SharePoint Records and Compliance Anthony Woodward Australia

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

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

Examples of What NOT to do! Compliance Hall of Shame 31.03.2017 Examples of What NOT to do! Compliance Hall of Shame Luke Duffy Formerly of National Australia Bank Now Serving Time, Took Down CEO Bernie Ebbers Former CEO of WorldCom Now Serving 25 Years Ken Lay Former CEO of Enron Facing 175 Years Liu Jinbao was a former CEO of Bank of China (Hong Kong) Limited and vice-chairman of Bank of China. Liu was abruptly transferred back to Beijing to become vice-chairman of Bank of China in May 2003. Investigations subsequently found Liu to have "committed economic crimes" in connection with his previous appointment as the head of the Shanghai branch of the Bank of China. Liu was subsequently dismissed from his post. Liu, along with three other senior managers, were also alleged to have made "unauthorized distribution for personal purposes" of funds belong to the Bank of China before BOCHK was established. The Standard speculated that the amount involved was HK$30 million. Chinese court has sentenced him to death. Gale Norton Secretary of the Interior Held in Contempt of Court Morgan Stanley Fined $1.45 Billion Stock Price Down CEO Removed Liu Jinbao Former CEO of Bank of China Now on Death Row

Are you one of those in the Board Room or “middle management”? 31.03.2017 Are you one of those in the Board Room or “middle management”?

Value Proposition for Records Management 31.03.2017 Value Proposition for Records Management Globally the courts will view the following as “BAD” = NOT having a Records Management Program NOT having a consistent deployed Records Management Program NOT having a Data map (knowing the where, how, when regarding retrieval of your own data) 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

Any Predictions on how this will turn out? 31.03.2017 Any Predictions on how this will turn out?

What are the Implications? 31.03.2017 What are the Implications? More audit and court fines, out-of-court settlements, etc. regarding e-mail than another other document type. Implications of Unified Communication: Retention of those Communications e-Mail, Instant Messaging (IM), fax, v-Mail, Snail Mail, ??? (what’s next Blogs, Wikis, Twitter, Facebook?) What is your corporations Legal Position? Keep everything destroy nothing Keep nothing destroy everything All e-Mail is created equal Regulatory Drivers Ensure timely and complete disposition / expunge of “ALL” copies Ensure privacy and record security policy

Agenda Enterprise Content Management Records Management SPC2012 – IT Pro 3/31/2017 Agenda Enterprise Content Management Records Management What’s New in SharePoint 2013? 3rd Party Tools © 2012 Microsoft Corporation. All rights reserved. Microsoft, Windows, and other product names are or may be registered trademarks and/or trademarks in the U.S. and/or other countries. The information herein is for informational purposes only and represents the current view of Microsoft Corporation as of the date of this presentation. Because Microsoft must respond to changing market conditions, it should not be interpreted to be a commitment on the part of Microsoft, and Microsoft cannot guarantee the accuracy of any information provided after the date of this presentation. MICROSOFT MAKES NO WARRANTIES, EXPRESS, IMPLIED OR STATUTORY, AS TO THE INFORMATION IN THIS PRESENTATION.

Agenda Enterprise Content Management Records Management SPC2012 – IT Pro 3/31/2017 Agenda Enterprise Content Management Records Management What’s New in SharePoint 2013? 3rd Party Tools © 2012 Microsoft Corporation. All rights reserved. Microsoft, Windows, and other product names are or may be registered trademarks and/or trademarks in the U.S. and/or other countries. The information herein is for informational purposes only and represents the current view of Microsoft Corporation as of the date of this presentation. Because Microsoft must respond to changing market conditions, it should not be interpreted to be a commitment on the part of Microsoft, and Microsoft cannot guarantee the accuracy of any information provided after the date of this presentation. MICROSOFT MAKES NO WARRANTIES, EXPRESS, IMPLIED OR STATUTORY, AS TO THE INFORMATION IN THIS PRESENTATION.

