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IMPLEMENTING RECORD RETENTION

IBP200. IMPLEMENTING RECORD RETENTION. Elliot Gerard General Mills, Inc. Global Development Services Microsoft / SharePoint Technology Center. Elliot Gerard – Who-Am-I ?. General Mills, I.T. Manager, Microsoft / SharePoint Technologies group for General Mills

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IMPLEMENTING RECORD RETENTION

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  1. IBP200 IMPLEMENTING RECORD RETENTION Elliot Gerard General Mills, Inc. Global Development Services Microsoft / SharePoint Technology Center

  2. Elliot Gerard – Who-Am-I ? • General Mills, I.T. Manager, Microsoft / SharePoint Technologies group for General Mills • Team manages Moss platform serving 28,000 employees and partners in 37 countries. • Team developed record retention, e-discovery and email grooming systems built with .Net and SharePoint technologies • Working with SharePoint since Tahoe in 2000 • Document Management since 1999

  3. General Mills – Company Overview Offices and Employees in 37 Countries

  4. General Mills – Company Overview Financial Revenue

  5. General Mills – Company Overview Brands you know…

  6. General Mills – Company Overview Big G cereals

  7. General Mills – Company Overview What’s Tom’s favorite cereal?

  8. General Mills – Techical Overview • Major platforms – Windows, Unix (HP-UX), Linux • Client software – Windows XP SP2, Office 2003/2007, SAP GUI • Major systems – SharePoint, SAP ERP, CRM, APO, SEM, HR, BW • Development platforms – Visual Studio 2005/2008, SQL Server 2005, Oracle, SAP ABAP • 20,000 desktops • 1,000+ servers • EMC San 150 TB

  9. Our SharePoint History • General Mills Prior to 2001 • Non-SAP managed state documents at GMI were stored in PCDOCS (DOCSOPEN) • Centrally administered twelve libraries • Relatively high overhead cost • Client software was installed that “passively” integrated with Microsoft Office products suite • Passive integration dramatically interfered with Word and Excel

  10. Our SharePoint History • Pillsbury Prior to 2001 • Over 500 Lotus Notes databases with documents • Dispersed worldwide and managed within functional silos • Documents were difficult to locate because of this organization • Documents were not structured like traditional documents • Most were Notes forms containing data, document attachments and links

  11. Our SharePoint History • SharePoint 2001 in 2001 • 6 months migration effort to consolidate onto a SPS 2001 platform • Developed custom audit system leveraging the dreaded (and non-supported) Event Sinks, Syncs? Synchs? • Developed Electronic Lab Notebook system on SPS platform for 800 R&D workers • Many applications for other divisions followed, building on this early work • Created a suite of tools to handle uploading, updating and deleting documents • By 2006 we had 1.3 million documents across 9 servers

  12. Our SharePoint History • SharePoint 2003 • Missing document functionality forced us to stay with SPS 2001 and not migrate documents • Widely used as a collaboration tool by Supply Chain and Technical Communities (Engineers) 2,500-3,000 sites • Some use by corporate areas with 35-50 sites • Central deployment at headquarters • 12 standalone installations at larger plants

  13. Our SharePoint History • SharePoint 2007 • TAP participant, OAC14 member • Dev-Kitchen to work with OM • GMI presents at “Customer Speaks” forum May 2007 • Microsoft visits GMI to see first hand how we used the product • Developed custom migration program to move V1 docs directly into V3 • In process of migrating 3,000 V2 sites to V3

  14. Our SharePoint Environment • February 2007 – Go Live • Centralized farm serving 37 countries • Extranet deployed • 4 Web front ends • 2 App servers – Project, Excel Calc Services, Search • 2 DB Severs – EMC SAN 10 TB • 1 Index server

  15. SharePoint Environment

  16. Our SharePoint Environment By the Numbers as of Dec 2007

  17. Record Retention • Problems we tried to solve • Our concept of record retention • Immediate implementation goals • SharePoint 2007?

  18. The Retention Problem • Governance, legal, compliance obligations (SEC, FDA, IRS, SOX) • No means of implementing policy for electronic documents (We had an effective policy and system for paper OBR) • How to implement without a major disruption? • Obtain agreement on retention periods

  19. Record Retention • Problems we tried to solve • Our concept of record retention • Immediate implementation goals • SharePoint 2007?

