Managing Sensitive Records Using SharePoint Server

Transcription

1 Managing Sensitive Records Using SharePoint Server

2 Contents Executive Summary Current State Analysis Future State Analysis Business Case Adoption & Implementation Planning Next Steps 2

3 Executive Summary Client, a large software company, has recognized the need to better manage its legally sensitive corporate documents The firm experiences many challenges with its current document management process, including: Long records review cycle time, laborious manual review effort Large amounts of unmanaged data distributed across team sites No workflow to declare record as sensitive and sequester in record center The state of Client s current document management processes leads to: Increased labor costs for corporate legal team Document mismanagement Accidental destruction of important documents and potential spoliation of evidence Accidental dissemination of sensitive subject matter 3

4 Engagement Participants Participant Name Department Role (name) (department) (title) (name) (department) (title) (name) (department) (title) (name) (department) (title) (name) (department) (title) (name) (department) (title)

5 Executive Summary ThreeWill proposes expanding upon Client s current Microsoft Office SharePoint Server 2007 deployment to enable a comprehensive Sensitive Records Management System (SRMS) Implementing an SRMS Solution will allow Client to: Manage sensitive records from a single system built into MOSS Apply access rights and document policies at document creation through metadata tagging Implementing the proposed EPM Solution will provide Client with: Reduction in sensitive content review process by 5 days Reduction in legal expense by $ K per year Move sensitive records management beyond record center to all MOSS team sites Reduce opportunity costs from record mismanagement 5

6 Contents Executive Summary Current State Analysis Future State Analysis Business Case Adoption & Implementation Planning Next Steps 6

7 Current State Process Analysis Create Content Review and Classify Content Retrieve Content from Repository Place Content Under Legal Hold Retire Old Content Process Phase Description Employee generates potential sensitive content Employee is responsible for determining content type and routing procedure Legal team manually reviews selected content Legal team manually apply metadata Legal team sequesters records in record center Legal team receives request for record search Legal team queries record center, returns relevant records Legal team receives notice of legal hold Legal team queries record center, manually sequesters sensitive records Legal team manually removes old records after their expiration date Key Stakeholders Content Creators IT Department High-Level Problems Identified Archiving not included in current workflow Content creators unsure of content sensitivity Time consuming manual review process Inconsistently applied metadata and tagging standards Time consuming manual search process Impossible to search across organizational silos Search is limited to Records Center Time and labor intensive process Error prone process Significant record duplication/revisions File structure requires documents to be individually reviewed Impact Risk of accidental record destruction Increases volume of records for legal review Increased labor costs Prone to errors Risk of document mismanagement Increased labor costs Long record retrieval times Risk of accidental document destruction Potential risk of spoliation charges Increased labor costs Risk of accidental document destruction Lack of record purging process transparency 7

8 Current State Process

9 Current State Process

10 Current State Process

11 Pain Points for Current State Pain Point Description Impact Currently Only Manages Record Center Records Risk of Spoliation Laborious Legal Review Process Laborious Record Retirement Process Lack of Common Metadata and Tagging Standards Records are created across the firm that could fall under regulatory or legal discovery rules, but only those records in the RC are actively managed Destruction of records that are currently relevant in litigation or regulatory discovery is a criminal act The current process errs on the side of safety, but increases content volume that must be manually reviewed and tagged by the legal department Records must be manually queried to find expired records, content creators are manually notified of impending destruction, records are manually deleted Lack of metadata and tagging standards yields longer record search times and lowers confidence in search results 11

12 Contents Executive Summary Current State Analysis Future State Analysis Business Case Adoption & Implementation Planning Next Steps 12

13 Future State Process Analysis Create Content Review and Classify Content Retrieve Content from Repository Place Content Under Legal Hold Retire Old Content New Process Phase Description Content is created and saved to SharePoint SharePoint routes content to the appropriate stakeholder on the legal team based on content type and subject matter Appropriate legal team staff review sensitive records Metadata is applied automatically during content review Corporate wide records are easily and accurately searched based on metadata within SharePoint Legal team searches records based on search criteria Legal team instantly places hold on returned records with a single click SRMS notifies legal team & content creators when record has expired Stakeholders approve retirement Record is purged after approval process Key Stakeholders Content Creator Third Party Requestor Third Party Requestor All High- Level Improvement Automated routing of content to appropriate stakeholder Automated highlighting of potentially sensitive subject matter Automated metadata application Simplified tagging process Common repository for corporate-wide data Single search interface Automated legal hold process programmed into to SharePoint interface Automated notification and approval process to all affected stakeholders Streamlined retirement process Impact / Benefit Automatic record storage and notification Increased compliance with federal regulations Labor efficiency gains Reduced labor costs Reduced error in record classification, archiving and retrieval Reduced search cycle time Greater confidence in search results Reduced hold cycle time Reduced risk of spoliation Reduced risk of document mismanagement Reduced labor costs 13

14 Prioritized Process Solutions Low 3 Build SRMS Capability for MOSS Deployment (MS Office SharePoint Server 2007) Level of Complexity 2 Create Legal Hold Macro (MS Office SharePoint Server 2007) Create MOSS Workflow for Content Review and Classification (MS Office SharePoint Server 2007) Create Workflow for Content Creation and Routing to Legal Department (MS Office SharePoint Server 2007) High 1 1 Low 2 3 Value to Business High 14

15 Future State Process Analysis

16 Contents Executive Summary Current State Analysis Future State Analysis Business Case Adoption & Implementation Planning Next Steps 16

