What works, what doesn’t?
2
| SharePoint Saturday St. Louis 2014








3
| SharePoint Saturday St. Louis 2014
Business
Benefits:
Cost Benefits
IT Benefits
Legal Benefits
• Define and Enforce compliance
• Preserve a corporate “memory”
• Fosters a professional image
• Reduces storage costs
• Reduces the effort
• Reduces eDiscovery costs
• Continuity of RIM during disasters
• Recovery of records, their history and audit information
• Enforce compliance of standards and authorities
• Demonstrate compliance to legal authorities
4
| SharePoint Saturday St. Louis 2014
Data
Growth
Information
Breach
Moore’s
Law
• Organizations double amount of data they store each
year
• The more data you keep, the greater the risk of
information breach
Noise
• More data you keep - the harder it is to find
• The more data you keep - the harder it becomes to
analyze
Data is useless if
it can’t be
analyzed
Legal Costs
• Opponents discovering information that could have
been destroyed can cost millions of dollars.
• Error in obsolete data are prone to penalties
Local company
fined for old
accounting data
5
| SharePoint Saturday St. Louis 2014
1.
2.
3.
4.
5.
6.
7.
8.
9.
9
| SharePoint Saturday St. Louis 2014
“By failing to prepare, you are preparing to fail.”
- Benjamin Franklin

Records Manager


publish
disposition
cutoff event retention
11
| SharePoint Saturday St. Louis 2014
Record Managers need File Plan Management
• Use Excel Spreadsheet
• Use SharePoint List
Taxonomy Structure
• Location Based for Homogenous environments
• Content Type Based for Heterogeneous environments
13
| SharePoint Saturday St. Louis 2014
Only possible if similar information is stored together
Find information
by browsing
14
| SharePoint Saturday St. Louis 2014
Crucial in heterogeneous environment


Find information
By searching
15
| SharePoint Saturday St. Louis 2014
Records Center
In Place
Record Status
Good for archive and inactive records
Good for active and
collaborative information
Security
Records are kept separate
and secure
Information is secured
while active
Accessibility
Good when only Records
Managers access
Good when teams still
need access
Versions
Final version is a record
All versions are records
Policies are driven by
Usually by location
Usually by Content Types
Administration
Harder
Easier
16
| SharePoint Saturday St. Louis 2014
Taxonomy is not generated from File Plan
Changing File Plan does not change taxonomy
No help in understanding regulations and laws
17
| SharePoint Saturday St. Louis 2014
 Creates defensible

searching

eDiscovery
19
| SharePoint Saturday St. Louis 2014
Drop Off Libraries
• Route content based on
Metadata
• Metadata foldering (great for
handling case type files)
20
| SharePoint Saturday St. Louis 2014
Location based classification
Drag and drop on browser
Upload from library
Drag and drop using Synced Libraries (also SkyDrive Pro)
21
| SharePoint Saturday St. Louis 2014
No Automatic Document Classification
• Metadata Extraction
• Classification for Content Types
No Email Classification
• Move to SharePoint?
• Leave in Exchange?
22
| SharePoint Saturday St. Louis 2014
File Plans should include a
cutoff event, retention period
and disposition information
 Industry

 Corporate
 Local, state and federal

24
| SharePoint Saturday St. Louis 2014
Assigning policies per Content Type or Location
Temptation
Recommended
Site Retention
• Close and Delete Sites based on rules
25
| SharePoint Saturday St. Louis 2014
No Case Based Retention
• Need to dispose all related document
(ex. Employee Files, Tax Records, Loan Files)
No Event Based Retention
• Required for cases
• Date column retention is not enough
• Custom policies require experienced developer
26
| SharePoint Saturday St. Louis 2014
 File Plan
 Review
Approval capabilities
 Destruction
Transfer
28
| SharePoint Saturday St. Louis 2014
Deletion of content
• Recycle Bin
• Permanent (but not forensic)
Deletion of entire sites
• Also Exchange Mailboxes
Transfer to other SharePoint locations
29
| SharePoint Saturday St. Louis 2014
No Review and Approval features
• Custom workflow required
Forensic destruction
• SQL data?
• SkyDrive Pro Data?
• Is this important to your organization?
30
| SharePoint Saturday St. Louis 2014


