Today’s Agenda...Establishing Information Governance for Local Governments in Microsoft SharePoint...
Transcript of Today’s Agenda...Establishing Information Governance for Local Governments in Microsoft SharePoint...
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Establishing Information Governance for
Local Governments in Microsoft SharePoint
Alexander Webb, CRM, IGPRecords Management Officer
Capital Metropolitan Transportation Authority
Julia Johnson, MLS, CRASenior Administrative Assistant
Capital Metropolitan Transportation Authority
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Today’s Agenda
• About Capital Metro and our SharePoint
• ARMA’s The Principles® – Accountability
– Transparency
– Integrity
– Protection
– Compliance
– Availability
– Retention
– Disposition
• Final Thoughts
• Q & A
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AT A GLANCE
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About Capital Metro
Services
• MetroBus
• MetroExpress
• MetroRapid
• Night Owls
• University of Texas Shuttles
• MetroAccess
• RideShare
• MetroRail
• Freight Rail
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Service Area
• 535 sq. Miles
• 1,163,204 People
• 98,000 Weekday Boardings
• 30.5 Million Annual Boardings
• Around 300 Administrative Employees.
• Approximately 1500 Contract Employees.
Capital Metro connects people, jobs and communities by providing quality transportation choices.
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SHAREPOINT
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Capital Metro has designated the Microsoft SharePoint system as our organization’s Enterprise Document and Records Management System.
Digital Records stored within this system are designated the official record for Capital Metro.
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Capital Metro SharePoint
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Capital Metro SharePoint Structure
• 25 Department Sites
• 65 Enterprise Project Sites
• 7 special enterprise sites that support cross department functions– Policy
– Training
– Travel
– Pool vehicles
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Capital Metro SharePoint Structure
Our SharePoint Environment can be summarized into 3 main types of sites:
capmetro.org | Optional secondary text8
Department Sites Extranet Sites Records Center
• Collaboration• Stores Active
Records• Share between
departments and work groups.
• Share Externally• Only copies should
be placed here.• Not for long term
storage.
• Stores Inactive Records
• Retention is managed by RMO
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THE PRINCIPLES®
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ARMA’s The Principles®
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Accountability
Executive Support
System Governance
Transparency
Education
& Training
Integrity
Tracking your documents, users,
and content
Protection
Permissions
& Sharing
Compliance
Auditing, Business Needs, Regulatory Requirements
Availability
Searching, metadata, formats
Retention
Record Center
vs. In Place
Disposition
Documentation
& Holds
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Accountability
• Project Planning
– For any system implementation, you need to plan, plan and…
PLAN even more!
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Accountability
• Document Everything!
– Decisions
– Processes
– Customizations
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Accountability
• Develop a Governance Policy for your system
– Should be based on your policy decisions
– Policy should include a process to approve and document system changes.
• The Information Governance Reference Model can be your guide.
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The Information Governance Reference Model
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Accountability
You will need to involve the stakeholders outlined in the IGRM to develop your system governance plan.
• Legal
• Business Users
• Records Management
• Security
• Information Technology
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Accountability
Site Structure
• On Premise SharePoint or O365 SharePoint?
• Best practice is to deploy one or the other.
• A hybrid approach would be difficult to maintain.
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On Premise SharePoint or O365 SharePoint?
capmetro.org | Optional secondary text17
On Premise SharePoint Office 365 SharePoint
Pros:• control your data• control your own information
governance• implementation of 3rd party tools
is easier
Pros:• reduced maintenance costs• guaranteed system availability• new SharePoint features are rolled
out• easy external sharing
Cons: • need dedicated resources, people
and hardware to maintain servers • downtime maintaining servers,
security updates, and patching• costs for hardware and licenses
Cons:• little control over updates• limited customization• no server access• possible platform integration issues
Accountability
Site Structure
• You want to develop standards for your sites and create consistency among your sites.
• This is done by creating Site Templates.
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Accountability
• You want to determine your policies regarding:
– Site Creation
– Sharing internally and externally
– Permissions
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Accountability
• Site Owner & User Group Support
– Forming a user group is an invaluable resource to collect information from your users.
• Users don’t always call when they experience issues.
• Sometimes hearing someone else's issue will spark discussion.
– The key is to follow‐up and address the issues raised.
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Accountability
• Your SharePoint Site owners take on additional roles and responsibilities than your average user.
• Their responsibilities should also be outlined in your Governance Policy.
• They will need training on their responsibilities.
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Transparency
• Training is critical for success.
• You will want to have a strategy to…
– Train your current Staff
– Train New Staff
– Train your Site Owners
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Transparency
• You will also need…
– Refresher Trainings
– Training for new features and upgrades
– Additional Resources
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Integrity
• Moving records between libraries in SharePoint can affect their Integrity
• You could lose critical metadata such as…
– Creator
– Content Type
– Custom Fields created by users
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Integrity
• You will want to develop policies for your organization’s use of document versioning.
– Number of versions that will be maintained
– Instructions on when you should and should not version a document
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Integrity
• Information Quality Assurance and Control
• Develop Quality Assurance and Quality Control standards
• Ensure the records being entered are consistent with policies and procedures:
• Develop metrics to measure compliance
• Identify staff for reviewing and approving
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Protection
• You will want to plan your SharePoint Permissions Strategy.
