1. 1 | SharePoint Saturday St. Louis 2015 10 Things You’ll Need to Succeed with Information Governance and SharePoint Chris Caplinger | RecordLion

2. 2 | SharePoint Saturday St. Louis 2015  Chris Caplinger chris@recordlion.com  RecordLion  President  SharePoint Experience – 12 years  Co Author – SharePoint Server 2010 Enterprise Content Management  Entrepreneur – 3 rd Startup  Twitter: @chrislcap Biography 2 | SharePoint Saturday St. Louis 2015

3. 3 | SharePoint Saturday St. Louis 2015 Session Evaluations  Schedule and evaluate each session you attend via our mobile app that can be used across devices at http://spsaturday. azurewebsites.net  You will be able to evaluate sessions added to your “My Sessions” 25 minutes before the scheduled end time  Evaluations are stored anonymously and your feedback is appreciated  The app will be the only method available to submit session evaluations for the event and we hope you find it intuitive and convenient 3 | SharePoint Saturday St. Louis 2015

4. 4 | SharePoint Saturday St. Louis 2015 Information Governance Maturity Model ARMA International http://www.arma.org St. Louis Chapter http://www.armastl.orghttp://www.armastl.org

5. 5 | SharePoint Saturday St. Louis 2015 Sets standard of conduct and how to judge your organizations IG maturity Independent of Laws and Regulations Based on ARMA Generally Accepted Record Keeping Principals http://www.arma.org/docs/bookstore/theprinci plesmaturitymodel.pdf http://www.arma.org/docs/bookstore/theprinci plesmaturitymodel.pdf Information Governance Maturity Model

6. 6 | SharePoint Saturday St. Louis 2015 The Principals Senior Executive oversight Accountability Documented program and available to everyone Transparency Reasonable assurance that data is authentic and reliable Integrity Records protected according to sensitivity and privacy Protection Comply with laws, regulations and organization policies Compliance Timely and efficient retrieval Availability Keep records according to legal, regulatory, fiscal, operational and historical requirements Retention Dispose of data that has expired according to retention Disposition

7. 7 | SharePoint Saturday St. Louis 2015 10 Things You’ll Need… to apply the model in SharePoint

8. 8 | SharePoint Saturday St. Louis 2015 #1 - Access Control ProtectionIntegrityCompliance Web Application Scope for Anonymous Access Site Collection Highest Permission Level SharePoint / SharePoint Online Each can have separate administrator Give users broad level access at this level Site By default sites take on site collection permissions Beware of letting site owners control permissions Micro management leads to data breaches Library / List By default libraries take on site permissions Item 5,000 limit default and recommended by Microsoft 50,000 maximum per list (hard limit) Performance implications as you go past the 5K recommendation Meta Data Using Meta Data to control security requires customizations Securing Meta Data columns also requires customizations

9. 9 | SharePoint Saturday St. Louis 2015 “Many SharePoint Implementations fail due to poor or no taxonomy.” What is a Taxonomy? In short, a systematic way to organize content For SharePoint this means the organizations of the following entities: Site Collections Sites Libraries Folders Content Types Terms (Managed Meta Data) #2 - Taxonomy Plan ProtectionAvailability

10. 10 | SharePoint Saturday St. Louis 2015 Taxonomy Types Location Based Sites/Libraries/Folders Folders can drive Meta Data Simplifies Security Users Browse for Items Discourages Search Content Type Based Put Content Anywhere Encourages Search Complicates Security Complicates Admin Beware of Content Type Creep Content Type + Meta Data Based Put Content Anywhere Terms = Types of Information Encourages Search Simplifies Taxonomy Creation Only Consider New Content Types for: Search/Navigation/Retention/Workflow

11. 11 | SharePoint Saturday St. Louis 2015 Taxonomy Examples Meta Data/Term Store

12. 12 | SharePoint Saturday St. Louis 2015 TransparencyRetention What is a Retention Schedule? A set of instructions allocated to a class or file to determine the length of time for which its records should be retained by the organization for business purposes Consider Legal help for Development and Compliance Publish Retention Schedule for program transparency In SharePoint: Use stages to build content lifecycles Separate from Taxonomy (Recommended) Requires ISV or custom code No Event Based Retention in SharePoint Requires ISV or custom code No Case Files in SharePoint ISV is only feasible solution #3 - Retention Schedule ComplianceDisposition

13. 13 | SharePoint Saturday St. Louis 2015 Retention Schedule Example http://blog.recordlion.com/file-plan-template/

14. 14 | SharePoint Saturday St. Louis 2015 Separate Taxonomy and Retention Schedule Retention Schedule - Recommendation

15. 15 | SharePoint Saturday St. Louis 2015 “It’s easy to upload content into SharePoint, but tagging with Meta Data is the tough part.” 1.Upload & Edit (out of the box) 2.Add tags while uploading 3.Automatic extraction technologies (3 rd Party) #4 - Content Onboarding IntegrityAvailabilityRetention

16. 16 | SharePoint Saturday St. Louis 2015 Content Onboarding – Upload & Edit Drag and drop on browser Drag and drop using Synced Libraries (also OneDrive Business) Upload from library Potential Governance Risk as you can’t add Meta Data from Windows Explorer

