File Shares: From Chaos to Calm

File Shares: From Chaos to Calm

Chris Caplinger

Today’s Agenda

Introduction

Common File Share Problems (Chaos)

Steps to Resolve (Calm)

Q & A

Who are we?Customers

• Governance, Records, and Document Specialists

• Building and implementing ECM technologies since 1996• Records Management• Document Imaging• Document Workflow

• Software manufacturing since 2001

• Implemented solutions in more than 200 major corporations worldwide

RecordLion Team

File Share ChallengesChaotic, over-retained, unorganized file shares cause

problems

Privacy RisksWhere are your Files? 7.5% are lost

Who has access? 3% are misfiled

Risk increases over time

Litigation Risks75-80% of information considered ROT

(Redundant, Obsolete or Trivial)High Cost of eDiscovery

$3 Million per case on average*

*Fulbright & Jaworski

Increased CostsTime to find Files

$120 / Misfiled Document*

Reproducing Lost Files$220 / Document*

*AIIM President – John Mancini

Lower ProductivityProfessionals spend 50% of their time looking for the right information*

*AIIM President – John Mancini

Information Value Declines Over Time

Business Need Regulator Need (TAX) No Need

InformationValue

Office Documents

Product Research

Sales/Customer

HR

Financials

IT Cost

Risk

Risk-to-Value Gap

Cost-to-Value Gap

Resolving the Chaos1) Analysis2) Organization3) Management4) Disposition

Analysis1. Analyze your

current structure(s)

Analyze Current Structures

Make a list of your file shares

Talk to all departments Include user shares Corporate

For each share Include current security

policy What does the

taxonomy look like (or how was it supposed to look)

File Share Security Policy Taxonomy Example\\[server]\HR\Employee HR/Directors/

ManagersEmployee \\myserver\HR\Employee\John Doe

\\[server]\HR\Hiring HR Job Opening\Email \\myserver\HR\Hiring\chris@recordlion.com\\[server]\Ops\Tax Finance/Executive Tax Year \\myserver\Ops\Tax\2015

\\[server]\Accounting Accounting Tax Year \\myserver\Accounting\2015

Start considering:

• Are current policies being followed?• Are the structures possible for privacy/security considerations?• Are structures possible for classification, search, and retention?• What content should be migrated to a EDMS?• Is there already an EDMS or other location these files should be?

Organization1. Build the Taxonomy2. Create a File Plan3. Plan for Incoming

Files4. Organize Existing

Files

Design New TaxonomyFolders need to be capable of search/retention/security

Existing Example: \\[server]\HR\Employee\[Employee Name] Okay for Search Bad for retention Bad for security/privacy

New Example: \\[server]\HR\[Department]\Employee\[Employee ID + Employee Name] Employee ID allows retention and better search Department folder allows better security

File MigrationWhen to considering migrating

• Need to enforce a taxonomy• Meta Data or advanced search is required• Created/Modified Date not acceptable retention triggers• Files are transactional documents (follow business process)• Auditing is important• Version is needed• Creation/Authoring is shared process

When to considering staying with File Shares• Users will likely follow policies OR applications in place to enforce• Shared Files are not accessed often• Files belong to one person• Backup technologies are in place

Most any CloudStorage Service

• HP Cloud• Huddle• SugarSync• Egnyte• AutoDesk• Copy.com

• OpenStack• SFTP

• Google Drive • Google Apps• Office 365• One Drive• One Drive-Bus.• Box• ShareFile• SalesForce• Syncplicity• Dropbox• Oracle Documents

Integrate Systems Together in MinutesMigrate, Copy, Or Synchronize

File PlanA file plan lists the records in your office, and describes how they are organized and maintained.A good file plan will help you:

document your activities effectively identify records consistently retrieve records quickly disposition records no longer needed meet legal, corporate and regulatory requirements

http://www.epa.gov/records/tools/toolkits/filecode/

File Plan Example (Excel Spreadsheet)

http://blog.recordlion.com/file-plan-template/

Creating a File Plan

Import from File• Microsoft Excel• CSV (comma delimited)

Import from 3rd Party• Certified integration with IRCH• Virtually any system that has export capabilities or

non proprietary databaseDirectly in RecordLion Software

Don’t forget to publish your policy!

Plan for Incoming FilesWhere will templates be stored?

Allowing users to work from desktop can:• Increase chances of lost files in case of hardware failure• Discourage use of network for final versions

Train users on correct folder creation• Enforces security• Allows classification• Proper folder security helps enforce correct locations

Report and Monitor

Organize Existing Files

Works well if files are reasonably organized

Don’t depend on end users to do this for you

Consider disposing of ROT files

Hire temporary help

If files are not organized, this may be the only way

Mapping Application Automated Classification

Manual / Drag and Drop Automated

Management1. Lifecycle2. Search3. Monitor4. Report

Information LifecycleCorrect

Policies at correct time

Events are being used to drive retention

Review processes

are in place

Transfers to locations with

different security levels

Search, Monitor and Report

Search• Indexing is

issue• Browsing is

likely• Tools:

• SharePoint• RecordLion• Others

Monitor• Folders

creation• Correct

Locations• Classification

is correct

Report• Volume• Unclassified

Disposition1. Approval2. Final Action3. Reporting

“Final stage of record management in which a record is either destroyed or permanently retained.”

Disposition Approval

When to consider

• Files need approval before being destroyed?• You need to audit the deletion process• Files are “Records”

Destruction

Forensic Destruction?

Proof of Destruction?

Transfer or Permanently Retained?

Q&AChris Caplingerchris@recordlion.com@chrislcapKevin Bleykevin@recordlion.com

Websitehttp://www.recordlion.comBloghttp://blog.recordlion.com