How to establish content structure and information governance in SharePoint.

1. Establishing Content
Structure & Information
Governance In SharePoint

2. Nick Inglis
ECMm, SharePointM, E20m, IMCP
Founding Partner, Optismo
Co-Founder, The Information Governance Conference
Author, AIIM SharePoint Governance Toolkit
Twitter: @NickInglis | @Optismo | @InfoGovCon
Email: nick.inglis@optismo.com
www.NickInglis.com | www.Optismo.com | www.InfoGovCon.com

3. What Is Infrastructure?
• Collins English Dictionary:
– “The basic structure of an organization, system, etc.”
©2014 Optismo Image Source: http://www.theworks.co.uk/p/dictionaries-thesauri/collins-concise-
english-dictionary/9780007365494

4. SharePoint Infrastructure
©2014 Optismo

5. SharePoint Infrastructure
• Farm
©2014 Optismo
Farm

6. SharePoint Infrastructure
• Farm
• Web Applications
©2014 Optismo
Farm
Web
Applications

7. SharePoint Infrastructure
• Farm
• Web Applications
• Site Collections
©2014 Optismo
Farm
Web
Applications
Site
Collections

8. SharePoint Infrastructure
• Farm
• Web Applications
• Site Collections
• Sites
©2014 Optismo
Farm
Web
Applications
Site
Collections
Sites

9. SharePoint Infrastructure
Farm
Databases Solutions Service Applications Alternate Access Monitoring Security Timer Jobs
Web Applications
Content Database Throttling Managed Paths Service Connections Features Permissions
Site Collection
Authentication
Provider
Web Parts Features Content Types Site Columns User Solutions Usage Analytics Auditing
Sites
Features Lists Views Workflows Themes Layouts Alerts
Original Source: http://technet.microsoft.com/en-us/
sharepoint/hh126808 ©2014 Optismo

10. What Is Information
Architecture?
©2014 Optismo

11. What Is Information
Architecture?
• Earl Morrogh, Information
Architecture, An Emerging 21st
Century Profession:
– “Information architecture (IA) is a
professional practice and field of
studies focused on solving the basic
problems of accessing, and using, the
vast amounts of information available
today.”
©2014 Optismo
Source:
http://books.google.com/books/about/Information_Architecture
.html?id=JzlmQgAACAAJ

12. Building IA & Sustaining It
Plan Deploy Sustain
©2014 Optismo

13. Planning Information
Architecture
• Goals of IA
©2014 Optismo

14. Planning Information
Architecture
• Goals of IA
– Support User’s Ability To Find Content
©2014 Optismo

15. Planning Information
Architecture
• Goals of IA
– Support User’s Ability To Find Content
– Applied Consistently
©2014 Optismo

16. Planning Information
Architecture
• Goals of IA
– Support User’s Ability To Find Content
– Applied Consistently
– Leveraging SharePoint Functionality
©2014 Optismo

17. Planning Information
Architecture
• Goals of IA
– Support User’s Ability To Find Content
– Applied Consistently
– Leveraging SharePoint Functionality
– Sustainable
©2014 Optismo

18. Containers
©2014 Optismo

19. Containers
• Containers are structured hierarchically
©2014 Optismo

20. Containers
• Containers are structured hierarchically
• Allows us to establish policies once and ‘push’
through the hierarchical structure
©2014 Optismo

21. Containers
• Containers are structured hierarchically
• Allows us to establish policies once and ‘push’
through the hierarchical structure
• Site Collections > Sites > Libraries
©2014 Optismo

22. Containers
• Containers are structured hierarchically
• Allows us to establish policies once and ‘push’
through the hierarchical structure
• Site Collections > Sites > Libraries
• Content Types > Metadata
©2014 Optismo

23. Content Types
©2014 Optismo

24. Content Types
• Content Types are selected upon upload of a
piece of content into SharePoint
©2014 Optismo

25. Content Types
• Content Types are selected upon upload of a
piece of content into SharePoint
• Content types define the metadata schema
associated
©2014 Optismo

26. Content Types
• Content Types are selected upon upload of a
piece of content into SharePoint
• Content types define the metadata schema
associated
• Content types are hierarchical
©2014 Optismo

27. Content Types
• Content Types are selected upon upload of a
piece of content into SharePoint
• Content types define the metadata schema
associated
• Content types are hierarchical
• Content types can apply policies
©2014 Optismo

28. Taxonomy
©2014 Optismo

29. Taxonomy
• Taxonomy is the practice and science of
classification. The word is also used as a count
noun: a taxonomy, or taxonomic scheme, is a
particular classification. -Wikipedia
©2014 Optismo

30. Metadata
Source: http://en.wi ©2014 Optismo kipedia.org/wiki/Metadata

31. Metadata
Metadata is “data about data”. The term is ambiguous,
as it is used for two fundamentally different concepts
(types).
Source: http://en.wi ©2014 Optismo kipedia.org/wiki/Metadata

32. Metadata
Metadata is “data about data”. The term is ambiguous,
as it is used for two fundamentally different concepts
(types). Structural metadata is about the design and
specification of data structures and is more properly
called “data about the containers of data”;
Source: http://en.wi ©2014 Optismo kipedia.org/wiki/Metadata

33. Metadata
Metadata is “data about data”. The term is ambiguous,
as it is used for two fundamentally different concepts
(types). Structural metadata is about the design and
specification of data structures and is more properly
called “data about the containers of data”; descriptive
metadata, on the other hand, is about individual
instances of application data, the data content.
Source: http://en.wi ©2014 Optismo kipedia.org/wiki/Metadata

34. Structure of SharePoint IA
Site
Collections
Sites Libraries
Content
Types
Metadata
Elements of IA Structure
Physical Containers Taxonomic Elements
©2014 Optismo

35. Structure of SharePoint IA
Site
Collections
Sites Libraries
Content
Types
Metadata
Content
Organizer
Workflow
Records
Centers
In Place
Records
Management
Multi-stage
retention
Automated
Disposition
eDiscovery &
Litigation
Holds
Elements of IA Structure
Physical Containers Taxonomic Elements
Underlying Processes To Align With Business Requirements
©2014 Optismo

36. Example
©2014 Optismo

37. Example
Site
Collections
Sites Libraries
Content
Types
Metadata
Elements of IA Structure
Physical Containers Taxonomic Elements
©2014 Optismo

