Thank you for joining us as we explore

Welcome Everyone!

Netwoven Confidential & Proprietary Information

Nuts and Bolts of Building Compliance Process with Nintex and

SharePoint 2013

How to Ask Questions

• Webinar content will last for 50 minutes followed by Q&A session which we will try to address key questionsor we will follow up after the webinar.

• If you have a question or an issue:

o Type your question in the question window of the GoToWebinar control panel on the right side of your desktop

o We will sort through the questions real time and present those most frequently asked to our panel at the end of the presentation

o If you have any issue, click on the hand

• If you have a question that does not get addressed, we will post answers in our Netwoven blog or contact us via email .

Walt De Petris

COO

Netwoven

Who is Netwoven

Netwoven is a solution consulting firm serving large & mid-size enterprises

We were founded in 2001 by former Microsoft executives

Top domain experts from multiple industries

and technology firms like Microsoft, Accenture, Oracle & IntelU.S. headquartered company with global development center

Save the Children

Netwoven Services

• Office365 & SharePoint Architecture, Planning & Implementation

• Business Process Management (Nintex)

• Migration Services from earlier versions SharePoint or similar systems

• Social and Search based solutions

• Enterprise Content Management

• Web, Intranet & Collaboration Sites

• Big Data Management& Visualization

• Integrated Digital Marketing

• Platform Managed Services

Customers

TECHNOLOGY

SOLUTION

CONSULTING

Rajesh Agadi

• Worked for clients like Federal Reserve Bank, Chevron, Charles Schwab, Bank Of America

• Served both Fortune 500 & Mid-Market clients as an ECM strategist

• Has worked with SharePoint and O365 since its inception

• Extensive Experience with third-party tools…Nintex/K2/Metalogix/MetaVis…..

• Extensive knowledge in Infrastructure to Information Architecture, Enterprise Architecture, Portals, Workflows, ECM/WCM, Branding, Custom Solutions, Migrations.

Engagement Director at Netwoven

ECM Practice Lead

MCSD,MCTS,MS P-TSP

Board member of Silicon Valley SharePoint User Group

http://rajeshagadi.blogspot.com/

@rajeshia

Brad Orluk

• Over 10 years of IT architecture, administration and sales experience.

• As an Information Architect at a Fortune 500, he has worked on business and IT process improvement and automation ona variety of real world global projects and productivity initiatives.

• Brad’s unique, technical yet business focused, background gives him the ability to help users leverage technology to drive value to their businesses.

Nintex Technical Evangelist

Today’s Agenda

• Challenges of Compliance

• Components of Compliance

• Compliance features in SharePoint 2013

• Nintex and Compliance

• Key Nintex features related Compliance

• Demo

• Wrap up

IT’s Role in Compliance Conformance

• Tightly coupled effort with business

• Ongoing process vs projects

• Information Governance plan is critical

– Tremendous digital content growth

– Monitoring & classification of assets

– Shift to cloud services & storage

• Automation tools & processes must be nimble to keep pace with changing environments and rules

IT

Executive

R&D

Customer Facing

Finance

Why is Information Governance Important

• Digital Information Storage needs are exploding (~3x in 6 years) • Overall 25% CAGR and 35% CAGR in Cloud Data Renters

• In a recent survey, most user stored about 2,000 documents & most weren’t needed• On average, 9% files were shared with other users or externally. ~185 files • Of these files, about 20% contained some kind of compliance related data.

• Real risks to your business and executives is very hard to insure• Excess litigation, fines, loss of intellectual property & damage to reputation• Target credit card breach resulted in $88M costs after insurance

Automating Your Information Governance

• Our focus today is on ways to address IT process compliance– Organization & entity level controls are important for compliance but out of scope

– General IT & Application or data-owner processes generate lots of information

– Opportunities for automation

• Most challenging aspects for automation are:– Regular identification of risks

– Segregation of duties in a growing org

– Synchronization with business teams

– Integrated LOB application controls

– Tracking data through interfaces

• Automation tools must be nimble

Define Controls or Improvements

Implement Controls

Monitor ControlsAudit Review

Benchmark/Evaluate Effectiveness

COMPLIANCE FEATURES IN SHAREPOINT 2013

Compliance Features in SharePoint 2013

• Information Management Policies

• Records Management

• Site Mailbox

Implement Controls

• Audit Tracking

• eDiscoveryMonitor

Information Management Policies

• Set of rules for a type of content

• Each rule in a policy is a Policy Feature

• Enable you to control:– Who can access your organizational information

– What they can do with it

– How long the information should be retained.

