Austin ARMA Chapter. Records Management 2.0. Presented by: Mike Alsup Date: January 25, 2012 Information Management for Everyone

Transcription

1 Austin ARMA Chapter Records Management 2.0 Presented by: Mike Alsup Date: January 25, 2012 Information Management for Everyone 0

2 Information Management for Everyone 1 Agenda Challenges that SharePoint Content & Records Mgmt. Must Address Best Practices: Electronic Records Mgmt. SharePoint Content & Records Mgmt. Foundation for a Best Practices Framework Implementing SharePoint for RM How to Succeed in RM 2.0 Deployments The Problem Current State of the Art New Tools and Features SharePoint RM Best Practices We re Excited! You Should Be Too!

3 Alsup Frame of Reference 34 Years as ECM/RM Consultant/Integrator Accenture, Booz, Allen, BSG, Align Solutions / Luminant, Gimmal Group 1980 career goal: help clients move from paper-based processes to automated document mgmt. processes Assumption: this was beyond the span of my career Last five years focused on SharePoint as ENTERPRISE ECM & RM Platform for information on Gimmal Alsup blog (ace, king, queen, jack, ten) Alsup blog ERM, SharePoint Communities AIIM Involvement Southwest Chapter Programs VP ( , ), President ( ) International Board Member ( , ) AIIM Conference Committee Member ( , ), Chair 2000 Accreditation/Education Committee Member ( ) EmTAG Member ( ), Chair ( ) AIIM SharePoint Course We built it. We are proud of it. We are certifying our entire team Information Management for Everyone 2 2

4 Information Management for Everyone 3 Gimmal Delivers For the World s Leading Organizations Across all Industries & Government Thousands of successful engagements Enterprise Content and Records Experts Consulting, Integration & Implementation Industry Leading SharePoint Software Governance and Compliance Unified Records Management SAP & SharePoint Integration Industry Awards and Recognition AIIM and ARMA SharePoint Product Advisory Board Inc for 6 consecutive years

5 Top 10 Questions in 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? 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 and Physical 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 Everyone 4

6 Information Management for Everyone 5 The SharePoint Phenomenon SharePoint is Consolidating the ECM and RM Markets 125,000,000 SharePoint Licensed Users* 65,000 Companies* 67% are rolling out SharePoint to Enterprise* 700,000 SharePoint Developers* 50% of Gartner inquiries are about SharePoint SharePoint is Energizing the ECM and RM Markets Microsoft owns the productivity market, ECM and RM are a natural extensions There are many Best of Breed applications to extend SharePoint SharePoint is compelling platform for compliance & enterprise RM

7 Information Management for Everyone 6 SharePoint is a Visionary Leader 125,000,000 SharePoint Licensed Users SharePoint Smart ECM is now centered on the knowledge worker Companies no longer satisfied with content repository silos Must deliver relevant, easy-touse & trusted content to staff, partners, and customers where and when they need it

8 The Promise of Enterprise Content Management* Higher revenue and productivity Reuse of content, enabling new delivery channels, reducing production and distribution costs Stronger compliance and control Helps companies document their controls, promotes appropriate and consistent use of content Improved customer experience Customers find what is important to them, makes offers more interesting to specific customers Increased customer loyalty Encourages customer loyalty by fostering interactive conversations with customers Higher quality content Companies are creating content earlier and involving more authors to improve content quality Streamlined processes Significantly reduces process times *Gartner, The Copernican Revolution in Content, 8 June 2011 Information Management for Everyone 7

9 Information Management for Everyone 8 The Reality of ECM

10 Some ECM History Content management began in the 1980 s with the evolution from Mainframes to Networks Users given more autonomy in creating and managing information Authoring tools like Microsoft Office & Word Perfect Scanning and imaging, transforming paper to digital, Earliest document management was shared drives on the networks. Still the most prevalent document storage method. New capabilities began to emerge called Electronic Document Management (EDM) driven by more rigorous processes such as; Engineering drawing management (CAD) Contract management (version control) Invoice processing (business process automation) Information Management for Everyone 9 9

