the untapped texas gold mine
TRANSCRIPT
The Untapped Texas Gold Mine: How to Implement Records Management with Microsoft 365Prepared By: Ryan Britton, IQBG | Stephen Jones, MicrosoftDate: November 2021
GDPR REGULATIONS ARE INCREASING
OSHA
CCPA
Sarbanes-Oxley Act
Federal DataProtection Law
General DataPrivacy Law
PPA
HIPAA
PDPA
Personal Information
SecuritySpecification
PIPA
US IRS Publication 583
EU Directive 2006/24/EC
POPI
DATA
Vendors
PlatformsPublic
Remote
Private Cloud SaaS
StructuredUnstructured
Records
SMS
Documents
Corporate
Emails
1 Cost of Compliance 2019, Thomson Reuters
Discovering and managing data is challenging.Are you a leader or follower?
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200+updates per day from 1000 regulatory bodies1
>80%of corporate data is “dark” – it’s not classified protected or governed2
68%of companies see themselves as “advanced” or “highly advanced” in adopting AI to automate information governance3
2 IBM Big Data Analytics Hub 3 Best practices for automating information governance, AIIM, 2019
Intelligent compliance and risk management solutions
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InsiderRisk Management
Identify and take action on critical insider risks
Protect and govern data wherever it lives
InformationProtection &Governance
Quickly investigate and respond with relevant data
Discover & Respond
Compliance Management | Simplify compliance and reduce risk
Information Protection and Governance
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Protect and govern data – wherever it lives
Data growing at exponential rate
Discover Classify
Unified approach
Devices Apps Cloud services On-premises ISVs, 3rd-party
Monitor
Apply policyProtection Prevent data loss Encryption Restrict access Watermark
Governance Archiving Retention & deletion Records management Disposition reviews
Sensitive info discovery Content explorer Activity explorer
Audit trail Proof of disposals
ProtectYour Data
Govern Your Data
Prevent Data Loss
Know Your Data
Records Management
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Manage legal, business, and regulatory recordkeeping obligations
Built-inClassify, retain, review, dispose, and manage content without compromising user productivity and data security
IntelligentManage unstructured data at scale through automated and intelligent classification(e.g. trainable classifiers)
DefensibleRespond to compliance obligations by providing proof of disposal and documented audit trails
IQBG Background and Expertise
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Capture Classify Manage Archive Discover Dispose
Content and RecordsManagement Specialists
Trusted Advisors on Large ECRMprograms
End to End, Thought Leadership, Strategy and Delivery
100% Software Agnostic, Experience with Most
Full Suite of Services: Assessments, Roadmap, Software Selection, Core ECRM, Taxonomy, Records, COE, Change Management
150 Customers in FED/SLED and Highly Regulated Industries
Solutions and Services across the full content/records management lifecycle, and partner of choice for public and private institutions of all size.
The Changing Face of the Information Ecosystem
Historically, Collaboration and Records Management Happened in Different Systems
Historically, Identity was something managed per-system or integrated superficially
Historically, security could be implemented at the perimeter
Historically, Teamwork applications were ad-hoc, informal and formed a part of Shadow IT
Historically, organizational information was predominantly on-premises
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New Information Landscape
Security and Identity
Records Management
Systems
Collaboration Systems
Teamwork Systems
Cloud Environments
The Intersection of Security, Content, Teamwork and Compliance
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Security Focus Restricts Teamwork Teamwork Focus Compromises Security Content Focus Increases Compliance Risk Compliance Focus Restricts Teamwork
A Holistic Approach is Required Governance and Compliance
Teamwork
Identity / Security
Content
Challenges for Records Managers Today….
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Records Managers are Having to Revise
Methodologies based on Physical
Records Management
Only 8% of Records Managers have Adopted SaaS-based Records Management
Solutions
Cloud and Social Platforms Render “File and Declare”
Ineffective
NARA will stop accepting Physical Records in 2022
Hardware obsolescence,
Tape/Disk Decay, File Format Loss
Pressure to Digitize, Lower Carbon
Footprint, Move away from Paper
Big Data, Unstructured
FormatsAutoclassification Becomes Viable
Approach to Defensible
Disposition using Technology and
Automation
Primary Drivers of Information Governance
Why are Organizations Adopting Microsoft?
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Familiar interface, multiple tools
Strong security, Global Presence
Highest Compliance Standards
Scalability, Stability, Availability
Current and future
Existing Licensing and Agreements
Anytime, anywhere access
Current Market Comparison: Strengths and Weaknesses
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Productivity Suite Integration Third Party Ecosystem
SaaS Limited Content Capture
Capacity/Storage Considerations Danger of Sprawl
The complexity of the problem…
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POLICY MANAGEMENT MONITORING & RESPONSE
AUTOMATIONCourtesy of the Smart Compliance on M365 Framework
Content & Records Management + Microsoft 365
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Implement Enterprise Content and Records Management (ECRM) in Microsoft 365 (M365) to ensure frictionless collaboration and comprehensive governance within your organization.
