RecordLion, Inc.

SharePoint Records (Information) Management

What works, what doesn’t?

Chris CaplingerRecordLion, Inc.

RecordLion, Inc.

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”

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

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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’sLaw

Data is useless if it

can’t be analyzed

Local company

fined for old accounting

data

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9 Big RIM Rocks

1. File Plan Management2. Classification3. Event based retention4. Disposition5. Auditing6. Email Handling7. Physical File Handling8. Legal Holds9. eDiscovery

File Plan Managementand taxonomy

“By failing to prepare, you are preparing to fail.” 

- Benjamin Franklin

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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

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RecordLion, Inc.

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

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Location Based Taxonomy

One site (or site collection) for each business unitHuman ResourcesAccountingCorporate Libraries for high level record types

Employee RecordsHiring RecordsEmployee Benefits

Folders for different casesEmployeesCandidatesBenefit Year

Only possible if similar information is stored together !

Find informationby browsing !

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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 !

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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

Record Centers vs. In-Place

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File Plan Issues

Taxonomy is not generated from File Plan

Changing File Plan does not change taxonomy

No help in understanding regulations and laws

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Classification

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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

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Classification, what works?

Drop Off Libraries

• Route content based on Metadata

• Metadata foldering (great for handling case type files)

Employee RecordsJohn DoeJane DoeFred Smith

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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 !

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Classification Issues

No Automatic Document Classification

• Meta Data Extraction• Classification for Content Types

No Email Classification

• Move to SharePoint?• Leave in Exchange?

No Meta Data Classification

• Forces too many Content Types

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Retention

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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

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Retention, what works?Assigning policies per Content Type or Location

Temptation

Recommended

Site Retention

• Close and Delete Sites based on rules

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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

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Disposition

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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!

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

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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!?!

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Auditing

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Auditing Overview

• Needed for defensible RIM and eDiscovery • Needed to see if Records Management is working• Aids in reporting

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Auditing, what works?

Content Auditing

This WILL slow your system down !

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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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Email

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SharePoint

Email records only

• Not for active or non-record Emails

Moving records to SharePoint

• Automatic (Third Party)• Drag and Drop (Limited)• Move in Outlook (Third Party)

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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)

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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…

Physical Files

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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?

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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

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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

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Not in sync with similar electronic records !

Legal Holds

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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

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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

eDiscovery

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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

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eDiscovery Issues

What about your other information?

Unstructured Data can be difficult to search

Conversion to usable formats

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SharePoint RIM Q&A

Introducing RecordLionInformation Lifecycle

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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

RecordLion Demonstration

Implementation

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

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Sensible Records Management

• Classify information• Create an easy interface for searching• Without this your business will not be efficient• Email 1st, Physical 2nd, SharePoint 3rd

#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

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Thank You!Q&A

Chris Caplingerchris@recordlion.com

@chrislcap