1 | sharepoint saturday st. louis 2015 10 things you’ll need to succeed with information...

1 | SharePoint Saturday St. Louis 2015

10 Things You’ll Needto Succeed withInformation Governance and SharePointChris Caplinger | RecordLion

2 | SharePoint Saturday St. Louis 20152 | SharePoint Saturday St. Louis 2015

Chris Caplinger [email protected]

RecordLion President SharePoint Experience – 12 years Co Author – SharePoint Server

2010 Enterprise Content Management

Entrepreneur – 3rd Startup Twitter: @chrislcap

Biography



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Information GovernanceMaturity ModelARMA International

http://www.arma.org

St. Louis Chapter http://www.armastl.org

http://www.arma.org/

http://www.arma.org/

http://www.armastl.org/


• Sets standard of conduct and how to judge your organizations IG maturity• Independent of Laws and Regulations• Based on ARMA Generally Accepted

Record Keeping Principals• http://

www.arma.org/docs/bookstore/theprinciplesmaturitymodel.pdf

Information Governance Maturity Model

http://www.arma.org/docs/bookstore/theprinciplesmaturitymodel.pdf




The Principals

• 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


10 Things You’ll Need…

to apply the model in SharePoint


#1 - Access Control

Protection

Integrity

Compliance

Web Application• Scope for Anonymous Access

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


“Many SharePoint Implementationsfail due to poor or no taxonomy.”

What is a Taxonomy?In short, a systematic way to organize content

For SharePoint this means the organizations of the following entities:

• Site Collections• Sites• Libraries• Folders• Content Types• Terms (Managed Meta Data)

#2 - Taxonomy Plan

Protection

Availability


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 Content

Type Creep

Content Type + Meta Data Based

• Put Content Anywhere

• Terms = Types of Information

• Encourages Search• Simplifies Taxonomy

Creation

Only Consider New Content Types for:Search/Navigation/Retention/Workflow


Taxonomy Examples

Meta Data/Term Store


Transparency

Retention

What is a Retention Schedule?A set of instructions allocated to a class or file to determine thelength of time for which its records should be retained by theorganization for business purposes

Consider Legal help for Development and Compliance

Publish Retention Schedule for program transparency

In SharePoint:• Use stages to build content lifecycles• Separate from Taxonomy (Recommended)

• Requires ISV or custom code• No Event Based Retention in SharePoint

• Requires ISV or custom code• No Case Files in SharePoint

• ISV is only feasible solution

#3 - Retention Schedule

Compliance

Disposition


Retention Schedule Example

http://blog.recordlion.com/file-plan-template/





Separate Taxonomy and Retention Schedule

Retention Schedule - Recommendation


“It’s easy to upload content intoSharePoint, but tagging with MetaData is the tough part.”

1. Upload & Edit (out of the box)2. Add tags while uploading3. Automatic extraction technologies (3rd

Party)

#4 - Content Onboarding

Integrity

Availability

Retention


Content Onboarding – Upload & Edit

Drag and drop on browser

Drag and drop using Synced Libraries (also OneDrive Business)

Upload from library

Potential Governance Riskas you can’t add Meta Data

from Windows Explorer!


Content Onboarding – Upload / Tag

Office Applications Ribbon Office App Backstage


3rd Party Tools• Insert “Shameless RecordLion Plug” Here• Semantic Indexing using Text Analysis• Zonal/Template Extraction

Custom Code• Use Drop Off Library• Extraction Technologies & Custom Code

Content Onboarding – Automatic Tagging


“Without classification, content inSharePoint is too dependent on theunlikely near perfect search engine”

Exact Relevance Search is crucial for business processes• Transactional Content Management• Workflow

#5 - Classification

Integrity

Availability

Retention


Classification Technologies to Consider

Meta Data

• File Names• Folder Names• Column/

Properties• Document

Properties

Content• “Reads” content• Email• Office

Documents• PDF

Visual• Looks at pixels• Images Only• Good for

Scanned Forms

Template• Zones• OCR• Barcodes• Images or Text


Move Records to SharePoint• Best to store similar records in the

same location if possible• 3rd Party are needed to move records

Apply Uniform Policies in Exchange• Big Buckets (Mailboxes/Folders)

http://blog.recordlion.com/email-retention-exchange-sharepoint-online/

#6 - Email Management

Integrity

Availability

Retention





“Most data in SharePoint isunstructured”

#7 - Unstructured Content Search

Availability

Transparency

• Office 365 (On Premise 2016)

• SharePoint/OneDrive/Exchange

• Advanced Customizations

• Best Experience / Highest Cost


“The action taken when a recordreaches the end of its retentionperiod”

• Average cost of a managed terabyte - $17,000

• Legal professional (eDiscovery) review - $18,750/GB

Can you really afford not to dispose of information?

#8 - Disposition

Protection

Disposition


Information Value Declines Over Time

Business Need Regulator Need (TAX) No Need

InformationValue

Office Documents

Product Research

Sales/Customer

HR

Financials

Messaging/Social

IT Cost

Risk

Risk-to-Value Gap

Cost-to-Value Gap


Disposition and SharePoint

Move to Recycle Bin Not Recommended

Permanently Delete Recommended

Transfer to Another Location Good if deleting in another stage

Start a Workflow Use to build approval processes

Possible Disposition Actions

Disposition Issues

Forensic Destruction Consider RBS

Disposition Requires Approval

Consider ISV solution


“An Information Governanceimplementation is only as good aswhat you can prove in court and inthe board room”

Most important reports show:• Your keeping information according to policies• Your destroying expired information• Users are only seeing what they should• That information is authentic and reliable• Policies are up to date and published

#9 - Audit, Reporting, and BI

Accountability

Transparency

Integrity

Compliance


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• Item View/Modify/Delete• Structure Modifications

Content Activity Reports

• Policy Modifications• Expiration and Disposition

Information Management Policy Reports

• Auditing Settings• Security Settings

Security and Site Settings Reports


“It’s not a matter of if you have toproduce information, it’s a matterof when… be prepared”

Prepare by:• Knowing where your information is• Disposing of ROT data• Copying and/or Locking records when

expecting litigation

Legal Holds and eDiscovery

Retention

Disposition

Compliance


SharePoint eDiscovery Center


Call To Action

1.Create Access Controls

2.Plan Your Taxonomy

3.Create Retention Schedule

4.Build Content Onboarding Processes

5.Build Classification Processes

6.Get Email Under Control

7.Design Search For Unstructured Content

8.Build Disposition Processes

9.Build Audit Processes, Reports and Consider BI

10.Plan for Legal Holds and eDiscovery


Housekeeping

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Schedule and evaluate each session you attend via our mobile app that can be used across devices at:

http://spsaturday. azurewebsites.net


Chris Caplinger

[email protected]

@chrislcap

Website

http://www.recordlion.com

Bloghttp://blog.recordlion.com

Q & A

mailto:[email protected]

http://www.recordlion.com/

http://blog.recordlion.com/


Outline

6 | SharePoint Saturday St . Louis 2015

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1 | sharepoint saturday st. louis 2015 10 things you’ll need to succeed with information...

Documents

sharepoint slide

sharepoint implementations

author sharepoint server

louis chapter http

level site

retention disposition

principals http

site collection permissions