• A good strategy will…
– Make managing sites easier
– Increase Governance and Compliance
– Reduce time spent maintaining
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Protection
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Protection
• Permission Strategy Tips
– Create a clear Hierarchy
– Use SharePoint’s Permission Inheritance
– Organize and group your content by the security levels.
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Compliance
• Audit Requirements
– Involve stakeholders to determine your requirements
– Be mindful of regulatory requirements:
• Federal
• State
• Internal and External Auditors
• Grants
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Compliance
• Information you may need to audit:
– Users
– Sharing
– Permissions
– Edit History
– Versions
– Printing
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Compliance
Setting up Retention Rules in SharePoint
• When Using a Record Center
– Content types
– Metadata
– Routing Rules
• When Using In Place
– Site Collection
– List
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Compliance
SharePoint Content Type: is a reusable collection of metadata (columns), workflow, behavior, and other settings for a category of items or documents in a SharePoint list or document library.
Compliance
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Compliance
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• Tips for setting up Content Types:
– Keep your Categories Broad
– Use Metadata to get more specific
– Make them flexible for change.
• “Plan Twice, Content Type Once”
– After Publishing Changes are difficult.
– 3rd Party Tools available to manage retention.
Compliance
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Content Type HubContent Type Hub
Team SiteTeam Site
LibraryLibrary LibraryLibrary
Team SiteTeam Site
LibraryLibrary
Record CenterRecord Center
LibraryLibrary
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Compliance
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HUB
Site Site Site
Compliance
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HUB
Site Site Site
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Compliance
• Develop ways to track the information/records coming into the system
• This tracking information can provide metrics.
– Documents created during a given time period
– Time it takes to finalize a document
– Types of documents being created
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Compliance
• SharePoint Lists can be exported to Excel
– You can use Excel to:
• Analyze
• Compare
• Match
• Easy way to leverage the tool
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Compliance
• Provide regular system reports which:
– Measure the success of the implementation.
– Justify the system to your organization.
• This is critical during the first few years after implementation.
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Availability
• Searching in SharePoint is like searching a web.
• Without consistency it can turn into a mess.
• Improve findability by…
– Using Standard Naming Conventions
– Using Standard Metadata
– Run OCR on PDFs
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Availability
Metadata and File Naming Conventions
• Metadata is used to filter and search information that is of interest
• Using consistent file names will aid in retrieving documents
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Availability
Consistency is Key!
• Start the file name with the broadest descriptor and make descriptors more specific as you add segments
• Name records in a consistent way to make retrieving files easier
• Use dashes without spaces between segments
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Retention
• Getting Started with Retention in SharePoint
– Review your Authorities/Requirements
• Local
• State
• Federal
– Use Record Lifecycle to evaluate Business Workflows
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Records Lifecycle
Creation
Active
Inactive
Disposition
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How to apply the Record Lifecycle
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CreationWho will create and upload records into the system?
How to apply the Record Lifecycle
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ActiveWho will need to access, edit
and finalize the record?
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How to apply the Record Lifecycle
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InactiveWho still needs access to
the records? How will you search for the
records?
How to apply the Record Lifecycle
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DispositionWho reviews and approves the destruction of records in
the system?
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Retention
Retention in SharePoint
• In‐Place Retention or Records Center Retention?
• Best practice is to choose one or the other policy based upon enterprise business requirements.
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Retention
• In‐Place Retention Benefits
– Records remain where they were created
– Best suited for heavy usage of document after declared a record (view only)
– Easier to maintain document’s original security
– Faster user retrieval
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Retention
• In‐Place Retention Issues
– Decentralized responsibility for disposition
– Dedicated unit resources required for disposition management
– Requires step of “declaration of record “ to prevent editing and modifying
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Retention
• Records Center Retention Benefits
– Central repository
– Manage entire organization’s records in repository
– Central policy governing disposition
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Retention
• Records Center Retention Issues
– Records move to another location
– Requires defined content types and content organizer rules
– Requires duplication of security settings
– Increases User searching and retrieval time
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Disposition
• The automatic retention policies that come with O365 SharePoint DO NOT document before deletion.
– The Local Government Records Act requires documentation before destruction.
– Without a 3rd Party Tool you will need to manually delete your content.
– Setting up a Workflow may be able to accomplish this.
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Disposition in SharePoint O365
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• Create Views based on Event Date and Retention
QUERYQUERY
• Export View into an Excel Report to review and create log.
REVIEW REVIEW • One by One
• Undeclare
• Recycle Bin
DELETEDELETE
Final Thoughts
• O365 SharePoint is a great collaborative platform that can save your organization maintenance costs
• Out of the box records management functions are very manual and Records Managers should be aware of this before implementation
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Final Thoughts
• Organizations should review their requirements carefully to determine which SharePoint is right for them.
– On Premise
– Office 365
– In Place Retention
– Record Center
– 3rd Party Tools
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Final Thoughts
• Know your organization’s goals for migrating
to SharePoint.
• Know your business processes.
• Know your customers.
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Questions?
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CONTACT US:Julia Johnson, MLS, CRA
512‐389‐6021
Alexander Webb, CRM, IGP
512‐389‐7467