10 Things You’ll Need to Succeed with

Information Governance and SharePoint

Chris Caplinger | RecordLion

Gary VanBuhler | Total Solutions

Chris Caplinger | President RecordLion

President

SharePoint Experience – 12 years

Co Author – SharePoint Server 2010 Enterprise Content

Management

Previous CTO & Co-Founder of KnowledgeLake

Twitter: @chrislcap

Who does RecordLion Serve?Records Managers who need to follow a formal declaration and disposition processIG professionals who need one set of policies to apply enterprise wideOrganizations in need of better records management than SharePoint offers out of the box IT departments with too much unorganized and unstructured data on their network file shares

Information GovernanceMaturity Model

• Sets standard of conduct and how to judge your organizations IG maturity

• Independent of Laws and Regulations• Based on ARMA Generally Accepted Record Keeping Principles• http://www.arma.org/docs/bookstore/theprinciplesmaturitymodel.pdf

The Principles• Senior Executive oversightAccountability• Documented program and available to everyoneTransparency•Reasonable assurance that data is authentic and reliableIntegrity•Records protected according to sensitivity and privacyProtection•Comply with laws, regulations and organization policiesCompliance•Timely and efficient retrievalAvailability•Keep records according to legal, regulatory, fiscal, operational and historical requirementsRetention

•Dispose of data that has expired according to retentionDisposition

10 Things You’ll Need…to apply the model in SharePoint

#1 - Access Control

Protection

Integrity

Compliance

Web Application• Scope for Anonymous Access

Site Collection• Highest Permission Level

SharePoint / SharePoint Online

• Each can have separate administrator

• Give users broad level access at this level

Site• By default sites take on site

collection permissions• Beware of letting site owners

control permissions• Micro management leads to

data breaches

Library / List• By default libraries take on

site permissions

Item• 5,000 limit default and

recommended by Microsoft• 50,000 maximum per list

(hard limit)• Performance implications as

you go past the 5K recommendation

Meta Data• Using Meta Data to control

security requires customizations

• Securing Meta Data columns also requires customizations

Roadmap

#2 - Taxonomy Plan

Protection

Availability

Too many SharePoint Implementations fail due to poor or no taxonomy!

What is a Taxonomy?

• In short, a systematic way to organize content

SharePoint taxonomy entities

• Site Collections• Sites• Libraries• Folders• Content Types• Terms (Managed Meta Data)

Taxonomy Types

Location Based• Sites/Libraries/

Folders• Folders can drive

Meta Data

• Simplifies Security• Users Browse for

Items• Discourages Search

Content Type Based• Put Content

Anywhere

• Encourages Search• Complicates

Security• Complicates Admin• Beware of Content

Type Creep

Content Type + Meta Data Based

• Put Content Anywhere

• Terms = Types of Information

• Encourages Search• Simplifies Taxonomy

Creation

Consider New Content Types for:Search/Meta Data/Retention/WorkflowDON’T

Create just because of document types

Taxonomy Examples

Meta Data/Term Store

What is a Retention Schedule (or File Plan)?A set of instructions allocated to a class or file to determine thelength of time for which its records should be retained by theorganization for business purposes

Transparency

Retention

#3 – File Plan / Retention Schedule

Compliance

DispositionConsider• Legal help for Development and Compliance

Retention Schedules in SharePoint

The above term is misleading

Alternatives

• Create Content Type Policy Templates• Retention Stages• Advanced Auditing (Edit/Check Out/Check In/Move/Copy/Delete/Restore)

• Create Lifecycles on Library/Folder• Retention Stages Only

What are the issues with the SharePoint way?

• No Event Based Retention (without custom code)• No Case Files• Bloated taxonomy

Retention Schedule in RecordLion

#4 - Content Onboarding / Meta Data Governance

3 Options1. Upload & Edit (out of the box)2. Office Backstage / Document Panel3. RecordLion

Integrity

Availability

Retention

It’s easy to upload content into SharePoint, but tagging with the right Meta Data is the difficult part

Content Onboarding – Upload & Edit

Drag and Drop (Browser)

• Stay checked out if required columns• Edit Properties for Meta Data

Upload to Library

• Edit form allows entering Meta Data

OneDrive for Business/SharePoint Sync

• No way to add Meta Data

Content Onboarding – Microsoft Office Apps

Document Panel Backstage

Content Onboarding with RecordLion

Coming SoonMeta Data Governance• Database Lookups• Cascading Lookups• Advanced Validations• Server Side Processing

Classification in SharePoint Location Based: Sites/Libraries/Folders Content Types Managed Meta Data

#5 - Classification

Integrity

Availability

Retention

Without classification, content in SharePoint is too dependent on relevancy searches

