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: [email protected]
personal twitter: @woodwa
More Information on RecordPoint at: http://www.recordpoint.com.au
Or Follow RecordPoint on twitter @recordpoint
Thank you to our sponsors 53
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