e-Discovery and Records Management at National GypsumAND:

What About SharePoint 2010 As A Records Management

Tool?

Mike Brannon

National Gypsum Company is a fully integrated building products manufacturer

Headquartered in Charlotte, NC with mines and quarries, and manufacturing plants across North America

What about Records Management?

NGC Environment - History

▪ Founded in 1925, the company has been privately held since 1995. (1990 Bankruptcy)

▪ Basic records management processes and procedures in place since Bankruptcy.▫ File plan covers paper and electronic records▫ Small dedicated staff available within Legal group

▪ Recently IT systems and procedures have been affected by new discovery rules and legal holds. ▫ Backup tapes held rather than scratched / re-used▫ Unplanned IT efforts required to search content▫ “Privileged Access” required for many searches

Managing Electronic Records?

EDCAR and Office 2003

▪ Office 2003 introduced to NGC users, with TrueArc ForeMost records management and custom developed software called EDCAR▫ Forced early classification of every Office file▫ Electronic version of Records Plan classification▫ Supported other files indirectly

▪ Linked to overall Records Management

▪ Limited compliance by many end users

▪ Some technical issues with tools

▪ EMC acquires TrueArc as we finish deployment

Lawsuits, “DART” – 2007 To Present

▪ 2007 to Present – BIG Uptick in Legal Matters

▪ Reaction to More Complex e-Discovery Rules

▪ Discovery Action Response Team ▫ Legal and IT Working Jointly with Custodians▫ ESI Data Mapping (All Files) and Basic Search Tools▫ “IT Super Powers” and Lots of Labor Needed

▪ External Legal / e-Discovery Experts Helped

▪ Foundation of Cooperation (for Survival)

▪ Painful and Expensive Exercise!

▪ We Thought We Were Prepared, But…

ESI Mapping and Checklists

Graphical and Excel Based Mappings – Checklist used for Discovery Efforts

Managing “Departing Employees” – Checklist used for IT, Legal and Managers

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Establishing Context: eDiscovery Strategy and Information Lifecycle

A Roadmap for Bridging 2 Operational Scenarios

Business UsersCreate ESI

ESI TYPES SOURCES

Unstructured Data Messages (email, v-mail, IM) Documents, Media, Logs, etc.

PCs, Servers, SharePoint, etc.

Structured Data Invoices, POs, Credit Memos, etc.

Enterprise Systems, SAP, POPS/MIDAS, NGC4ME, etc.

Scenario 1: Normal OperationsGoverned Under “Safe Harbor”

POLICIES & PROCEDURES

Legal Department Information Systems

Records Management Storage, Backup, Archiving, Deletion

1) ESI – Electronically Stored Information2) Safe Harbor – Possible protection from sanctions if ESI is destroyed as a result of routine policies and procedures3) Duty to Preserve – A defendants obligation to preserve evidence in advance of litigation

Scenario 2: eDiscoveryGoverned Under “Duty To Preserve”

LegalHold

Issued

PossibleLegalAction

ESISources

DiscoveryScope

Determined

Search

Hold

ProcessReviewDeliver

ESI Discovery Process

OureDiscovery

Strategy

providesa framework to

addresseDiscovery

in thecontext of

NormalOperations

Policies & Procedures Dictate theInformation Lifecycle Under “Normal Operations”

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Vision: Provide an Information Lifecycle Management environment that promotes legal compliance, and facilitates efficient and accurate eDiscovery responses.

1. Provides a Strong Legal Compliance Position

2. Compares well with standards and supports collaboration with 3rd parties (EDRM, DoD).

3. Provides well-defined and supported eDiscovery systems and processes.

4. Drives efficiency in our Legal eDiscovery effort and our IT operations.

Defining A Shared VisionCreating an eDiscovery Ready Environment

Our Solution

Lessons Learned So Far

▪ C-Level Execs, LOB Managers must understand the issues and provide clear support

▪ Legal / records management and IT must be in partnership; shared accountability

▪ “Whole Systems Approach” Needed▫ Policy / Procedure / Job evaluations linked▫ Easy to use technology helps

▪ Avoid too much customization!

▪ Work HARD On User Adoption!

▪ How Is SharePoint HELPING With RM / ECM?

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What SharePoint 2010 DoesAccording to Microsoft

How we might describe it…Using NGC English

Communities

Search

Sites

Composites

ContentInsights

Web SitesSharePoint Team SitesandCollaboration

Content, Document, and Records Mgt

BusinessIntelligence

UserDeveloped

Apps

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Technical Tools Overlap --“One Broad Toolset OR Point Solutions…?”

Communities

Search

Sites

Composites

ContentInsights

Web SitesSharePoint Team SitesandCollaboration

BusinessIntelligence

UserDeveloped

Apps

Content, Document, and Records Mgt

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Heterogeneous vs. HomogeneousPros & Cons

Office/SharePoint 2010 versus EDCAR/EMC?

▪ SharePoint 2010 has extensive records management and content management capability

▪ Office 2010 and SP2010 REPLACE EDCAR Now!

▪ What About Whole System? ▫ Office – client SW – add-ons from Colligo, MacroView?▫ SharePoint AND Exchange Servers (2010 versions)▫ Offline or Remote Office Requirements?

▪ Could the “Microsoft stack” meet ALL our needs?

▪ Let’s Look at SharePoint RM/ECM More Closely…

SharePoint 2010 and Records StorageNew Records Center template supports Hierarchical File Plan, offers a Content Organizer (links to Content Types and Routing) and end user ease of use and administrator only features

SharePoint 2010 and Records StorageNew Records Center template supports Hierarchical File Plan, offers a Content Organizer (links to Content Types and Routing) and end user ease of use and administrator only features

Enterprise Managed Metadata Service

SharePoint 2010 and Records Management (1)

▪ Content Types – new Syndication options

▪ Much improved update capability

▪ MMS and Term Store

▪ Managed Metadata attached to Content Types across ALL data

▪ Administrative controls and ease of use

SharePoint 2010 and Records Management (2)

▪ Retention and Policies cover Info Life Cycle

▪ Series of Actions

▪ Attach to Content Type

▪ Default Metadata assigned based on Doc Lib / Columns

▪ ALL CONTENT Has Retention Defined!

SharePoint 2010 and Records Management (2a)

Retention Stages added to Content Type Definitions

Actions over time or event based triggers

Define Simple Actions OR Trigger Workflows (Custom Code??)

▪

SharePoint 2010 and Records Management (3)

▪ Unique Document Identifiers – Life of item

▪ Not affected by item location / policies

▪ Detailed RM / Item Information Display shows Record, Hold and other status

▪ Audit Log per item

SharePoint 2010 and Records Management (4)

▪ Explicit Record Management

▪ ‘In Place’ Records Option – or Follow Policy, Route/Move

▪ More Records Options to have more than one Destination, Actions and Audit Log entries

SharePoint 2010 Records Management Details

Record Declaration – In Place Option

Site / Library and Content Type Setting

Site Collection, Site, List/Library Settings in a Hierarchy – Control and Flex…

(Complications?)

▪

SharePoint 2010 Records Management Details

“Locked” Records

SharePoint 2010 and RM /eDiscovery Support

▪ Legal Hold and eDiscovery support

▪ Metadata Driven Web Navigation Options

▪ Simple web parts and templates tie to File Plan and related Metadata across all items and sites

File Plan RM vs. User “Virtual Folders”

Metadata Driven “Folders” That Users Know

Questions?

Presentation – with Links to Sources and Slide Notes – Posted to UG Web Site

EDRM Model