38. Example
Site
Collections
Sites Libraries
Content
Types
Metadata
Elements of IA Structure
Physical Containers Taxonomic Elements
Content Uploaded to:
Site Collection – ABC Company
Site – Marketing
Library – Marketing Assets
Content Type – Contract
Metadata –
Vendor: XY Consulting; Contract Size: $150,000; Signer: Jane
Smith;
©2014 Optismo

39. Planning SharePoint IA
©2014 Optismo

40. Planning SharePoint IA
• Plan Your Site Collections & Site Hierarchy
©2014 Optismo

41. Planning SharePoint IA
• Plan Your Site Collections & Site Hierarchy
• Plan Your Content Types
©2014 Optismo

42. Planning SharePoint IA
• Plan Your Site Collections & Site Hierarchy
• Plan Your Content Types
• Plan Your Metadata
©2014 Optismo

43. Plan Your Site Collections &
Sites
©2014 Optismo

44. Plan Your Site Collections &
Sites
• Should support Navigation
©2014 Optismo

45. Plan Your Site Collections &
Sites
• Should support Navigation
• Should be logical to Users
©2014 Optismo

46. Plan Your Site Collections &
Sites
• Should support Navigation
• Should be logical to Users
• New Sites can be requesting through Site
Provisioning
©2014 Optismo

47. Plan Your Site Collections &
Site
Collection A
Site A
Sub-Site A
Provisioned
Sites Added
Sub-Site A1
Provisioned
Sites Added
Site B
Sub-Site B
Provisioned
Sites Added
Site C
Provisioned
Sites Added
Site
Collection B
Site D
Provisioned
Sites Added
Sites
©2014 Optismo

48. Plan Your Content Types
©2014 Optismo

49. Plan Your Content Types
• Should be used to Categorize content
©2014 Optismo

50. Plan Your Content Types
• Should be used to Categorize content
• Can be used to apply Workflow
©2014 Optismo

51. Plan Your Content Types
• Should be used to Categorize content
• Can be used to apply Workflow
• Can be used to apply Retention Rules
©2014 Optismo

52. Plan Your Content Types
• Should be used to Categorize content
• Can be used to apply Workflow
• Can be used to apply Retention Rules
• Can be used to apply Disposition Rules
©2014 Optismo

53. Plan Your Content Types
• Should be used to Categorize content
• Can be used to apply Workflow
• Can be used to apply Retention Rules
• Can be used to apply Disposition Rules
• Can be used to leverage the Content Organizer
©2014 Optismo

54. Plan Your Content Types
Content
Type A
Content
Type A1
Extensible
Content
Type A2
Extensible
Content
Type B
Content
Type B1
Content
Type B1A
Extensible
Content
Type B1B
Extensible
Content
Type B2
Content
Type B2A
Extensible
Content
Type B2B
Extensible
Content
Type C
Content
Type C1
Extensible
Content
Type C2
Extensible
©2014 Optismo

55. Plan Your Content Types
Manufacturing
Specs
Extensible
©2014 Optismo
Operations
Manual
Extensible
Marketing
Collateral
White Papers
Extensible
Brochures
Extensible
Contracts
Reseller
Contracts
Extensible
Conference
Contracts
Extensible
HR
W-2s
Extensible
Accounting
Reports
Extensible

56. Plan Your Content Types
Manufacturing
Specs
Extensible
Operations
Manuals
Extensible
• Manufacturing wants to have specs for
facilities separate from product specs
• Site Admin can EXTEND the Content
Type “Spec” to add “Facility Specs” and
“Product Specs”
• “Facility Spec” and “Product Spec” will
have all of the Metadata and
Information Policies of both
“Manufacturing” and “Specs”.
©2014 Optismo

57. Plan Your Content Types
©2014 Optismo
Associated Properties:
•Metadata
•Name
•Created By
•Retention Rules
•Disposition Rules
•Content MAY NOT Be Added
Manufacturing

58. Plan Your Content Types
©2014 Optismo
Associated Properties:
•Metadata
•Name
•Created By
•Retention Rules
•Disposition Rules
•Content MAY NOT Be Added
Associated Properties:
•All Properties Associated with Manufacturing
•Metadata:
•Spec Number
•Content MAY Be Added
Manufacturing
Specs

59. Plan Your Content Types
©2014 Optismo
Associated Properties:
•Metadata
•Name
•Created By
•Retention Rules
•Disposition Rules
•Content MAY NOT Be Added
Associated Properties:
•All Properties Associated with Manufacturing
•Metadata:
•Spec Number
•Content MAY Be Added
Associated Properties:
•All Properties Associated With Manufacturing & Specs
•New Content Types May Be Extended (NOT CREATED
FROM SCRATCH)
•Additional Metadata Fields May Be Added (But Not Created
From Scratch, Must Already Be In The System)
Manufacturing
Specs
Extensible

60. Plan Your Content Types
Farm Level
Enterprise Content Type
©2014 Optismo
Manufacturing

61. Plan Your Content Types
Farm Level
Enterprise Content Type
Site Collection Level
Division Level Content Type
©2014 Optismo
Manufacturing
Specs
Operations
Manuals

62. Plan Your Content Types
Farm Level
Enterprise Content Type
Site Collection Level
Division Level Content Type
Site Level
Business Unit Content Type
©2014 Optismo
Manufacturing
Specs
Extensible Facility Specs
Extensible
Product Specs
Operations
Manuals
Extensible
Extensible

63. Plan Your Metadata
©2014 Optismo

64. Plan Your Metadata
• Should be used to identify content for purposes
of Findability
©2014 Optismo

65. Plan Your Metadata
• Should be used to identify content for purposes
of Findability
• Can be used to apply Workflow
©2014 Optismo

66. Plan Your Metadata
• Should be used to identify content for purposes
of Findability
• Can be used to apply Workflow
• Can be used to apply Retention Rules
©2014 Optismo

67. Plan Your Metadata
• Should be used to identify content for purposes
of Findability
• Can be used to apply Workflow
• Can be used to apply Retention Rules
• Can be used to apply Disposition Rules
©2014 Optismo

68. Plan Your Metadata
• Should be used to identify content for purposes
of Findability
• Can be used to apply Workflow
• Can be used to apply Retention Rules
• Can be used to apply Disposition Rules
• Can be used to leverage the Content Organizer
©2014 Optismo

