“Achieving Information Governance in the Cloud"”

Mike Alsup Founder, Gimmal April 24, 2018

2016 ARMA Houston Spring Conference Agenda

Summary • Developments in 2018  impact on ECM markets • Developments in SharePoint, Office 365, and ECM ecosystems Trying to provide context for ECM and Records professionals • How to think about ECM and RM and Governance holistically • Not a deep dive into technology What do you need to Believe to Achieve Information Governance? • Microsoft • ECM Vendors • Cloud Vendors • Your Organization Scope – ECM Processes & Repositories

SharePoint, Office 365 File Shares

Traditional Email RM

ERP, LOB Traditional ECM Cloud Cloud File ECM Sync & Share © 7Statoil July 2016ASA4 User View of Content

Internet SharePoint Legacy App Office SAPGUI Outlook Documentum User Browser 2010 Interfaces

Data Data Repositories Documentum Legacy File Shares SharePoint SharePoint OneDrive Exchange SAP Apps 2010 Online Online MULTIPLE CLIENTS AND MULTIPLE REPOSITORIES 7 July 20165 User Challenges

• Content is difficult to accurately classify • Content is organized by departments • Content is hard to find • Users are comfortable with their desktop tools • Content is difficult to manage through its lifecycle • Most organizations are at risk How to Apply Policy to Legacy SharePoint Sites?

Top Site Portal

Information Management for Everyone Enterprise Approach Summary: SharePoint On-Premise SharePoint OOTB Effort/Time Add-In Software Office 365? Best SP Framework Hybrid? Practices

Team Sites & Governance Usability and Consistency

Content Types & Metadata

Libraries, Lists and Views

File Templates

Content Lifecycle

Search

Site Settings & Admin

IM Policy Alignment

Security Which ECM Solutions are Moving to the Cloud in 2018?

• Collaboration • Portals All ECM Solutions  Cloud • Intranets • Websites All ECM Solutions need • Social Governance: • Document Control • Consistent across repositories • Consistent across devices • Business Process Management • Transparent to the user • Knowledge Management • Sustainable for the long term • Records Management • Defensible when necessary • Custom Applications Information Governance Requirements

Transparent  End reliance on users choosing to follow policy & rules All content in all repositories managed from an information lifecycle perspective IT, Records, Legal & Business collaborate based on Content Types and Process Rules 5 Key Information Governance Requirements: • Information Management Policies (Tags) • Information Lifecycle • Metadata Inheritance • Document Types (& Containers) • Consistency and Simplicity in User Experience Information Lifecycle Model

------Transitory Records ------Business Records

• All unstructured information is managed from creation to disposition • Retention for all information in every state of the ILM • Information Lifecycle Model is system agnostic • Classification (categorization) is an important step to compliance

• Result: Predictability, Relevance, Accuracy, Confidence and Trust Records Retention Schedule (RRS) Structure

Business Record Series / Record Functions Buckets Types (18) (118) (tbd) Pleading LEG020: Final Resolution Legal Dispute +10 years Resolution & Litigation Litigation File Final Resolution +10 years Final Resolution +10 years

Copyright LEG030: Registration Intellectual Life of Company Property (IP) Life of Company Trademark Registration Life of Company Content Type Hierarchy

Microsoft Enterprise Office 365 or Document Extends Organizations Content Types and Inherits Inherit Properties Extend and Inherit SharePoint Properties of Base of Document from Info Category Base Document Document

Engineering Project Execution Documents

Generic Statoil HR Process Technology Document “Document” Design Methods and Company-wide Properties Data

Finance Operating Manuals

Properties: Properties: Properties: Properties: • Name + Owning Organization + Office of Record + Info Code • Title + Lifecycle State + Category-specific + Info Code-specific • Modified + Security Classification attributes (see attributes Date examples that follow) Type Content Local Type Content Local Type Content Organizational Type Content Enterprise Note: Metadataautobeelements will