11 Records Technology History RM Solutions were born from a paper-based process Driven by the need to manage large volumes of paper Space management and inventory tracking with barcodes were common Began in the DOS days or on Mainframes for large companies Solutions were typically used by a small user community Electronic Records Management Solutions began to emerge in the early 1990 s Driven by the need for rigorous control of electronic records DoD (1993) and VERS (1997) were the first and most recognizable standards Most all electronic recordkeeping systems built to these standards The industry was give a big shot in the arm with the scandals of the early 2000, (Enron and WorldCom) Information Management for Everyone 10 10

12 Some History- Convergence of ECM & RM Compliance drove convergence in the EDM/RM market Hummingbird Educom Open Text PS Software & Hummingbird Documentum TrueArc IBM Tarian & FileNet Oracle Stellent Autonomy MDY, HP Trim, Zantaz, Meridio DoD still remained the primary design criteria for all these solutions Very thin, paper-based features Information Management for Everyone 11 11

13 Information Management for Everyone EDiscovery further drives ECRM market Enron & WorldCom in the early 2000 didn t just spark the compliance flame, it ignited a new market ediscovery Further fanning the flames of ediscovery was the new Federal Rules of Civil Procedure (FRCP) in 2006

14 Information Management for Everyone The result of this ECRM evolution Monolithic solutions Heavily weighted towards control Very little effort to engage the end users

15 Information Management for Everyone 14 Records Management 1.0 Traditional ECM systems have missed the mark in delivering true 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 costs

16 Information Management for Everyone Collaboration Solutions The first widely adopted solution was Lotus Notes These solution were designed to encourage knowledge sharing Simple, ease to use, fast to deploy Collaboration converges naturally with Content Management SharePoint is now the run away leader in the Collaboration Market

17 Information Management for Everyone SharePoint, a History It's product name was first announced in SharePoint Portal Server 2001 (SPS 2001) Microsoft released a free add-on to Office 2000 called SharePoint Team Services (STS) focused on team collaboration STS was renamed Windows SharePoint Services (WSS), and became part of Windows Server 2003 SPS v2 was built on top of WSS and named Microsoft Office SharePoint Portal Server 2003 (SPS 2003) Microsoft Office SharePoint Server (MOSS) 2007 was released, adding first ever records management features Tremendous strides forward in ECM features as well Fastest selling server product in Microsoft History

18 Information Management for Everyone The result of this SharePoint evolution Flexible Solution Heavily weighted towards ease of use and autonomy Uptake of SharePoint is sometimes described as Viral

19 Information Management for Everyone Records Management 2.0 Balance Balancing the needs of the organizations with the wants of the users Recognizing that end users will NOT become records managers Without all content being managed we will never be compliant

20 Information Management for Everyone 20 Records Management 2.0 Leverage the Viral Adoption of SharePoint to connect with the Knowledge Worker Transparent Participation in a Compliant Content & Information Management Strategy All content is managed, from a lifecycle, compliance and legal hold perspective Ease the burden of Discovery with enhanced Findability Eliminate reliance upon end users choosing and following policy and compliance rules Lines of Business collaborate with IT in defining the rules and ongoing review process

21 Information Lifecycle Hold Temporary Work In Progress Final Disposition All Information is managed from creation to disposition Retention for all information in every state of the ILC Early classification (indexing) is an important step to compliance Rules are enforced by the technology Result: Predictability, Relevance, Accuracy, Confidence and Trust Information Management for Everyone 21

22 Information Management for Everyone 22 What a RM 2.0 solution should look like Single Ubiquitous Platform BUILT-IN SharePoint Optimize IT Spend (Cost) 2011 Findings This is a very attractive message to IT Companies agree that RM 1.0 failed and that SharePoint is THE platform they want Many want to consolidate for economics instead of RM 1.0 failure Becomes Part of Existing Processes This is an enterprise application, not a department application Organizations understand potential of SharePoint in different ways some organizations not ready for enterprise RM

