Big Bucket Theory and MOSS File Plans

1. Big Bucket Theory andMOSS File Plans Susan Cisco andJonathan BrandenburgGimmal Group

2. Presenters • Susan Cisco – Director, Enterprise Content Management Team, Gimmal Group Records management SME with 25 years of experience as a practitioner, educator, and consultant.  Susan holds an M.L.S and Ph.D. in Library and Information Science from The University of Texas at Austin. • Jonathan Brandenburg – Technical Director, Gimmal Group Technical Architect focused on the planning and implementation of Enterprise Content and Records Management systems for customers, including Microsoft Office SharePoint Server and EMC|Documentum.

3. Session Outline • Introduction • Definition of Big Bucket Theory • How to Apply Big Bucket Theory • When developing a new retention schedule • When streamlining an existing retention schedule • How to Implement Big Buckets with Physical and Electronic Records • MOSS Capabilities and Considerations • Additional Resources

4. About Gimmal Group • Experts in Enterprise Content Management • Trusted Advisors on the some of the largest programs in the world • Team averages 10+ years of experience • Some of industry’s best known experts • Nationally Recognized • Founded 2002 – Houston, NYC, Richmond • 100 + clients with household names • Inc. Magazine’s list of 500 Fastest Growing Companies • Broad Experience • Clientele – Fortune 200 & government • Experience with all leading vendors • Implementing most of the major ECM suites

5. Gimmal Experience A Goldman Sachs Company

6. RM – More Important Than Ever • Compliance with stringent regulatory mandates • Retention requirements • Information privacy and security requirements • Risk mitigation • Timely production of records in civil litigation • Lower cost of audits • Protect intellectual property rights • Ensure business continuity

7. Exponential Growth of eRecords “… the solution to the overabundance of information is more information.” David Weinberger.Everything is Miscellaneous. New York: Henry Holt & Company. 2007

8. Enterprise Records Management • Need unified strategy • Common taxonomy to organize, describe, and link records (classification scheme) • Standardized indexing (metadata) • Single set of retention policies for all physical and electronic records, including email (retention schedule)

9. Types of Retention Schedules • Departmental Model • Hundreds or thousands of records series/categories • Duplication between departments • Functional/Process Model • Broader classification, fewer record series/categories • Represents core business function/process regardless of departmental ownership • Adopted by ISO 15489

10. Big Bucket Theory • Record series or retention category or “bucket” • Same or similar business processes • Same or similar legal and regulatory requirements • Maintained for the same amount of time • Fewer/bigger “buckets” • Easier for users to apply • Improves organization’s ability to accurately and consistently retain records  • Reduces risk for keeping records too long or not long enough

11. Cohasset/ARMA/AIIM Survey 2007 • How many different record series does your current retention schedule have? 26% 100 – 250 31% Under 100 27% 250 – 1,000 3% 3,000 – 5,000 10% 1,000 – 3,000 3% Over 5,000

12. Cohasset/ARMA/AIIM Survey 2007 • Given the growing capabilities to search vast volumes of electronic records, do you believe the “big bucket approach” is the best way to meet the challenge of classifying large daily volumes of electronic records? 48% Agree 16% Strongly Agree 6% Strongly Disagree 31% Disagree

13. How to Apply Big Bucket Theory • When developing a new retention schedule • Develop list of records series organized by business functions/processes • Gather relevant legal and regulatory retention requirements and map to record series • For record series without legal or regulatory requirements, consider business requirements for retaining records • Consolidate record series related to same/similar business process & supported by same/similar requirements into bigger buckets • Consider record volumes, especially with physical records • Involve user community

14. What is a Reasonable Amount of Buckets? • In Don Skupsky’s book Records Retention Procedures, a functional retention schedule for even a large organization will contain less than 100 record series • Cargill, Inc. with 150,000 employees in 60+ countries – reduced retention schedule to 120 record series • Large international technology company with 172,000 employees in more than 60 countries – reduced from 427 to 125 record series

15. Benefits of Big Buckets • Easier to train users on how to apply retention • Easier for users to apply retention accurately and consistently • Easier to maintain retention schedule • Mitigates risk from retaining records too long • Confident users are more likely to classify records accurately and consistently; therefore, approvers are more likely to approve records for destruction • Easier to apply in MOSS repositories • Easier to apply retention in ERP systems such as SAP • Makes auto-categorization more accurate

16. Reservations About Big Buckets • Risks of extending retention periods include leaving more records available for eDiscovery and potentially increased storage costs • What if legal requirements change? • Need to weigh odds of end users properly classifying records against risks of potentially retaining records longer than necessary

17. How to Apply Big Bucket Theory • When streamlining an existing retention schedule • Update legal & business requirements every 18-24 months • Consolidate record series related to same/similar business process & supported by same/similar requirements into bigger buckets • Consider record volumes, especially with physical records • Provide crosswalks to legacy records classified to the old schedule • Remember that destruction should proceed under the schedule and laws existing at the time records are destroyed.

