Improving Records Management at Contoso Corporation (Concurrency Corporation)

Contents Executive Summary Current State Analysis Future State Analysis Adoption & Implementation Planning Next Steps 2

Executive Summary You are a large software company and recognize the need to better manage your corporate records. Your firm experiences many challenges with the current records management process, including: Inability to consistently apply metadata, retention schedules, record declarations, and legal holds to records Significant compliance concerns regarding new content types (multimedia, blogs, wikis, etc.) and communications ( s, IM, etc.) Accidental destruction of important documents and potential spoliation of evidence Long record review cycle time, laborious manual review effort Accidental dissemination of sensitive subject matter and intellectual property As employees are unsure of record handling procedures, legal department receives increased volume of potential records for review 3

Engagement Participants Participant NameDepartmentRole (name)(department)(title) (name)(department)(title) (name)(department)(title) (name)(department)(title) (name)(department)(title) (name)(department)(title) 4

Executive Summary Concurrency proposes expanding upon your current Office SharePoint System deployment to enable a comprehensive Records Management System (RMS). Implementing an RMS Solution will allow you to: Mitigate risk, solve compliance, protect your IP and still embrace powerful new communications and collaboration tools with the ability to drive “compliance everywhere” Manage versions, apply retention schedules, declare records, or place legal holds through SharePoint 2010 Drive improved user adoption and adherence to compliance policy Implementing the proposed EPM Solution will provide you with: Reduction in content review process by 5 days An extension of records management policies beyond record center to all SharePoint Server team sites Reduction in operating costs related to records management Reduction in opportunity costs from record mismanagement 5

Executive Summary

Contents Current State Analysis Future State Analysis Adoption & Implementation Planning Next Steps 7

Current State Process Analysis Create Content Review and Classify Content Retrieve Content from Repository Place Content Under Legal Hold Retire Old Content Records Management Process – Analysis Summary 8

Current State Process

Contents Executive Summary Current State Analysis Future State Analysis Adoption & Implementation Planning Next Steps 12

Future State Process Analysis 13 Create Content Review and Classify Content Retrieve Content from Repository Place Content Under Legal Hold Retire Old Content Records Management Process – Analysis Summary

Level of Complexity Low High Value to Business Prioritized Process Solutions 14 1 Create workflow for content creation and routing to legal department (SharePoint Server 2010) Consistently apply policy and manage record declarations for both traditional and social content (SharePoint Server 2010) Establish automated legal hold process (SharePoint Server 2010) Identify, collect, and preserve content throughout SharePoint for legal discovery (SharePoint Server 2010)

Future State Process Analysis

Anticipated Benefits - Process Process Phase Improvement DescriptionBenefits Technology Leveraged KPI Impact(s) Affected Stakeholders Create Content Quickly identify, collect, and preserve content throughout SharePoint for legal discovery Automated routing of content to appropriate stakeholder Automated highlighting of potentially sensitive subject matter Automatic record storage and notification Increased compliance with federal regulations Labor efficiency gains SharePoint Server 2010 Reduced phase cycle time Content Creator Legal Team Review and Classify Content Flexible records management policy and process supports management of records in-place with bulk record declaration Consistently apply policy and manage record declaration for social content in the same way as traditional content Automated metadata application Simplified tagging process Reduced labor costs Reduced error in record classification, archiving and retrieval SharePoint Server 2010 Reduced phase cycle time Reduced labor cost Legal Team Retrieve Content from Repository Common repository for corporate- wide data Single search interface Reduced search cycle time Greater confidence in search results SharePoint Server 2010 Reduced phase cycle time Reduced labor cost Legal Team Place Content Under Legal Hold Automated legal hold process programmed into to SharePoint interface Review policy information, apply holds and generate item level audit reports Reduced hold cycle time Reduced risk of spoliation SharePoint Server 2010 Reduced phase cycle time Reduced labor cost Legal Team Retire Old Content Automated notification and approval process to all affected stakeholders Streamlined retirement process Reduced risk of document mismanagement Reduced labor costs SharePoint Server 2010 Reduced phase cycle time Reduced labor cost Content Creators Legal Team 16

Contents Executive Summary Current State Analysis Future State Analysis Adoption & Implementation Planning Next Steps 17

Adoption & Implementation Planning Summary Phase ID Improvement DescriptionResources Required Implementation Owner Additional Stakeholders Notes 1 Consistently apply policy and manage record declarations for both traditional and social content IT Staff IT ManagerLegal Director 2 Identify, collect, and preserve content throughout SharePoint for legal discovery IT Staff Content Creators Legal Team IT ManagerLegal Director 3 Establish automated legal hold process IT Staff Legal Team IT ManagerLegal Director 4 Create workflow for content creation and routing to legal department IT Staff Legal Team IT ManagerLegal Director 18

Potential Adoption Roadblocks 19 Stakeholder Group Anticipated Resistance to ChangeDegree to which Resistance will Limit Initiative Success Mitigation actions Technical Content Creators Some reluctance to use new toolsLow Develop brief training document and FAQ Legal TeamSome reluctance to use new toolsLow Develop brief training document and FAQ IT DepartmentN/ALowN/A Executive Management N/ALowN/A Cultural Content Creators Reluctance to add new steps to content creation Reluctance to participate in additional training with SharePoint Mid Reward involvement in deployment and participation Legal Team Strong ownership of multiple process phases Wary of solution’s ability to truly mitigate risk and facilitate records management Reluctance to participate in additional training with SharePoint High Highlight time saving benefits of solution Highlight value of improved search results IT Department Perception that initiative will require additional time and effort Reliance on Departmental IT Personnel for implementation Mid Highlight short-term and long- term process, content, and infrastructure benefits

Adoption Roadblock Mitigation Actions by Stakeholder Adoption Category Content CreatorsLegal TeamIT DepartmentExecutive Management Awareness Awareness generating communications via , newsletters, manager meetings, etc., targeted to stakeholder group and concerns Awareness generating communications via , newsletters, etc., targeted to stakeholder group and concerns Value Demonstration Emphasize process and productivity improvements to Division specifically and company as a whole; including estimated financial impact. Emphasize value to company as well as importance of pilot- testing; provide case studies and whitepapers related to virtual training to demonstrate how other companies have successfully implemented solution Demonstrate both improvement in productivity through quick hits and quick wins; also show overall process improvements and estimated financial impact for company. Provide useful tactical training to support roll-out. Integration & Alignment Ensure proposed solutions/ initiatives are aligned with both with business and IT strategy and direction 20

Contents Executive Summary Current State Analysis Future State Analysis Adoption & Implementation Planning Next Steps 21

Next Steps Review presentation and proposal with decision maker(s) and stakeholders for approval Consider a SharePoint Deployment Planning Services (SDPS) follow-up engagement Execute work order for project Schedule kick off meeting for week of _____ and weekly status meetings Propose schedule: A) Deadlines for initial milestones, or B) Date to finalize initial milestones 22