To implement a policy, associate it with site collection, content types, libraries, or lists in sites.

Configure OOTB

Custom Code

Types of Policies

Retention Policy Example

Enable Audit

• Track which users have taken what actions on the sites, content types, lists, libraries, list items, and library files within your site collections.

• Regulatory compliance usually has specific requirements that will dictate which events you need to audit.

Enable Barcode

Enable Label

Records Management

• Records Center Site Template

• Content Organizer

• Document ID

• Managed Meta Data

• Compliance Details

• Hold and eDiscovery

• Content Type Publishing Hub

• Multi-Level Retention

• Metadata based navigation

• Send To

• Document Set

• Site Policies

• Site Mail Box

• Feature Parity with O365

Record Center

• Site Collection Features

– In Place Records Management

– Library and Folder Based Retention

– Document ID Service

– Disposition Approval Workflow

– Site Policy• Site Features

– Hold

– Content Organizer• Libraries

– Drop Off Library

– Record Library

In Place Records Management

• Site Collection feature: In Place Records Management

• Manual and Automatic

• Mixed with Declared Record and regular documents

Site Mailboxes

• Site Mail Box (Site Feature)

• Create Exchange Mail box per Site

• Bring emails to SharePoint

• View SharePoint Documents in Outlook

• Drag emails in to SharePoint Document Library

• Apply Expiration Policy for both SharePoint and Site Mailbox

eDiscovery

• The eDiscovery Center– SharePoint Farms

– Exchange Server

– File Shares

• SharePoint and Exchange In-Place Hold

• Export from SharePoint, Exchange and File Shares

• Query-based preservation

• eDiscovery sets

• Cased Manager

• Enterprise-wide access

• In-Place Holds

• Analytics

eDiscovery Center Site

eDiscovery Flow

eDiscovery New Query Item

eDiscovery Set

• Data source

• Filter/query

• Legal hold for Changed Data

eDiscovery Export

NINTEX AND COMPLIANCE

• Professionals need access to content from everywhere

• Increased collaboration is imperative• The workforce is distributed and mobile

Current Process Challenges

Automating Processes Between People and Content

EveryoneProfessionals

Information Workers

PEOPLE

• Processes are often manual and siloed

• Everyday processes are most time consuming

Current Process Challenges

Automating Processes Between People and Content

PROCESS

Simple to Sophisticated

ApprovalsProvisioning

Mobile Data CollectionContent Generation

EveryoneProfessionals

Information Workers

PEOPLE

• Documents, Records, Media• Structured, Unstructured data• On-Premises, Cloud-Based