69. Plan Your Metadata
• Identify common information types and required properties.
Source: Microsoft - http://technet.microsoft.com/en-us/
sharepoint/hh126808
©2014 Optismo

70. Plan Your Metadata
• Identify common information types and required properties.
• Determine which data elements should be immutable (closed) and
which can be left to the user’s discretion (open).
Source: Microsoft - http://technet.microsoft.com/en-us/
sharepoint/hh126808
©2014 Optismo

71. Plan Your Metadata
• Identify common information types and required properties.
• Determine which data elements should be immutable (closed) and
which can be left to the user’s discretion (open).
• Identify syndication requirements and managed metadata service
Source: Microsoft - http://technet.microsoft.com/en-us/
sharepoint/hh126808
application needs.
©2014 Optismo

72. Plan Your Metadata
• Identify common information types and required properties.
• Determine which data elements should be immutable (closed) and
which can be left to the user’s discretion (open).
• Identify syndication requirements and managed metadata service
Source: Microsoft - http://technet.microsoft.com/en-us/
sharepoint/hh126808
application needs.
• Define term store roles and memberships.
©2014 Optismo

73. Plan Your Metadata
• Identify common information types and required properties.
• Determine which data elements should be immutable (closed) and
which can be left to the user’s discretion (open).
• Identify syndication requirements and managed metadata service
Source: Microsoft - http://technet.microsoft.com/en-us/
sharepoint/hh126808
application needs.
• Define term store roles and memberships.
• Specify language requirements.
©2014 Optismo

74. Plan Your Metadata
• Identify common information types and required properties.
• Determine which data elements should be immutable (closed) and
which can be left to the user’s discretion (open).
• Identify syndication requirements and managed metadata service
Source: Microsoft - http://technet.microsoft.com/en-us/
sharepoint/hh126808
application needs.
• Define term store roles and memberships.
• Specify language requirements.
• Group terms into a logical hierarchy.
©2014 Optismo

75. Plan Your Metadata
• Identify common information types and required properties.
• Determine which data elements should be immutable (closed) and
which can be left to the user’s discretion (open).
• Identify syndication requirements and managed metadata service
Source: Microsoft - http://technet.microsoft.com/en-us/
sharepoint/hh126808
application needs.
• Define term store roles and memberships.
• Specify language requirements.
• Group terms into a logical hierarchy.
• Create term sets and terms.
©2014 Optismo

76. Plan Your Metadata
Field Name Associated Content
Type(s)
Field Type Applied At Managed Term Set Group
File Name All Derived (Text) Farm N/A Standard Field
Created By All Derived (AD) Farm List (managed by AD) Standard Field
Modified By All Derived (AD) Farm List (managed by AD) Standard Field
Modified Date All Derived (Date) Farm N/A Standard Field
File Size All Intrinsic (Number) Farm N/A Standard Field
Item Type All Intrinsic (Text) Farm List (managed by SharePoint) Standard Field
Spec Number Manufacturing > Spec Number (Managed) Site Collection Calculated Spec
Facility Type Manufacturing > Spec
> Facility Spec
Text Site N/A Facilities
©2014 Optismo

77. Deploying Information
Architecture
©2014 Optismo

78. Deploying Information
Architecture
• Site Structure Is Deployed Through Creation
Of Individual Sites
©2014 Optismo

79. Deploying Information
Architecture
• Site Structure Is Deployed Through Creation
Of Individual Sites
• Should be iterations of Site Templates
©2014 Optismo

80. Deploying Information
Architecture
• Enterprise Content Types should be created
through the Content Type Hub
©2014 Optismo

81. Deploying Information
Architecture
• Enterprise Content Types should be created
through the Content Type Hub
• May Use Multiple Hubs for Alternate
Syndication (Example: HR, Security, etc.)
©2014 Optismo

82. Deploying Information
Architecture
• Enterprise Metadata Fields should be
deployed through the Managed Metadata
Service
©2014 Optismo

83. Deploying Information
Architecture
• Managed Term Sets and Terms should be
deployed through the Term Store
©2014 Optismo

84. Sustaining Information
Architecture
©2014 Optismo

85. Sustaining Information
Architecture
• Prepare for change
©2014 Optismo

86. Sustaining Information
Architecture
• Prepare for change
• Leverage tagging information, search data,
user feedback to modify IA over time
©2014 Optismo

87. Sustaining Information
Architecture
• Prepare for change
• Leverage tagging information, search data,
user feedback to modify IA over time
• Establish IA ownership
©2014 Optismo

88. Sustaining Information
Architecture
• Prepare for change
• Leverage tagging information, search data,
user feedback to modify IA over time
• Establish IA ownership
• Establish schedule for ongoing IA review
©2014 Optismo

89. The Optismo Model of
SharePoint Governance
Nick Inglis
Founding Partner, Optismo; Co-Founder, The
Information Governance Conference; Author,
AIIM SharePoint Governance Toolkit.

90. Information Gathering
©2014 Optismo
Foundational
Information
Guide Strategy
Implementation
Planning
What We’ll Cover
Foundational Activities

91. Foundational Activities
Information Gathering
Governance Areas
©2014 Optismo
Foundational
Information
Guide Strategy
Implementation
Planning
What We’ll Cover
Content
Design &
Structure
Development People/Roles Security Classification

92. What
IS
©2014 Optismo
SharePoint
Governance?

93. What
Ask 10 experts… IS
SharePoint
©2014 Optismo
Governance?
get 20 answers.

94. Why Is That?
©2014 Optismo

95. Why Is That?
Governance is expansive.
©2014 Optismo

96. Why Is That?
Governance is expansive.
It reaches all parts of an organization.
©2014 Optismo

97. Why Is That?
Governance is expansive.
It reaches all parts of an organization.
It is approached differently by the many
stakeholders.
©2014 Optismo

98. ©2014 Optismo
Driven by
business
requirements

99. ©2014 Optismo
Driven by
business
requirements
Content
Design &
Structure
Development
People/Role
s
Classificatio
n
Security

100. Information
Gathering
©2014 Optismo
Foundational
Information
Guide Strategy
Implementation
Planning
Starting Off Right

101. Foundationa
l Activities Information
©2014 Optismo
Gathering
Foundational
Information
Guide Strategy
Implementation
Planning

102. Foundational Activities
©2014 Optismo
Gather Data &
Identify Trends
Develop representative
user profiles
Align questions to gap
analysis mapping
Gather
1 on 1 interviewing
Surveys
Workshops
Information
Gathering

