Records Management 2.0 & SharePoint

Records Management 2.0 & SharePointMike Alsup, GimmalSVP & FounderApril 22, 2013Sue Trombley, Iron MountainManaging Director, ConsultingInformation Management for Everyone0

Agenda Introductions Gimmal– What are we Building?– How are we Differentiated?– What are our Big Bets? Iron Mountain– Why do we believe SharePoint is important?– How do we work with SharePoint? Why is this Relevant? DiscussionInformation Management for Everyone11

Gimmal SolutionsInformationGovernance SuiteERP-Link SuiteContent Consistencyand Lifecycle controlSAP ContentArchiving andSolutionsUnified RecordsManagementFor Electronic andPhysical RecordsInformation Management for Everyone2Compliance SuiteFor Electronic andPhysical Records

Gimmal Solution FeaturesInformation Governance SuiteCompliance SuiteCompliance HubEnhanced File Plan BuilderRecord RelationshipsDrop Zone ClassificationEvent ManagementEnhanced Search InterfaceCut-off and Disposition ProcessingEnhanced Template ManagementEmail Record ManagementGovernance ProvisioningVital & Restricted RecordsMetadata Rule & Inheritance ManagerTransfersContent Organizer ManagerERP-Link iNet.DMUnified Records ManagementCommon ECM for SAP and SharePointUnified Legal Holds Physical & ElectronicFull SAP and SharePoint InteroperabilityIntegrated to all Iron Mountain ServicesSeamless Workflows between PlatformsPhysical Records ProcessingComposite Interoperable ApplicationsSAP Data & Records Archival in SharePointQueuing Pickup, Delivery, CheckoutRapidly ImplementedUnified Application of PolicyConnected to DoD Certified PlatformBulk Processing of Physical RecordsInformation Management for Everyone3

A Select List of Our ClientsInformation Management for Everyone4

Top 10 Questions in ECM & RM Can we do everything with SharePoint?– Does SharePoint RM scale to the Enterprise?– Does SharePoint 2010 RM fix the records problems from MOSS 2007?– Does SharePoint 2013 RM fix the records problems from SharePoint 2010 Can we justify consolidating ECM & RM to a single vendor?– What about our investments in “X”? Do we need one File Plan and Retention Schedule for Electronic andPhysical Records?– What about our Paper-based Records Management?– How should we use “Big Buckets” in our File Plan? Who should control our Records Management functions? How is SharePoint related to eDiscovery? Where do we start? If we build it, will they all come? How do I get Executives to Care?Information Management for Everyone5

Records Management 1.0Traditional ECM systems have missed the mark in deliveringtrue records management Non-intuitive end user experience Too many systems Expensive to integrate and maintain Low user adoption Not usable Low findability Low % of managed content Too much content High eDiscovery costsInformation Management for Everyone6

SharePoint is a Visionary Leader SharePoint is Consolidating theECM and RM Markets– 135MM SharePoint Licensed Users*– 65,000 Companies*SharePoint– 67% SharePoint to Enterprise*– 700,000 SharePoint Developers*– 70% of Gartner ECM inquiries– 2012 2B business SharePoint is Energizing the ECMand RM Markets– Microsoft owns productivity market,ECM and RM a natural extensions– Many Best of Breed applications SharePoint is compelling platformfor compliance & enterprise RMInformation Management for Everyone7

Records Mgmt. (& Content Governance) 2.0 Leverage viral adoption of SharePoint to connect with knowledge WorkersTransparent participation in a compliant Information Management SystemAll content is managed from a lifecycle, compliance and legal/tax/audit holdperspectiveEnd reliance on end users choosing to follow policy and compliance rulesImprove SharePoint system/infrastructure performance to support worldwide(outside US) access to informationLines of Business collaborate with IT to define the rules and ongoing reviewprocess based on Content TypesThere are 4 key elements of IM 2.0– Information lifecycle– Content Types– Metadata inheritance– Consistency in user experienceInformation Management for Everyone8

