Improving Records Management at Contoso Corporation (Concurrency Corporation)

Improving Records Managementat Contoso Corporation

(Concurrency Corporation)

ContentsExecutive SummaryCurrent State AnalysisFuture State AnalysisAdoption & Implementation PlanningNext Steps

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Executive SummaryYou 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 recordsSignificant compliance concerns regarding new content types (multimedia, blogs, wikis, etc.) and communications (emails, IM, etc.)Accidental destruction of important documents and potential spoliation of evidenceLong record review cycle time, laborious manual review effortAccidental dissemination of sensitive subject matter and intellectual propertyAs employees are unsure of record handling procedures, legal department receives increased volume of potential records for review

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Engagement ParticipantsParticipant Name Department Role

(name) (department) (title)






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Executive SummaryConcurrency 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 2010Drive improved user adoption and adherence to compliance policy

Implementing the proposed EPM Solution will provide you with:

Reduction in content review process by 5 daysAn extension of records management policies beyond record center to all SharePoint Server team sitesReduction in operating costs related to records managementReduction in opportunity costs from record mismanagement

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Executive Summary


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Process Phase

Description

• Employee creates record

• Employee is responsible for determining record type and routing procedure

• Records management team manually reviews selected content

• Records Management team manually applies metadata tags

• Legal team sequesters records in record center

• Legal team receives request for record search

• Legal team queries record center, returns relevant records

• Legal team receives notice of legal hold

• Legal team queries record center , manually sequesters sensitive records

• IT Department manually removes old records after their expiration date

Key Stake-holders

• Content Creators • Legal Team • Legal Team• IT Department

• Legal Team • Legal Team

High-Level Problems Identified

• Archiving not included in current workflow

• Content creators unsure of content sensitivity

• Significant compliance concerns regarding new content types (multimedia, blogs, wikis, etc.) and communications (emails, IM, etc.)

• Time consuming manual review process

• Inability to consistently apply metadata, retention schedules, record declarations, and legal holds to records

• Time consuming manual search process

• Impossible to search across organizational silos

• Search is limited to Records Center

• Time and labor intensive process

• Error prone process

• Significant record duplication/revisions

• File structure requires documents to be individually reviewed

Impact

• Risk of accidental record destruction

• Increases volume of records for legal review

• Increased labor costs

• Prone to errors

• Risk of document mismanagement


• Long record retrieval times

• Risk of accidental document destruction

• Potential risk of spoliation charges


• Risk of accidental document destruction

• Lack of record purging process transparency

Current State Process Analysis

Create Content

Review and

Classify Content

Retrieve Content

from Repositor

y

Place Content Under Legal Hold

Retire Old

Content

Records Management Process – Analysis Summary

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Current State Process




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New Process Phase Description

• Content is created and posted to SharePoint

• SharePoint routes content to the appropriate stakeholder on the legal team based on content type and subject matter

• Appropriate legal and compliance teams review records

• Metadata is applied automatically during content review

• Corporate wide records are easily and accurately searched based on metadata within SharePoint

• Legal team searches records based on search criteria

• Legal team instantly places hold on returned records with a single click

• RMS notifies legal team & content creators when record has expired

• Stakeholders approve retirement

• Record is purged after approval process

Key Stakeholders

• Content Creator • Legal Team • Legal Team• Third Party

Requestor

• Legal Team

• 3rd Party Requestor

• All

High- Level Improvement

• 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

• 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

• Common repository for corporate-wide data

• Single search interface

• Automated legal hold process programmed into to SharePoint interface

• Review policy information, apply holds and generate item level audit reports

• Automated notification and approval process to all affected stakeholders

• Streamlined retirement process

Impact / Benefit

• Automatic record storage and notification

• Increased compliance with federal regulations

• Labor efficiency gains

• Reduced labor costs• Reduced error in record

classification, archiving and retrieval

• Reduced search cycle time

• Greater confidence in search results

• Reduced hold cycle time

• Reduced risk of spoliation

• Reduced risk of document mismanagement

• Reduced labor costs

Future State Process Analysis

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Create Content

Review and

Classify Content

Retrieve Content

from Repositor

y


Retire Old

Content

Records Management Process – Analysis Summary

Levelof

Complexity

Low

Low

High

High 5

3

3 5

1

Value to Business

Prioritized Process Solutions

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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 Description BenefitsTechnology 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



• 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




• Legal Team


• 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




• 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




• Content Creators

• Legal Team

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Adoption & Implementation Planning Summary

PhaseID

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 Manager Legal Director

2Identify, collect, and preserve content throughout SharePoint for legal discovery

• IT Staff• Content Creators• Legal Team

IT Manager Legal Director

3 Establish automated legal hold process

• IT Staff• Legal Team


4Create workflow for content creation and routing to legal department

• IT Staff• Legal Team


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Potential Adoption Roadblocks

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Stakeholder Group

Anticipated Resistance to Change Degree to which Resistance will Limit Initiative Success

Mitigation actions

TechnicalContent Creators

Some reluctance to use new tools Low•Develop brief training document and FAQ

Legal Team Some reluctance to use new tools Low•Develop brief training document and FAQ

IT Department N/A Low •N/A

Executive Management

N/A Low •N/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 Creators Legal Team IT Department Executive Management

Awareness

Awareness generating communications via email, newsletters, manager meetings, etc., targeted to stakeholder group and concerns



Awareness generating communications via email, 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.

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




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Next StepsReview presentation and proposal with decision maker(s) and stakeholders for approvalConsider a SharePoint Deployment Planning Services (SDPS) follow-up engagementExecute work order for projectSchedule kick off meeting for week of _____ and weekly status meetingsPropose schedule:

A) Deadlines for initial milestones, orB) Date to finalize initial milestones

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Documents

Improving Records Management at Contoso Corporation (Concurrency Corporation)