Current Process Challenges

Automating Processes Between People and Content

CONTENT

EverywhereEveryoneProfessionals

Information Workers

PEOPLE PROCESS

Simple to Sophisticated

ApprovalsProvisioning

Mobile Data CollectionContent Generation

EveryoneProfessionals

Information Workers

PEOPLE

Simple to Sophisticated

ApprovalsProvisioning

Mobile Data CollectionContent Generation

PROCESS

Automating Processes Between People and Content

Greatly Improving Productivity and Control

CONTENT

Everywhere

Nintex Workflow Automation Platform

Give people the ability to work anywhere, anytime,

on any device

Connect to the cloud for content collaboration

Create, publish and deploy forms anywhere

Automate business processes quickly and

easily

› Design Workflows quickly and easily

› Leverage your SharePoint investment

› No code solution

› Governable

Powerful, yet easy, workflow tool

› Design forms quickly and easily

› Generate forms for browsers, including tablet and mobile

› Publish to the cloud with one click

› Build comprehensive mobile business applications

Forms for Everyone on any Device

› Deliver pictures, videos and other data directly into your processes

› Give users access to forms, even when they’re not connected

› Enable users to stay productive everywhere with real-time synchronization

› Optimize for your device and platform of choice

Seamless Workflow at Your Fingertips

› Rapidly connect workflows to a wealth of cloud services

› Connect your platform to support hybrid deployments

› Deliver anonymous forms to users outside your firewall

› Publish custom workflows without deploying code

Harness Mobile, Social & Cloud Capabilities

The Nintex Solution

Why Nintex?

Nintex is the world leader in software and cloud services that empower organizations to automate everyday business processes quickly and easily

of customers

22languages

Millionsof licensed users

90+countries

Thousands

New Forrester Report

• Multi-company, Global Study

• Pharmaceutical (USA)

• Engineering & Transportation (Europe)

• Bank (Asia Pacific)

• Non-Profit (USA)

• Aerospace, Defence, Building (USA)

• Results

• ROI: 176%

• Payback Period: 10.5 Months

Nintex Compliance Features

• Keep Workflow History into Perpetuity

– Not subjected by SharePoint 90 day limit

• Auditability

– Workflow completions, cancelations and errors

– Task Approvals (Approvals, rejections, Delegations)

– Task response times (How log task take to be marked completed?)

– A discrete content database to store all of the this historical data

• Accountability

– Assign task to individuals or groups

– Manage multi-level approvals with ease

Nintex Compliance Features

• Reporting

– User configurable web parts

– Duration of workflows

– Easy roll workflow data up to other reporting tools like PowerBI

• Governable

– Leverage SharePoint’s security model (audiences, site/item level permissions)

– Scope access to the Nintex workflow actions and designer based on roles

– Mange Nintex

Pre-Trade Clearance Workflow

Banks and securities firms have had to set stricter internal process controls before allowing stock trades for customers to be activated.

As part of Section 302 of the Sarbanes-Oxley Act, the Securities and Exchange Commission occasionally audits small and large securities exchange firms to ensure that they are following SEC rules and regulations, and not making illegal stock trades. Automating that process can expedite customer trades, ensure legal compliance and satisfy the firm's customers by providing efficient trading.

NINTEX COMPLIANCE WORKFLOWS DEMONSTRATION

Get Started Today With SharePoint & Nintex

Demo Free Trial PurchaseFree

Install & Training

Advice from

Netwoven

Netwoven Nintex Offers

When you buy Nintex products from Netwoven, we include:- Full Nintex licenses- Free Installation- Free Overview training of all Nintex products- Access to Nintex sample code

Starting today, Netwoven & TekDog have partnered to offer our customers the following:- Free training course – Build My First Nintex Solution- 10% off all their Nintex training plans *limited time only- Discount on the All Access training plan *limited time only

- Nintex products- SharePoint - Office365

TekDog Free Training Course link: http://tekdoginc.com/netwoven-bmfns-opt/

Call for Action: 1-3-10

Jump start your workflow strategy with our expert advice.

48

Strategy Expert AdviceNintexReview

Available at a discount for attendees of this webinar for a limited time!

What is 1-3-10?• 1 day – Jump start your workflow development• 3 day – Develop your workflow strategy & just start development• 10 day – Develop an enterprise workflow POCNetwoven’s unique approach to get customers to derive rapid return on their technology investments.

Today’s Agenda

• Challenges of Compliance

• Components of Compliance

• Compliance features in SharePoint 2013

• Nintex and Compliance

• Key Nintex features related Compliance

• Demo

• Wrap up

Expert Panel

Andrew

Sutton

Engagement Director

Netwoven

VirajBais

CTO &Founder

Netwoven

Rajesh

Agadi

Engagement Director

Netwoven

Brad

Orluk

Technical Evangelist

Nintex

Thank you for participating!

Connect with us!

Visit us

• www.netwoven.com

• www.netwovenblogs.com