23 Information Management for Everyone 24 MSFT Record Center File Plan Retention Schedule Legal Citations Legal Holds Top Level Portal Team Sites MySites

24 Information Management for Everyone 25 Record Retention Schedule Retention Category Code Retention Category Retention Category Description Record (Content) Type Retention Event Retention Period HUM70 Personnel Files Personnel Actions Individual employee records related to hiring, promotion, performance appraisals, transfers and disciplinary action. Also includes employee relocation. Retention period begins with the content is market final/ declared a record. 6 years HUM70 Employee Warnings HUM70 Performance Reports HUM73 Personnel Files Termination, Training and Summary Records Individual employee records with terms of employment, salary and wage schedules, technical training, safety training, resumes, applications, and termination records. Retention period begins with the content is market final/ declared a record. 60 years HUM73 Employee Training Attendance Records HUM73 Letters of Resignation HUM73 Termination Documents HUM73 Exit Interviews HUM73 Employment Application

25 Information Management for Everyone 26 Content Types & Record Routing Rules Business Function Finance, Accounting & Tax (FIN) Retention Category (Big Buckets) Fin.01 Managing Accounting Activities Fin.02 Managing Banking Activities Enterprise Content Type Organizational Content Type: Finance Fin Ledger 25 years Fin Ledger 15 years Fin Ledger 10 years Local Content Type General Ledger 25 Years Voucher 15 Years Expense Report 15 Years Bank Deposit 10 Years Wire Transfer 10 Years

26 Information Lifecycle MSFT Record Center File Plan Retention Schedule Legal Citations Legal Holds Content Types Information Policy Term Site Templates Document Templates Store / Content Hub Top Level Portal Team Sites SharePoint Framework MySites

27 INFORMATION LIFECYCLE Retention XX Days Location(s) Network Shares Inbox Metadata Name Version As Supported Security Local Rules Corporate Policies Disposition 28 Day Purge Area Retention XX Months Location(s) Document Libraries Metadata Name Content Type Version Major & Minor Security Local Rules Corporate Policies Disposition Recycle Bin Retention Retention Schedule Location(s) Record Center or 3 rd Party Product Metadata Name Content Type Version None Security Read Only Coordinators Delete Disposition Immediate

28 Content Type Level Information Management for Everyone Content Type Name Owning Organization ILC State ILC Date 29 Create Date Last Modified Date (system generated) Security Class (internal, external, confidential) Employee Name Employee Number Content Type Retention Category Code Event Trigger Date Findings Taxonomy Master Model in SharePoint Heart of SharePoint Information Lifecycle Management Companies like it but find it hard to understand what it means to implement Enterprise Content Type Enterprise X X X X X X Organizational Content Type Human Resources Employee Specific X X X Local Content Type Personnel Files Personnel Actions HUM70 X Local Content Type Personnel Files Hiring, Termination, Training and Summary Records HUM73 X

29 Information Lifecycle MSFT Record Center File Plan Retention Schedule Legal Citations Legal Holds Content Types Information Policy Term Site Templates Document Templates Store / Content Hub Top Level Portal Site Provisioning Team Sites Lifecycle Taxonomy SP Features XML Config. Navigation Search Security SharePoint Framework MySites

30 SITE PROVISIONING Support all Site Templates Publishing Collaboration Organization Project Community of Practice Personal (MySites) 2011 Findings This is required to enable enterprise content governance in SharePoint Produces Companies standardized like message environments but find it hard to Security understand groups what and membership it means to them Roles Most companies don t do this initially Administrative Governance Focus Pages and navigation Web Parts Lists Document Libraries Focus Content Types Site and library columns and autopopulation rules Custom functions Content Governance Leverages request and approval workflow Content Types & Features Limits Local Admin s to local needs Minimizes Administration training Ensures governance settings 31