18. Example Using Big Bucket Theory • Old Schedule (6 record series/buckets) • Cost Accounting AC10* 6 years • General Accounting AC10 6 years • Intercompany Accounting AC10 6 years • Production Accounting AC10 6 years • Retail Accounting AC10 6 years • Revenue Accounting AC10 6 years • New Schedule (1 record series/bucket) • General Accounting AC10* 6 years Includes cost, intercompany, production, retail, and revenue accounting * AC10 is a legal group containing laws & regulations related to the same or similar business process to which the longest retention period is assigned (“Skupsky approach”)

19. Mapping Retention to Physical Records • Often not mapped until end of information lifecycle when records are sent to inactive storage • RM policy mandates that drafts, prior versions, etc. be retained no longer than the “official” controlled record • Systematic controls are applied to track status of and execute disposition • Retention schedule is suspended when Hold Order is applied

20. Information Lifecycle - Physical Records

21. Mapping Retention to eRecords • To control all types, versions, and formats, retention must be mapped throughout entire information lifecycle, including immediately upon creation • Triggering events for changes of lifecycle state can be automated • Systematic controls applied to track status of and execute disposition • Retention schedule suspended when Hold Order is applied

22. Information Lifecycle - eRecords

23. ECM Usage Model Search / Navigation / Taxonomy Basic Classification AdvancedContent Services Basic Content Services Retention Enterprise Taxonomy Enterprise Taxonomy Default Classification Default Classification Retention Management Retention Management Default Retention Extended Classification Extended Classification Default Classification Default Classification Records Management Records Management Paper Storage Explorer SharePoint 2007 Outlook 2007 Office 2007 User Manual & Semi-Auto Rules & Policies MSG Specific Classification Default Classification Default Retention Records Management Default Classification Extended Classification Retention Management Enterprise Taxonomy Data (Fully Automated Rules) Exchange 2007 Legacy Apps Removable Media File Systems SharePoint 2007 ECM Legacy EDM Retention Management MSG Specific Classification Default Classification Default Classification Default Retention Default Retention Calculated Classification Calculated Classification

24. Information Lifecycle (ILC) • All Information Is Managed • Classification (Indexing) Important Step To Compliance • Retention For All Information In Every State Of ILC • Known Information Transitions & Processes • Result: Governance & Standards

25. ILC & Information Management • MOSS Site Information Driven Configuration • List, Library And Content Type Synchronization • Fall-back Rules • Windows Workflow Automation • Transfer To MOSS • Metadata/Property Form Unity • Lookup Synchronization • Collaboration Object Storage/Archive • Web Content Processing

26. MOSS Capabilities Records Mgmt • Workflow capabilities • Document types and metadata • Search capabilities • Declaration of records and other records management functionality

27. MOSS Considerations Records Mgmt • Physical records management • Linking of draft versions to formal/official records • Distribution of a SharePoint system • Separate SharePoint repositories for different functional areas, divisions, or locations

28. Additional Resources • Microsoft Office SharePoint Server 2007 with Records Center Add-On Pack is compliant with Chapter 2, Mandatory Requirements, of Department of Defense 5015.2 Standard, http://jitc.fhu.disa.mil/recmgt/mcmosps/index.html • Microsoft TechNet, Develop the File Plan (Office SharePoint Server), http://technet2.microsoft.com/Office/f/?en-us/library/037fb582-6448-4baf-85d4-6e6221f216551033.mspx • Microsoft TechNet, Plan Physical Records Retention, http://technet2.microsoft.com/Office/f?en-us/library/eb612d78-8f84-4600-8cc8-b8826201e6311033.mspx • Tina Torres, CRM, PMP. Creating a Process-Focused Retention Schedule. The Information Management Journal, Vol. 40, No. 5, September/October 2006, http://www.arma.org/bookstore/productdetail.cfm?ProductID=1985

29. Q&A

30. Susan Cisco Susan.cisco@gimmal.com 512-565-7021 THANK YOU! Jonathan Brandenberg jonathan.brandenburg@gimmal.com 214-213-1066