103. Foundational Activities
©2014 Optismo
Gather Data &
Identify Trends
Develop representative
user profiles
Align questions to gap
analysis mapping
Gather
1 on 1 interviewing
Surveys
Workshops
Information
Gathering

104. Foundational Activities
©2014 Optismo
Gather Data &
Identify Trends
Develop representative
user profiles
Align questions to gap
analysis mapping
Gather
1 on 1 interviewing
Surveys
Workshops
Information
Gathering

105. Foundational Activities
©2014 Optismo
Gather Data &
Identify Trends
Develop representative
user profiles
Align questions to gap
analysis mapping
Gather
1 on 1 interviewing
Surveys
Workshops
Information
Gathering

106. Foundational Activities
©2014 Optismo
Gather Data &
Identify Trends
Develop representative
user profiles
Align questions to gap
analysis mapping
Gather
1 on 1 interviewing
Surveys
Workshops
Information
Gathering

107. Foundationa
l Activities Information
©2014 Optismo
Gathering
Foundational
Information
Guide Strategy
Implementation
Planning

108. Foundational Activities
Establish The Role of SharePoint
SharePoint as:
Development Platform
Content Management
Social Platform
Etc.
Foundational Information
©2014 Optismo
Establish Role of Cooperating Systems
What Connects?
Data Connections
UI Connections
Process Connections
Assess Maturity
Establish maturity
assessment for:
Systems/Technology
Culture
Compliance
Etc.
Identify External Factors
Budget
Policy
M&A Activity
Systems
Replacements
Etc.
Foundationa
l Overview
Document

109. Foundational Activities
Establish The Role of SharePoint
SharePoint as:
Development Platform
Content Management
Social Platform
Etc.
Foundational Information
©2014 Optismo
Establish Role of Cooperating Systems
What Connects?
Data Connections
UI Connections
Process Connections
Assess Maturity
Establish maturity
assessment for:
Systems/Technology
Culture
Compliance
Etc.
Identify External Factors
Budget
Policy
M&A Activity
Systems
Replacements
Etc.
Foundationa
l Overview
Document

110. Foundational Activities
Establish The Role of SharePoint
SharePoint as:
Development Platform
Content Management
Social Platform
Etc.
Foundational Information
©2014 Optismo
Establish Role of Cooperating Systems
What Connects?
Data Connections
UI Connections
Process Connections
Assess Maturity
Establish maturity
assessment for:
Systems/Technology
Culture
Compliance
Etc.
Identify External Factors
Budget
Policy
M&A Activity
Systems
Replacements
Etc.
Foundationa
l Overview
Document

111. Foundational Activities
Establish The Role of SharePoint
SharePoint as:
Development Platform
Content Management
Social Platform
Etc.
Foundational Information
©2014 Optismo
Establish Role of Cooperating Systems
What Connects?
Data Connections
UI Connections
Process Connections
Assess Maturity
Establish maturity
assessment for:
Systems/Technology
Culture
Compliance
Etc.
Identify External Factors
Budget
Policy
M&A Activity
Systems
Replacements
Etc.
Foundationa
l Overview
Document

112. Foundational Activities
Establish The Role of SharePoint
SharePoint as:
Development Platform
Content Management
Social Platform
Etc.
Foundational Information
©2014 Optismo
Establish Role of Cooperating Systems
What Connects?
Data Connections
UI Connections
Process Connections
Assess Maturity
Establish maturity
assessment for:
Systems/Technology
Culture
Compliance
Etc.
Identify External Factors
Budget
Policy
M&A Activity
Systems
Replacements
Etc.
Foundationa
l Overview
Document

113. Foundational Activities
Establish The Role of SharePoint
SharePoint as:
Development Platform
Content Management
Social Platform
Etc.
Foundational Information
©2014 Optismo
Establish Role of Cooperating Systems
What Connects?
Data Connections
UI Connections
Process Connections
Assess Maturity
Establish maturity
assessment for:
Systems/Technology
Culture
Compliance
Etc.
Identify External Factors
Budget
Policy
M&A Activity
Systems
Replacements
Etc.
Foundationa
l Overview
Document

114. Foundationa
l Activities Information
©2014 Optismo
Gathering
Foundational
Information
Guide Strategy
Implementation
Planning

115. Foundational Activities
Guide Strategy
©2014 Optismo
Technology
Roadmap
Gap Analysis
Reference
Architecture
Guiding Principles

116. Foundational Activities
Guide Strategy
©2014 Optismo
Technology
Roadmap
Gap Analysis
Reference Architecture
Guiding Principles
Guiding Principles:
Statement(s) Encompassing-
Overall Program Goals
Beliefs & Desires
Desired Outcomes
Overarching Theme

117. Foundational Activities
Guide Strategy
©2014 Optismo
Technology
Roadmap
Gap Analysis
Reference Architecture
Guiding Principles
Reference Architecture-
Maps Functionality to Enterprise
Systems To Help:
• Identify Functionality Gaps
• Identify Systems For
Standardization
• Identify Systems For Retirement

118. Foundational Activities
Guide Strategy
©2014 Optismo
Technology
Roadmap
Gap Analysis
Reference Architecture
Guiding Principles
Gap Analysis-
Through surveying, interviewing,
workshops.
Identify areas for improvement in
Culture, Functionality, Systems, etc.

119. Foundational Activities
Guide Strategy
©2014 Optismo
Technology
Roadmap
Gap Analysis
Reference Architecture
Guiding Principles
Technology Roadmap-
Identifies an overall continuum of
systems over the next 3-5 years to
which functionality may be aligned.