31 External Repository Optional: StoragePoint Documentum HP Trim Open Text Advantages Information Lifecycle Pure SharePoint User Experience Multiple Repositories supported File Plan / Retention Open Text, HP, EMC, Laserfiche Schedule EBS, RBS products remove Content from SQL Server Disadvantages Multiple Repositories Top Level Portal Content Types Information Policy Term Site Templates Store / Document Templates Content Hub Additional Coordination Required Who owns File Plan? Site Govern SharePoint Content Provisioning Types from an external source? SharePoint Team Sites sites? Lifecycle Taxonomy SP Features XML Config. Navigation Search Security How to incorporate into new Additional Integration Required 25% of significant cost SharePoint Framework MySites 32

32 SharePoint 2010 MSFT Records Center Information Lifecycle SharePoint-pure Leverages SharePoint ecosystem File Plan / Retention Enterprise Scalable Schedule Includes an Information Lifecycle File Plan Retention Schedule Legal Citations Legal Holds SharePoint Framework Advantages Includes Metadata Inheritance for ease of use Supports Enterprise Routing Rules Site Provisioning Not all Components Required Top Level Portal Content Types Information Policy Term Site Templates Store / Document Templates Content Hub Includes Site Provisioning Includes File Plan and Retention Schedule Governance in sites Recommind / Exterro / Stored IQ / Clearwell / Kazeon / FAST / Encase / Work Products / Autonomy etc. Disadvantages Team Sites Some Assembly Required Planning is Essential MySites Lifecycle Taxonomy SP Features XML Config. Navigation Search Security Harder to retrofit sites than start with new sites 33

33 FILE PLAN BUILDER

34 Bruce Miller Bruce Miller founded two RM companies TrueArc became EMC Documentum RM Tarian became IBM RM Primary Author of DoD Standard Two Reports Registration Required In Place Records Management in SharePoint 2010 GimmalSoft SharePoint 2010 First Look Product Review Information Management for Everyone 36 36

35 Bruce Miller DoD Requirements for Certification SharePoint OOB meets 72 of DoD Requirements Fortune 1000 Needs 105 of the DoD Requirements File Plan Management Formal, Multistage Records Disposition Case File Handling of Records Event Driven Disposition Records Transfer Integration Vital Records Information Management for Everyone 37 37

36 SHAREPOINT CONTENT GOVERNANCE MODEL Business Functions Projects/Communities Governance Roadmap Web Part II Web Part I Site III Site II Site I Web Part III Web Part I Web Part IV Site II Site I Web Part I Site IV Site II Site I Sub site II Sub site I Web Part IV Web Part I Site III Site II Site I Web Part VI Web Part V Site IV Site VI Site I Identify Required Components Site Templates Lists and Libraries Content Types Processes Web Parts Custom Functions Define Direction and Phasing G&G Site Collection OP s Site Collection HR Site Collection Finance. AP Site Gulf of Mexico Site Collection Drilling Community Site Collection Team Site Templates Implemented Local Processes & Content Types Department or Team Administration SharePoint Content Governance Infrastructure SharePoint Technical Infrastructure Content Types & Routing Rules Managed Metadata / Term Store Information Lifecycle Governance Administration & Provisioning Technical Architecture Base SharePoint Configuration SQL Server /.NET / RBS Hardware / Storage/ Networks

37 SHAREPOINT CONTENT GOVERNANCE MODEL Share Drive Replacement Basic Content Mgmt. Windows Explorer Replacement G&G Site Collection OP s Site Collection HR Site Collection Finance. AP Site Gulf of Mexico Site Collection Drilling Community Site Collection Team Site Templates Implemented Local Processes & Content Types Department or Team Administration SharePoint Content Governance Infrastructure SharePoint Technical Infrastructure Content Types & Routing Rules Managed Metadata / Term Store Information Lifecycle Governance Administration & Provisioning Technical Architecture Base SharePoint Configuration SQL Server /.NET / RBS Hardware / Storage/ Networks