32
| SharePoint Saturday St. Louis 2014
Content Auditing
33
| SharePoint Saturday St. Louis 2014
No way to determine accuracy
• Classification accuracy
• Records declaration accuracy
• Disposal accuracy
Difficult to impossible to analyze
• Excel Export
• No cubes or custom reporting
34
| SharePoint Saturday St. Louis 2014
Email records only
• Not for active or non-record Emails
Moving records to SharePoint
• Automatic (Third Party)
• Drag and Drop (Limited)
• Move in Outlook (Third Party)
37
| SharePoint Saturday St. Louis 2014
Retention for all messages on a mailbox
• 2010 and newer
Custom retention for specific locations
• 2010 and newer
Message classification (2013 and Online)
In-Place Legal Holds
• 2010 used deleted or modified dates
• 2013 can use receive date
In-Place Archiving
• Eliminates PST (Good for compliance)
38
| SharePoint Saturday St. Louis 2014
Call to action…



39
| SharePoint Saturday St. Louis 2014
Do you need paper?


When you store paper consider…




safe dry
secure
retention
destroyed
41
| SharePoint Saturday St. Louis 2014
Organization
•
•
•
•
Libraries and folders can match physical locations
By Record Type
By Date (typically year)
Organizational/Departmental
Content Types
• Rarely homogeneous
• Use when possible
42
| SharePoint Saturday St. Louis 2014
No integration into commercial records centers
• Iron Mountain
• Recall
• The File Room
No tracking
• No auditing
• Check In/Out not a solution
No file requests/fulfillment
Barcodes and Labels
• Built for electronic documents
43
| SharePoint Saturday St. Louis 2014

protect

suspend

 Identifying
lock

present
future
45
| SharePoint Saturday St. Louis 2014
Classification is key
eDiscovery Center
• In-Place Holds (Records Center not necessary)
Record Centers
46
| SharePoint Saturday St. Louis 2014
Courts decide what is discoverable
Best defensive tactics
•
•
•
•
Create and publish a File Plan
Create and publish information handling policies
Get key personnel on board
Be prepared to hold information before eDiscovery
48
| SharePoint Saturday St. Louis 2014
eDiscovery Center
•
•
•
•
•
•
Site Collection
Single place to collect information
Automatically places Legal Holds
Ability to export data
Integration with Microsoft Exchange
Enterprise wide searching
Record Centers
• Site Template
• Basic search and hold
49
| SharePoint Saturday St. Louis 2014
What about your other information?
Unstructured Data can be difficult to search
Conversion to usable formats
50
| SharePoint Saturday St. Louis 2014
#1 - Build File Plan
•
•
•
•
Where information is stored
Where information comes from
What is a record and when to declare them
Handle non-records
#2 - Implement File Plan
• Create taxonomy
• Publish File Plan
#3 - Start collecting and classifying information
#4 - Monitor your success
54
| SharePoint Saturday St. Louis 2014
#1 - Make sure you can find what you’re looking for
• Classify information
• Create an easy interface for searching
• Without this your business will not be efficient
• Email 1st, Physical 2nd, SharePoint 3rd
#2 - Make sure you keep records long enough
• Lock records (declare)
• Create a file plan/retention schedule
• Without this you are risking spoliation fines (ignorance won’t fly in court)
#3 - Destroy records when legally possible
• Approve and destroy records when it’s legally possible
#4 – Start considering your other information
• Networks Shares, IM, Social Networks, Mobile Devices
55
| SharePoint Saturday St. Louis 2014
Chris Caplinger
chris@recordlion.com
@chrislcap

http://spsaturday.cloudapp.net



57
| SharePoint Saturday St. Louis 2014



http://spsaturday.cloudapp.net
58
| SharePoint Saturday St. Louis 2014
Thanks to Our Sponsors!
59
| SharePoint Saturday St. Louis 2014