70% 200,000,000+ 17,000+ SharePoint is here… Sources: “State of the ECM Industry 2011,” AIIM, March 2011; “Microsoft TechNet,” Microsoft, February 9, 2011

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

SharePoint SHARE Organize Discover Build Manage Share

Enterprise Content Management Create Control Protect Create and organize content easily Manage content policy, information architecture and taxonomy Reduce risk and manage compliance with centralized tools Personal Team Organization

ECM Approach 1 ECM has evolved, where content creation and organization is intuitive and simple through discovery and collaboration 2 Ensure compliance is achieved through content policy, information architecture and taxonomy 3 Centralized eDiscovery across the Office platform helps protect organizations by improving compliance without affecting user productivity

Agenda Enterprise Content Management Records Management SPC2012 – IT Pro 3/31/2017 Agenda Enterprise Content Management Records Management What’s New in SharePoint 2013? Top 10 Best Practices © 2012 Microsoft Corporation. All rights reserved. Microsoft, Windows, and other product names are or may be registered trademarks and/or trademarks in the U.S. and/or other countries. The information herein is for informational purposes only and represents the current view of Microsoft Corporation as of the date of this presentation. Because Microsoft must respond to changing market conditions, it should not be interpreted to be a commitment on the part of Microsoft, and Microsoft cannot guarantee the accuracy of any information provided after the date of this presentation. MICROSOFT MAKES NO WARRANTIES, EXPRESS, IMPLIED OR STATUTORY, AS TO THE INFORMATION IN THIS PRESENTATION.

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

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 15489 & ISO 16175, MoReq and DOD 5015.2 Legal eDiscovery Court Handbook of Singapore etc.

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

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

Content Lifecycle Add metadata at each step of the way Review Publish/ Create Collaborate Review Approve Publish/ Declare Expire Archive/ Destroy Add metadata at each step of the way

Agenda Enterprise Content Management Records Management SPC2012 – IT Pro 3/31/2017 Agenda Enterprise Content Management Records Management What’s New in SharePoint 2013? 3rd Party tools © 2012 Microsoft Corporation. All rights reserved. Microsoft, Windows, and other product names are or may be registered trademarks and/or trademarks in the U.S. and/or other countries. The information herein is for informational purposes only and represents the current view of Microsoft Corporation as of the date of this presentation. Because Microsoft must respond to changing market conditions, it should not be interpreted to be a commitment on the part of Microsoft, and Microsoft cannot guarantee the accuracy of any information provided after the date of this presentation. MICROSOFT MAKES NO WARRANTIES, EXPRESS, IMPLIED OR STATUTORY, AS TO THE INFORMATION IN THIS PRESENTATION.

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

What’s new in SharePoint 2013 Microsoft’s 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.

SharePoint 2013: What’s New in Records Management SPC2012 – IT Pro 3/31/2017 SharePoint 2013: What’s New in Records Management Site Retention Site Mail Boxes & e-Discovery Cloud Parity © 2012 Microsoft Corporation. All rights reserved. Microsoft, Windows, and other product names are or may be registered trademarks and/or trademarks in the U.S. and/or other countries. The information herein is for informational purposes only and represents the current view of Microsoft Corporation as of the date of this presentation. Because Microsoft must respond to changing market conditions, it should not be interpreted to be a commitment on the part of Microsoft, and Microsoft cannot guarantee the accuracy of any information provided after the date of this presentation. MICROSOFT MAKES NO WARRANTIES, EXPRESS, IMPLIED OR STATUTORY, AS TO THE INFORMATION IN THIS PRESENTATION.

Site Retention

Site Retention 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.

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

demo Site Retention 3/31/2017 10:39 PM © 2007 Microsoft Corporation. All rights reserved. Microsoft, Windows, Windows Vista and other product names are or may be registered trademarks and/or trademarks in the U.S. and/or other countries. The information herein is for informational purposes only and represents the current view of Microsoft Corporation as of the date of this presentation. Because Microsoft must respond to changing market conditions, it should not be interpreted to be a commitment on the part of Microsoft, and Microsoft cannot guarantee the accuracy of any information provided after the date of this presentation. MICROSOFT MAKES NO WARRANTIES, EXPRESS, IMPLIED OR STATUTORY, AS TO THE INFORMATION IN THIS PRESENTATION.

