Partner

Platinum Sponsor

SharePoint Records and Compliance

Anthony Woodward

Australia

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Introductions

Anthony WoodwardChief Technology Officer RecordPoint

• Technology professional with fifteen years of experience in information technology focusing on Records management and collaboration.

• Software Engineer when my schedule lets me• Member of the Microsoft Partner Council (SharePoint) and a Microsoft

Virtual Technical Specialist. • Broad range of corporate and government business problems

including technical publishing, product data management, and records management.

Anthony & RecordPoint

Paula & Intergen

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Why do we need to Records Manage at all?

Do I care?

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Liu JinbaoFormer CEO of Bank of ChinaNow on Death Row

Liu JinbaoFormer CEO of Bank of ChinaNow on Death Row

Bernie EbbersFormer CEO of WorldComNow Serving 25 Years

Bernie EbbersFormer CEO of WorldComNow Serving 25 Years

Luke DuffyFormerly of National Australia BankNow Serving Time, Took Down CEO

Luke DuffyFormerly of National Australia BankNow Serving Time, Took Down CEO Ken Lay

Former CEO of EnronFacing 175 Years

Ken LayFormer CEO of EnronFacing 175 Years

Gale NortonSecretary of the InteriorHeld in Contempt of Court

Gale NortonSecretary of the InteriorHeld in Contempt of Court

Morgan StanleyFined $1.45 BillionStock Price DownCEO Removed

Morgan StanleyFined $1.45 BillionStock Price DownCEO Removed

Examples of What NOT to do! Compliance Hall of Shame

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Are you one of those in the Board Room or “middle management”?

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Value Proposition for Records Management

Globally the courts will view the following as “BAD” = 1. NOT having a Records Management Program

2. NOT having a consistent deployed Records Management Program

3. NOT having a Data map (knowing the where, how, when regarding retrieval of your own data)

4. NOT having performed an audit of your Records Management Program and eDiscovery Plan

Single Enterprise Search / e-Evidence Discovery (records & non-records)

Consistency in the control and classification Consistency in ability to manage business records Centralised application & release of Hold Orders Centralised disposition authority for the enterprise

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Any Predictions on how this will turn out?

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What are the Implications? More audit and court fines, out-of-court settlements, etc.

regarding e-mail than another other document type. Implications of Unified Communication: Retention of those

Communications e-Mail, Instant Messaging (IM), fax, v-Mail, Snail Mail, ??? (what’s next

Blogs, Wikis, Twitter, Facebook?)

What is your corporations Legal Position? Keep everything destroy nothing Keep nothing destroy everything All e-Mail is created equal

Regulatory Drivers Ensure timely and complete disposition / expunge of “ALL”

copies Ensure privacy and record security policy

Agenda

Enterprise Content Management

Records Management

What’s New in SharePoint 2013?

3rd Party Tools

Agenda

Enterprise Content Management

Records Management

What’s New in SharePoint 2013?

3rd Party Tools

SharePoint is here…

200,000,000+ 17,000+

70%Sources: “State of the ECM Industry 2011,” AIIM, March 2011; “Microsoft TechNet,” Microsoft, February 9, 2011

So what are we using SharePoint for?

Source: “SharePoint Industry Watch,” AIIM, July 2010

CO

NT

EN

T

SharePoint

ManageBuild

DiscoverOrganize

SHAREShare

Create Control Protect

Create and organize content easily

Manage content policy, information architecture and taxonomy

Reduce risk and manage compliance with centralized tools

Enterprise Content Management

Personal Team Organization

ECM Approach1

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ECM has evolved, where content creation and organization is intuitive and simple through discovery and collaboration

Ensure compliance is achieved through content policy, information architecture and taxonomy

Centralized eDiscovery across the Office platform helps protect organizations by improving compliance without affecting user productivity

Agenda

Enterprise Content Management

Records Management

What’s New in SharePoint 2013?

Top 10 Best Practices

What is RecordsManagement?

Practice of identifying, classifying, archiving, preserving, and destroying records according to a set of pre-defined standards

Why RecordsManagement? Increasing pressure to manage risk

more effectively through improved compliance with regulatory and corporate policies

Government and industry regulations

Singapore Government Information Management handbook, ISO 15489 & ISO 16175, MoReq and DOD 5015.2

Legal eDiscoveryCourt Handbook of Singapore etc.

RecordsManagement Challenges

• Difficulty applying retention policies to content

• High costs of complying with new laws and regulations

• Difficulty providing access to controlled records

• Heavy reliance on IT• Poor user adoption of records

management solutions

RecordsManagement Strategy You should view retention and

records management as a component of the overall document lifecycle to reduce risk and improve compliance with increased adoption

Content Lifecycle

Create ReviewPublish/Declare

Archive/Destroy

Add metadata at each step of the way

Agenda

Enterprise Content Management

Records Management

What’s New in SharePoint 2013?

3rd Party tools

What’s New in SharePoint 2013?

