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SharePoint Records and Compliance

SharePoint Records and Compliance. Anthony Woodward Australia. Introductions. Anthony Woodward Chief Technology Officer RecordPoint Technology professional with fifteen years of experience in information technology focusing on Records management and collaboration .

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SharePoint Records and Compliance

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  1. SharePoint Records and Compliance Anthony Woodward Australia

  2. Introductions Anthony Woodward Chief 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

  3. Do I care? Why do we need to Records Manage at all?

  4. Examples of What NOT to do! Compliance Hall of Shame Luke Duffy Formerly of National Australia Bank Now Serving Time, Took Down CEO Bernie Ebbers Former CEO of WorldCom Now Serving 25 Years Ken Lay Former CEO of Enron Facing 175 Years Morgan Stanley Fined $1.45 Billion Stock Price Down CEO Removed Gale Norton Secretary of the Interior Held in Contempt of Court Liu Jinbao Former CEO of Bank of China Now on Death Row

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

  6. Value Proposition for Records Management • Globally the courts will view the following as “BAD” = • NOT having a Records Management Program • NOT having a consistent deployed Records Management Program • NOT having a Data map (knowing the where, how, when regarding retrieval of your own data) • 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

  7. Any Predictions on how this will turn out?

  8. 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

  9. Agenda 3rd Party Tools Enterprise Content Management Records Management What’s New in SharePoint 2013?

  10. Agenda 3rd Party Tools Enterprise Content Management Records Management What’s New in SharePoint 2013?

  11. 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

  12. So what are we using SharePoint for? CONTENT Source: “SharePoint Industry Watch,” AIIM, July 2010

  13. SharePoint Organize Discover SHARE Build Manage Share

  14. Enterprise Content Management Create Control Protect Manage content policy, information architecture and taxonomy Reduce risk and manage compliance with centralized tools Create and organize content easily Organization Personal Team

  15. ECM Approach ECM has evolved, where content creation and organization is intuitive and simple through discovery and collaboration 1 2 3 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

  16. Agenda Top 10 Best Practices Enterprise Content Management Records Management What’s New in SharePoint 2013?

  17. What is RecordsManagement? Practice of identifying, classifying, archiving, preserving, and destroying records according to a set of pre-defined standards

  18. 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 eDiscovery • Court Handbook of Singapore etc.

  19. 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

  20. 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

  21. Content Lifecycle Add metadata at each step of the way

  22. Agenda 3rd Party tools Enterprise Content Management Records Management What’s New in SharePoint 2013?

  23. 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 Retention • Site Mailboxes • eDiscovery Portal • Cloud Parity

  24. 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.

  25. SharePoint 2013: What’s New in Records Management Site Retention Site Mail Boxes & e-Discovery Cloud Parity

  26. SiteRetention

  27. SiteRetention Compliance 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.

  28. SiteRetention • Compliance 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

  29. demo Site Retention

  30. Site Mailboxes

  31. Site Mailboxes • Easy 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

  32. eDiscovery Portal • SharePoint 2013 In-Place Holds • Exchange 2013 In-Place Holds • Query-based preservation

  33. 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) Unified Discovery across Exchange, SharePoint and Lync

  34. Legal can create discovery sets for in-place preservation View in-place hold stats in real time • Create queries to trim down content required for analysis or export

  35. Add Exchange mailboxes, SharePoint sites and file share sources • Preserve content in original location with true fidelity

  36. Unified search query across Office platform • Reduce preservation set size with additional filters • View breakdown of results and size statistics at-a-glance • Preview content prior to export • Multiple message types, including Lync

  37. Tabbed results • Preserve discussions and feeds from SharePoint

  38. Export content to EDRM XML standard format • Options for de-duplication, IRM removal and document versioning

  39. Cloud Parity • Records Center: cloud parity • Document IDs • Multi-State Retention • Per-Item Audit Reports • Hierarchical File Plans • File Plan Report • In-Place Records Management in the cloud • Taxonomy • Central Content Types • Content Organizer • Virtual Folders (Metadata Navigation)

  40. demo Records Center in the Cloud

  41. Agenda 3rd Party Tools Enterprise Content Management Records Management What’s New in SharePoint 2013?

  42. 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

  43. 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?

  44. Considering Compliance for SharePoint? • What are your compliance requirements? VERS DOD 5015.2 MoReq Government Records - Information Management Handbook ANSI ISO 15489 Sarbanes-Oxley UETA NAA IS40 ISO 16175 FRCP

  45. COMPLIANCE Source - http://rimtech.ca

  46. Microsoft’s Research A considerable amount of the requirements of International Council of Archives standard is delivered SharePoint 2010. • 88% of Records functionality as defined by the ICA standard (ISO16175) is now available “out of the box” using Sharepoint 2010 • Additional configuration and Third party applications are required to provide specific records compliance functionality

  47. 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

  48. Deliver Best-in-Class Hybrid Cloud Public Coming Soon Today CommonTechnologies Identity ▪ Virtualization ▪ Management ▪ Development Private The RecordPoint Difference Private Public • Hybrid Support & the Commons • RecordPoint Collects from Cloud • Total Cost of Ownership • On Premise or Hosted Solution • Hybrid Support & the Commons • Built in Azure • Higher-level Services

  49. 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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