Achieving Content Governance in the Collaborative and Social Business

Mike Alsup, Gimmal

September 24, 2013

Alsup Frame of Reference • 34 Years as ECM/RM Consultant/Integrator

• Accenture, Booz Allen, BSG, Align Solutions, Gimmal

• 1980 career goal: help clients move from paper-based processes to automated Doc Mgmt. processes

• Assumption: this was beyond the span of my career

• Last seven years focused on SharePoint as ENTERPRISE ECM & RM Platform

• www.gimmal.com for information on Gimmal

• Alsup blog – www.akqj10.com (ace, king, queen, jack, ten)

• Alsup blog – www.aiimcommunities.org ERM, SharePoint Communities

• AIIM Involvement

• Southwest Chapter Programs VP (1991-97, 2000-09), President (1997-2000), VP since

• International Board Member (1999 – 2001, 2007 – 2010)

• AIIM Conference Committee Member (1995-2000, 2004-2007), Chair – 2000

• EmTAG Member (1998 – 2011), Chair (2004 – 2006)

• AIIM SharePoint Course

• We built it. We are proud of it. We certified our team

2

We Are… Information Management For Everyone

• Built on Leading Enterprise Platforms

• Higher Value and Lower Cost Business Solutions

Trusted Advisors and Implementers • Across All Industries and Government

• Thousands of Successful Engagements

Industry Leading Software, inside SharePoint

• Information Governance & Unified Records Management

• DoD 5015.2 Certified, Chapters 2, 3 & 5

• SAP Content Archiving & Business Solutions

Award Winning • Microsoft 2012 Software Partner of the Year Finalist

• Inc. 500|5000 for 8 consecutive years

www.gimmal.com

3

Agenda • Introduction to Content Governance

My Presentation Focus is on Technology and Platforms, not People or Process

SharePoint Perspective on Enterprise Information Management

Is “One Ring to Rule Them All” Realistic?

• Many Target ECM Repositories for Governance

Several Very Challenging Problems

• Alternative Governance Approaches

• Open Questions and the Art of the Possible in 2013

4

Scope – Target ECM Repositories

5

@

Traditional ECM

Email

ERP

File Shares

Traditional RM

SharePoint

Cloud ECM Cloud File Sharing

Information Management Policies

• When and How to Delete Content

• Applied to Documents, Records & Items

• Applied at Document or Container-level

• Associated w/ Content Types or Locations

• Date-driven

• Event-driven

• Settings for:

• Auditing

• Retention

• Retention

• Location

• Metadata

• Security

• Versions

• Disposition

• Many others

Retention XX Days

Location(s) Network Shares

E-mail Inbox

Metadata Name

Retention XX Months

Location(s) Document Libraries

Metadata Name

Content Type

Retention Retention Schedule

Location(s) Record Center or 3rd Party Product

Metadata Name

Content Type

Information Lifecycle

• All Information is managed from creation to disposition

• Retention for all information in every state of the ILC

• Early classification (indexing) is an important step to compliance

• Rules are enforced by the technology

Temporary Work In Progress

Final

Hold

Disposition

ECM Vision is simple Is it Cloud or SaaS or Both? Differences between Cloud and SaaS:

• Cloud only: Amazon EC2 is cloud, but a platform as opposed to consumer software

• SaaS only: Documentum is single tenant, hosted ECM managed as a cloud solution

• Both: Salesforce.com is both Cloud Only and SaaS Only Multi-tenant cloud software

Why does it matter?

• Legacy ECM vendors support Cloud, but SaaS only Virtual Machine for each solution

• Box, Office 365, SpringCM and others are Cloud and SaaS Multi-tenant applications

8

Have Cloud ECM & Collaboration changed Content Governance?

• Content Governance is challenged by Cloud ECM and Collaboration

Information policies applied to more repositories

• Everyone recognizes need for governance to extend to all ECM repositories

“One Ring to Rule Them All”

• Applying content governance to multiple ECM environments is competitive:

• Legacy ECM vendors

• Cloud file sharing vendors Need Ecosystem Partners

• Federation vendors

• Microsoft Need Ecosystem Partners

9

Content Governance 2.0

• Transparent user participation

End reliance on end users choosing to follow policy and rules

• Lines of Business collaborate with IT based on Content Types

• All content managed from a lifecycle perspective

• There are 4 key elements of Content Governance 2.0

• Information Lifecycle

• Content Types (& Containers)

• Metadata Inheritance

• Consistency in User Experience

10

•Repository-based Governance (Includes Containers)

•Access Controls

•Update Controls

•Disposition Controls

•Deletion

•Archiving

•Offline

Questions

Does the Repository support Policy Governance?