Consulting & AssessmentsRapid assessment of operations that results in:• ECRM Strategy• Business requirements• Roadmap for implementation.
ECRM Solution / ConfigurationLeader in implementation of ECRM Solutions. This includes configuration of current technology and implementation of supplementary technologies.
eDiscovery/FOIA Services and support in Identifying, collecting and producing electronically stored information in response to a request for production in lawsuit or investigations.
Support & MaintenanceAssisting our clients to reduce TCO through appropriate support, knowledge-transfer and training; ensuring continued improvement and solution optimization.
OFFICE 365 DATA GOVERNANCE FRAMEWORKIMPORT GOVERN MONITOR
Capture/Import
Intelligent import of on-premise Microsoft and third-party data
Classification, Policy,
& Sensitive Types
Manual and auto-classification of content to apply right governance policies
Retention, Archival,
& Disposition
System-enforced lifecycle disposition workflows and defensible deletion processes
Dashboards, Insights,
& Reporting
Monitoring reports and intelligent trend identification and suggestions
Audit, Supervision,
& Defensibility
Data investigation, eDiscovery / FOIA, forensics, automated audit alerts, and notify cations
Solution Alignment (Baked In) Services you will need…
Compliance and Governance
Microsoft 365Security and Identity Plug gaps specific to your use case with
Microsoft Partner Solutions
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Some Considerations for Implementing Records Management on M365, In our experience…(Your approach may vary, depending on your needs)
Understand your “Iceberg”
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12% of Data is Business Critical. This is the
information that we need to Document
37% of an organization’s data is useful, but only if it
is discoverable and analyzed
ROT Costs every organization money.
How much does yours cost? How much could
you save?
A surprising number of organizations have a
“save everything forever” policy
Ensure that Records Schedules and Governance Collateral are Relevant and Up-To-Date
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A Best-Practice Approach to Information Architecture and Knowledge Management in M365
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Don’t try and organize your information by department alone… think about the information type, lifecycleand intent.
RET
AIN Records and Archiving
• Classify, Tag (metadata), and Manage as Records• Lifecycle and Retention Management• Audit, Discovery, and Compliance
PUB
LISH Public Site
• Company Info• Brochures• Promotion
Intranet Portal• Latest news and events• Latest policies, procedures, and forms• Access to Telephone Directory and Search• Links to other LOB systems
My Profile• Contact Info• Profile Pic• Expertise
Employee External
CO
LLAB
OR
ATE
Personal Space• Save and share
personal documents
• Files and information not necessarily for a team
• Ad-hoc sharing
Extranet Space• Securely share
and collaborate with external parties
• Audited and controlled
Communities• Suited for mass
collaboration initiatives
• Large group of users, cross dept or discipline
• Persistent knowledge collection
Team Space• Distinct group of
users, collaborating and storing common info
• Generally, part of organizational teams
Project Space• Dynamic Group• Spanning
different org hierarchies
• Exist only during life of project
• Typically follows a structure
Create a Governance Framework
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(consider a 3rd Party Solution to fill gaps)
IT Governance(Broad, organization-wide)
Operational Governance(Application-specific, aligns with IT Governance goals)
Workspace Provisioning
Ongoing Management
& Enforcement
Lifecycle and EOL for
Workspaces
Data Governance(Content-specific, aligns with IT Governance goals)
Item-level Retention & Expiration
Records Management Classification DLP
Microsoft Information Governance
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Intelligent and built-in information and records management
Manage high value content following the specialized workflows required to meet legal, business, or regulatory recordkeeping obligations
Manage risk and liability by only keeping what you need and deleting what you don’t across your entire digital estate
INFORMATION GOVERNANCE
Automatically retain,
delete, and storeinformation and
records In a compliant
manner
W
RECORDS MANAGEMENT
GOVERN YOUR DATA
Develop Information Architecture
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(Taxonomies, Content Types and Managed Metadata)
Document
Enterprise Document
Financial Documents
Purchase Order
Invoice
Operational Documents
Bill of Materials
Manifest
Legal Documents
Policy
Contract
Departmental Documents
HR Documents
Employee Record
Training Request
Sales Documents
Proposal
Sales Meeting Notes
Claims
Personal
Group
Document your Critical Information Lifecycles
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Critical Stages in the Life of a Document
Disposition
Retained Archived Published Approved
SharedEnrichedVersionedAuthoredCreated
Tenant
Departments
Sales
