1. USING SHAREPOINT TO MANAGE AUDITS SHAREPOINT April 12, 2016 ALGA Webinar Presented by: Mimi Nguyen Senior Performance Auditor

2. OPENING REMARKS Moderator R. Kinney Poynter Executive Director NASACT Speaker Mimi Nguyen Senior Performance Auditor City of Palo Alto (CA) Open and close your control panel Join audio: Choose Mic & Speakers to use VoIP Choose Telephone and dial using the information provided Submit questions and comments via the Questions panel Your Participation 2

3. LEARNING OBJECTIVES 1)Learn a general understanding of SharePoint. 2)Learn the benefits of using SharePoint to manage audits, its workpapers and workflow. 3)Learn how to utilize and apply SharePoint tools by reviewing a build of the City of Palo Alto City Auditor’s SharePoint site. 3

4. CITY OF PALO ALTO CITY AUDITOR’S OFFICE BACKGROUND 4 6 Full-time staff (which includes 1 City Auditor, 3 Senior Performance Auditors, 2 Performance Auditors) $12,000 budget for audit software, licensing and maintenance Minimal IT guidance and support

5. DOCUMENT MANAGEMENT Enterprise content management (ECM) is storing document content electronically and then making sure it is managed appropriately. How and where to store the documents. How to access and manage the documents stored. 5

6. GENERAL DOCUMENT MANAGEMENT CHALLENGES Process Effectiveness of team collaboration and document sharing. Efficiency of team communication. Efficiency of supervisory review and approval. Documents Consistency in document organization: Folders Naming or numbering Location Efficiency of document storage and retention. Access, security, and recovery. 6

7. 1 2 3 4 5 Working in File Folders: Multiple clicks to get to a document Documents hidden within folders (used or not) Duplicative documents within folders DOCUMENT MANAGEMENT SYSTEM DOCUMENTS IN FILE FOLDERS 7

8. DOCUMENT MANAGEMENT SYSTEM PROCESS IN TEAMMATE Working within a audit software system which manages workpapers within a defined audit process. However, the layering of process steps and the duplication of documents still present challenges. 8

9. DOCUMENT MANAGEMENT SYSTEM DOCUMENTS IN TEAMMATE Similar to working in file folders: Multiple clicks to get to a document Documents hidden within folders (used or not) Duplicative documents within folders 9

10. POLLING QUESTION 1 OF 2 For individuals : Please be sure to answer the polling questions as they are also your attendance checks for today’s webinar. For groups : Please answer in a way that reflects the consensus of the group. Attendance for groups is still monitored via the sign-in sheet. Don’t forget to send in your questions! 10

11. WHAT IS SHAREPOINT? A multipurpose application, including an Enterprise Content Management system. A platform for sharing information internally and/or externally, such as an intranet and shared drives. A team collaboration site. A highly customizable document and data depository with effective sort, filter, and search functionalities. 11

12. DOCUMENT MANAGEMENT WHAT IT SHOULD ACCOMPLISH People need the right information, in just the right amount, at just the right time. Business intelligence is transforming data into actionable information. Know your users and target the right presentation of data with the one that tells the story in the easiest and most useful way. Quoted from: Essential SharePoint 2013, Practical Guidance for Meaningful Business Results 12

13. HOW TO GET STARTED 3 KEY STEPS: 1)Understand your needs. 2)Plan your information architecture. 3)Design and develop your site and sub-site. 13

14. UNDERSTAND YOUR NEEDS CPA OFFICE OF THE CITY AUDITOR Manage audit and nonaudit projects Organize audit workpapers within a workflow process Document version control Document sort and filter capability Project status view Team task management and discussion view Team collaboration with secured access and audit trail Eliminate or decrease $12,000 annual cost 14

15. PLAN YOUR INFORMATION ARCHITECTURE Information Architecture provides the structure and framework that helps the user navigate and search to find what they need, complete the task they need to perform, and understand the information efficiently. The three types include: SitePageMetadata The navigational structure. The positioning of parts and content on each page. The structure of the content within it. 15

16. SITE ARCHITECTURE This is the navigational structure and dictates browser efficiency and effectiveness. Who are the main users? How does the user browse? How many clicks? How many layers down? How does it flow? Is it easy to find information? 16 sample

17. PAGE ARCHITECTURE Configuration of the page layout using a SharePoint template or custom designing your own.. 17

18. METADATA ARCHITECTURE Metadata is the organization and categorization of the content data. Efficiently organizes information by document, data, and/or workflow process. Data depository with sort, filter, and search functionality through the use of custom designed columns. Reduces or eliminates the use of file folders and hidden documents and data. 18

19. POLLING QUESTION 2 OF 2 For individuals : Please be sure to answer the polling questions as they are also your attendance checks for today’s webinar. For groups : Please answer in a way that reflects the consensus of the group. Attendance for groups is still monitored via the sign-in sheet. Don’t forget to send in your questions! 19

20. PAGE ARCHITECTURE OFFICE OF THE CITY AUDITOR 20 Brief, informative announcements for efficient team communicate High level view of active audits to inform project budget to actual Office-wide key performance measure goals Office-wide calendar of events, holidays, time-off, etc. High-level executive view LAYER ONE

21. PAGE ARCHITECTURE OFFICE OF THE CITY AUDITOR 21 More detailed information about the project hours and phase More detailed information about the project’s budget to actual Project specific calendar of events, such as meetings, project schedule by date, etc. Quick links for resources relevant to the audit Drilldown to a specific audit project LAYER TWO

22. PAGE ARCHITECTURE OFFICE OF THE CITY AUDITOR 22 Timeline view of project start and finish dates, and key milestones List of tasks grouped by milestones, expanded or collapsed view Drilldown to a specific nonaudit project LAYER TWO

23. 23 METADATA ARCHITECTURE OFFICE OF THE CITY AUDITOR COLUMNS 1 & 2: Audit Phase/Step & Workpaper Number Documents are organized by the phases of an audit. The phases follow the workflow process. Each document is assigned a workpaper number, under the audit phase which it supports, for supervisory approval and report referencing. COLUMN 3: Abbrv Document Type categorization of each document by type, a customized list of 18 document types developed and defined in the OCA policies and procedures manual. ALL COLUMNS: Sort Filter Ascend Descend Collapse Expand Search LAYER THREE

24. SHAREPOINT REFERENCES Users : Essential SharePoint 2013 – Practical Guidance for Meaningful Business Results by Jamison, Hanley, Bortlik ($49.99) Technical : Professional SharePoint 2013 Administration by Young, Caravajal, Klindt ($49.99) Link : How to Step-by-Step by Mimi Nguyen in mp4 format You-Tube videos : List of various Simon Sez IT SharePoint tutorials or his 3-hour course at http://bit.ly?1fBaoXNhttp://bit.ly?1fBaoXN 24

25. CONTACT INFORMATION Mimi Nguyen Senior Performance Auditor City of Palo Alto direct: 650-329-2651 mimi.nguyen@cityofpaloalto.org 25

26. QUESTION AND ANSWER SESSION Moderator R. Kinney Poynter Executive Director NASACT Please continue to submit your text questions and comments using the Questions panel Please raise your hand to be unmuted for verbal questions. Your Participation Speaker Mimi Nguyen Senior Performance Auditor City of Palo Alto (CA) 26

27. ATTENDANCE CHECK – FOR INDIVIDUALS ONLY  Please type “ I have completed the webinar.” in your Question toolbar.  Be sure to hit the send button after typing your response. 27