17. 17 | SharePoint Saturday St. Louis 2015 Content Onboarding – Upload / Tag Office Applications RibbonOffice App Backstage

18. 18 | SharePoint Saturday St. Louis 2015 3 rd Party Tools Insert “Shameless RecordLion Plug” Here Semantic Indexing using Text Analysis Zonal/Template Extraction Custom Code Use Drop Off Library Extraction Technologies & Custom Code Content Onboarding – Automatic Tagging

19. 19 | SharePoint Saturday St. Louis 2015 “Without classification, content in SharePoint is too dependent on the unlikely near perfect search engine” Exact Relevance Search is crucial for business processes Transactional Content Management Workflow #5 - Classification IntegrityAvailabilityRetention

20. 20 | SharePoint Saturday St. Louis 2015 Classification Technologies to Consider Meta Data File Names Folder Names Column/Properties Document Properties Content “Reads” content Email Office Documents PDF Visual Looks at pixels Images Only Good for Scanned Forms Template Zones OCR Barcodes Images or Text

21. 21 | SharePoint Saturday St. Louis 2015 Move Records to SharePoint Best to store similar records in the same location if possible 3 rd Party are needed to move records Apply Uniform Policies in Exchange Big Buckets (Mailboxes/Folders) http://blog.recordlion.com/email-retention- exchange-sharepoint-online/ #6 - Email Management IntegrityAvailabilityRetention

22. 22 | SharePoint Saturday St. Louis 2015 “Most data in SharePoint is unstructured” #7 - Unstructured Content Search AvailabilityTransparency Office 365 (On Premise 2016) SharePoint/OneDrive/Exchange Advanced Customizations Best Experience / Highest Cost

23. 23 | SharePoint Saturday St. Louis 2015 “The action taken when a record reaches the end of its retention period” Average cost of a managed terabyte - $17,000 Legal professional (eDiscovery) review - $18,750/GB Can you really afford not to dispose of information? #8 - Disposition ProtectionDisposition

24. 24 | SharePoint Saturday St. Louis 2015 Information Value Declines Over Time Business NeedRegulator Need (TAX)No Need Information Value Office Documents Product Research Sales/Customer HR Financials Messaging/Social IT Cost Risk Risk-to- Value Gap Cost-to- Value Gap

25. 25 | SharePoint Saturday St. Louis 2015 Disposition and SharePoint Move to Recycle BinNot Recommended Permanently DeleteRecommended Transfer to Another LocationGood if deleting in another stage Start a WorkflowUse to build approval processes Possible Disposition Actions Disposition Issues Forensic DestructionConsider RBS Disposition Requires ApprovalConsider ISV solution

26. 26 | SharePoint Saturday St. Louis 2015 “An Information Governance implementation is only as good as what you can prove in court and in the board room” Most important reports show: Your keeping information according to policies Your destroying expired information Users are only seeing what they should That information is authentic and reliable Policies are up to date and published #9 - Audit, Reporting, and BI Accountability TransparencyIntegrityCompliance

27. 27 | SharePoint Saturday St. Louis 2015 SharePoint Reporting You will need a way to format and present SharePoint reports are just Excel Files Must be turned on Beware of performance implications Item View/Modify/Delete Structure Modifications Content Activity Reports Policy Modifications Expiration and Disposition Information Management Policy Reports Auditing Settings Security Settings Security and Site Settings Reports

28. 28 | SharePoint Saturday St. Louis 2015 “It’s not a matter of if you have to produce information, it’s a matter of when… be prepared” Prepare by: Knowing where your information is Disposing of ROT data Copying and/or Locking records when expecting litigation Legal Holds and eDiscovery RetentionDispositionCompliance

29. 29 | SharePoint Saturday St. Louis 2015 SharePoint eDiscovery Center

30. 30 | SharePoint Saturday St. Louis 2015 Call To Action 1.Create Access Controls 2.Plan Your Taxonomy 3.Create Retention Schedule 4.Build Content Onboarding Processes 5.Build Classification Processes 6.Get Email Under Control 7.Design Search For Unstructured Content 8.Build Disposition Processes 9.Build Audit Processes, Reports and Consider BI 10.Plan for Legal Holds and eDiscovery

31. 31 | SharePoint Saturday St. Louis 2015 Housekeeping  Follow SharePoint Saturday St. Louis on Twitter @spsstlouis and hashtag #spsstl  Play “Sponsor Bingo” to register for your chance to win one of the many great giveaways at the end of the day  Schedule and evaluate each session you attend via our mobile app that can be used across devices at: http://spsaturday. azurewebsites.net

32. 32 | SharePoint Saturday St. Louis 2015 Chris Caplinger chris@recordlion.com @chrislcap Website http://www.recordlion.com Blog http://blog.recordlion.com http://blog.recordlion.com Q & A

33. 33 | SharePoint Saturday St. Louis 2015 Outline 6 | SharePoint Saturday St. Louis 2015 Thanks to Our Sponsors! GoldSilverRaffle