The document discusses Electronic Content Management (ECM) and Records Management (RM) features in SharePoint 2010. It provides an overview of the presentation agenda which includes an introduction to the company Catapult Systems, demonstrations of ECM features in SharePoint 2010, guidelines for implementing document and records management solutions in SharePoint, and a case study. It emphasizes best practices for classification, retention, and disposition of documents and records to maximize productivity and reduce legal and compliance risks.

1. Taming the West: ECM and RM in
SharePoint 2010
October 27, 2011

2. Agenda
• Introduction to Catapult Systems
• ECM features of SharePoint 2010
• Demo
• Document Management in SharePoint
– Business Drivers
– Guidelines
– Key Takeaways
• Records Management in SharePoint
• Case Study

3. Company Overview
 Private company founded in 1993
 300+ employees
 We’ve delivered over 4,000
client engagements
 Seven regional offices:
– Austin – San Antonio
– Dallas – Tampa
– Denver – Washington D.C.
– Houston

4. Who We Are
“The Microsoft Consulting Company”
 Microsoft National Systems Integrator (NSI)
 100% Microsoft focused
 We provide:
 Development
 Integration
 Infrastructure
 Managed Services
 Creative Services
 Mobile Solutions

5. National Systems Integrator
National Systems
37 Integrators (NSIs)
1,000+ Locally Managed
Partners (LSIs)
Microsoft Partners
400,000+

6. The Microsoft Consulting Company
With 27 to date, no other Microsoft partner has achieved
more competencies worldwide
Gold Competencies Silver Competencies
 Business Intelligence  Application Integration  Midmarket Solution Provider
 Content Management  Business Intelligence  Mobility
 Desktop  Content Management  Portals & Collaboration
 Digital Marketing  Customer Relationship  Project & Portfolio Management
 Portals & Collaboration Management  Search
 Server Platform  Data Platform  Software Development
 Software Development  Desktop  Systems Management
 Systems Management  Digital Marketing  Unified Communications
 Unified Communications  Identity and Security  Virtualization
 Virtualization

7. Austin Clients
Breed
love
AND
ASSOCIATES

8. ECM Features of SharePoint 2010

9. Electronic Content Management in SharePoint 2010
SharePoint 2010 is a web portal platform to manage and share electronic content

10. Collaboration
Multiple users working on the same document asynchronously
– Check-in/Check-Out
– Versioning
– Alerts

11. Content Types
Titles given to documents to classify and provide additional context
– Templates
– Metadata
– Workflows
Interoffice Meeting
Memos Notes
Travel
Contracts
Expenses
Reports

12. Workflows
Documents can be sent to other users for feedback or approval, following any existing
route or process

13. Retention Policies
• Based on content type
• Can specify action after retention
period expires (transfer or destroy)
• Can include multiple stages of
retention
• Can maintain separate policies for
records and non-records

14. In-Place Records vs. Record Center
• NEW for SharePoint 2010
• In-Place Records remain in original location, preserving accessibility and findability
• Records Center collect and organize all records in a centralized location

15. Demo

16. Implementing a Document Management Solution

17. Document Management Rules and Governance
Bells and whistles are great, but if you give all your users cars, make sure
they also have street lights and traffic laws too!

18. Business Drivers for Document Management Solutions
Business IT
Productivity Costs

19. Productivity Costs
• SharePoint enables users to create content easily, but lack of governance and rules
can quickly make the environment unusable
• Difficulty in finding the documents that you need
– Bad naming conventions
– No context provided in how document is used
• Difficulty in determining which documents are important
– Drafts vs. Final copies
– Official documents vs. Scrap Notes

20. IT Costs
• Over 90% of all documents created today are electronic
• Amount of electronically stored information is doubling every two years
• 1 TB of data storage (about 1,048,000 documents) costs over $180,000 per month in
maintenance, including hardware and labor1
• Over 33% of documents in a SharePoint environment can be considered temporary
(i.e. drafts, scrap notes) and are being stored and maintained unnecessarily1
1 AIIM.org: Realize a Rapid Return on Investment by Eliminating Edge Content

21. ECM Maturity Model
Collaboration Publication Classification Retention Disposition
• Collaboration: Documents are drafted in a central location (and not email!)
• Publication: Documents are approved and published to secure yet accessible
locations
• Classification: Documents are organized and labeled to properly identify their
contents
• Retention: Documents are kept for a specific time based on the document type
• Disposition: Documents are destroyed when retention period expires

22. The “Ugly” Truth
Collaboration Publication Classification Retention Disposition
• Most organizations only implement Collaboration and Publication in their SharePoint
environments
• Users often upload content to store and share but subsequently forget about it
• Often companies have no measures in place to remove documents after they have
been created
• Because of this, organizations bear additional costs in productivity as well as IT
storage

23. Guidelines for SharePoint Document Management
• Collaboration: Users should use document libraries to work collaboratively on
documents
– Use check-in/check-out to prevent overwritten work
– Enable versioning to be able to revert back to previous editions
– Where appropriate, use alerts to notify users that changes have been made to a
document
• Publication: Use workflows and document states to promote and approve
important documents, to distinguish them from temporary and draft documents

24. Guidelines for SharePoint Document Management
• Classification – Enforce the use of content types to guide how long documents
should be retained
• Retention – Apply retention policies to clean up documents based on content type
or document state
• Disposition – Ensure that documents are removed promptly from the system when
they are no longer needed
– Documents with no content type should be assumed to be temporary and removed after
a short period of time
– Documents with content types or that have been approved should live longer, as
appropriate

