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10 Things You'll Need to Succeed with Information Governance and SharePoint
- 1. 10 Things You’ll Need to Succeed with Information Governance and SharePoint Chris Caplinger | RecordLion
- 2. Chris Caplinger | President RecordLion President SharePoint Experience – 12 years Co Author – SharePoint Server 2010 Enterprise Content Management Previous CTO & Co-Founder of KnowledgeLake Twitter: @chrislcap
- 3. Who does RecordLion Serve? Records Managers who need to follow a formal declaration and disposition process IG professionals who need one set of policies to apply enterprise wide Organizations in need of better records management than SharePoint offers out of the box IT departments with too much unorganized and unstructured data on their network file shares
- 4. Information Governance Maturity Model • Sets standard of conduct and how to judge your organizations IG maturity • Independent of Laws and Regulations • Based on ARMA Generally Accepted Record Keeping Principles • http://www.arma.org/docs/bookstore/theprinciplesmaturitymodel.pdf
- 5. The Principles • Senior Executive oversightAccountability • Documented program and available to everyoneTransparency •Reasonable assurance that data is authentic and reliableIntegrity •Records protected according to sensitivity and privacyProtection •Comply with laws, regulations and organization policiesCompliance •Timely and efficient retrievalAvailability •Keep records according to legal, regulatory, fiscal, operational and historical requirementsRetention •Dispose of data that has expired according to retentionDisposition
- 6. 10ThingsYou’ll Need… to apply the model in SharePoint
- 7. #1 - Access Control Protection Integrity Compliance Web Application • Scope for AnonymousAccess Site Collection • Highest Permission Level SharePoint / SharePoint Online • Each can have separate administrator • Give users broad level access at this level Site • By default sites take on site collection permissions • Beware of letting site owners control permissions • Micro management leads to data breaches Library / List • By default libraries take on site permissions Item • 5,000 limit default and recommended by Microsoft • 50,000 maximum per list (hard limit) • Performance implications as you go past the 5K recommendation Meta Data • Using Meta Data to control security requires customizations • Securing Meta Data columns also requires customizations Roadmap
- 8. #2 - Taxonomy Plan Protection Availability Too many SharePoint Implementations fail due to poor or no taxonomy! • In short, a systematic way to organize content What is aTaxonomy? • Site Collections • Sites • Libraries • Folders • ContentTypes • Terms (Managed Meta Data) SharePoint taxonomy entities
- 9. Taxonomy Types Location Based • Sites/Libraries/Folders • Folders can drive Meta Data • Simplifies Security • Users Browse for Items • Discourages Search Content Type Based • Put Content Anywhere • Encourages Search • Complicates Security • Complicates Admin • Beware of ContentType Creep ContentType + Meta Data Based • Put Content Anywhere • Terms =Types of Information • Encourages Search • Simplifies Taxonomy Creation Consider New ContentTypes for: Search/Meta Data/Retention/Workflow DON’T Create just because of document types
- 10. Taxonomy Examples Meta Data/Term Store
- 11. What is a Retention Schedule (or File Plan)? A set of instructions allocated to a class or file to determine the length of time for which its records should be retained by the organization for business purposes Transparency Retention #3 – File Plan / Retention Schedule Compliance Disposition Consider • Legal help for Development and Compliance
- 12. Retention Schedules in SharePoint The above term is misleading • CreateContentType PolicyTemplates • Retention Stages • AdvancedAuditing (Edit/CheckOut/Check In/Move/Copy/Delete/Restore) • Create Lifecycles on Library/Folder • Retention Stages Only Alternatives • No Event Based Retention (without custom code) • No Case Files • Bloated taxonomy What are the issues with the SharePoint way?
- 13. Retention Schedule in RecordLion
- 14. #4 - Content Onboarding / Meta Data Governance 3 Options 1. Upload & Edit (out of the box) 2. Office Backstage / Document Panel 3. RecordLion Integrity Availability Retention It’s easy to upload content into SharePoint, but tagging with the right Meta Data is the difficult part
- 15. Content Onboarding – Upload & Edit • Stay checked out if required columns • Edit Properties for Meta Data Drag and Drop (Browser) • Edit form allows entering Meta Data Upload to Library • No way to add Meta Data OneDrive for Business/SharePoint Sync
- 16. Content Onboarding – Microsoft Office Apps Document Panel Backstage
- 17. Content Onboarding with RecordLion Meta Data Governance • Database Lookups • Cascading Lookups • AdvancedValidations • Server Side Processing
- 18. Classification in SharePoint Location Based: Sites/Libraries/Folders ContentTypes Managed Meta Data #5 - Classification Integrity Availability Retention Without classification, content in SharePoint is too dependent on relevancy searches Challenge: Getting users to put things in the right place
- 19. #5 - Classification Integrity Availability Retention • Search is too dependent on relevancy and not refiners • Retention rules can’t be applied Without Classification • Use Managed Meta Data (NOT SUPPORTED BY SP LIFECYCLES) SharePoint • Allows freedom in taxonomy development • Use any SharePoint elements RecordLion
- 21. How does RecordLion do this? 1) Move Records to SharePoint Best to store similar records in the same location if possible 2) Apply Uniform Policies in Exchange Big Buckets (Mailboxes/Folders) http://blog.recordlion.com/email-retention-exchange-sharepoint-online/ #6 - Email Management Integrity Availability Retention
- 22. RecordLion Email Add-In Outlook forWindows, for Mac and OWA
- 23. #7 - Unstructured Content Search Availability Transparency• Office 365 (On Premise 2016) • SharePoint/OneDrive/Exchange • Advanced Customizations • Web Parts / DisplayTemplates • SharePoint Customizations and Configuration
- 24. Lifetime cost of a managed data - $17,000/TB Legal professional (eDiscovery) review - $18,750/GB Can you really afford not to dispose of information? #8 - Disposition Protection Disposition The action taken when a record reaches the end of its retention period
