Introduction to Records Management and Compliance in Office 365
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This session is an introductory session geared towards IT Pro's and Business Users who are interested in how Office 365 can facilitate their Records Management and Security Compliance needs. Microsoft Office 365 has been built from the ground up with concepts of security and data usage compliance in order to meet your organization's legal, regulatory, and technical requirements. Setting up policies and enabling services to meet your Records Management needs throughout the various capabilities of Office 365 (SharePoint Online, Exchange Online, etc...) will be covered in this session.
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Introduction to Records Management and Compliance in Office 365
- 2. Speaker Bio twitter: @nkhamis blog: Rez’s SharePoint Blog Spot - http://www.khamis.net
- 3. So what’s this session about anyways?
- 4. First Off…. Understanding a Record
- 7. Non-Compliance and Non-Governance leads to…
- 8. Myths about Records Management + SharePoint / Office 365
- 9. Microsoft’s Strategy for Records Management
- 10. The disturbing trend….. On WHEN RM systems are created Litigation, Audit or Mandate Hire Records & Compliance Managers File Plan/Retention Schedule Go do it SharePoint Admins!
- 11. File Plan & Retention Schedule Record Code Record Type Responsible Department Event Retention Period Official Version FIN01 Accounts Payable May contain: Employee Expense Reports Invoices Purchase Orders Receipts Requisitions Vendor and Supplier Invoices Vendor Setup Vouchers for Payments FINANCE AND ACCOUNTING Declared Date + 3 (Delete Versions) Declared Date + 5 (Delete Permanently)
- 13. Evolution of RM in SharePoint Online - SharePoint 2007….
- 14. SharePoint 2010 Introduced…. http://www.khamis.net/Blog/Post/233/Records-Management- features-in-SharePoint-2010--Part-1---Introduction CORE RECORDS MANAGEMENT FEATURES ALSO IN OFFICE 365
- 15. New in SharePoint 2010…. And still in Office 365
- 16. In Place Records versus Records Centers source: http://technet.microsoft.com/en-us/library/ee424394.aspx Records Center In Place Organizing Records Automatically routes to site or library via new content organizer Loosely and flexibly organized Securing Records Full control on who can view, edit & delete Permissions can’t change but can restrict editing and deleting Locating Records All in one location Spread across your farm Versioning Records Each version must be explicitly sent Automatically assumes all versions Finding Records without leaving your collaboration site Not automatic, as requires a query but there is the new option of leaving a short-cut to the record Automatic Untidiness with Records vs. non Records Not a problem, only records here Mix of both here but can create views Auditing Enabled Depends on parent site eDiscovery Records only Records and non-Records Admin Security Records Manager Site Admins Number of Sites Extra Records Center sites to manage Fewer Sites to manage Scalability Reduces size of team sites and can expand Records Center site collections into separate databases Greater database and site collection size Management Separate site or farm needed No additional site needed Storage and Backup Can be stored and backed up in separate databases Same database as other documents Document Sets Allowed Not supported
- 17. The biggest drawbacks of In Place RM
- 19. In SharePoint 2013 … And still in Office 365 More Info: http://www.khamis.net/Blog/Post/273/SharePoint-2013- Server-–-What’s-new-and-different-–Part-1
- 20. Site Mailboxes
- 21. Turn on unified eDiscovery and holds Improved in Office 365
- 22. Information Management Policies Heavily expanded on in Office 365
- 24. Office 365 – Focus on all of your compliance requirements Records Management (RM) Information Management policies (Retention) Data Loss Prevention (DLP) Electronic Discovery (eDiscovery) Information Rights Management (IRM) Audit Logging / Archiving Encryption (Transport rules)
- 25. New Compliance Center in Office 365 (and SP 2016)
- 26. Data Loss Prevention (DLP)
- 27. Corporate Data Loss and Protection
- 28. eDiscovery
- 30. Audit logging / Archiving
- 31. Encryption & Transport rules
- 33. In Closing…
- 34. www.khamis.net
- 36. Assemble Metadata, Taxonomy & Security
- 37. SharePoint’s interpretation of the File Plan Content Type Parent Content Type Columns Workflows Information Management Policies Security physical record item add new record expiration destroy record auditing barcode legal record physical record date signed Legal only signed NDA legal record second party NDA type model physical record project model stage creator creation date
- 39. How SharePoint 2010 can help with Taxonomy
- 40. Deploy the Content Organizer
- 41. Turn on Auditing on Site, List or Content Type
- 42. Implement Multi-Level Retention Policies
- 43. Turn on Document ID’s
- 44. Implement Send To… on other SharePoint Sites
Editor's Notes
- Questions that are not directly related will be discussed offline Turn cellphones off Q+A will be at the end 88% of Records functionality as defined by the ICA standard (ISO 16175) is now available “out of the box” using Sharepoint 2010
- Records Management consists of identifying, classifying, archiving, preserving, and destroying records according to a set of pre-defined standards Increasing pressure to manage risk more effectively through improved compliance with regulatory and corporate policies Government and industry regulations U.S. Sarbanes-Oxley Act (SOX) SEC 17-a/b DOD 5015.2, MoReq, ISO, and HIPAA Legal eDiscovery U.S. Federal Rules of Civil Procedure