  20. Our Record Retention Concept • Record Retention – a definition: • The period of time during which records must be kept before final disposition. • What did we think the content owners heard? • Disposition ….dispose • Destroy • Loss of control

  21. Our Record Retention Approach • Managed state for all assets • Full compliance for everything SharePointed • Minimal disruption for the users • No drastic changes to the way people work • Adhere to corporate retention schedule for “records”

  22. Our Record Retention Approach • Discovered that only 5% of assets were true “records” • Extended our implementation to include non “records” • Rely on user “honor” system • Quarterly audit of random records • Recognize the people or areas with best and most accurate compliance • Educate those that are “less accurate”

  23. Record Retention • Problems we tried to solve • Our concept of record retention • Immediate implementation goals • SharePoint 2007?

  24. Immediate Goals • Define retention categories • Get sponsorship from the CEO and senior leadership • Use surveys to find out how much retention would be tolerated? • Shape the non-record retention schedule based on survey results • Launch a communications campaign

  25. Retention Categories Defined • General Working Records • Business Reference Records • Permanent Reference Records • Official Business Records

  26. Retention Categories Defined • General Working Records • Record Lifecycle: 24 months • Percent of all documents: 35% • Renewable?: No, non-commutable, non-pardonable • Lifecycle key: Create date • Examples: • Team meeting minutes • Staff presentations • Informal communications

  27. Retention Categories Defined • Business Reference Records • Record Lifecycle: 36 months • Percent of all documents: 35% • Renewable?: Yes • Lifecycle Key: Modified date • Examples: • Marketing & product plans • User guides, training materials • Standards

  28. Retention Categories Defined • Permanent Reference Records • Record Lifecycle: Life of company • Percent of all documents: 25% • Renewable?: N/A • Lifecycle Key: N/A • Examples: • Consumer contacts • Divisional presentations • Construction project related documents

  29. Retention Categories Defined • Official Business Records • Record Lifecycle: Retention Schedule • Percent of all documents: 5% • Renewable?: N/A • Lifecycle Key: Custom metadata (120+ formulas) • Examples: • Environmental, Safety, Aviation, Policies • Accounting, HR, Payroll, Tax • Public Affairs, Legal, Contracts

  30. Retention Assessment Survey What % of your annual electronic documents fall into one of the 3 document definitions? (1,330 people surveyed, 682 responded)

  31. Retention Assessment Survey 91% (627 of 682 people) felt that GWR should be kept for no more than 24 months

  32. Would it be Distruptive? • Users appeared receptive to the questions • It didn’t appear to present a threat • Key user communities included in the “thought” process

  33. Record Retention Using SharePoint? • ContentTypes / Policies were not appealing • Too many choices, too much work • Too many places for users to change / remove the policies Yes! SharePoint would allow us to devise flexible solutions to accommodate multiple retention scenarios

  34. How We Did It • Some techno-geek stuff • Some screen shots • Some live demos

  35. Record Retention RecordType • RecordType column used for “non” official records (95%) • Choice column type (out-of-the-box) • Created using a “feature” during our custom “site create” process • RecordType field is set to “Read Only” and Sealed to prevent schema changes • Hidden from Site Features list to prevent tampering

  36. Sample RecordType XML • Easy to update without knowing the code: • <Properties> • <Property Key="Choices“ • Value="General Working Record; Reference Record"/> • <Property Key="Required" Value="True"/> • <Property Key="DefaultChoice" Value=""/> • </Properties>

  37. Sample RecordType XML • Easy to update without knowing the code: • <Properties> • <Property Key="Choices“ • Value="General Working Record; Reference Record"/> • <Property Key="Required" Value="True"/> • <Property Key="DefaultChoice" Value=""/> • </Properties>

  38. Record Retention RecordType • Easy to change but … • Changes made only through the OM using Farm Service account.

  39. Working with Documents • New Word Document

  40. Working with Documents • New Documents

  41. Working with Documents • New Spreadsheets

  42. Working with Documents • New Spreadsheets

  43. Working with Documents • Uploading a document

  44. Working with Documents • Uploading a document

  45. Working with Documents • Uploading a document

  46. Upload a file Apply retention to non-official business record Go to site (use your laptop!) demo

  47. Working with Documents • Declaring an Official Business Record

  48. Working with Documents • Declaring an Official Business Record

  49. Working with Documents • The Existing Retention Schedule

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