Challenge:Getting users to put things in the

right place

#5 - Classification

Integrity

Availability

Retention

Without Classification

• Search is too dependent on relevancy and not refiners• Retention rules can’t be applied

SharePoint

• Use Managed Meta Data (NOT SUPPORTED BY SP LIFECYCLES)

RecordLion

• Allows freedom in taxonomy development• Use any SharePoint elements

Classification with RecordLion

How does RecordLion do this?1) Move Records to SharePoint

Best to store similar records in the same location if possible

2) Apply Uniform Policies in Exchange Big Buckets (Mailboxes/Folders)

http://blog.recordlion.com/email-retention-exchange-sharepoint-online/

#6 - Email Management

Integrity

Availability

Retention

RecordLion Email Add-In

Outlook for Windows, for Mac and OWA

#7 - Unstructured Content Search

Availability

Transparency

• Office 365 (On Premise 2016)

• SharePoint/OneDrive/Exchange

• Advanced Customizations

• Web Parts / Display Templates

• SharePoint Customizations and Configuration

Lifetime cost of a managed data - $17,000/TBLegal professional (eDiscovery) review - $18,750/GB

Can you really afford not to dispose of information?

#8 - Disposition

Protection

Disposition

The action taken when a record reaches the end of its retention period

Information Value Declines Over Time

Business Need Regulator Need (TAX) No Need

InformationValue

Office Documents

Product Research

Sales/Customer

HR

Financials

Messaging/Social

IT Cost

Risk

Risk-to-Value Gap

Cost-to-Value Gap

Disposition and SharePoint

Move to Recycle Bin Not Recommended for Official RecordsPermanently Delete Delete and skip recycle binTransfer to Another Location Good if deleting in another stageStart a Workflow Could build custom approval processes

Possible Disposition Actions

Disposition Issues

Forensic Destruction Consider RBS SolutionDisposition Requires Approval

Consider RecordLion

No Proof Consider RecordLion

Disposition and RecordLion

Dispose and Delete Delete from SharePoint, skip recycle bin

Dispose and Recycle Delete from SharePoint, use recycle bin

Dispose and Transfer Delete from SharePoint, move data external

Permanent Lock and keep in current location

Disposition Actions

Defensible Disposition

• Approval process using Inbox• Audit Entry is added during destruction• Content is deleted• Content is moved to another location (if Transfer option is used)• Most audit entries are destroyed, destruction records is left behind

#9 - Audit, Reporting, and BIAccountabilit

yTransparen

cyIntegrity

Compliance

An Information Governance implementation is only as good as what you can prove in court and in the board room

Most important reports show:

• You're keeping information according to policies• You're destroying expired information• Users are only seeing what they should• That information is authentic and reliable• Policies are up to date and published

SharePoint ReportingSharePoint reports are just Excel Files

• You will need a way to format and present

Content Activity Reports• Must be turned on• Beware of performance implications• Item View/Modify/Delete• Structure Modifications

Information Management Policy Reports• Policy Modifications• Expiration and Disposition

Security and Site Settings Reports• Auditing Settings• Security Settings

RecordLion Reporting

#10 - Legal Holds and eDiscovery

Retention

Disposition

ComplianceIt’s not a matter of if you have to produce information, it’s a matter of when… be prepared

How to prepare:

• Know where your information is• Create a File Plan

• Disposing of ROT data• Destroy data that is has no value

• Copying and/or Locking records when expecting litigation• User eDiscovery Center, RecordLion or both

SharePoint eDiscovery Center

RecordLion Legal Holds

Rules capture current and future items Manually add content to Legal Case

RecordLion Demonstration

10 Things You’ll Need to Succeed withInformation Governance and SharePoint

1) Access Control2) Taxonomy Plan3) Retention Schedule4) Content Onboarding / Meta Data Governance5) Classification6) Email Management7) Unstructured Content Search8) Disposition9) Audit, Reporting, and BI10) Legal Holds and eDiscovery

Q & Awww.recordlion.com

Chris Caplinger | President chris@recordlion.com@chrislcap

TOTAL SOLUTIONS• SharePoint Consulting and Development Organization Since 2000•Design•Development•Administration•Management Consulting•Solution Provider• Based in Metro Detroit, MI• International Reach• Clients•Range from international government agencies to major universities and Fortune 100 organizations

TOTAL SOLUTIONS Services Content Management Customer Enterprise Applications Reporting & Dashboard Governance & Security Frameworks Custom Branding Portals & Collaboration Business Process Management System Migration & Integration

Total Solutions is a SharePoint Solution provider, committed to delivering our customers’ time-critical informationwhenever they want it, wherever they want it, in whatever format they want it….and protecting it!

CONTACT INFORMATIONGary VanBuhlerVP of Business DevelopmentTotal Solutions

gvanbuhler@totalsol.com888.682.5765 x8703

www.totalsol.com