- 25. Information Value Declines Over Time Business Need Regulator Need (TAX) No Need Information Value Office Documents Product Research Sales/Customer HR Financials Messaging/Social IT Cost Risk Risk-to- Value Gap Cost-to- Value Gap
- 26. Disposition and SharePoint Move to Recycle Bin Not Recommended for Official Records Permanently Delete Delete and skip recycle bin Transfer to Another Location Good if deleting in another stage Start aWorkflow Could build custom approval processes Possible DispositionActions Disposition Issues Forensic Destruction Consider RBS Solution Disposition RequiresApproval Consider RecordLion No Proof Consider RecordLion
- 27. Disposition and RecordLion Dispose and Delete Delete from SharePoint, skip recycle bin Dispose and Recycle Delete from SharePoint, use recycle bin Dispose andTransfer Delete from SharePoint, move data external Permanent Lock and keep in current location DispositionActions • Approval process using Inbox • Audit Entry is added during destruction • Content is deleted • Content is moved to another location (ifTransfer option is used) • Most audit entries are destroyed, destruction records is left behind Defensible Disposition
- 28. #9 - Audit, Reporting, and BI Accountability Transparency Integrity Compliance An Information Governance implementation is only as good as what you can prove in court and in the board room • You're keeping information according to policies • You're destroying expired information • Users are only seeing what they should • That information is authentic and reliable • Policies are up to date and published Most important reports show:
- 29. SharePoint Reporting • You will need a way to format and present SharePoint reports are just Excel Files • Must be turned on • Beware of performance implications • ItemView/Modify/Delete • Structure Modifications ContentActivity Reports • Policy Modifications • Expiration and Disposition Information Management Policy Reports • Auditing Settings • Security Settings Security and Site Settings Reports
- 31. #10 - Legal Holds and eDiscovery Retention Disposition ComplianceIt’s not a matter of if you have to produce information, it’s a matter of when… be prepared • Know where your information is • Create a File Plan • Disposing of ROT data • Destroy data that is has no value • Copying and/or Locking records when expecting litigation • User eDiscovery Center, RecordLion or both How to prepare:
- 33. RecordLion Legal Holds Rules capture current and future items Manually add content to Legal Case
- 35. 10 Things You’ll Need to Succeed with Information Governance and SharePoint 1) Access Control 2)Taxonomy Plan 3) Retention Schedule 4) Content Onboarding / Meta Data Governance 5) Classification 6) Email Management 7) Unstructured Content Search 8) Disposition 9) Audit, Reporting, and BI 10) Legal Holds and eDiscovery
- 36. Q & A www.recordlion.com Chris Caplinger | President chris@recordlion.com @chrislcap
- 37. TOTAL SOLUTIONS • SharePoint Consulting and Development Organization Since 2000 • Design • Development • Administration • Management Consulting • Solution Provider • Based in Metro Detroit, MI • International Reach • Clients • Range from international government agencies to major universities and Fortune 100 organizations
- 38. TOTAL SOLUTIONS Services Content Management Customer Enterprise Applications Reporting & Dashboard Governance & Security Frameworks Custom Branding Portals & Collaboration Business Process Management System Migration & Integration Total Solutions is a SharePoint Solution provider, committed to delivering our customers’ time-critical information whenever they want it, wherever they want it, in whatever format they want it….and protecting it!
- 39. CONTACT INFORMATION Gary VanBuhler VP of Business Development Total Solutions gvanbuhler@totalsol.com 888.682.5765 x8703 www.totalsol.com
Editor's Notes
- While the value of information declines over time, the cost to manage it remains basically constant, so there is a widening gap as costs exceed value over time. Also, e-discovery risk increases as information ages and context is lost, so there is an even larger gap as value declines and risk increases. Equally important, if business people are drowning in their own data, they have a very difficult time actually getting value from information older than six months to a year!
- Founded in 1996 Total Solutions is a full service SharePoint Practice A full blend of technical staff including: SharePoint Capable Business Analysts and Solution Architects Full SharePoint “911” first and second level administration support SharePoint development skills including C#, .NET experienced staff Our roots are in the “document” business, not the “website” business. Full comprehension of document related “issues” Hands on experience processing and classifying documents Total Solutions advantage comes from its core business identity as an Application Development company, not a Website Development company. We cut our teeth on difficult SharePoint application development projects first and mastered SharePoint administration second. As such, we don’t shy away from leveraging SharePoint to address complex business problems and maintain a focus on preparing your SharePoint environment for the system implementation you want tomorrow – not just the GUI you want today.
- Founded in 1996 Total Solutions is a full service SharePoint Practice A full blend of technical staff including: SharePoint Capable Business Analysts and Solution Architects Full SharePoint “911” first and second level administration support SharePoint development skills including C#, .NET experienced staff Our roots are in the “document” business, not the “website” business. Full comprehension of document related “issues” Hands on experience processing and classifying documents Total Solutions advantage comes from its core business identity as an Application Development company, not a Website Development company. We cut our teeth on difficult SharePoint application development projects first and mastered SharePoint administration second. As such, we don’t shy away from leveraging SharePoint to address complex business problems and maintain a focus on preparing your SharePoint environment for the system implementation you want tomorrow – not just the GUI you want today.