120. Foundationa
l Activities Information
©2014 Optismo
Gathering
Foundational
Information
Guide Strategy
Implementation
Planning

121. Foundational Activities
Implementation Planning
©2014 Optismo
Document
Requirement
s
Develop A
Business
Case & Gain
Approval

122. Foundational Activities
Document
Requirements
Implementation Planning
©2014 Optismo

123. Foundational Activities
Document
Requirements
Implementation Planning
©2014 Optismo
Leverage existing standards & methodologies
• IEEE Standard 830-1998
• Unified Modeling Language (UML)
• Rational Unified Process (RUP)

124. Foundational Activities
Document
Requirements
Implementation Planning
©2014 Optismo
Leverage existing standards & methodologies
• IEEE Standard 830-1998
• Unified Modeling Language (UML)
• Rational Unified Process (RUP)
Number for tracing

125. Foundational Activities
Document
Requirements
Implementation Planning
©2014 Optismo
Leverage existing standards & methodologies
• IEEE Standard 830-1998
• Unified Modeling Language (UML)
• Rational Unified Process (RUP)
Number for tracing
Apply guiding principles

126. Foundational Activities
Document
Requirements
Implementation Planning
©2014 Optismo
Leverage existing standards & methodologies
• IEEE Standard 830-1998
• Unified Modeling Language (UML)
• Rational Unified Process (RUP)
Number for tracing
Apply guiding principles
Document assumptions

127. Foundational Activities
Document
Requirements
Implementation Planning
©2014 Optismo
Leverage existing standards & methodologies
• IEEE Standard 830-1998
• Unified Modeling Language (UML)
• Rational Unified Process (RUP)
Number for tracing
Apply guiding principles
Document assumptions
List policy, process, technical legal, and regulatory
constraints

128. Foundational Activities
Document
Requirements
Implementation Planning
©2014 Optismo
Leverage existing standards & methodologies
• IEEE Standard 830-1998
• Unified Modeling Language (UML)
• Rational Unified Process (RUP)
Number for tracing
Apply guiding principles
Document assumptions
List policy, process, technical legal, and regulatory
constraints
Describe functionality, not how functionality should be
developed

129. Foundational Activities
Document
Requirements
Implementation Planning
©2014 Optismo
Leverage existing standards & methodologies
• IEEE Standard 830-1998
• Unified Modeling Language (UML)
• Rational Unified Process (RUP)
Number for tracing
Apply guiding principles
Document assumptions
List policy, process, technical legal, and regulatory
constraints
Describe functionality, not how functionality should be
developed
Prioritize and/or Categorize

130. Foundational Activities
Develop A
Business
Case &
Gain
Approval
Implementation Planning
©2014 Optismo

131. Foundational Activities
Develop A
Business
Case &
Gain
Approval
Implementation Planning
©2014 Optismo
Rationale
Productivity
Knowledge Management
Compliance
Risk Management
Legal / Regulatory
Reducing eDiscovery
Costs
Improving Findability
Etc.
Purpose
Justification of action
Evaluation of options
Costs / Benefit analysis
Outline of commitments
Obtaining executive
commitment
Obtaining executive
approval
Outline
Cost
Areas
Hardware
Software
Program Execution
Training
Operations
Ongoing Maintenance
Outline
Benefits
Dollars saved
Time saved
Cost avoidance
Etc.

132. Foundational Activities
Develop A
Business
Case &
Gain
Approval
Implementation Planning
©2014 Optismo
Rationale
Productivity
Knowledge Management
Compliance
Risk Management
Legal / Regulatory
Reducing eDiscovery
Costs
Improving Findability
Etc.
Purpose
Justification of action
Evaluation of options
Costs / Benefit analysis
Outline of commitments
Obtaining executive
commitment
Obtaining executive
approval
Outline
Cost
Areas
Hardware
Software
Program Execution
Training
Operations
Ongoing Maintenance
Outline
Benefits
Dollars saved
Time saved
Cost avoidance
Etc.

133. Foundational Activities
Develop A
Business
Case &
Gain
Approval
Implementation Planning
©2014 Optismo
Rationale
Productivity
Knowledge Management
Compliance
Risk Management
Legal / Regulatory
Reducing eDiscovery
Costs
Improving Findability
Etc.
Purpose
Justification of action
Evaluation of options
Costs / Benefit analysis
Outline of commitments
Obtaining executive
commitment
Obtaining executive
approval
Outline
Cost
Areas
Hardware
Software
Program Execution
Training
Operations
Ongoing Maintenance
Outline
Benefits
Dollars saved
Time saved
Cost avoidance
Etc.

134. Foundational Activities
Develop A
Business
Case &
Gain
Approval
Implementation Planning
©2014 Optismo
Rationale
Productivity
Knowledge Management
Compliance
Risk Management
Legal / Regulatory
Reducing eDiscovery
Costs
Improving Findability
Etc.
Purpose
Justification of action
Evaluation of options
Costs / Benefit analysis
Outline of commitments
Obtaining executive
commitment
Obtaining executive
approval
Outline
Cost
Areas
Hardware
Software
Program Execution
Training
Operations
Ongoing Maintenance
Outline
Benefits
Dollars saved
Time saved
Cost avoidance
Etc.

135. Governance
Areas Content
©2014 Optismo
Design & User
Experience
Development People/Roles
Security Classification

136. ©2014 Optismo
Content Governance
Develop &
Implement
Retention Policies
Across All
Information
Establish
Content Type
Structure &
Rules
Site Provisioning
Standardize
Metadata
(Columns)
Library & List
Standards
Content
Develop & Implement
Retention Policies
Across All Information
Establish Content Type
Structure & Rules
Standardize Metadata
(Columns)
Library & List
Standards
Site Provisioning

137. Content Content Governance
Develop & Implement
Retention Policies
Across All Information
©2014 Optismo

138. Content
Develop & Implement
Retention Policies
Across All Information
Establish Retention & Disposition
rules at the outset across ALL
organizational information.
©2014 Optismo
Content Governance

139. Content
Develop & Implement
Retention Policies
Across All Information
Establish Retention & Disposition
rules at the outset across ALL
organizational information.
Develop categories and length of
time to keep.
©2014 Optismo
Content Governance

140. Content
Develop & Implement
Retention Policies
Across All Information
Establish Retention & Disposition
rules at the outset across ALL
organizational information.
Develop categories and length of
time to keep.
Automatically identify and
categorize based on…
©2014 Optismo
Content Governance

141. Content
Develop & Implement
Retention Policies
Across All Information
©2014 Optismo
Content Governance
Location
• Site Collection
• Site
• Library
Content
Types
Columns /
Metadata
Fields
Establish Retention & Disposition
rules at the outset across ALL
organizational information.
Develop categories and length of
time to keep.
Automatically identify and
categorize based on…

142. Content
Develop & Implement
Retention Policies
Across All Information
©2014 Optismo
Location
• Site Collection
• Site
• Library
Content
Types
Columns /
Metadata
Fields
For example:
Content Governance

