classification for Content Types !
No Classification
Move to SharePoint?
Leave in Exchange?

21. Retention

22. Retention Overview
Retention is a component of a file plan. Specifically it specifies how long after an event before disposition takes place.
What drives retention periods?
Industry regulations
FINRA, SOx
Corporate policies
Local, state and federal laws
IRS, DOL
File Plans should include a cutoff event, retention period and disposition information
Barclays fined $3.75M

23. Retention, what works? Assigning policies per Content Type or Location
Temptation
Recommended
Site Retention
Close and Delete Sites based on rules

24. ! ! Retention Issues No Case Based Retention No Event Based Retention
Need to dispose all related document (ex. Employee Files, Tax Records, Loan Files) !
No Event Based Retention
Required for cases
Date column retention is not enough
Custom policies require experienced developer

25. Disposition

26. Disposition Overview
Disposition refers to the formal disposal of content from your organization.
For disposition to work you need a…
File Plan
Review and Approval capabilities
Destruction and/or Transfer process
Not all content needs this process, but your important records should be reviewed before being destroyed!

27. Disposition, what works?
Deletion of content
Recycle Bin
Permanent (but not forensic)
Deletion of entire sites
Also Exchange Mailboxes
Transfer to other SharePoint locations

28. ! ! Disposition Issues No Review and Approval features
Custom workflow required !
Forensic destruction
SQL data?
OneDrive for Business Documents?
Is this important to your organization?
Forensic Discovery Unlikely
Potentially more secure!?!

29. Auditing

30. Auditing Overview Needed for defensible RIM and eDiscovery
Needed to see if Records Management is working
Aids in reporting

31. ! Auditing, what works? Content Auditing
This WILL slow your system down

32. ! ! ! Auditing Issues No way to determine accuracy
Classification accuracy
Records declaration accuracy
Disposal accuracy !
Difficult to impossible to analyze
Excel Export
No cubes or custom reporting !
Performance

35. SharePoint Email records only Moving records to SharePoint
Not for active or non-record s
Moving records to SharePoint
Automatic (Third Party)
Drag and Drop (Limited)
Move in Outlook (Third Party)

36. Exchange Retention for all messages on a mailbox
2010 and newer
Custom retention for specific locations
2010 and newer
Message classification (2013 and Online)
In-Place Legal Holds
Custom policy tags for Calendar and Tasks are only available in Exchange 2013
2010 used deleted or modified dates
2013 can use receive date
In-Place Archiving
Eliminates PST (Good for compliance)

37. Exchange or SharePoint
It will be difficult (or maybe impossible) to create the policies for your File Plan in Exchange
Determine how to identify records in Exchange
Move identified records to SharePoint
Create policies for non-records in Exchange
Call to action…
RecordLion eliminates the need to move records to SharePoint, since it can use the same file plan for both SharePoint and Exchange.

38. Physical Files

39. Physical Files Overview
Do you need paper?
Quick ROI with scanning
Electronic creation is even better
When you store paper consider…
A safe dry place.
Are they secure? (Who’s viewing and copying?)
Do they have retention schedules?
How is it being destroyed.

40. Physical Files, what works?
Organization
Libraries and folders can match physical locations
By Record Type
By Date (typically year)
Organizational/Departmental
Content Types
Rarely homogeneous
Use when possible

41. Physical File Issues !
No integration into commercial records centers
Iron Mountain
Recall
The File Room !
No tracking
No auditing
Check In/Out not a solution !
No file requests/fulfillment !
Barcodes and Labels
Built for electronic documents !
Not in sync with similar electronic records

42. Legal Holds

43. Legal Holds Overview
Suspending the normal disposition of information when it is reasonably expected.
Legal holds can protect you from spoliation fines or in some cases, incarceration
Legal holds should suspend the information management policies
Legal holds should lock information from further editing
Identifying the correct information is key to successful legal holds
Legal holds are required for present and future information
Amendments to the Federal Rules of Civil Procedure (FRCP) from December 1, 2006 require organizations to hold electronic records (in addition to physical records) until the legal matter was settled.
Just as important to find the information that should be held is the ability to eliminate information that is not relevant.

44. Legal Holds, what works?
Legal holds aren’t the problem… finding the right information is
Classification is key
eDiscovery Center
In-Place Holds (Records Center not necessary)
Record Centers

45. eDiscovery

46. eDiscovery, what works? eDiscovery Center Site Collection
Single place to collect information
Automatically places Legal Holds
Ability to export data
Integration with Microsoft Exchange
Enterprise wide searching
Legal Holds are typically done before eDiscovery
Exported data includes complete list of exported data
Export and Hold can include documents, list items, pages, blogs and Exchange objects
Record Centers
Site Template
Basic search and hold

47. ! ! ! eDiscovery Issues What about your other information?
Unstructured Data can be difficult to search !
Conversion to usable formats

48. SharePoint RIM Q&A

49. Introducing RecordLion
Information Lifecycle

50. RecordLion Difference
File Plan (Retention Schedule)
Import/Create/Modify
“All” your content
Classification
Folders AND/OR Content Type AND/OR Meta Data
Disposition
Defensible Disposition
Audit Trail
“All” your audit information
Advanced Reporting
Content
Not just SharePoint

51. RecordLion Demonstration

52. Implementation

53. Steps to Success in SharePoint
#1 - Build File Plan
Where information is stored
Where information comes from
What is a record and when to declare them
Handle non-records
#2 - Implement File Plan
Create taxonomy (the flatter the better)
Publish File Plan
#3 - Start collecting and classifying information
#4 - Monitor your success

54. Sensible Records Management
#1 - Make sure you can find what you’re looking for
Classify information
Create an easy interface for searching
Without this your business will not be efficient
1st, Physical 2nd, SharePoint 3rd
#2 - Make sure you keep records long enough
Lock records (declare)
Create a file plan/retention schedule
Without this you are risking spoliation fines (ignorance won’t fly in court)
#3 - Destroy records when legally possible
Approve and destroy records when it’s legally possible
#4 – Start considering your other information
Networks Shares, IM, Social Networks, Mobile Devices

55. Chris Caplinger chris@recordlion.com @chrislcap
Thank You! Q&A
Chris Caplinger
@chrislcap