Author: Government recordkeeping

The results are in for the survey on Office 365 and SharePoint Online (O365/SPO) that Public Record Office Victoria (PROV) circulated earlier this year. We received 34 responses covering nine government sectors, including four responses submitted anonymously. The results have been captured in a report and used to develop guidance material on post-implementation recordkeeping.


Survey Results

The results of the survey have been captured in the  Office 365 Survey Report. They showed that:

  • Victorian government agencies were mainly using O365/SPO as collaborative and information sharing spaces
  • Business rules and procedures were being used post-implementation to control records through governing user behaviour
  • Technical configuration adjustments reported by agencies were minimal
  • Where there was integration with an EDRMS or ECMS, records were being managed externally to O365/SPO
  • Gaps in agency information and records management knowledge, capability or responsibility were suggested by the large number of blank responses


Recommendations for agencies

The results showed a need for post-implementation guidance on how to manage records in O365/SPO. Our Office 365 Topic Page touches on what is needed for effective records management, some key components, and risks that may be encountered. It also includes the following nine recommendations for agencies:

  1. Investigate the administrative applications and tools used to manage records in O365/SPO
  2. Conduct a gap analysis to determine whether these controls are sufficient to manage records within their agency or whether additional controls/configuration/integration is needed
  3. Assess the culture of the agency to determine the probability and impact of users not complying with records management controls within the O365/SPO environment
  4. Set controls for records that consider the user experience and minimise risk of non-compliance
  5. Where third party plugs in are to be used, develop and maintain an integration management plan that specifies how the impact of Microsoft O365/SPO updates and upgrades will be monitored and risk to records minimised
  6. Determine where automation can be best applied to minimise risk to records and improve effective control of records
  7. Be aware of Microsoft O365/SPO records management functionality and how it can be used to manage disposal of agency records
  8. Conduct a gap assessment and management plan against disposal requirements to determine and minimise risk to records
  9. Consider and seek to minimise risk to records when determining whether to migrate records from a decommissioned system into O365/SPO

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