143. Content
Develop & Implement
Retention Policies
Across All Information
©2014 Optismo
Content Governance
Location
• Site Collection
• Site
• Library
Content
Types
Columns /
Metadata
Fields
For example:
Content uploaded to –
Marketing Site

144. Content
Develop & Implement
Retention Policies
Across All Information
©2014 Optismo
Content Governance
Location
• Site Collection
• Site
• Library
Content
Types
Columns /
Metadata
Fields
For example:
Content uploaded to –
Marketing Site
Operations Library

145. Content
Develop & Implement
Retention Policies
Across All Information
©2014 Optismo
Content Governance
Location
• Site Collection
• Site
• Library
Content
Types
Columns /
Metadata
Fields
For example:
Content uploaded to –
Marketing Site
Operations Library
Content Type: Contract

146. Content
Develop & Implement
Retention Policies
Across All Information
©2014 Optismo
Content Governance
Location
• Site Collection
• Site
• Library
Content
Types
Columns /
Metadata
Fields
For example:
Content uploaded to –
Marketing Site
Operations Library
Content Type: Contract
We know this is a marketing
contract.

147. Content Cannot
Be Added
Content Can Be
Added
Admins Can
Extend
©2014 Optismo
Content
Type Hub
Content
Type A
Child
Content
Type A
Sub Child
Content
Type A1
EXTENDABLE
Sub Child
Content
Type A2
EXTENDABLE
Sub Child
Content
Type A3
EXTENDABLE
Sub Child
Content
Type A4
EXTENDABLE
Content
Type B
Child
Content
Type B
Content
Type C
Content
Type D
Content
Establish Content Type
Structure & Rules
Content Governance
• Columns Can Be
Added By Enterprise
• Metadata Can Be
Added By Users
• May Add Add’l
Existing Metadata
Fields

148. ©2014 Optismo
Content
Types
Scope
Enterprise Site Collection Site
Columns
Term Sets
Global Local
Workflow
OOB Custom
Forms &
Document
Templates
Information
Management
Policies
Auditing Retention
Labeling
Print
Restrictions
Content
Establish Content Type
Structure & Rules
Content Governance

149. ©2014 Optismo
Include your Metadata (Column) Plan
Content
Standardize Metadata
(Columns)
Content Governance

150. ©2014 Optismo
Include your Metadata (Column) Plan
Categorize your Columns as Enterprise, Site
Collection, or Site. Include which Site Collection
or Site you are referring to with each set.
Content
Standardize Metadata
(Columns)
Content Governance

151. ©2014 Optismo
Include your Metadata (Column) Plan
Categorize your Columns as Enterprise, Site
Collection, or Site. Include which Site Collection
or Site you are referring to with each set.
Include your predefined Term Sets and Terms
(Microsoft has a “Term Set Worksheet” that can
be utilized.
Content
Standardize Metadata
(Columns)
Content Governance

152. ©2014 Optismo
Include your Metadata (Column) Plan
Categorize your Columns as Enterprise, Site
Collection, or Site. Include which Site Collection
or Site you are referring to with each set.
Include your predefined Term Sets and Terms
(Microsoft has a “Term Set Worksheet” that can
be utilized.
Show the relationship between various Term
Sets and Site Columns.
Content
Standardize Metadata
(Columns)
Content Governance

153. ©2014 Optismo
For those with SharePoint 2013, ensure that the built in Site
Provisioning process aligns with your organizational
requirements for Site Provisioning.
For those with SharePoint 2010 or older, develop the related
forms, workflows and functions needed for Site Provisioning
based on your business requirements. As an example:
Authorized
User
Requests New
Site
Form Filled
Out Providing
Details of Use
Request
Evaluated By
Fulfillment
Site Created
Based On Site
Template (or
Denied)
Message Sent
To Requestor
Content
Establish Site
Provisioning
Content Governance

154. Governance
Areas Content
©2014 Optismo
Design & User
Experience
Development People/Roles
Security Classification

155. ©2014 Optismo
Design & User Experience
Establish Site
Organization
Establish
Branding
Establish Search
Configuration
Establish Site
Templates To
Carry Common
Permissions &
Functionality
Establish
Navigation
Rules
Rules
Design & User
Experience
Establish Site Organization
Establish Branding
Establish Site Templates To
Carry Common Permissions
& Functionality
Establish Navigation Rules
Establish Search
Configuration Rules

156. ©2014 Optismo
Design & User Experience
Develop primary Site Collection and Site
Organization, establish where new sites will be
created in the organizational hierarchy.
Primary
Intranet Site
Collection
Division A
R&D
Project Sites
Marketing
Project Sites
Division B
Sales
Sales
Initiative
Sites
Product
Management
Additional
Sites
HR Site
Collection
Executive
Site
Collection
Design & User
Experience
Establish Site Organization

157. ©2014 Optismo
Design & User Experience
Establish (leveraging Corporate Branding
Guidelines) Branding Guidelines for SharePoint.
Leverage Site Templates to carry these
guidelines to all Sites automatically.
Design & User
Experience
Establish Branding

158. ©2014 Optismo
Design & User Experience
Establish Common Permissions & Functionality
to be automatically carried on all new sites
created as a part of your Site Provisioning
process by leveraging Site Templates for all new
sites.
Design & User
Experience
Establish Site Templates To
Carry Common Permissions
& Functionality

159. ©2014 Optismo
Design & User Experience
Establish Navigation Rules for primary menus
and how those menus are inheritable through
newly provisioned Sites.
Design & User
Experience
Establish Navigation Rules

160. Design & User Design & User Experience
Experience
Establish Search
Configuration Rules
©2014 Optismo

161. ©2014 Optismo
Design & User Experience
• List appropriate crawl schedule info in Governance Plan.
Design & User
Experience
Establish Search
Configuration Rules

162. ©2014 Optismo
Design & User Experience
• List appropriate crawl schedule info in Governance Plan.
• Include pre-defined crawl schedule info (based on Site
Provisioning process & Site Templates)
Design & User
Experience
Establish Search
Configuration Rules

163. ©2014 Optismo
Design & User Experience
• List appropriate crawl schedule info in Governance Plan.
• Include pre-defined crawl schedule info (based on Site
Provisioning process & Site Templates)
• What is your process & schedule for mining “tagged”
information to add information to your term store and
thesaurus?
Design & User
Experience
Establish Search
Configuration Rules