Does the Repository support Federation of Policy?

Is Policy Federated at the Repository-level or Document-level?

Is Policy Synchronized between Cloud & On-Premise

Scope – Governance Methods

11

• Content Type-based Governance

• High Level Content Type Model

• Functional Content Type Model

Governance options are either Content Type-based or Repository-based

Mixed Content Type Models can be effective “Unknown” Content Type

Functional Content Type Models can drive ROI of ECM Investments

• Lifecycle Governance

• Multi-Repository Governance

• In Place Governance

• Search & Classify-based Discovery

• In Place

• Process Launched

• Copied or Moved

Scope – Governance Methods

12

Let’s Start with SharePoint Content Governance

SharePoint

• SharePoint Consolidating ECM and RM?

135MM SharePoint Licensed Users*

65,000 Companies*

67% SharePoint to Enterprise*

700,000 SharePoint Developers*

70% of Gartner ECM inquiries

2012 $2B business

• SharePoint is Energizing ECM and RM

Microsoft owns productivity market

ECM and RM a natural extension

Many Best of Breed apps & extensions

• SharePoint is compelling platform for compliance & enterprise governance

SharePoint

13

Ungoverned “Organic” SharePoint Environment

Issues:

Chaos grows with new sites

No central site directory

Each site has own look and feel

Different definitions of content

Site 1 has “Invoice – Purchasing”

Site 2 has “Invoice”

Content volume increasing rapidly

All content is retained forever

How are Records managed?

14

Ungoverned “Organic” SharePoint Environment

How are you going to

support this?

How do you govern this?

15

SharePoint Framework

• File Plan • Retention Schedule • Information Policy

Enforcement

Record Center

• Content Types • Information Policy • Site Templates •Document Templates

Team Sites

MySites

Top Level Portal

• Lifecycle • Taxonomy • SP Features • XML Config. • Navigation • Search • Security

Site Provisioning

Information Lifecycle

Term Store /

Content Hub

File Plan / Retention Schedule

16

Business Function

(Base Document)

Finance & Accounting Tax

(ACC)

Record Categories

(Big Buckets)

ACC100

Accounting, Banking, and

Payroll Transactions

ACC200

Financial Reporting

Organization Content Types

Local Content Type

Bank Deposit Rpt 6 Years

Accts Payable 6 years

Financial Stmt. 10 years

A/P Invoice 6 Years

Expense Report 6 Years

Balance Sheet 10 Years

Income Stmt. 10 Years

Banking Record 6 years

Enterprise Content Type

Properties: • Retention Category

Properties: • Document Title • Modified Date • Owning Organization • Lifecycle State

Properties: • Office of Record • Category-specific attributes

Properties: • Retention Category • Category-specific attributes

17

Co

nte

nt

Typ

e L

eve

l

Co

nte

nt

Typ

e N

ame

Ow

nin

g O

rgan

izat

ion

ILC

Sta

te

ILC

Dat

e

Cre

ate

Dat

e

Last

Mo

dif

ied

Dat

e

(sys

tem

ge

ne

rate

d)

Secu

rity

Cla

ss

(in

tern

al, e

xte

rnal

, co

nfi

de

nti

al)

Emp

loye

e N

ame

Emp

loye

e N

um

be

r

Co

nte

nt

Typ

e

Ret

en

tio

n C

ate

gory

Co

de

Eve

nt

Trig

ger

Dat

e

Enterprise Content Type

Enterprise X X X X X X

Organization Content Type

Human Resources – Employee Specific

X X X

Local Content Type

Personnel Files – Personnel Actions

HUM70 X

Local Content Type

Personnel Files – Hiring, Termination, Training and Summary Records

HUM73 X

Taxonomy Master Model in SharePoint

What are Items? It

em

Document

Event

Issue

Announcement

Link

Contact

Message

Task

Workflow History

Post

Comment

Folder

Typical Governance Products

• Typical Governance Products address 16% of content in SharePoint

• Collaboration is over 60% list content

• From a User Perspective:

– Every user (even novices) have unique uses for lists

– Lists replace Excel Spreadsheets and Access Databases

– Once created, lists contain valuable knowledge and information assets

• From an IT Perspective

– Sites persist because lists with valuable information exist perpetually

– Management is site-by-site

– Items cannot be managed in SharePoint Record Centers

19

How to Apply Information Policy to Legacy SharePoint Sites?

