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

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Presentation on theme: "RecordLion, Inc. SharePoint Records (Information) Management What works, what doesn’t? Chris Caplinger RecordLion, Inc."— Presentation transcript:

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

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7 RecordLion, Inc. 9 Big RIM Rocks 1.File Plan Management 2.Classification 3.Event based retention 4.Disposition 5.Auditing 6. Handling 7.Physical File Handling 8.Legal Holds 9.eDiscovery

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

9 RecordLion, Inc. 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

10 RecordLion, Inc.

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

12 RecordLion, Inc. Location Based Taxonomy 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 Only possible if similar information is stored together Find information by browsing

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

14 RecordLion, Inc. Records CenterIn Place Record StatusGood for archive and in- active records Good for active and collaborative information SecurityRecords are kept separate and secure Information is secured while active AccessibilityGood when only Records Managers access Good when teams still need access VersionsFinal version is a recordAll versions are records Policies are driven byUsually by locationUsually by Content Types AdministrationHarderEasier Record Centers vs. In-Place

15 RecordLion, Inc. 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 RecordLion, Inc. 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 RecordLion, Inc. Classification, what works? Drop Off Libraries Route content based on Metadata Metadata foldering (great for handling case type files)

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

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

21 Retention

22 RecordLion, Inc. 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

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

24 RecordLion, Inc. Retention Issues No Case 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 RecordLion, Inc. 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 RecordLion, Inc. Disposition, what works? Recycle Bin Permanent (but not forensic) Deletion of content Also Exchange Mailboxes Deletion of entire sites Transfer to other SharePoint locations

28 RecordLion, Inc. 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 RecordLion, Inc. Auditing Overview Needed for defensible RIM and eDiscovery Needed to see if Records Management is working Aids in reporting

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

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

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

36 RecordLion, Inc. 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 2010 used deleted or modified dates 2013 can use receive date In-Place Archiving Eliminates PST (Good for compliance)

37 RecordLion, Inc. 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…

38 Physical Files

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

40 RecordLion, Inc. 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 RecordLion, Inc. 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 RecordLion, Inc. 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

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

45 eDiscovery

46 RecordLion, Inc. eDiscovery, what works? Site Collection Single place to collect information Automatically places Legal Holds Ability to export data Integration with Microsoft Exchange Enterprise wide searching eDiscovery Center Site Template Basic search and hold Record Centers

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

48 RecordLion, Inc. SharePoint RIM Q&A

49 Introducing RecordLion Information Lifecycle

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

51 RecordLion Demonstration

52 Implementation

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

55 RecordLion, Inc. Thank You! Q&A Chris Caplinger @chrislcap


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