Site Mailboxes

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

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

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 SharePoint Unified Preserve, Search and Export Exchange Web Services Connect to Exchange to get mailbox data Lync Archiving to Exchange Exchange is the compliance store for Lync Search Infrastructure Exchange and SharePoint use the same search platform

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

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

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

Tabbed results Preserve discussions and feeds from SharePoint

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

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)

Records Center in the Cloud 3/31/2017 10:39 PM demo Records Center in the Cloud © 2007 Microsoft Corporation. All rights reserved. Microsoft, Windows, Windows Vista and other product names are or may be registered trademarks and/or trademarks in the U.S. and/or other countries. The information herein is for informational purposes only and represents the current view of Microsoft Corporation as of the date of this presentation. Because Microsoft must respond to changing market conditions, it should not be interpreted to be a commitment on the part of Microsoft, and Microsoft cannot guarantee the accuracy of any information provided after the date of this presentation. MICROSOFT MAKES NO WARRANTIES, EXPRESS, IMPLIED OR STATUTORY, AS TO THE INFORMATION IN THIS PRESENTATION.

Agenda Enterprise Content Management Records Management SPC2012 – IT Pro 3/31/2017 Agenda Enterprise Content Management Records Management What’s New in SharePoint 2013? 3rd Party Tools © 2012 Microsoft Corporation. All rights reserved. Microsoft, Windows, and other product names are or may be registered trademarks and/or trademarks in the U.S. and/or other countries. The information herein is for informational purposes only and represents the current view of Microsoft Corporation as of the date of this presentation. Because Microsoft must respond to changing market conditions, it should not be interpreted to be a commitment on the part of Microsoft, and Microsoft cannot guarantee the accuracy of any information provided after the date of this presentation. MICROSOFT MAKES NO WARRANTIES, EXPRESS, IMPLIED OR STATUTORY, AS TO THE INFORMATION IN THIS PRESENTATION.

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

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?

Considering Compliance for SharePoint? What are your compliance requirements? VERS DOD 5015.2 MoReq Government Records - Information Management Handbook ANSI ISO 15489 Sarbanes-Oxley UETA NAA IS40 ISO 16175 FRCP

COMPLIANCE Source - http://rimtech.ca So what does those limitations mean for SharePoint as a compliant record keeping tool? The answer is…not much at all. RIMtech has conducted an exhaustive comparison of the recordkeeping capabilities of SharePoint, versus the requirements of US DoD 5015.2. We conclude that SharePoint 2010 delivers 72 out the 168 5015.2 requirements. Many organizations however do not need some of the 5015.2 capabilities. We then defined what we called the F1000 Requirements – a subset of 5015.2 that we believe most organizations can get by and still meet formal recordkeeping requirements. The F1000 specifies 105 capabilities. Hence, SharePoint 2010 is deficient by 33 capabilities to meet F1000, and 196 capabilities to meet US DoD 5015.2 Source - http://rimtech.ca

Microsoft’s Research A considerable amount of the requirements of International Council of Archives standard is delivered SharePoint 2010. 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

