Records Management Business Issues at NGC - SharePoint 2010 New Records Management Features

1. e-Discovery and Records
Management at National Gypsum
AND:
What About SharePoint 2010
As A Records Management
Tool?
Mike Brannon

2. National Gypsum Company is a fully integrated building products
manufacturer
Headquartered in Charlotte, NC with
mines and quarries, and
manufacturing plants across North
America

3. What about Records Management?

4. 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

5. Managing Electronic Records?

6. 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

7. 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…

8. ESI Mapping and Checklists
Graphical and Excel Based Mappings – Checklist used for Discovery Efforts
Managing “Departing Employees” – Checklist used for IT, Legal and Managers

9. Establishing Context: eDiscovery Strategy and Information Lifecycle
A Roadmap for Bridging 2 Operational Scenarios
Scenario 1: Normal Operations Scenario 2: eDiscovery
Governed Under “Safe Harbor” Governed Under “Duty To Preserve”
Our
Business Users
Create ESI eDiscovery
ESI TYPES SOURCES
Strategy Possible
Legal
Legal
Hold
Discovery
Scope
Action Issued Determined
Unstructured Data Messages (email, PCs, Servers,
v-mail, IM) SharePoint, etc.
Documents,
Media, Logs, etc. ESI Discovery Process
Structured Data Invoices, POs, Enterprise
Credit Memos, Systems, SAP,
etc. POPS/MIDAS,
NGC4ME, etc. Search
provides
Policies & Procedures Dictate the a framework to
Information Lifecycle Under “Normal Operations” address Hold
ESI
eDiscovery Sources
POLICIES & PROCEDURES
in the
Legal Department Information Systems
context of
Records Management Storage, Backup, Archiving,
Deletion Normal Deliver Review Process
Operations
1) ESI – Electronically Stored Information
2) Safe Harbor – Possible protection from sanctions if ESI is destroyed as a result of routine policies and procedures
3) Duty to Preserve – A defendants obligation to preserve evidence in advance of litigation
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10. Defining A Shared Vision
Creating an eDiscovery Ready Environment
Vision: Provide an Information Lifecycle Management environment that promotes
legal compliance, and facilitates efficient and accurate eDiscovery responses.
Our Solution
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.
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11. 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?

12. What SharePoint 2010 Does
According to Microsoft
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13. How we might describe it…
Using NGC English
Web Sites
SharePoint Team Sites
User and
Developed Collaboration
Apps
Business Content, Document,
Intelligence and Records Mgt
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14. Technical Tools Overlap --
“One Broad Toolset OR Point Solutions…?”
Web Sites
SharePoint Team Sites
User and
Developed Collaboration
Apps
Business
Intelligence
Content, Document,
and Records Mgt
Heterogeneous vs. Homogeneous
Pros & Cons
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15. 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…

16. SharePoint 2010 and Records Storage
New 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

17. Enterprise Managed Metadata Service
SharePoint 2010 and Records Storage
New 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

18. 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

19. 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!

20. 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??)

21. 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

22. 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

23. 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?)

24. SharePoint 2010 Records Management Details
“Locked” Records

25. 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

26. File Plan RM vs. User “Virtual Folders”
Metadata Driven
“Folders” That Users
Know

28. Questions?
Presentation – with Links to Sources and
Slide Notes – Posted to UG Web Site

29. EDRM Model