Content Type Level Taxonomy Master Model Engineering Statoil (generic) Manuals Manuals Plant (PDMs)Methods DesignProcess Operating Operating Content Type Name - generated wherever possible to amountwhereverpossibleof minimizebyinformationgenerated entered users

X Owning Organization

X Info Lifecycle State

X Info Lifecycle Date

X Create Date

X Last Modified Date (system generated)

X Information Classification (internal use only, confidential, etc)

X Office of Record

X Originating Cost Center

X Project or Product Name

X Project or Product Manager APEXID CIA CIA - - 011 009 . Retention Category

X X Event Trigger Date Alternative Information Governance Methods

Repository-based Governance (Includes Containers) • Access Controls • Update Controls • Disposition Controls (Deletion, Archiving, Offline Access) • Retention vs. Records Management Content (or Document) Type-based Governance • High Level Content Type Model • Differences between Repositories • Functional Content Type Model • Different for in Repository vs. Federated Lifecycle Governance • Many Repositories don’t Federate  O365 • Multi-Repository Governance • Best Practice is not 100% governance • In Place Governance Search & Classify-based Discovery • In Place Governance • Process Launched: Content Copied or Moved What is Gartner’s View of Microsoft’s Relationship to ECM?

SharePoint/O365 Consolidating ECM &

SharePoint RM? Online/ O365 • 300MM SharePoint Licensed Users* • 85,000 Companies* • 100% year over year growth in usage* • 300% year over year content growth* • 1,000,000 SharePoint Developers* • Remarkable Enterprise ECM Commitments: • 85% of Fortune 500 SharePoint Online / O365 is Energizing ECM • Microsoft owns productivity market • ECM and RM are seen as a natural extension • Portals, Sites, Files, Identity Mgmt., Content Governance • Many Best of Breed apps & extensions SharePoint/O365/Azure is a compelling platform for information governance Microsoft’s View of ECM… Gimmal ECM Market Assumptions

• Most Recent Gartner MQ understates SharePoint/Office 365 ECM dominance • Microsoft Message conflicts with Gartner’s paying ECM vendor base • Office 365 / SharePoint Online Platform has gaps in advanced compliance • Physical, Standards-based, and Hybrid governance require partner solutions • Over time, infrastructure gaps will be filled mainly by Microsoft, not partners • Business Solutions will drive Office 365 Governance adoption in the Enterprise • This has been the ECM market driver for 30 years • Partner Opportunity is Business Solutions that need a Governance foundation • Market consolidation has begun in administrative governance (users, topology) • Metalogix and AvePoint are leading the SharePoint market consolidation • Companies like IBM & Open Text are trying to get into this market • Market consolidation is also underway in content governance • SharePoint Online/Office 365 is “defacto” platform for content governance • OpenText is buying the non-Microsoft legacy ECM Governance vendors What is the White Space to be Filled?

• Business Case • Cost to build Office 365 solutions  stay with On-Prem solutions • Cost of E5 licenses  stay with other Office 365 CALs • Capture • Business Process Management • Case Management • Business Solutions • Vertical (e.g. Banking, Heath Care, Energy, Government, etc.) • Horizontal (Contracts, Accounts Payable, HR, etc. • Hybrid Content Management • On-Premises Microsoft • Non-Microsoft Repositories • Migration to Office 365 • Huge Services Opportunity Is this what ECM users want?