Business ChallengesSharePoint:Enterprise Content ManagementFOR PUBLIC PLAN SPONSORSis not Enterprise AdoptedChallenges & OpportunitiesInformation Management for Everyone99

SharePoint Site DeploymentRestrictedOpenOther SitesTeam RestrictedPersonal Enterprise Intranet Site Portal to Enterprise Applications Directory of Enterprise Services (e.g. HR)Sites Organization Project Workgroup Community Sites Information Sites Site Archival Records CenterPersonal Sites (MySites) Personalized Access to Content Significant Component for UsersInformation Management for Everyone10

Ungoverned “organic” environmentTop Site PortalIssues:Chaos grows with new sites No central site directory Each site has own look and feel Navigation is inconsistent No standard security modelDifferent definitions of content Site 1 has “Invoice – Purchasing” Site 2 has “Invoice”Content volume increasing rapidly Many convenience copiesMetadata mgmt. is inconsistentAll content is retained foreverHow are Records managed?Information Management for Everyone11

Ungoverned “organic” environmentTop Site PortalHow are yougoing tosupport this?How do yougovern this?Information Management for EveryoneSome sites may be connected toPortal, others not12

Data (Fully Automated Rules)UserUsage Model & ChallengeExplorerExternalDevicesOfficeFile SharesSharePointSAPGUISharePointSAPMULTIPLE CLIENTS AND MULTIPLE REPOSITORIESInformation Management for y AppInterfacesLegacyApps

RecordRepository File Plan Retention Schedule Legal Citations Legal HoldsTop Level PortalTeam SitesMySitesInformation Management for Everyone14

Record Retention yPersonnel Files –PersonnelActionsRetention Category DescriptionRecord(Content)TypeIndividual employee records relatedto hiring, promotion, performanceappraisals, transfers and disciplinaryaction. Also includes employeerelocation.HUM70Employee WarningsHUM70Performance ReportsHUM73Personnel Files –Termination,Training andSummaryRecordsIndividual employee records withterms of employment, salary andwage schedules, technical training,safety training, resumes, applications,and termination records.HUM73Employee TrainingAttendance RecordsHUM73Letters of ResignationHUM73Termination DocumentsHUM73Exit InterviewsHUM73Employment ApplicationInformation Management for Everyone15RetentionEventRetentionPeriodRetention periodbegins with thecontent is marketfinal/ declared arecord.6 yearsRetention periodbegins with thecontent is marketfinal/ declared arecord.60 years

Records Retention Schedule StructureBusinessFunctionEnterprise Content TypeRecordCategoriesRecord Titles /OrganizationContent Types(Big Buckets)ACC100Accounting,Banking, andPayrollTransactionsBank Deposit Rpt6 YearsBankingRecord6 yearsFinance &Accounting Tax(ACC)Accts Payable6 yearsACC200FinancialReportingA/P Invoice6 YearsExpense Report6 YearsBalance Sheet10 YearsFinancialStatement10 yearsInformation Management for EveryoneLocal ContentType16Income Statement10 Years

ILC DateCreate DateLast Modified Date(system generated)Security Class(internal, external, confidential)XXXXXLocal ContentTypePersonnel Files –Personnel ActionsHUM70XLocal ContentTypePersonnel Files –Hiring, Termination,Training andSummary RecordsHUM73XInformation Management for Everyone17Content TypeHuman Resources –Employee SpecificEmployee NumberOrganizationContent TypeEmployee NameEnterpriseContent Type NameEnterpriseContent TypeContent Type LevelEvent Trigger DateILC StateXRetention Category CodeOwning OrganizationTaxonomy Master Model in SharePointXXX

Information LifecycleRetentionXX DaysRetentionXX MonthsRetentionRetention ScheduleLocation(s)Network SharesE-mail InboxLocation(s)Document LibrariesLocation(s)Record Center or3rd Party ProductMetadataNameMetadataNameContent TypeMetadataNameContent Type Information Management for sDispositionMany others

