Private Equity Firm

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Improving Search and Solving Compliance Challenges with One Set of Technologies

The typical approach taken to records management continues to highlight that most companies do not accomplish records management successfully. With the growth of unstructured data and new requirements to track all formats of content, including social and even texting, and the need for proactive preparation for compliance mandates and litigation, organizations are often at a loss when records management policies or processes fail. In some instances, the results can be costly.”

Nicola Barnes
Customer Location:
United States
Financial Services

Using the SharePoint Records Center, dependence on the accuracy of end user tagging to identify and correctly assign metadata was causing noncompliance, and the organization was unable to enforce information governance processes successfully.


“It is simply not realistic to expect broad sets of employees to navigate extensive classification options while referring to a records schedule that may weigh in at more than 100 pages.” Forrester Research/ARMA International Survey

The accurate and automatic declaration of records, and routing to the SharePoint Records Center, removed the necessity for end users to apply metadata. Records that may have been overlooked were able to be identified and correctly processed. The result ensured compliance mandates were adhered to, and using automated workflow the organization was able to deploy information governance processes transparent to end users.


  • Automates document workflow for storage, preservation, access, and usage controls, providing end-to-end lifecycle management
  • Using multi-term semantic metadata, retrieval of records is greatly improved
  • The ability for business professionals to rapidly develop workflows ensures compliance with industry and government mandates to address regulatory changes
  • Maintains globally unique identifiers (GUIDs)

The company is a private equity firm specializing in leveraged buyouts and growth capital investments in the energy sector. It was founded in 1984 and is the oldest and largest private equity fund dedicated to investments in the energy sector.

The organization was experiencing a problem with end user tagging, resulting in the inaccurate processing of records. Noncompliance was becoming an issue and the long-term goal of information governance was being derailed by records that were never declared and records that were processed with erroneous information.

This organization had the following requirements, common to many companies

  • Eliminate errors in processing records, by removing end users from the process
  • Proactively address compliance mandates, through automated workflows
  • Achieve progress in information governance using workflows, resulting in the elimination of enforcement issues
  • Ability to address the full spectrum of content lifecycle management

Concept Searching was able to achieve the organization’s objectives through the deployment of the conceptClassifier platform, conceptClassifier for SharePoint, and the workflow product conceptTaxonomyWorkflow, all running natively in SharePoint and integrated with the SharePoint Records Center.

A taxonomy is created that mirrors the file plan. As content is uploaded, semantic metadata is generated. When there is a match with the taxonomy file plan, the semantic metadata and descriptors are added, and the content is auto-classified to the taxonomy. Using workflow capabilities, documents can be automatically moved to the SharePoint Records Center, or to any records management application. Alternatively, the workflow process can automatically notify a records manager that a record has been uploaded and processed.

In the SharePoint environment, online and on-premises, when a document is processed, the workflow process can change the content type and provide the list of metadata that was found within the document. During any of the processing steps, an authorized user can change the metadata or the classification. Workflow rules can be easily created in minutes by business professionals or by IT teams. Globally unique identifiers (GUIDs) are maintained, for synchronization with content inside the SharePoint Records Center library. Each document is automatically tagged with a retention code when it is uploaded. The synchronization of native GUIDs with other applications within the enterprise infrastructure provides additional value. An added benefit of this approach is it can also be used to identify data privacy or confidential exposures in real time.

A successful records management system must suit an organization’s workflow, by being easily adaptable by users and integrated into their daily activities. Ideally, this should be transparent, as most users will not remember, nor care, what constitutes a document of record or the correct tags to apply. From a management perspective, the system must enable an organization to achieve its records management goals, effectively integrating governance, risk, and compliance objectives.

  • Automates document workflow for storage, preservation, access, and usage controls, providing content lifecycle management
  • Assists in the management of content, by identifying undeclared records from the corpus of content, as well as content that should be archived or contains sensitive information, delivering additional value
  • Reduces the amount of irrelevant information during the search and retrieval process
  • Proactively addresses compliance with industry and government mandates, enabling rapid implementation to address regulatory changes
  • Removes the burden of tagging from end users, and removes the need for enforcement of information governance policies, through automation and workflows transparent to end users
  • Improves the quality of metadata, with the additional benefit of a significant improvement in information retrieval, as all content is tagged with semantic, multi-term metadata
  • Creates an enterprise metadata repository that provides a consistent standard to improve and enforce policies and processes
  • Maintains globally unique identifiers (GUIDs)

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