• “How can we build robust O365/SharePoint ECM solutions?” • Microsoft answer  emphasize value within Office 365: oPortals for navigation and consistency oAdd-Ins to accelerate productive applications oFull and transparent in place content governance oSharePoint Framework for cloud scalability (=Salesforce) oInformation Mgmt. (versioning, retention, availability, security) = Governance oBusiness intelligence integrated to Office and ERP tools oArchiving support oMassive scalability  Why manage content outside of this stack? •Outside Office 365/Azure  Two ECM repositories with separate: o Authentication / Identity / Security / Search / Data Center / Bandwidth issues o Synchronization of content  where to search  More complexity, especially as sites evolve Security & Compliance Center © 7Statoil July 2016ASA21 Microsoft’s O365 Data Governance Framework

IMPORT GOVERN MONITOR

Classification, Retention, Dashboard, Audit, Policy & Import Archival & Insights & Supervision & Sensitive Disposition Reporting Defensibility Types

• Intelligent • Manual and • System • Monitoring, • Data import of on- auto- enforced reports and investigations premises classification lifecycle, intelligent , forensics, Microsoft and of content to disposition trend automated 3rd party apply right workflows identification audit alerts data governance and and and policies defensible suggestions notifications deletion process Microsoft Vision

Reviewers/Approvers

Recategorize/Re-Label Approve Disposition

Information Workers Manual Declared Records Auto or Manually Declared Disposition Review Categorize/Label Non-custodial, Definitive Assets Automated | Manual Retain In-Place Create Non-Records Automatic Dispose New | Upload | Import Non-custodial (we space) Disposition Certificate of Destruction Retain Collaborate Central Repository Co-authoring | Versioning Non-Records Infinite Custodial (me space) Retention

Records Manager IT Administrator

Compliance Officer ADG Momentum and Feedback

Feedback

• Demo requests

• Top Features - Universal policy, Supervision, Manual Disposal, Manual Tagging and KQL query

• Support calls (new vs legacy)

• Feature requests Key Roadmap

IMPORT GOVERN MONITOR

• Smart Import • Retention for • Records Manager Dashboard • Import with scale • Retention Schedule Automation • Supervision Enhancements • Labels support with PowerShell • GDPR Dashboard • ML Private Preview • Event-based Retention APIs • Access Governance Preview • Autoclassification of emails for Sensitive Types and KQL query • Manual Disposition Review for emails • Record Declarations • MIP • Long term retention support © 7Statoil July 2016ASA25 Office 365 Data Governance Current Capabilities

Import Automatic classification rd Classify data based on automatic analysis (age, user, type, sensitive data Drive Shipping, Network Upload and 3 Party Data Ingestion (Facebook, and user provided fingerprints) Twitter, Bloomberg) through partners to provide cross platform compliance and governance Sensitive Data Over 80 sensitive built in content types supported such as credit cards, 1 Retention policies national identification numbers, passport numbers, etc. Queries Unified Retention and Disposition Policy for workloads in Office 365 Specific words or phrases with the ability to refine your query by using search operators such as AND, OR, NOT, etc. 2 Records management End user classification in Outlook, SharePoint, OneDrive and Groups. Find Data Quickly Supervision SEC 17A-4 compliant Capture employee communications for examination by internal or external SEC 17A-4 whitepaper covering SharePoint, OneDrive, Groups, Skype, reviewers Preservation Lock, immutability, Supervision Intelligent policies Security and Compliance Center Office 365 experience to bring together all compliance and security Records management experiences Disposition review, event triggered retention, reporting and permissions Take action

**Advanced Data Governance and EDiscovery features fully available in E5 Compliance Suite CAL O365 ADG and eDiscovery Features

E5/ Advanced E5/ Advanced Data Governance E3 E-discovery E3 Compliance Compliance Retention/Deletion policies   In-Place Preservation  

Labels   Case Management   Search   DLP   Export   Encryption   RMS Decryption  

Auto-Classification  Native Export  

Intelligent Ingestion  Advanced Processing  Email Threading  Supervisory Review  Near Duplicate Identification  Activity alerts  Themes 

Predictive Coding 

Processed Export with Load File 

Office 365 compliance, data lifecycle

Ingestion of Data Outside Office 365 In-Place Data Creation, Retention & Archiving In-Place eDiscovery Export

Auditing User View of Content – Microsoft Vision

Internet Office SharePoint Apps Outlook SAPGUI

User Browser

Search / Navigation / Taxonomy

Default Advanced Message Specific Categorization Default Content Categorization *** Categorization Services *** Default Auto Auto Rules Policies & Categorization - Default Categorization Retention Default Services Retention Default Retention Labels Retention Labels Labels (when Services

available) Manual Manual Semi &

Office 365

File Shares OneDrive SharePoint Exchange SAP

Online Online Data Data Repositories Office 365 / Azure Retention Label Support / MIP What Would for SharePoint Online / Office 365 Governance Look Like?