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

Deliver Best-in-Class Hybrid Cloud Public Coming Soon Today Common Technologies Identity ▪ Virtualization ▪ Management ▪ Development Private Key Points: We believe IT will be a hybrid world – a mix of on-premises and off-premises solutions – spanning private clouds (whether in your datacenter or a hosting company’s), public clouds and traditional IT. We’ve combined years of experience running apps at internet scale with our years of experience in on-premises software to create this broad and deep array of cloud solutions Our solutions span private and public cloud environments – and our services span productivity, database, business applications, and infrastructure In the world of hybrid cloud environments, a distributed computing fabric that brings things together on behalf of your IT professionals and your developers writing applications – you need commonalties across identity, virtualization, management, and application development Microsoft is uniquely positioned to provide these commonalities Let’s take a deeper look at how we’re approaching cloud. For Microsoft, our uber vision is to have a continuous cloud service for every person and every business -- kind of harkens back to Bill Gate's vision, a PC on every desktop. That grounds you in how broad we’re thinking about the importance of the cloud. Talk Track: We want to cloud optimize every business – so EVERY business can employ cloud technologies in their own way -- at their own pace. To do this, we’re really taking all of the years of experience we have at running applications at Internet scale, which started with MSN in 1995 all the way to BING and Hotmail today, and combining that with our expertise in on-premises software. We're pouring all of this into three cloud environments that run several distinct categories of services. What are those cloud environments? (2) public cloud – where we manage the platform for you; and… (1) private cloud – where businesses control their environment by using cloud-enabled on-premises products (3) a mix of the two – or what we call hybrid cloud environments or hybrid IT.   We’re anchoring the private cloud environment with a cloud-optimized operating system and management solution, Windows Server and System Center, which manages everything from infrastructure to applications to clouds – private and public -- making it possible for you to manage hybrid cloud environments. By the same concept, Microsoft’s public cloud offerings are anchored by Windows Azure, which is a comprehensive IT platform across both compute, storage, network capabilities and higher-level services like relational databases. CLICK - FIRST ANIMATION (1) Productivity -- with Lync Server, Exchange Server and SharePoint Server on the private, and Office 365. Whether it's public or private, our services across both fall into a few categories: (2) Database -- with SQL Server private cloud enabled, and SQL Azure in the public cloud space (3) Business Applications -- with Microsoft Dynamics enabled on the private cloud, and Dynamics CRM Online available through our public cloud. (4) And last – Infrastructure -- there's Windows Intune providing desktop management & security running on the cloud, and the Windows Azure platform. But, it's not just the fact that we have this deep and broad set of services and platform capabilities across public and private, it's the commonalities between the two that provide the real magic and uniqueness in Microsoft’s business cloud strategy. CLICK – SECOND ANIMATION Delivering Best-in-class Hybrid clouds… I mentioned hybrid environments before. We believe all companies are going to have multiple cloud environments private, public cloud, service providers… welcome to the world of hybrid IT – a place businesses are going to call home for a long time to come. In this hybrid world, you absolutely need a distributed computing fabric that brings things together on behalf of your IT professionals and your developers writing applications. These commonalities of identity, virtualization, management, and application development are what makes Microsoft's platform very unique. Common Identity – The majority of our enterprise customers use Active Directory (AD) to manage their identity infrastructure. Through federation, you can also extend AD to offer consistent/secure SSO experiences for applications spanning across private and public clouds. Coca Cola Enterprises set up an Office 365 solution with single sign on for their employees and business partners using a combination of on-premises and public cloud based components. (http://www.microsoft.com/casestudies/Case_Study_Detail.aspx?casestudyid=4000004584) Common Virtualization – through capabilities like the Windows Azure VM role, we help you deliver application portability across private and public clouds. Common Management – Through System Center 2012, which we’ll cover later, we offer full visibility and control for IT professionals across private and public clouds environments. At the same time, we continue to empower your application owners with self-service to make sure they can deliver agile app experiences to their businesses.   Common Development – The developer experience from Microsoft on the Windows Platform is unparalleled. The .NET framework allows developers to use the same set of skills to rapidly build great applications for the client, phone, browser, server and the cloud. Manage the entire application lifecycle with Visual Studio. Use the most popular languages for development so you don’t have to retrain your developer staff on a new paradigm. CLICK – THIRD ANIMATION This entire picture is one of the biggest advantages Microsoft offers our customers. To summarize, our private and public cloud technologies easily work with each other – creating synergies for a hybrid cloud environment. From the best experience with the most-used apps, to higher-level services for public cloud, to providing better TCO on private cloud than our competitor like VMware, Microsoft is committed to delivering the best-in-class hybrid cloud solutions to its customers. I’ll go deeper on all of this as we continue our conversation. The RecordPoint Difference 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 Public

Next Steps… Take Office 2013 for a spin! Try Office 365 Preview http://www.microsoft.com/office/preview/ Twitter: @woodwa Blog: http://www.recordpoint.com.au/blogs/

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Thank You email: anthony.woodward@recordpoint.com.au CTO email: anthony.woodward@recordpoint.com.au personal twitter: @woodwa More Information on RecordPoint at: http://www.recordpoint.com.au Or Follow RecordPoint on twitter @recordpoint

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