Collaboration Tools Records Management Guide Collaboration Tools RM Guide This guide provides an overview of managing digital government information within “collaboration tools” such as MS Teams, OneDrive, or SharePoint. Other Records Management (RM) Guides may provide more detail on specific kinds of tools containing collaboration features, for example the RM Guide on Online Meetings. Contents 1. Introduction page 1 2. Who is Responsible? page 2 3. Managing Government Information in Collaboration Tools page 3 4. Next Steps page 5 5. Appendix – “How To” Examples page 6 1. Introduction The ways in which we work evolve along with the tools we use to create and manage government information. We need to ensure that our tools continue to support accountability, transparency, and trust in government information. This guide helps you to align your use of collaboration tools to the requirements in the Managing Government Information Policy (MGIP) and the Digital Principles for the Government of British Columbia. Employees assigned with ownership of a collaboration tool can use this guide to develop a recordkeeping action plan. All other employees using collaboration tools can use this guide to support appropriate recordkeeping. Section 3 and the Appendix will help you plan. 1.1 What are Collaboration Tools? Collaboration tools are any tools that help teams and groups work together. Collaboration tools can be used for physical in-person meetings or workshops, including materials such as post-it notes, flipcharts, and whiteboards. They can also be digital tools or software applications. Collaboration tools support business activities such as writing documents, having discussions, or tracking issue tickets. An application can be considered a collaboration tool when it is used simultaneously by multiple employees working together. Working this way can save time and effort otherwise spent passing a document from one person to another or editing separate copies and merging them later. Software features that allow people to collaborate include: ▪ co-editing documents stored in a shared location ▪ presentations and screen sharing ▪ exchanging chat messages and recording videos ▪ conducting polls ▪ updating calendars and tasks ▪ tracking interactions with clients as a team Government Records Service, Government of British Columbia Revised: 2021-07-15 page 1 Collaboration Tools Records Management Guide Software applications with collaboration features in use in BC Government include: ▪ Microsoft Office 365 (MS Teams, SharePoint, OneDrive, Skype, Planner, OneNote) ▪ ServiceNow ▪ Salesforce ▪ GitHub ▪ Mural ▪ Trello ▪ Slido Before using any new collaboration tools, check with your Ministry Information Security Officer (MISO) and Ministry Privacy Officer (MPO). 2. Who is Responsible? 2.1 Responsibilities in General Government bodies are responsible for creating and maintaining records that document their actions and decisions. Doing so ensures that these records will be managed in accordance with government legislation, policy, and standards. These include the Information Management Act, the Managing Government Information Policy, the Recorded Information Management Manual, and the Freedom of Information and Protection of Privacy Act (FOIPPA). Government employees are responsible for ensuring records they create or receive in all formats and systems, including collaboration tools, are filed in an appropriate recordkeeping system so they can be relied upon as evidence. Documenting Government Decisions To comply with the Information Management Act government bodies must: • ensure an appropriate system is in place for creating and maintaining government information • create and maintain adequate records of their decisions If records in your collaboration tool contain evidence of actions or decisions, they must be managed as records. For more information on what constitutes an appropriate recordkeeping system, and the requirements to document government decisions, see the Chief Records Officer Guidelines on Documenting Government Decisions. 2.2 Responsibilities when Using Collaboration Tools According to CPPM Chapter 12.3.6, “Information and technology assets must be classified, inventoried and recorded with an identified owner who is responsible for achieving and maintaining appropriate protection of those assets.” Assigning ownership is important because, as projects and teams shift, it will ensure that you and your coworkers will have someone to turn to provide access and to manage the records. Responsibility for records management can be assigned to a team leader, project owner, office manager and/or records Government Records Service, Government of British Columbia Revised: 2021-07-15 page 2 Collaboration Tools Records Management Guide management resource as part of their regular duties. Each collaboration tool will have its own configuration options, search interfaces, and means of migrating information to an appropriate recordkeeping system. Additional recordkeeping requirements include: ▪ Document how your team has configured and organized the collaboration tool to ensure the information can be maintained and migrated. Consult the relevant information schedule for appropriate classifications to use when filing. ▪ Consult the Government Information in the Cloud RM Guide when acquiring a new collaboration tool, to ensure that it meets government recordkeeping needs. ▪ When a collaboration tool is used by an inter-ministry or inter-jurisdictional committee or working group, identify a lead ministry to be the responsible secretariat for the committee’s records. 3. Managing Government Information in Collaboration Tools While collaboration tools are good for co-editing drafts with a team, they are not considered appropriate recordkeeping systems. As a result, any records of decisions and actions that they contain will need to be routinely moved to systems that are appropriate, such as: ▪ the government standard EDRMS Content Manager ▪ shared drives (i.e. “LAN”) organized and managed according to ARCS and ORCS ▪ line of business applications Most collaboration tools are not appropriate recordkeeping systems due to limited control over records and the potential for alteration or loss of records over time. Consistent and appropriate management can mitigate some risks, but limitations make them unsuitable for the long-term storage of government information and records. Risks of leaving government information within a collaboration tool include: ▪ Restricted access: Limited access to the information may mean employees who need access don’t have it, or access is lost over time as people move on or retire. ▪ Difficulty finding records: Records may not be named, classified or filed appropriately and may be missed when responding to requests under the Freedom of Information and Protection of Privacy Act (FOIPPA) or for a legal search. ▪ Incomplete records: The integrity, authenticity, and trustworthiness of records are not maintained. ▪ Unauthorized destruction: Records may be inadvertently destroyed due to ambiguous or inconsistent records management procedures. ▪ Inappropriate access: Leaving records in the tool beyond their active use may mean sensitive or confidential information is accidentally disclosed as permissions in the tool get updated. The rest of this section provides general principles for managing information in collaboration tools. In addition, the Appendix provides examples of how to apply these principles in specific applications. Government Records Service, Government of British Columbia Revised: 2021-07-15 page 3 Collaboration Tools Records Management Guide 3.1 Organizing Information in Collaboration Tools Follow information and records management best practices when using collaboration tools, regardless of their communication and documentation features. Use your office’s established naming conventions to name folders and files created in the collaboration tool – see the Naming Conventions RM Guide if you need help with those. Always use a standard format that includes elements like a clear description of the document, the version number, and the date of approval. Where possible, configure collaboration tools to automatically capture metadata. Identify all government information that needs to be moved to an appropriate recordkeeping system, either on a routine basis or at the conclusion of a project. This includes evidence of government business activities, official or final records, substantial drafts, correspondence, and records that document decisions. 3.2 Protecting Government Information within Collaboration Tools Copy, summarize, or transcribe information that provides evidence of a decision or work activity from any collaboration tool to an appropriate recordkeeping system. The most robust system to protect records as evidence is to use the government standard EDRMS Content Manager, which has strong security, auditing, and disposition control functions. Move records on a regular basis or when projects or communications are completed. Plan and test the migration of records from one system to another: ▪ Know what types of information and records must be migrated to an appropriate recordkeeping system. ▪ Know who is responsible for regularly ensuring records are migrated. ▪ Test what was migrated to an appropriate recordkeeping system to ensure the migration is complete and the information has not been altered unexpectedly. ▪ Confirm that the records remain accessible to appropriate users. ▪ When the migration is determined