• Physical & Electronic RM File Plan / • File Plan Retention Schedule • Retention Schedule • Information Policy (Information Policies, Labels) Term Store/ Office 365 Enforcement Content Hub • Content Types • Events & Event Instances Record • Reporting • Information Policy • Item Retention Rules Center Top Level Portal/ Intranet Home

Site Provisioning (Consistency - Initial)

• Site Templates• Views/Pages • Site Assets Office 365 Sites (Publishing, Collaboration & Team Sites & Subsites) • Lifecycle • Security • Apps • Taxonomy • Site Inventory

Governance Hub (Consistency - Operations)

OneDrive Sites (My Sites) • Governance • Site Decommissioning Configuration(s) • Document Templates • Lifecycle Rules (Consistency) • Metadata Rules • Add-In Management Information Lifecycle Information Lifecycle Governance In Office 365

Scan & Capture & Camera Recognition

Analyze, AI & ML Tag Upload Enrichment Outlook Smart Process App’s

Portal / Intranet / Taxonomy Portal SAP, Teams OneDrive Groups Expense Sales Purchasing Site Order Document Other LOB Smart Site Site Phone

EDI Finance, Accounts Legal Dept. Records Exchange Ediscovery Contracts Sites Site Online Legal Hold Site Payable Site Sites

File Shares Office 365 In-Place Content Governance Infrastructure

Office 365 Substrate (Tags & Labels) © 7Statoil July 2016ASA33 Business Case

• Just Do It • Finally Able to Govern Email, File Shares, SharePoint with Microsoft native tools • Incorporate Governance into IT Office 365 Rollout • Leverage the Microsoft Substrate for Labels and Tags • Retention & Records • DLP, Encryption, Geolocation, Identity, Etc. • Proofs of Concept demonstrate ADG and Lifecycle in Office 365 • Communications Plans and Awareness Training to ensure adoption The Future of ECM – a 2020 Vision

•The ECM Dial Tone • Unified Object Environment (Document, Voice Message, Email, Viewer, etc.) • Device Independence • Departments, Legal, Records and IT collaborate on Policy at Content / Tag Level • Governance Policy Automatically (& Transparently) Applied via Containers & Templates • Plan and Setup  then it just works •Archival & Governance Solutions will go way of Legacy ECM components: • Word Processors  Word • Microfilm  Storage • Optical Disk  Storage • Local Area Networks  Cable Plug or WiFi • Data Center  Cloud •People don’t care about Tech, they want Solutions that Work Transparently What do you need to Believe to Govern Content?

• Paper is still needed or it’s isn’t • Microsoft productivity tools are foundational or they aren’t • Cloud scale is required or it isn’t • Inside the Microsoft stack makes it easier to govern or it doesn’t • The Cloud is more secure or it isn’t • Hybrid SharePoint is a requirement or it isn’t • One source of information policy is required or it isn’t • All information needs to be governed or it doesn’t • In Place governance is needed or it isn’t  SharePoint and Office 365 will win the largest market share Microsoft’s View of ECM… Contact

Mike Alsup [email protected]

www.linkedin.com/company/gimmal www.facebook.com/Gimmal

@GimmalGroup www.google.com/+GimmalSolutions

www.gimmal.com

37 2016 ARMA Houston Spring Conference Thank You !

Information Management for Everyone