25. Document Management Takeaways
Collaboration Publishing Classification Retention Disposition
• Collaborating in document libraries enables users to work together more efficiently
and ensures the most current version is easily found
• Publishing documents as final makes them more identifiable to other users
• Classifying documents with content types provides valuable context to other users
• Applying Retention Policies to documents prevents documents from living on
indefinitely without purpose
• Disposing documents when they are no longer needed has expired ensures a clean
and efficient SharePoint environment

26. Records Management in SharePoint

27. What is a SharePoint Record?
• A SharePoint record is a document stored in SharePoint that has been declared as a
record
• Records cannot be edited or deleted; access to the record may be limited
• Records can be stored in original location or in a special SharePoint site for records
• If records are declared “in place,” the lock icon appears next to the document to
clearly designate records from regular documents

28. What is a SharePoint Records Management solution?
• Part of a larger overall Records Management initiative
• Provides methods to allow users to identify and declare documents in SharePoint as
records
– Records can also be declared in-place using “Declare Record” button
– Records can be sent to separate Record Center storage site using “Send To” menu item
• Once declared, a retention policy is automatically applied to documents based on
content type, preventing the record from being edited, moved, or deleted
• After the retention period has expired, SharePoint will automatically move or destroy
the record as required

29. Business Drivers for Records Management Solutions
Business
Productivity
Legal IT
Risk and Compliance Costs

30. Business Compliance
• Since the early 2000s, public companies have faced increased scrutiny in their record
keeping practices
– Scandals at Enron/Arthur Andersen and Worldcom, among many others, have drawn the
attention of both the media and lawmakers
• Sarbanes-Oxley Act of 2002 – Title VIII mandates specific criminal penalties for
manipulation, destruction, or alteration of records
• Government, Health Care, Legal, and other industries have longstanding records
management requirements
– HIPPA
– MoReq
– DoD 5015.2
– ISO 9001

31. Legal Risk
• Holding on to records beyond the legal requirement is a source of liability
– Any document that exists, no matter how old or out-of-date, is viable as evidence in a legal lawsuit or
investigation
– Organizations can be held liable for producing these documents, even if they are unaware of their
existence
– Organizations have an obligation to maintain records for the length of their legal retention, but beyond
that, they simply represent exposure
• Deletion of records too early, even accidentally, can also be a source of legal liability
– Failure to produce relevant documents during an investigation or lawsuit can result in additional fines
or sanctions, and, in some cases, jail time
– Courts do not expect perfection; however proper steps must be demonstrated in order to disprove
gross negligence

32. Litigation Risk
• In the event of a lawsuit or investigation, companies are responsible for producing all
pertinent documents
• In a completely unregulated SharePoint environment, this amounts to hiring a team
of lawyers to manually sift through all sites and all document libraries to locate
relevant records
• Legal costs can be exacerbated by an organization’s lack of understanding of which
documents are germane and which aren’t

33. Litigation Costs
Discovery case in unregulated document storage environment:
6 ������������������������������������������ ������������������������������������������������������ ÷ 2,000 ������������������������������������������������������ ������������������ ℎ������������������ × $400 ������������������������������ ������������������������ ������������������������
= $1,200,000

34. Litigation Costs
Discovery case in managed records repository:
500,000 ������������������������������������������������������ ÷ 2,000 ������������������������������������������������������ ������������������ ℎ������������������ × $400 legal bill rate
= $100,000
Cost of most Records Management solutions are outweighed by the
estimated savings of a single discovery case

35. Guidelines for SharePoint Records Management
Classification - Match content types to your existing File Plan
HR
Documents
Job Employee
Contracts
Postings Handbooks
Internal External Full-Time Consultant

36. Guidelines for SharePoint Records Management
• Retention - Match retention policies to your existing Records Retention Schedule
• Disposition – In addition to proper records disposition, remove unclassified
documents/non-records after a specified time period
– Cleans up unwanted documents
– Encourages users to classify/declare documents

37. Records Management Benefits
• Compliance with legal and industry regulations
• Reduced legal liability
– Records are kept for exactly as long as prescribed
– Relatively little intervention is needed
– Integrity of records is maintained throughout retention

38. Takeaways
• SharePoint 2010 is an effective platform that can support any Document
Management or Records Management initiative
• SharePoint provides a wide range of tools that can bring value no matter your
organization’s ECM maturity
– Able to grow along with your organization’s ECM program
• Find the best fit for your SharePoint approach by determining your business drivers
– Document Management for reducing costs and increasing productivity
– Records Management for decreasing risk and liability
• A complete SharePoint Records Management solution is as much policy and
education as it is actual SharePoint development

39. Case Study

40. Case Study
• Public Utility Management Company
– 230 users
– 300 GB of data (~60,000 documents)
• Migrated to SharePoint 2010 for document storage as part of larger RM initiative
• Goals
– Enable users to declare records
– Enforce Records Retention Schedule
– Automate retention and destruction
– Enable discovery of information and legal holds
• Client wanted a solution that was mostly invisible to users, but also provided
flexibility in their retention

41. Solution
• Users declaring records are prompted for basic background info instead of assigning
content type
– Short survey that asked what department and business purpose
– SharePoint logic decides what retention to apply to the document
– Records Retention Schedule is invisible to end user
• Records Managers use a “living Records Retention Schedule” to manage retention
– Records Managers can make changes to the schedule at any time
– New records declared receive the most up-to-date retention policy
– Date of declaration time-stamped on each record

42. Cost Benefit Analysis
Type Summary
Project Cost ($580,000)
Recurring Cost ($29,000)
Direct Savings $55,000
Efficiencies $1,200,000
Cost Avoidance $730,000
Total $1,400,000

43. Questions?
Justin Ong
Senior Lead Consultant
justin.ong@catapultsystems.com