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SharePoint Records and Compliance Anthony Woodward Australia 1.

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Presentation on theme: "SharePoint Records and Compliance Anthony Woodward Australia 1."— Presentation transcript:

1 SharePoint Records and Compliance Anthony Woodward Australia 1

2 Introductions Anthony Woodward Chief Technology Officer RecordPoint Technology professional with fifteen years of experience in information technology focusing on Records management and collaboration. Software Engineer when my schedule lets me Member of the Microsoft Partner Council (SharePoint) and a Microsoft Virtual Technical Specialist. Broad range of corporate and government business problems including technical publishing, product data management, and records management. Anthony & RecordPoint Paula & Intergen

3 Why do we need to Records Manage at all? Do I care? 3

4 4 Liu Jinbao Former CEO of Bank of China Now on Death Row Liu Jinbao Former CEO of Bank of China Now on Death Row Bernie Ebbers Former CEO of WorldCom Now Serving 25 Years Bernie Ebbers Former CEO of WorldCom Now Serving 25 Years Luke Duffy Formerly of National Australia Bank Now Serving Time, Took Down CEO Luke Duffy Formerly of National Australia Bank Now Serving Time, Took Down CEO Ken Lay Former CEO of Enron Facing 175 Years Ken Lay Former CEO of Enron Facing 175 Years Gale Norton Secretary of the Interior Held in Contempt of Court Gale Norton Secretary of the Interior Held in Contempt of Court Morgan Stanley Fined $1.45 Billion Stock Price Down CEO Removed Morgan Stanley Fined $1.45 Billion Stock Price Down CEO Removed Examples of What NOT to do! Compliance Hall of Shame

5 5 Are you one of those in the Board Room or middle management?

6 6 Value Proposition for Records Management Globally the courts will view the following as BAD = 1.NOT having a Records Management Program 2.NOT having a consistent deployed Records Management Program 3.NOT having a Data map (knowing the where, how, when regarding retrieval of your own data) 4.NOT having performed an audit of your Records Management Program and eDiscovery Plan Single Enterprise Search / e-Evidence Discovery (records & non-records) Consistency in the control and classification Consistency in ability to manage business records Centralised application & release of Hold Orders Centralised disposition authority for the enterprise

7 7 Any Predictions on how this will turn out?

8 8 What are the Implications? More audit and court fines, out-of-court settlements, etc. regarding than another other document type. Implications of Unified Communication: Retention of those Communications , Instant Messaging (IM), fax, v-Mail, Snail Mail, ??? (whats next Blogs, Wikis, Twitter, Facebook?) What is your corporations Legal Position? Keep everything destroy nothing Keep nothing destroy everything All is created equal Regulatory Drivers Ensure timely and complete disposition / expunge of ALL copies Ensure privacy and record security policy

9 Agenda

10

11 SharePoint is here… Sources: State of the ECM Industry 2011, AIIM, March 2011; Microsoft TechNet, Microsoft, February 9, 2011

12 So what are we using SharePoint for? Source: SharePoint Industry Watch, AIIM, July 2010 CONTENT

13 SharePoint Share

14 CreateControlProtect Create and organize content easily Manage content policy, information architecture and taxonomy Reduce risk and manage compliance with centralized tools Enterprise Content Management

15 123 ECM has evolved, where content creation and organization is intuitive and simple through discovery and collaboration Ensure compliance is achieved through content policy, information architecture and taxonomy Centralized eDiscovery across the Office platform helps protect organizations by improving compliance without affecting user productivity

16 Agenda

17 What is Records Management? Practice of identifying, classifying, archiving, preserving, and destroying records according to a set of pre-defined standards

18 Why Records Management? Increasing pressure to manage risk more effectively through improved compliance with regulatory and corporate policies Government and industry regulations Singapore Government Information Management handbook, ISO & ISO 16175, MoReq and DOD Legal eDiscovery Court Handbook of Singapore etc.