Opportunity Teams
Departmental Team
HR
Department Team
Payroll Business Unit
Employee Induction
Open Enrollment
IT
Department Team
Project Teams
Security Center of Excellence
Learning and Development
Departmental Team
Learning Experience
Business Unit
Learning Delivery
Business Unit
Course/Intake Teams
Legal
Department Team
Case Teams
Marketing
Department Team
Campaign Teams
Locations
Branch 1
Branch 2
Strategic Teams
COVID-19
Resources
ABC Inventory
Resource XYZ
Knowledge Teams
Topic Teams
Design your Microsoft Teams Collaboration Space
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Understand how Team’s Lifecycles Influence Document Lifecycles
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Critical Stages in the Life of a Document
Disposition
Retention Offboarding Closing Collaborating
OnboardingCreatingApprovingQualifyingNeeding
Implement Governance at Different Levels…
Example
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DEPARTMENT A DEPARTMENT B DEPARTMENT CExternalsharing
No external sharing
XExternal sharing allowed in: External sharing only allowed in:
Expiration/retention 6 Months
after last accessed12 Monthsafter last accessed
9 Monthsafter last accessed
Allow these usersto create a workspace
All requests through Central IT
All requests throughDepartment IT
Only Joe, Sally, andHarold can create
Recertifymembers
after3 Months
after6 Months
after12 Months
Migrate with Vision, Purpose, and with a Plan…
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Understand On-Premise Information Silos Catalog Information Use AI to identify
sensitive information Document
Compliance/Regulatory Landscape Organizational Policies
and Records Schedule
Analyze
Migration Digitization Information
Governance Compliance
Plan
Strategize
Retention Strategy Compliance Roadmap Migration Strategy Disaster Recovery Information Strategy
Implement
Information Architecture Content Ecosystem System Integrations COE and COP Policies and Processes Automation Migration
Operationalize
eDiscovery and PII Per BU Workspaces Disposition Training Change Management
Use Automation and Workflows for Efficiency and Cost Savings…
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Well Governed M365 Tenant
Compliant Information Architecture
Well Governed M365 Groups, Files, Sites and Teams
Policies and Governance
Change Management, Adoption and Training…
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Digital Enablement Kick
Off
Stakeholder & Champions
Identification
Key Stakeholder Interviews
Stakeholder Analysis
CommunicationWorkshop and
Plan
Campaign Theme and Branding
Implementation Scheduled Alignment
Champions Engagement
PLANNING
Process & Product Training
CRM
Process & Product Training
BI
KNOWLEDGE / ABILITY
Process & Product TrainingTeams
OneNote
Process & Product Training
OneDriveSharePoint
Process & Product Training
Apps & Flow
Process & Product TrainingYammer
GO-LIVE
USAGE DATA
ADOPTION DATA
SUCCESS MEASURED
Coach & TrainCoach & Train
ADOPTION DATACoach & Train
Coach & Train Coach & TrainCoach & Train
Product Tips & Tricks /Cheat Sheets x #
ProjectAnnouncement
“Did you know”
“What it means to me”
AWARENESS \ DESIRE \ KNOWLEDGE
PilotBrown Bag Sessions
Product Information
“Applied” x #
Enablement ChampionsAwareness
Digital Enablement Roadmap
Reinforcement
What does the process look like, in broad terms?(Your approach may vary, depending on your needs)
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What does the Journey Look Like?
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ECRM Survey
0-6 Weeks
3-9 Months
6 Months & Beyond
Quick Start Assessments
(3 Weeks)
PlanningBlueprint
O365 SetupHLA *
InformationArchitecture
Per BUTransformation
CurrentState
Adoption, Training & Change Management
Programof Transformation
Roadmap
Rollout Completed
ContinuousCompliance
Prioritization& ROI
Evaluation
* Enterprise and/or Departmental HLA’s
Evaluation, planning and prioritization
Another Way to Look at It…
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Catalog Governance
Attributes
Repeatable & Consistent
Admin Efficiency
Provable Compliance
Taxonomy & Classification
Retention & Disposal
Physical RecordsAudit & Reporting
Data Governance Records ManagementData Discovery Data Migration
Business InformationScan the content
Identify ROT&
duplicates
Remove duplicate
Data
Identify business
critical data
The changing landscape
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There has been a substantial move in the information governance space over the past years
Create /Collaborate /
Content Management
Records Management
MicrosoftGoogle Apps
Etc.
OpenTextFileNetAlfresco
Etc.
Create /Collaborate/ Content
Management
Records Management
Software Platforms
Create /Collaborate /
Content Management /
Records Management
Long Term Archive
? ?
ALL OF THIS IS DRIVING: Importance of assessments Selection of platforms/technology Correct configuration and maintenance of
environments
WHY IS THIS HAPPENING? Compliance requirements– not just about
documents Blurring of lines between what is content and
what are records
(R)evolution of software platforms Licensing models Change in work/delivery model Collaboration expectation