Top Site Portal

20

Legacy SharePoint Sites

• Archive the Site

• Close the Site (Read Only)

• Move the content to a new site (+ Items, etc.)

• Apply to policy to content in legacy site based on rules

• Enforce the rules as site ages, including move to Records Center

• Hopeless task without planning and good tools

21

What are your plans to leverage the Cloud?

Source: Forrester, “Global SharePoint Usage Online Survey,” August 2012

The responsibility for “Cloud Governance” remains at home… InformationWeek

Hybrid model is Needed for Governance

Why is this important?

Buyers expect Hybrid Content Governance for foreseeable future

Long term Economics of Cloud Storage are not clear

Office 365 is compelling “if records stored in our data centers”

Hybrid Governance requires simplifying assumptions

23

“Send

To”

Hybrid Lifecycle Model SharePoint 2010 – On Premise

24

“Send

To”

Synch

File Plan &

Retention

Schedule

Service

Policy

Hub

Service

EDiscovery

Search & Hold

Service

Two-way

Lifecycle

synch of

records

SharePoint Sites

“Send To”

SharePoint 2013 - Office 365

Record

Centers

Record

Centers

“Send To”

SharePoint Sites

Enterprise Approach Summary

• Team Sites & Governance

• Usability and Consistency

• Content Types & Metadata

• Libraries, Lists and Views

• File Templates

• Content Lifecycle

• Search

• Site Settings & Administration

• IM Policy Alignment

• Security

Best Practices

Add-On Software Effort/Time

SDK Framework

SharePoint OOTB

SharePoint Governance Summary

• Content Types are Essential

• On Premise vs. Office 365 vs. Hybrid are different

• Items are Critical to be Included

• Legacy Sites must be Considered

• Hybrid must be Considered

• Extensive Planning is Required

A Challenging Problem without any other Repositories!

26

Record

Centers

SharePoint Sites

“Send To”

SharePoint 2010 On Premise

SharePoint Sites

“Send To”

SharePoint 2013/ Office 365

Record

Centers

Email

File Shares

Legacy ECM

On-site & Off-site Paper Storage

Web, Intranet, IM, Collaborative Content

Social File Sharing Cloud ECM Cloud Email

27

Enterprise Information Management

• Email Governance Options

• Mailbox size management

• Journaling

• Drag to an Email folder Act of Classification

• Three Zone Model (Temporary, WIP, Record)

• NARA Capstone Model

• What does Email Governance Look Like?

• In Place Retention Rules, then SharePoint or Legacy ECM or Email Archiving Tool

• User Declaration into SharePoint or Legacy ECM

• Site Mailboxes in SharePoint 2013

• Legacy PST’s?

• Policy in Email in Office 365 is different than Policy in Email On-Premise

Scope – Target Repositories

28

File Shares Traditional File Share Governance Process: • Crawl Share Drives derive classification information • Tag content with best fit Content Types requires work to define mapping • Migrate content to SharePoint • Have a Plan for File Shares Post-Migration • Volumes are Daunting

Goal do this automatically

SharePoint Governance Options:

• Catalogued File Shares • AvePoint • MetaLogix • Bamboo

Legacy ECM Vendor Options are Similar

• Crawl, cleanse and migrate solutions

• Active Navigation • Recommind • IBM & Stored IQ • EMC Kazeon • Open Text • Digital Reef • Concept Searching

• One Time Crawl vs. Recurring Crawl

29

• Legacy ECM /RM Governance

• Inside ECM Governance Best Governed Content in Org. Market-defining

• Federated Governance to Multiple Repositories Not as successful

• Physical RM

• Most Physical Solutions are Legacy ECM

• Web Sites

• Web site snapshots

• Most websites retention is through:

• Publication/retraction process

• Roll-back/restore of site content

• ECM platforms not very successful for websites new set of web site products

Scope – Target Repositories

30

Can Governance be Federated into all these Platforms?