19 Records Management Challenges Difficulty applying retention policies to content High costs of complying with new laws and regulations Difficulty providing access to controlled records Heavy reliance on IT Poor user adoption of records management solutions

20 Records Management Strategy You should view retention and records management as a component of the overall document lifecycle to reduce risk and improve compliance with increased adoption

21 Content Lifecycle Create Collaborate Review Approve Publish/ Declare Expire Archive/ Destroy

22 Agenda

23 Whats New in SharePoint 2013? SharePoint 2010: Content Organizer Document Sets Document IDs Location-based metadata defaults Metadata navigation In-Place Records Site-based eDiscovery and Holds SharePoint 2013: SharePoint 2010 features, plus: Site Retention Site Mailboxes eDiscovery Portal Cloud Parity

24 Whats new in SharePoint 2013 Microsofts two key goals for SharePoint 2013: Investment in cloud-first. For example, you can now do records center in the cloud. By making most aspects of content easier to use, you get better adoption and information governance.

25 SharePoint 2013: Whats New in Records Management Site Mail Boxes & e-Discovery Cloud Parity

26 Site Retention

27 Compliance features of SharePoint Server 2013 have been extended to sites. You can create and manage retention policies in SharePoint Server 2013, and the policies will apply to SharePoint sites.

28 Site Retention Compliance officers create policies, which define the following: The retention policy for the whole site What causes a project to be closed When a project should expire

29 demo

30 Site Mailboxes

31 Easy to add an associated mailbox for a site Drag s from Outlook into document libraries Manage s as records Close and expire sites and mailboxes together

32 eDiscovery Portal SharePoint 2013 In- Place Holds Exchange 2013 In-Place Holds Query-based preservation

33 Unified Discovery across Exchange, SharePoint and Lync Find it all in one place (unified console) Find more (in-place discovery returns the richest data) Find it without impacting the user (Give legal team discovery, leave IWs alone) Discovery Center in SharePointUnified Preserve, Search and Export Exchange Web ServicesConnect to Exchange to get mailbox data Lync Archiving to ExchangeExchange is the compliance store for Lync Search InfrastructureExchange and SharePoint use the same search platform

34 View in-place hold stats in real time Legal can create discovery sets for in- place preservation Create queries to trim down content required for analysis or export

35 Preserve content in original location with true fidelity Add Exchange mailboxes, SharePoint sites and file share sources

36 View breakdown of results and size statistics at-a-glance Unified search query across Office platform Reduce preservation set size with additional filters Preview content prior to export Multiple message types, including Lync

37 Preserve discussions and feeds from SharePoint Tabbed results

38 Export content to EDRM XML standard format Options for de- duplication, IRM removal and document versioning

39 Cloud Parity Records Center: cloud parity Document IDs Multi-State Retention Per-Item Audit Reports Hierarchical File Plans File Plan Report In-Place Records Management in the cloud Taxonomy Central Content Types Content Organizer Virtual Folders (Metadata Navigation)

40 demo

41 Agenda

42 Records Management Challenges Difficulty applying retention policies to differing content Granular Retention control – OOTB SharePoint only has limited actions: Heavy reliance on IT Poor user adoption of records management solutions Records can still mean managing Paper/ Physical records

43 Considering Records in SharePoint? How much content do you have? What types of content do you have? Can you maintain the experience? What are your compliance requirements? Who will be using SharePoint, and how? How long do you plan on keeping your content? In SharePoint… In your company… What version of SharePoint do you have?

44 Considering Compliance for SharePoint? What are your compliance requirements?

45 COMPLIANCE Source -

46 Microsofts Research 88% of Records functionality as defined by the ICA standard (ISO 16175) is now available out of the box using Sharepoint 2010 Additional configuration and Third party applications are required to provide specific records compliance functionality A considerable amount of the requirements of International Council of Archives standard is delivered SharePoint 2010.

47 RecordPoint Delivers Compliance to ISO standards Built into SharePoint Seamless end user records experience Records Manager tools: Rules driven Definable aggregation Disposal Reports/ Workflows Export/ Import tools for Records Physical File/ Record Management in SharePoint File Request Management Records Reporting Single view for Records team Enhances SharePoint Term Store for BCS

48 Deliver Best-in-Class Hybrid Cloud Common Technologies Identity Virtualization Management Development Hybrid Support & the Commons RecordPoint Collects from Cloud Total Cost of Ownership On Premise or Hosted Solution Private Hybrid Support & the Commons Built in Azure Higher-level Services PublicThe RecordPoint Difference Coming Soon

49 49

50 Next Steps… Take Office 2013 for a spin! Try Office 365 Preview Blog:

51 Evaluations – How did I do? 51

52 Thank You Anthony Woodward CTO personal More Information on RecordPoint at: Or Follow RecordPoint on

53 Thank you to our sponsors 53


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