Download - NGC records management - SP2010 RM Features
e-Discovery and Records Management at National GypsumAND:
What About SharePoint 2010 As A Records Management
Tool?
Mike Brannon
National Gypsum Company is a fully integrated building products manufacturer
Headquartered in Charlotte, NC with mines and quarries, and manufacturing plants across North America
What about Records Management?
NGC Environment - History
▪ Founded in 1925, the company has been privately held since 1995. (1990 Bankruptcy)
▪ Basic records management processes and procedures in place since Bankruptcy.▫ File plan covers paper and electronic records▫ Small dedicated staff available within Legal group
▪ Recently IT systems and procedures have been affected by new discovery rules and legal holds. ▫ Backup tapes held rather than scratched / re-used▫ Unplanned IT efforts required to search content▫ “Privileged Access” required for many searches
Managing Electronic Records?
EDCAR and Office 2003
▪ Office 2003 introduced to NGC users, with TrueArc ForeMost records management and custom developed software called EDCAR▫ Forced early classification of every Office file▫ Electronic version of Records Plan classification▫ Supported other files indirectly
▪ Linked to overall Records Management
▪ Limited compliance by many end users
▪ Some technical issues with tools
▪ EMC acquires TrueArc as we finish deployment
Lawsuits, “DART” – 2007 To Present
▪ 2007 to Present – BIG Uptick in Legal Matters
▪ Reaction to More Complex e-Discovery Rules
▪ Discovery Action Response Team ▫ Legal and IT Working Jointly with Custodians▫ ESI Data Mapping (All Files) and Basic Search Tools▫ “IT Super Powers” and Lots of Labor Needed
▪ External Legal / e-Discovery Experts Helped
▪ Foundation of Cooperation (for Survival)
▪ Painful and Expensive Exercise!
▪ We Thought We Were Prepared, But…
ESI Mapping and Checklists
Graphical and Excel Based Mappings – Checklist used for Discovery Efforts
Managing “Departing Employees” – Checklist used for IT, Legal and Managers
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Establishing Context: eDiscovery Strategy and Information Lifecycle
A Roadmap for Bridging 2 Operational Scenarios
Business UsersCreate ESI
ESI TYPES SOURCES
Unstructured Data Messages (email, v-mail, IM) Documents, Media, Logs, etc.
PCs, Servers, SharePoint, etc.
Structured Data Invoices, POs, Credit Memos, etc.
Enterprise Systems, SAP, POPS/MIDAS, NGC4ME, etc.
Scenario 1: Normal OperationsGoverned Under “Safe Harbor”
POLICIES & PROCEDURES
Legal Department Information Systems
Records Management Storage, Backup, Archiving, Deletion
1) ESI – Electronically Stored Information2) Safe Harbor – Possible protection from sanctions if ESI is destroyed as a result of routine policies and procedures3) Duty to Preserve – A defendants obligation to preserve evidence in advance of litigation
Scenario 2: eDiscoveryGoverned Under “Duty To Preserve”
LegalHold
Issued
PossibleLegalAction
ESISources
DiscoveryScope
Determined
Search
Hold
ProcessReviewDeliver
ESI Discovery Process
OureDiscovery
Strategy
providesa framework to
addresseDiscovery
in thecontext of
NormalOperations
Policies & Procedures Dictate theInformation Lifecycle Under “Normal Operations”
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Vision: Provide an Information Lifecycle Management environment that promotes legal compliance, and facilitates efficient and accurate eDiscovery responses.
1. Provides a Strong Legal Compliance Position
2. Compares well with standards and supports collaboration with 3rd parties (EDRM, DoD).
3. Provides well-defined and supported eDiscovery systems and processes.
4. Drives efficiency in our Legal eDiscovery effort and our IT operations.
Defining A Shared VisionCreating an eDiscovery Ready Environment
Our Solution
Lessons Learned So Far
▪ C-Level Execs, LOB Managers must understand the issues and provide clear support
▪ Legal / records management and IT must be in partnership; shared accountability
▪ “Whole Systems Approach” Needed▫ Policy / Procedure / Job evaluations linked▫ Easy to use technology helps
▪ Avoid too much customization!
▪ Work HARD On User Adoption!
▪ How Is SharePoint HELPING With RM / ECM?
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What SharePoint 2010 DoesAccording to Microsoft
How we might describe it…Using NGC English
Communities
Search
Sites
Composites
ContentInsights
Web SitesSharePoint Team SitesandCollaboration
Content, Document, and Records Mgt
BusinessIntelligence
UserDeveloped
Apps
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Technical Tools Overlap --“One Broad Toolset OR Point Solutions…?”
Communities
Search
Sites
Composites
ContentInsights
Web SitesSharePoint Team SitesandCollaboration
BusinessIntelligence
UserDeveloped
Apps
Content, Document, and Records Mgt
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Heterogeneous vs. HomogeneousPros & Cons
Office/SharePoint 2010 versus EDCAR/EMC?
▪ SharePoint 2010 has extensive records management and content management capability
▪ Office 2010 and SP2010 REPLACE EDCAR Now!
▪ What About Whole System? ▫ Office – client SW – add-ons from Colligo, MacroView?▫ SharePoint AND Exchange Servers (2010 versions)▫ Offline or Remote Office Requirements?
▪ Could the “Microsoft stack” meet ALL our needs?
▪ Let’s Look at SharePoint RM/ECM More Closely…
SharePoint 2010 and Records StorageNew Records Center template supports Hierarchical File Plan, offers a Content Organizer (links to Content Types and Routing) and end user ease of use and administrator only features
SharePoint 2010 and Records StorageNew Records Center template supports Hierarchical File Plan, offers a Content Organizer (links to Content Types and Routing) and end user ease of use and administrator only features
Enterprise Managed Metadata Service
SharePoint 2010 and Records Management (1)
▪ Content Types – new Syndication options
▪ Much improved update capability
▪ MMS and Term Store
▪ Managed Metadata attached to Content Types across ALL data
▪ Administrative controls and ease of use
SharePoint 2010 and Records Management (2)
▪ Retention and Policies cover Info Life Cycle
▪ Series of Actions
▪ Attach to Content Type
▪ Default Metadata assigned based on Doc Lib / Columns
▪ ALL CONTENT Has Retention Defined!
SharePoint 2010 and Records Management (2a)
Retention Stages added to Content Type Definitions
Actions over time or event based triggers
Define Simple Actions OR Trigger Workflows (Custom Code??)
▪
SharePoint 2010 and Records Management (3)
▪ Unique Document Identifiers – Life of item
▪ Not affected by item location / policies
▪ Detailed RM / Item Information Display shows Record, Hold and other status
▪ Audit Log per item
SharePoint 2010 and Records Management (4)
▪ Explicit Record Management
▪ ‘In Place’ Records Option – or Follow Policy, Route/Move
▪ More Records Options to have more than one Destination, Actions and Audit Log entries
SharePoint 2010 Records Management Details
Record Declaration – In Place Option
Site / Library and Content Type Setting
Site Collection, Site, List/Library Settings in a Hierarchy – Control and Flex…
(Complications?)
▪
SharePoint 2010 Records Management Details
“Locked” Records
SharePoint 2010 and RM /eDiscovery Support
▪ Legal Hold and eDiscovery support
▪ Metadata Driven Web Navigation Options
▪ Simple web parts and templates tie to File Plan and related Metadata across all items and sites
File Plan RM vs. User “Virtual Folders”
Metadata Driven “Folders” That Users Know
Questions?
Presentation – with Links to Sources and Slide Notes – Posted to UG Web Site
EDRM Model