• Levels of Federation:

• Document, Container, Replication, Presentation

• Open Text, IBM, EMC and HP (Autonomy) have solutions in this area

• New federation vendors, e.g. RSD, they can do it all

Questions:

• Does Federation work in the enterprise?

• Looking for case studies of successful federated ECM governance

31

Cloud File Sharing are Competing in ECM • Box, Syncplicity, DropBox, etc.

• Cloud-based file sharing vendors understand Cloud ECM Governance

• Lack rich object models and policy solutions to enable more than Share Drives in Cloud

• SkyDrive vs. SkyDrive Pro is still confusing for some users

• SkyDrive is Dropbox-like in its capabilities

• SkyDrive Pro is modern version of SharePoint My Sites

• What would Cloud File Share Governance Look Like?

• Register Site or Site Content

• Synchronize

• Send to My Account

There will be room for all of these approaches, plus Google, Legacy ECM, many others

32

• Social

• LinkedIn, Facebook, Twitter, Jive, etc.

• Yammer

• What would Social Site Governance Look Like?

• No Option to Federate Governance to Social

• Register the Site

• Manage the Process to Post to Site

• Enable Updates e.g., Remove Post after 90 days

• Yammer = exception

Microsoft integrating SharePoint Governance

Scope – Target Repositories

33

Hybrid Lifecycle Model

34

Record

Centers

SharePoint Sites

“Send To”

SharePoint Sites

“Send To”

Policy

Hub

Service

Record

Centers

Email

SharePoint 2010

SharePoint 2013/ Office 365

One Ring to Rule Them All Policy Hub Service

Record

Centers

SharePoint Sites

“Send To”

SharePoint 2010

SharePoint Sites

“Send To”

SharePoint 2013/ Office 365

Policy

Hub

Service

Record

Centers

Email

File Shares

Legacy ECM

On-site & Off-site Paper Storage

Web, Intranet, IM, Collaborative Content

Social, File Sharing, Cloud ECM Content

35

Governance Method SharePoint Legacy ECM Federation File Sharing

Container-based Governance Access Controls Update Controls Disposition Controls

Strong Strongest Not Native Strength, Requires

Connectors and Integration

Not Natively Available

Search Governance In Place (Search and Classify) Process (Search and Process) Copy or Move to Repository

(Search & Harvest)

Strongest w/ SharePoint, Email & File

Shares, Requires Planning, Add-on

Products & Connectors for other Repositories

Strong, but Requires Planning,

Connectors & Integration for

other Repositories

Requires Planning,

Connectors & Integration for all

Repositories

Not Natively Available

Content Type-based Governance

High Level Content Types Functional Content Types

Strongest, but Requires Planning, Connectors &

Integration for other Repositories

Strong, but Requires Planning,

Connectors & Integration for

other Repositories

Remote Control, No Internal Events

Not Natively Available

Lifecycle Governance Multi-Repository Governance In Place Governance

Strongest, but Requires Planning & Integration for other Repositories

Strong, but Requires Planning &

Integration for other Repositories

Remote Control, No Internal Events

Not Natively Available

36

The Future – Two Short Term Questions

• Does Unified SharePoint, Email & Share Drive = Content Governance? • This is the burning question for many organizations

• Including more ECM platforms in content governance is a bonus, but not core

• How to integrate these environments into a single, simpler enterprise solution?

• If Hybrid Content Governance is the future, how to do it? • High priority architectural question in many organizations, especially the largest

• Clients are investing in cloud, but not storing records or even business critical content there

• How to integrate Cloud and on-premises ECM into a single, simpler enterprise solution?

Find Someone to help who has done it before

Make Sure they have Good Tools, Frameworks, and References

37

The Future – 2020 Vision • The ECM Dial Tone

• Unified Object Environment (Document, Voice Message, Email, Viewer, etc.)

• Departments, Legal, Records and IT collaborate on Governance Policy at Content Type Level

• Governance Policy Automatically Applied through Containers & Templates

• Much Planning and Setup then it just works

• Departmental ECM Solutions will go the way of:

• Word Processors Word

• Microfilm Storage

• Optical Disk Storage

• Local Area Networks Cable Plug or WiFi

• People don’t care about Technology, they want Solutions that Work

• How many Repositories for Unstructured Content do you Really Need?

38

Kurzweil Vision 15 Years

Questions

Achieving Content Governance in the Collaborative and Social Business

Mike Alsup, Gimmal

September 24, 2013

39