164. ©2014 Optismo
Design & User Experience
• List appropriate crawl schedule info in Governance Plan.
• Include pre-defined crawl schedule info (based on Site
Provisioning process & Site Templates)
• What is your process & schedule for mining “tagged”
information to add information to your term store and
thesaurus?
• What is your policy on when “Best Bets” may be used?
Design & User
Experience
Establish Search
Configuration Rules

165. ©2014 Optismo
Design & User Experience
• List appropriate crawl schedule info in Governance Plan.
• Include pre-defined crawl schedule info (based on Site
Provisioning process & Site Templates)
• What is your process & schedule for mining “tagged”
information to add information to your term store and
thesaurus?
• What is your policy on when “Best Bets” may be used?
• What external sources of data will be connected with
Search?
Design & User
Experience
Establish Search
Configuration Rules

166. ©2014 Optismo
Design & User Experience
• List appropriate crawl schedule info in Governance Plan.
• Include pre-defined crawl schedule info (based on Site
Provisioning process & Site Templates)
• What is your process & schedule for mining “tagged”
information to add information to your term store and
thesaurus?
• What is your policy on when “Best Bets” may be used?
• What external sources of data will be connected with
Search?
• Establish a schedule for continuous Search improvement
Design & User
Experience
Establish Search
Configuration Rules

167. ©2014 Optismo
Design & User Experience
• List appropriate crawl schedule info in Governance Plan.
• Include pre-defined crawl schedule info (based on Site
Provisioning process & Site Templates)
• What is your process & schedule for mining “tagged”
information to add information to your term store and
thesaurus?
• What is your policy on when “Best Bets” may be used?
• What external sources of data will be connected with
Search?
• Establish a schedule for continuous Search improvement
• Who is responsible for managing search and following your
search improvement schedule?
Design & User
Experience
Establish Search
Configuration Rules

168. Governance
Areas Content
©2014 Optismo
Design & User
Experience
Development People/Roles
Security Classification

169. ©2014 Optismo
Development Governance
Establish Your
SharePoint
Environment
Rules
Establish Your
Ongoing
Server
Management
Plan
Establish Your Code
Deployment Process
Development
Establish Your
SharePoint
Environment Rules
Establish Your Code
Deployment Process
Establish Your
Ongoing Server
Management Plan

170. ©2014 Optismo
Development Governance
Establish Your
SharePoint
Environment
Rules
Establish Your
Ongoing
Server
Management
Plan
Establish Your Code
Deployment Process
Development
Establish Your
SharePoint
Environment Rules
Establish Your Code
Deployment Process
Establish Your
Ongoing Server
Management Plan
I am not a developer.
Work with your
development team to
understand your
business requirements.
I’ll give you the broad
strokes…

171. ©2014 Optismo
Development Governance
Establish your rules around SharePoint
environments for development, testing, and
production.
Development
Establish Your
SharePoint
Environment Rules

172. ©2014 Optismo
Development Governance
Establish your code deployment process(es).
Development
Establish Your Code
Deployment Process

173. ©2014 Optismo
Development Governance
Establish your code deployment process(es).
You may have different processes for coded
solutions, purchased (third party) solutions, and
codeless solutions.
Development
Establish Your Code
Deployment Process

174. ©2014 Optismo
Development Governance
Establish (or list) your primary server topology.
Development
Establish Your
Ongoing Server
Management Plan

175. ©2014 Optismo
Development Governance
Establish (or list) your primary server topology.
Establish (or list) your applications and
application pools, align with where they will be
utilized within your Site hierarchy.
Development
Establish Your
Ongoing Server
Management Plan

176. ©2014 Optismo
Development Governance
Establish (or list) your primary server topology.
Establish (or list) your applications and
application pools, align with where they will be
utilized within your Site hierarchy.
Establish (or list) your storage architecture.
Development
Establish Your
Ongoing Server
Management Plan

177. Governance
Areas Content
©2014 Optismo
Design & User
Experience
Development People/Roles
Security Classification

178. ©2014 Optismo
People / Roles
Establish
permissions
groups
Establish
support
channels and
roles
Establish
roles in
SharePoint
maintenance
Establish
group-based
training
requirements
People / Roles
Establish permissions
groups
Establish support
channels and roles
Establish group-based
training requirements
Establish roles in
SharePoint maintenance

179. ©2014 Optismo
People / Roles
Establish your primary permissions groups
(some organizations provide room in their
hierarchy for extending specific permissions as
to not create brand new groups).
People / Roles
Establish permissions
groups

180. ©2014 Optismo
People / Roles
Leverage your Site Templates to establish
various tiered levels of support related to the site
template. Site establishes modes of support
available.
People / Roles
Establish Support
Channels & Roles

181. ©2014 Optismo
People / Roles
Leverage your Site Templates to establish
various tiered levels of support related to the site
template. Site establishes modes of support
available.
Establish groups to provide support.
People / Roles
Establish Support
Channels & Roles

182. ©2014 Optismo
People / Roles
Leverage your Site Templates to establish
various tiered levels of support related to the site
template. Site establishes modes of support
available.
Establish groups to provide support.
Establish modes of support.
People / Roles
Establish Support
Channels & Roles

183. ©2014 Optismo
People / Roles
Leverage your Site Templates to establish
various tiered levels of support related to the site
template. Site establishes modes of support
available.
Establish groups to provide support.
Establish modes of support.
Establish support metrics.
People / Roles
Establish Support
Channels & Roles

184. ©2014 Optismo
People / Roles
Leverage your Site Templates to establish
various tiered levels of support related to the site
template. Site establishes modes of support
available.
Establish groups to provide support.
Establish modes of support.
Establish support metrics.
Example:
Tier 3:
Email
Tier 2:
Chat
Tier 1:
Phone
• Available for
Site Templates
A, B, C
• Available for
Site Templates
A & B
• Available by
Support Tech
invitation only
People / Roles
Establish Support
Channels & Roles

185. ©2014 Optismo
People / Roles
Establish Training Requirements by User Group.
Example Groups:
• Farm Administrators
• Developers
• End Users
• Site Admins
• Etc.
People / Roles
Establish Group-Based
Training Requirements

186. ©2014 Optismo
People / Roles
Establish roles in SharePoint’s ongoing
maintenance:
• Search configuration
• Site Provisioning
• Support
• User Onboarding
• User Decommissioning
• Records Management
• Etc.
People / Roles
Establish Roles In
SharePoint Maintenance

