A Strategic Approach to Leveraging Office 365 as a Records ......Nov 18, 2019 · 2. Map file plans to O365 (SharePoint, OneDrive, Teams) using auto-site provisioning to auto generate

A Strategic Approach to Leveraging Office 365 as a Records Repository for

the Enterprise

Tim Shinkle and Marcus Getzendanner

Millican & Associates, Inc.

Agenda

1. ERM strategy and lessons learned.

2. High level overview of O365 components and approach.

3. Privacy, alerts, notifications and eDiscovery.

4. Clean up and migration strategy.

5. Demonstration1. Auto-site provisioning with ERM baked-in.

2. End user drag and drop.

3. RM disposition process.

4. IT/RM configuration components.

Millican & Associates, Inc.11/18/2019 2

ERM Strategy

Office 365

Inventory & File Plans

File Share Clean up and

Migration

Develop a better understanding of the records landscape and file plans.

Clean up, manage in-place or migrate legacy shares and third-party repositories to controlled repositories such as O365.

Leverage Security & Compliance features for automating records and privacy policies in SharePoint, OneDrive, Exchange and Teams.


Lessons Learned

• Microsoft O365 has become the de facto repository for unstructured electronic records.

• O365 can automate ERM end-to-end with minimal impact to the business user

• Additional license costs and hybrid IT/RM roles are required for proper configuration and support.

• Third party software can add value by further automating the out-of-the-box ERM features of O365 minimizing the time, cost and effort.


High Level Overview of O365 Components

• OneDrive (Replaces home drive – Record copies, drafts, etc..)

• SharePoint Online (ECM and Collaboration – Document records repository*)

• Teams (Replaces “Skype for Business” and ties together communication and content apps in a single collaborative workspace)

• Exchange Online (Email – Communication records repository)

• Power Apps and Flow – (Replaces tools like SharePoint Designer and MS Access. Flow connectors can capture third party social media and automate e-forms and business logic across O365 platform)

* Consider long-term strategy for inactive records in a less expensive longer-term storage location.


O365 ERM Approach Summary

1. All O365 apps have RM configurations baked-in with records management using (Microsoft Patterns and Practices or PnP).

2. Map file plans to O365 (SharePoint, OneDrive, Teams) using auto-site provisioning to auto generate and configure sites.

3. Email and Team communications follow a role-based approach (e.g. Capstone) using Retention Policies (not Labels) inherited from the content container (e.g. mailbox).

4. Retention Label queries are used to capture and process records automatically with no end user intervention. (Note: Requires E(G)3+Advanced Data Governance or E(G)5 license)


Use Cases - Administration

Role: IT, Hybrid IT/RM SME

1. Configure Label policies.

2. Publish Labels.

3. Update or Remove Labels.

4. Automate the application of Labels.

5. Build out templates and auto-site provisioning.

Role: RM SME, RM Liaison

1. Monitor use of Labels for their group (role-based security boundaries).

2. Run disposition reporting.

3. Perform disposition processing (delete or transfer).

4. Apply holds.


Use Cases – Business

Role: SME and Power User

1. Define taxonomy and configurations for their group.

2. Configure content repositories (e.g. SharePoint sites).

3. Review records for final disposal (as needed).

4. Support use of O365 apps for their group.

Role: Knowledge Worker

1. Create and share content in O365 apps (OneDrive, SharePoint, Teams, Exchange).

2. Create and close projects.

3. Finalize documents.

4. Review records for final disposal (as needed).


Taxonomy (SharePoint Online)

Transaction

(Site, Library, Folder or Record –

Document or Document Set)

Activity

(Collection, Subsite, Library, Folder, Doc

Set or Record)

Function

(Hub Site, Site Collection, Site,

Subsite or Library)

Program

(Hub Site, Site Collection or Site)

OCIO

Policy

RM

Privacy

ITService

Operations…

Retention Label(As needed)

Operations

Projects

Retention Label(As needed)


Label Mapping To Record Series

Record Series

(Each record series map to one label)

Labels

(A label for each retention rule to one or

more record series)

Destroy 7 Years after event or inactive period (GRS 1.1 item 080, GRS

2.3 item 012, ..)

GRS 1.1 item 080

7 years after final action

GRS 2.3 item 012

7 years after case is closed

Best Practice: Map organization retention schedules to a minimum set of Labels based on similar retention rules. This reduces how many labels need to be created and maintained.


Label Mapping to Label Policy

Label Policy

(Each label is applied to records by one or more label

policies)

Labels

(Each label has a retention rule)

Destroy 7 Years after even or inactive period

Label policy 1, Label policy 2, ..

Label policy 1

{Search query 1}

Label policy 2

{Search query 2}

Best Practice: Use a minimal set of label polices to apply labels to records using search queries (i.e. Auto-apply a label) where each query can service one or many records series (GRS or agency retention schedule items). This reduces the number of queries need to apply labels to records across O365.


Labels and Label Policies

Labels define the rules Policies apply the labels to content


Sensitivity Labels


Retention Policies

Label Policies

Retention Policies


High Level Overview of O365 Components

O365 App Retention Label and Label Policy (Content and subject based retention)

Retention Policy(Containers and role-based retention)

OneDrive

SharePoint

Teams

Exchange


Teams

• Teams conversations are stored in Exchange Online mailboxes

• Messages are deleted from all relevant storage locations: mailboxes, substrate, and chat service.

• Teams files are stored in OneDrive for Business and SharePoint.


Dashboards


Compliance Manager (GDPR)


Alerts – E.g. Email notifications


Audit Trails – Audit Log Search Page


Advanced eDiscovery

Note: Advanced eDiscovery requires an Office 365 E3 with the Advanced Compliance add-on or an E5 subscription for your organization.


Flow – Integrate & Automate Workflows


Clean Up and Migration

Clean Up (e.g. Tier5Data Seek tool) SharePoint Migration Tool


Demo1. Auto-site provisioning with ERM baked-in.

2. End user drag and drop.

3. RM disposition process.

4. IT/RM configuration components.


Documents

A Strategic Approach to Leveraging Office 365 as a Records ......Nov 18, 2019 · 2. Map file plans to O365 (SharePoint, OneDrive, Teams) using auto-site provisioning to auto generate