17 Anticipated Benefits - Process Process Phase Improvement Description Benefits Technology Leveraged KPI Impact(s) Affected Stakeholders Content is created and saved to team site Create Content Team site workflow prompts for tagging - author, subject, document type, etc. All content is indexed my SRMS Automated routing to legal team SMEs MS Office SharePoint Server 2007 Reduced phase cycle time Content Creator SRMS indexes all team site content Review and Classify Content Metadata is applied during content review Reduction in process duration Reduction in labor costs MS Office SharePoint Server 2007 Reduced phase cycle time Reduced labor cost Retrieve Content from Repository Legal team searches records in Records Center and across firm team sites Returns relevant records to requester Reduced cycle time Reduced labor costs Increased search relevance MS Office SharePoint Server 2007 Reduced phase cycle time Reduced labor cost Place Content Under Legal Hold Legal team searches records in Records Center and across firm team sites Legal places hold on relevant records from SharePoint Reduction in process duration Reduction in labor costs Increased hold relevance MS Office SharePoint Server 2007 Reduced phase cycle time Reduced labor cost Retire Old Content SMRS notifies content creator when record expires Record is automatically purged after approval Reduced cycle time Reduced labor cost Reduced risk of record destruction MS Office SharePoint Server 2007 Reduced phase cycle time Reduced labor cost Content Creators 17

18 Anticipated Benefits - Financial Process Phase Improvement Description Estimated Annual Revenue Increase Estimated Annual Cost Decrease Total Annual Benefit Create Content Review and Classify Content Retrieve Content from Repository Place Content Under Legal Hold Retire Old Content Content is created, saved, and tagged with metadata SMRS indexes all firm team sites Metadata is applied automatically during content review Legal team searches records from SharePoint Legal team searches records from SRMS built into MOSS Legal places hold on relevant records with single click SMRS notifies content creator when record expires Destruction approval workflow Record is automatically purged at completion of workflow - $25,000 $25,000 - $50,000 $50,000 - $75,000 $75,000 - $50,000 $50,000 - $50,000 $50,000 Total Estimated Benefits $250,000 18

19 Anticipated Costs Cost Area Software Hardwar e Training Deploym ent Component 50 Additional MS SharePoint 2007 CALs One-Time Costs Recurring Annual Costs $16,500-5 Additional Servers $30,000 - Revised process training; training materials for MS Project and Project Server 2007 functionality Solution roll-out and implementation $70,000 $20,000 $70,000 - Other N/A - - Total $186,500 $20,000 19

20 Contents Executive Summary Current State Analysis Future State Analysis Business Case Adoption & Implementation Planning Next Steps 20

21 Adoption & Implementation Planning Summary Phase ID Improvement Description Resources Required Implementation Owner Additional Stakeholders Notes 1 Build Sensitive Records Management System within Current MOSS Deployment IT Staff IT Manager Legal Director 2 Create workflow for Content Creation and Routing to Legal Department IT Staff Content Creators IT Manager Legal Director 3 Create Workflow for Content Review and Classification IT Staff IT Manager Legal Director 4 Create Macro for Legal Hold IT Staff IT Manager Legal Director 5 Train Affected Stakeholders to Use New System Content Creators IT Staff Legal Staff HR Staff HR Manager IT Manager 21

22 Project Plan 22

23 Potential Adoption Roadblocks Stakeholder Group Content Creators Legal Team IT Department Executive Management Anticipated Resistance to Change Reluctance to adopt additional steps during content creation Perception that new eforms provide more management oversight Reluctance to give up manual, paper based review methods Entrenched stakeholders suspicious of software based review methods Reluctance to change current IT infrastructure to incorporate SharePoint Suspicion of software based legal review methods Degree to which Resistance will Limit Initiative Success Mid High Low Low

24 Adoption Roadblock Mitigation Actions by Stakeholder Adoption Category Content Creators Legal Team IT Department Executive Management Awareness Awareness generating communications via , newsletters, manager meetings, etc., targeted to stakeholder group and concerns Awareness generating communications via , newsletters, manager meetings, etc., targeted to stakeholder group and concerns Awareness generating communications via , newsletters, manager meetings, etc., targeted to stakeholder group and concerns Awareness generating communications via , newsletters, etc., targeted to stakeholder group and concerns Value Demonstration Emphasize process and productivity improvements to Division specifically and company as a whole; including estimated financial impact. Emphasize value to company as well as importance of pilottesting; provide case studies and whitepapers related to virtual training to demonstrate how other companies have successfully implemented solution Demonstrate both improvement in productivity through quick hits and quick wins; also show overall process improvements and estimated financial impact for company. Provide useful tactical training to support roll-out. Demonstrate both improvement in productivity through quick hits and quick wins; also show overall process improvements and estimated financial impact for company. Provide useful tactical training to support roll-out. Integration & Alignment Ensure proposed solutions/ initiatives are aligned with both with business and IT strategy and direction Ensure proposed solutions/ initiatives are aligned with both with business and IT strategy and direction Ensure proposed solutions/ initiatives are aligned with both with business and IT strategy and direction Ensure proposed solutions/ initiatives are aligned with both with business and IT strategy and direction

25 Contents Executive Summary Current State Analysis Future State Analysis Business Case Adoption & Implementation Planning Next Steps 25

26 Next Steps Review presentation and proposal with decision maker and stakeholders for approval Execute work order for project Schedule kick off meeting for week of and weekly status meetings Propose schedule: A) Deadlines for initial milestones, or B) Date to finalize initial milestones 26