187. Governance
Areas Content
©2014 Optismo
Design & User
Experience
Development People/Roles
Security Classification

188. ©2014 Optismo
Security
Permissions
Inheritance
&
Divergence
Permissions
Group
Creation
Rules
Roles For
Administration
Hierarchy
Security
Permissions Inheritance
& Divergence
Roles For Administration
Hierarchy
Permissions Group
Creation

189. ©2014 Optismo
Security
For permissions, you’re defining who has access
to what. I am a visual person, so I take my site
structure chart and start to draw circles creating
groups of permissions.
Security
Permissions Inheritance
& Divergence

190. ©2014 Optismo
Security
For permissions, you’re defining who has access
to what. I am a visual person, so I take my site
structure chart and start to draw circles creating
groups of permissions.
I then use points of divergence to get more
granular asking myself the questions “Does a
person in Dept. A have access to Dept. B?”, etc.
Security
Permissions Inheritance
& Divergence

191. ©2014 Optismo
Security
For permissions, you’re defining who has access
to what. I am a visual person, so I take my site
structure chart and start to draw circles creating
groups of permissions.
I then use points of divergence to get more
granular asking myself the questions “Does a
person in Dept. A have access to Dept. B?”, etc.
List your groups by their permissions access to
inform your user groups.
Security
Permissions Inheritance
& Divergence

192. ©2014 Optismo
Security
Administration, likewise, should have a specific
hierarchy and access roles.
Security
Roles For Administration
Hierarchy

193. ©2014 Optismo
Security
Administration, likewise, should have a specific
hierarchy and access roles.
Utilize inheritance to establish your administrator
roles and sets of permissions.
Security
Roles For Administration
Hierarchy

194. ©2014 Optismo
Security
Administration, likewise, should have a specific
hierarchy and access roles.
Utilize inheritance to establish your administrator
roles and sets of permissions.
Microsoft has a useful “Administrators & Owners
Worksheet” which can be utilized.
Security
Roles For Administration
Hierarchy

195. ©2014 Optismo
Security
Establish a set of rules around the creation or
modification of user permissions groups to be
followed by your administrative team.
Security
Permissions Group
Creation Rules

196. Governance
Areas Content
©2014 Optismo
Design & User
Experience
Development People/Roles
Security Classification

197. ©2014 Optismo
Classification Governance
Establish
Consistent
Classification
Establish
Content
Type Groups
Leveraging
The Content
Organizer
Managed
Metadata
Service
Rules & Use
Content
Type Hub
Rules & Use
Classification
Establish Consistent
Classification
Establish Content
Type Groups
Managed Metadata
Service Rules & Use
Content Type Hub
Rules & Use
Leveraging The
Content Organizer

198. ©2014 Optismo
Classification Governance
Establish classification or naming standards.
Classification
Establish Consistent
Classification

199. ©2014 Optismo
Classification Governance
Establish classification or naming standards.
These rules may come from your Records
Management team or from a specific regulation
that is required.
Classification
Establish Consistent
Classification

200. ©2014 Optismo
Classification Governance
Establish classification or naming standards.
These rules may come from your Records
Management team or from a specific regulation
that is required.
Organizations that are in highly regulated sectors
generally have these rules, you may or may not
have any classification or naming standards that
are required.
Classification
Establish Consistent
Classification

201. ©2014 Optismo
Classification Governance
Content Type grouping is something that I
generally utilize to ensure compliance with
Retention & Disposition standards. I generally
base my overall groups by the length of time for
which the information must be retained.
Classification
Establish Content
Type Grouping

202. ©2014 Optismo
Classification Governance
Define processes and usage restrictions for
adding or changing classification terms in the
managed metadata service and term store.
Classification
Managed Metadata
Service Rules & Use

203. ©2014 Optismo
Classification Governance
Define processes and usage restrictions for
adding or changing enterprise content types.
Classification
Content Type Hub
Rules & Use

204. ©2014 Optismo
Classification Governance
Define processes and usage restrictions for
adding or changing enterprise content types.
Define the process and usage restrictions for
extending enterprise content types.
Classification
Content Type Hub
Rules & Use

205. ©2014 Optismo
Classification Governance
Define processes and usage restrictions for
adding or changing enterprise content types.
Define the process and usage restrictions for
extending enterprise content types.
It may be helpful to list some example scenarios
for which adds/edits may be made.
Classification
Content Type Hub
Rules & Use

206. ©2014 Optismo
Classification Governance
Define processes and usage restrictions for
adding or changing enterprise content types.
Define the process and usage restrictions for
extending enterprise content types.
It may be helpful to list some example scenarios
for which adds/edits may be made.
Establish approval or workflow required to make
changes.
Classification
Content Type Hub
Rules & Use

207. ©2014 Optismo
Classification Governance
Establishing automation through the use of the
Content Organizer is can be useful for Records
Management, workflow fulfillment, publishing
processes, etc.
Classification
Leveraging The
Content Organizer

208. ©2014 Optismo
Classification Governance
Establishing automation through the use of the
Content Organizer is can be useful for Records
Management, workflow fulfillment, publishing
processes, etc.
Establish rules and roles for the usage of the
Content Organizer.
Classification
Leveraging The
Content Organizer

209. ©2014 Optismo
Classification Governance
Establishing automation through the use of the
Content Organizer is can be useful for Records
Management, workflow fulfillment, publishing
processes, etc.
Establish rules and roles for the usage of the
Content Organizer.
Define Content Organizer criteria for primary
enterprise processes and any usage in
conjunction with Workflow and/or Forms.
Classification
Leveraging The
Content Organizer

210. Information Gathering
©2014 Optismo
Foundational
Information
Guide Strategy
Implementation
Planning
Recap
Foundational Activities

211. Foundational Activities
Information Gathering
Governance Areas
©2014 Optismo
Foundational
Information
Guide Strategy
Implementation
Planning
Recap
Content
Design &
Structure
Development People/Roles Security Classification

212. Questions?

213. Thank you.
Nick Inglis, ECMm, SharePointM, E20m, IMCP
Founding Partner, Optismo
Co-Founder, The Information Governance Conference
Author, AIIM SharePoint Governance Toolkit
Twitter: @NickInglis | @Optismo | @InfoGovCon
Email: nick.inglis@optismo.com
www.NickInglis.com | www.Optismo.com | www.InfoGovCon.com