- Records Management consists of identifying, classifying, archiving, preserving, and destroying records according to a set of pre-defined standards Increasing pressure to manage risk more effectively through improved compliance with regulatory and corporate policies Government and industry regulations U.S. Sarbanes-Oxley Act (SOX) SEC 17-a/b DOD 5015.2, MoReq, ISO, and HIPAA Legal eDiscovery U.S. Federal Rules of Civil Procedure
- If you look closely at the sample file plan it has descriptions of a lot of the info that is needed: File Codes (Document id’s in SharePoint) What record types that this category of the file plan should consist of Retention and disposition information Primary and Secondary categories Usually done by Records & Compliance Managers
- Gave a bad name to SharePoint for Records Management Extensibility - Only allows copying of records to Records Center Scalability - One Records Center per farm Flexibility - No distributed content types or metadata Inflexible Routing rules
- 20 MINUTE MARK
- 30 MIN MARK
- Policy Tips in OWA, Outlook, SharePoint and OneDrive and Office Clients (Word, Powerpoint, Excel)
- . EDRM XML supported formats Can export to legal or review partners
- 30 MIN MARK
- Hopefully BA or maybe even yourself does analysis on the File Plan and gives you something like this. Usually in spreadsheet form Interp
- Benefits More consistent use of terminology Better search results Dynamic Entering terms Entering enterprise keywords Consistent meta-data across the organization is a foundation for the application of records management practices and policies!
- Globally used content types that are controlled in one location. Removes duplicate tagged documents and ensures consistent meta-data Company has two web applications that have a set of content types that are the same (could be employee profile, real estate listing etc). Company would like to have a central location where the content types can be created and pushed out to the above two site collections seamlessly and without having to make any modifications to separate site collection content types.
- In 2007, content organization was largely a matter of individual upload decisions. Administrators could help guide, but ultimately, was up to contributors to decide where the content ended up. Takes decisions out of hands of users and ensures that items are well organized. Routing rules from 2007 replaced by content organizer, Automatic routing of documents to right place in SharePoint enabling you to automatically enforce rules on content submitted End users don’t have to be aware of which document library document should go into Allow a drop off library where all documents should be placed - SharePoint moves documents that were submitted by users to appropriate place, based on: Rules for content rerouting Metadata Content Types Property based conditions Can apply multiple rules Use the priority option to give one rule more importance over another - Has the ability to automatically create subfolders based upon metadata (i.e. folder for each year)
- Why do this? Heavy audits are required on items that have been declared a record, for legal reasons (i.e. decisions, invoices, bids, etc…) A document has been deleted or changed and the administrator would like to figure out who deleted or changed document in question. Site collection auditing features that allow document auditing can be used to figure out who opened, edited, checked out, moved, deleted or even searched for list items or documents.
- Sarbanes–Oxley Act of 2002 requiring records to be kept for a certain amount of time You can now set rules for documents that need to be reviewed For example, records can have review periods in between the time they are declared and when they are destroyed Retention policies can be created in Site Settings Site Collection policies or Content Type Settings/List Settings Information management policy settings OOTB Actions: Recycle Bin, Delete, Transfer, workflow, skip, declare record, delete drafts, delete version Allows Recurrence
- Why is Document ID important? Didn’t exist in previous version of SharePoint and documents were hard to find People are still spending up to 9.5hrs/ user/week searching for information (hasn’t changed much in several years) and 6hrs/user/week reproducing information. Document was sent to Records Repository and you can’t find it, now you can reference and find it by Document Id Document is being constantly moved around in Records Center by meta-data management rules or workflows, now you can always find it Other Document ID features: Assignment of Document IDs with certain character prefixes Resetting Document IDs (via timer job) Allows user to use to select a scope to be able to input a specific Document ID in and have it pull up the document directly (haven’t been able to verify this) Find by Document ID Web Part enables user to enter a document ID, then constructs a "static URL" and looks up the item. Document URL looks like this: http://<sitecollectionurl>/_layouts/DocIdRedir.aspx?ID=34RZ5NUVTCP7-1-4 New ASPX page that sits in layouts directory called DocIdRedir.aspx that takes a Document ID as query string parameter. Ability to consistently reference documents as links don’t change or break, even if the document moves between sites! Following are some typical file codes that could be found in any office: ADMI 459 Conferences, Seminars, Associations, and Societies Files CONT 202 Contract Management Records DIRE 108 EPA Agency-wide Directives REGS 149 Regulations, Standards, and Guidelines SURV 005 Special Studies