38 SHAREPOINT CONTENT GOVERNANCE MODEL SharePoint Records Management Proof of Concept SharePoint Records Center 3 rd Party Repository Of Record Metadata & Rule Inheritance Content Organizer Drop Zones File Plan Builder OP s Site Collection HR Site Collection Finance. AP Site SharePoint Records Center File Plan Builder Implemented Content Organizer Implemented Team Site Templates Implemented Local Processes & Content Types Department or Team Administration SharePoint Content Governance Infrastructure SharePoint Technical Infrastructure Content Types & Routing Rules Managed Metadata / Term Store Information Lifecycle Governance Administration & Provisioning Technical Architecture Base SharePoint Configuration SQL Server /.NET / RBS Hardware / Storage/ Networks

39 SHAREPOINT CONTENT GOVERNANCE MODEL SharePoint Records Management SAP Applications SharePoint Records Center Metadata & Rule Inheritance Content Organizer Drop Zones File Plan Builder Searching for Documents Business Processes Content Governance for SAP Any to Any Doc to SAP Contracts Site Collection HR Site Collection Finance. AP Site SAP SharePoint Content Governance Infrastructure AP Processing (P2P) HR Processing (R2R) Accounts Receivable (O2C) Scanning OCR / ICR ArchiveLink Connectors SAP Communication Service Use framework for o Oracle Financials o Microsoft Dynamics SharePoint Technical Infrastructure

40 RECORD DECLARATION & DISPOSITION OPTIONS SharePoint Send to Record Center In Place Records Mgmt. SharePoint Event Record Date Reached Additional Lifecycle RM Options Declare Final Change Lifecycle State to Final Press the Final Button Select all Final from List System Event System Event Contract Termination Date in SAP applied to all related contract documents Crawler Event Documents with PII locked down Users are Records Managers Site Administrators are Records Managers Records Managers are SharePoint Admin s Information Management for Everyone 42

41 SHAREPOINT ECOSYSTEM OF ECM PRODUCTS Physical, DoD Records Mgmt. File Trail, OmniRIM (AS), LaserFiche, GimmalSoft, HP Trim, Autonomy RM, Iron Mtn. (Accutrac) Business Process Mgmt. Nintex, K2, Global360, Metastorm Transactional Content Mgmt. Hyland, SAP Kofax, Oracle Kofax KnowledgeLake EMC IBM 2011 Findings The best-of-breed nature of SharePoint solutions makes companies nervous Readsoft Archiving & Library Services Companies Scanning hungry and for consistent content governance Capture for applications SharePoint ecosystem providers hungry Kodak, ECopy for consistent content governance for applications Metalogix, MetaVis, AvePoint, Quest, HP Trim SharePoint is still building momentum Open Text Tools: AvePoint, Idera, Quest, Axceler, Neverfail Symantec, CommVault, Autonomy (Mimosa), EMC SourceOne, Proofpoint, Colligo Connectors: ESRI, Intergraph, SAP, Stone Bond, ERP-Link Share Drive Migration: StoredIQ, Kazeon, Active Navigation, Digital Reef, Concept Searching Search: FAST, Autonomy, Coveo, Google, MetaCarta, Recommind, EDiscovery Vendors Services: KnowledgeLake, Hitachi, Catapult, Gimmal, Neudesic, EMC, Open Text, Dell + many Information Management for Everyone 44 44

42 Information Management for Everyone Best Practices for SharePoint RM Define SharePoint RM Roadmap, including SharePoint 2010 Define your SharePoint ECM and RM partner / product ecosystem Define your Content Type and Site Provisioning Templates and Inheritance Provide a Foundation for Consistent Team Sites and MySites Define an Enterprise Information Lifecycle Separate from business process Enforced across multiple repositories Achievable with a practical minimum of user involvement Enable SharePoint & RM Governance and Policy with a Framework Not just Infrastructure Governance Content and Records Governance With Support and Refresh of a Records Management Program(s) With Support and Refresh of a Legal and ediscovery Program(s) Demonstrate it with a Proof of Concept Prioritize the Projects for Enterprise Deployment of SharePoint RM The best time is with a new version of SharePoint (2010 vs. Wave 15?) Weeks

43 Top 10 Questions in 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? 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 and Physical 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 Everyone 47

44 THANK YOU Records Management 2.0 Presented by: Mike Alsup Date: January 25, 2012 Information Management for Everyone 48