• SharePoint 2010: Content Organizer Document Sets Document IDs Location-based metadata defaults Metadata navigation In-Place Records Site-based eDiscovery and Holds

• SharePoint 2013: SharePoint 2010 features,

plus:Site RetentionSite MailboxeseDiscovery PortalCloud Parity

What’s new in SharePoint 2013

Microsoft’s two key goals for SharePoint 2013:

• Investment in ‘cloud-first’. For example, you can now do records center in the cloud.

• By making most aspects of content easier to use, you get better adoption and information governance.

SharePoint 2013: What’s New in Records Management

Site RetentionSite Mail Boxes &

e-Discovery Cloud Parity

Site Retention

Site RetentionCompliance features of SharePoint Server 2013 have been extended to sites.

You can create and manage retention policies in SharePoint Server 2013, and the policies will apply to SharePoint sites.

Site RetentionCompliance officers create policies, which define the following:

• The retention policy for the whole site

• What causes a project to be closed

• When a project should expire

Site Retention

demo

Site Mailboxes

Site MailboxesEasy to add an associated mailbox for a site

Drag emails from Outlook into document libraries

Manage emails as records

Close and expire sites and mailboxes together

eDiscovery Portal

SharePoint 2013 In-Place Holds

Exchange 2013 In-Place Holds

Query-based preservation

Unified Discovery across Exchange, SharePoint and Lync

Find it all in one place (unified console) Find more (in-place discovery returns the richest data) Find it without impacting the user (Give legal team discovery, leave

IWs alone)

Discovery Center in SharePoint Unified Preserve, Search and Export

Exchange Web Services Connect to Exchange to get mailbox data

Lync Archiving to Exchange Exchange is the compliance store for Lync

Search Infrastructure Exchange and SharePoint use the same search platform

View in-place hold stats in real time

Legal can create discovery sets for in-place preservation

Create queries to trim down content required for analysis or export

Preserve content in original location with true fidelity

Add Exchange mailboxes, SharePoint sites and file share sources

View breakdown of results and size statistics at-a-glance

Unified search query across Office platform

Reduce preservation set size with additional filters

Preview content prior to exportMultiple

message types, including Lync

Preserve discussions and feeds from SharePoint

Tabbed results

Export content to EDRM XML standard format

Options for de-duplication, IRM removal and document versioning

Cloud Parity

Records Center: cloud parityDocument IDsMulti-State RetentionPer-Item Audit ReportsHierarchical File PlansFile Plan Report

In-Place Records Management in the cloud

TaxonomyCentral Content TypesContent OrganizerVirtual Folders (Metadata Navigation)

Records Center in the Cloud

demo

Agenda

Enterprise Content Management

Records Management

What’s New in SharePoint 2013?

3rd Party Tools

Records Management Challenges

Difficulty applying retention policies to differing content Granular Retention control – OOTB SharePoint only has

limited actions:

Heavy reliance on IT Poor user adoption of records management solutions Records can still mean managing Paper/ Physical records

Considering Records in SharePoint?

How much content do you have?

What types of content do you have?

Can you maintain the experience?

What are your compliance requirements?

Who will be using SharePoint, and how?

How long do you plan on keeping your content? In SharePoint… In your company…

What version of SharePoint do you have?

Considering Compliance for SharePoint?

What are your compliance requirements?

ISO 16175IS40

DOD 5015.2

Sarbanes-Oxley

NAA FRCP

UETAISO 15489

Government Records - Information Management Handbook

VERS MoReqANSI

COMPLIANCE

Source - http://rimtech.ca

Microsoft’s Research

• 88% of Records functionality as defined by the ICA standard (ISO 16175) is now available “out of the box” using Sharepoint 2010

• Additional configuration and Third party applications are required to provide specific records compliance functionality

A considerable amount of the requirements of International Council of Archives standard is delivered SharePoint 2010.

RecordPoint Delivers Compliance to ISO standards Built into SharePoint Seamless end user records experience Records Manager tools:

Rules driven Definable aggregation Disposal Reports/ Workflows Export/ Import tools for Records Physical File/ Record Management in SharePoint File Request Management Records Reporting Single view for Records team Enhances SharePoint Term Store for BCS

Deliver Best-in-Class Hybrid Cloud

Public

CommonTechnologies Identity ▪ Virtualization ▪ Management ▪ Development

Private

• Hybrid Support & the Commons• RecordPoint Collects from Cloud• Total Cost of Ownership• On Premise or Hosted Solution

Private • Hybrid Support & the Commons • Built in Azure• Higher-level Services

PublicThe RecordPoint Difference

Today

Coming Soon

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Next Steps…

Take Office 2013 for a spin! Try Office 365 Preview

http://www.microsoft.com/office/preview/

Twitter: @woodwa Blog: http://www.recordpoint.com.au/blogs/

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Evaluations – How did I do?

http://tinyurl.com/spcsea

Thank YouAnthony Woodward

CTO

email: anthony.woodward@recordpoint.com.au

personal twitter: @woodwa

More Information on RecordPoint at: http://www.recordpoint.com.au

Or Follow RecordPoint on twitter @recordpoint

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