Site Provisioning Produces Standard “Global Entities”– Security groups and membership– RolesAdministrativeGovernance Focus– Pages and navigation– Web Parts Support all Site Templates Publishing Collaboration Organization Project Community of Practice Personal (MySites)– ListsContent Governance– Document LibrariesFocus– Content Types– Site and library columns and auto-population rules– Custom functions Leverages request and approvalworkflow Content Types & Features Limits Local Admin’s to local needs– Minimizes “Administration” training– Ensures governance settingsInformation Management for Everyone19

Information LifecycleFile Plan /RetentionScheduleRecordRepository Content Types Information Policy Site Templates Document Templates File Plan Retention Schedule Legal Citations Legal HoldsTermStore /Content HubTop Level PortalSiteProvisioning Lifecycle Taxonomy SP Features XML Config. Navigation Search SecurityTeam SitesSharePointFrameworkInformationManagement for EveryoneMySites20

File Plan BuilderInformation Management for Everyone21

Gimmal Extensions to SharePoint 2010 forGovernance & Records ManagementSite ProvisioningMetadata Rule MgmtAuto ClassificationUsability ianceSuite - 168TransfersContainer Open/CloseVital RecordsSupplemental MarkingsFortune 1000105Case File RetentionFormal DispositionEmail IntegrationSharePoint72Retention PoliciesTime-based retentionClassificationSource: RIMtech Inc. – Bruce Miller RIMTAR tion Management for Everyone22

SharePoint Content Governance ModelBusiness FunctionsWeb Part IIWeb Part IEstablishGovernanceRoadmapSite IIIProjects/CommunitiesWeb Part IIIWeb Part IWeb Part IVWeb Part IVWeb Part IWeb Part ISite IVSite IIIWeb Part VIWeb Part VSite IVSite IISite IISite IISub site IISite IISite VISite ISite ISite ISub site ISite ISite IGulf ectionFinance.AP SiteSharePoint Content Governance InfrastructureSharePoint Technical InfrastructureInformation Management for Everyone23 Identify Required Components Site Templates Lists and Libraries Content Types Processes Web Parts Custom Functions Define Direction and Phasing Team Site Templates Implemented Local Processes & Content Types Department or Team Administration Content Types & Routing Rules Managed Metadata / Term Store Information Lifecycle Governance Administration & Site Provisioning Technical Architecture Base SharePoint Configuration SQL Server / .NET / RBS Hardware / Storage/ Networks

Marathon Oil Case StudyIntegrated international energy company. 5th largest refiner in U.S. Retailmarketing system comprises approximately 5,700 locations in 17 states.18,000 knowledge workers globally.ECM/RM Program:– Relevant, up-to-date & trusted information– Consistent records management– Knowledge sharing platformGimmal Services:– ECM Program feasibility in MOSS 2007 timeframe (2005-2006)– ECM vendor evaluation to support vendor selection– Enterprise Launch to 15,000 knowledge workers– Auto-provisioned 15K SharePoint sites– Enterprise File Plan & Retention Schedule Update (2011)– Change Management Program– Case study on Microsoft.com search for “Marathon Oil”Information Management for Everyone24

Marathon Lessons Learned SharePoint ECM is a fine foundation for ECM & RM– 15K SharePoint Sites with one Information Lifecycle and Retention Schedule 12K MySites– Very well received by users and supported by CEO Divided into 2 Companies in 2011 Completed SharePoint 2010 Team Site migration work in 2011 Open Text works better for some things than others– Physical RM yes– Search no. Items found in multiple locations– Synchronization no. Large % of cost is repository synchronization– Users prefer Office/Outlook Native environment, not ECM or Web Parts Content governance needed in SharePoint regardless of ECM SuiteInformation Management for Everyone25