One of the first things to understand, when managing records in Microsoft 365, is where the records are stored.
Generally speaking, most records will be stored in either (a) Exchange mailboxes (which also store the ‘compliance copies’ of Teams chats) or (b) SharePoint sites (including sites linked with MS Teams). Some emails may be copied to SharePoint and some records may also end up in OneDrive accounts.
Records should provide evidence of business activities and may also be associated with metadata. But while records may be evidence of such activities, compliance requirements may differ. For example:
- Some records must be retained permanently and transferred to archival institutions as a public record, while others may be of temporary or transient value.
- The evidentiary value of records may depend on the context and content of the record. For example, records detailing a high value contract decision versus the minutes of a low-level team meeting.
With the above differences in mind, the following is a suggested decision tree for the management of records, in a controlled Microsoft 365 environment. This decision tree will not apply in organisations where end-users can create their own Teams and SharePoint sites.
The decision tree below starts with the simple question to the end-user or business area wanting a new Team or SharePoint site:
The answer to this question should help to identify what type of SharePoint site, or Team (with a SharePoint site), is required to manage the records. Note that ALL of the boxes should be considered BEFORE a site (or Team) is created.
Note: the box outline colours represent the four different types of site that are likely to be created.
How will the content be accessed?
It is important to understand how end-users will create, capture, manage and access the content that is stored in SharePoint.
Microsoft have made it clear that they expect ‘most’ end-users will access SharePoint via Teams.
They may also sync the SharePoint document library to File Explorer. If that option is not removed, then it is important to ensure that end-users know how to access the Recycle Bin and version history by going to the Files tab in Teams and clicking on ‘Open in SharePoint’.
If end-users are likely to mostly use the Teams Files tab or the synced version in File Explorer, it may be useful to suggest that they save the SharePoint site as a favourite in their browser.
It is important not to lose site of the Microsoft 365 Group-based option which gives the Group an email account that can be accessed via Outlook (the SharePoint site for the Group can also be accessed directly in Outlook Online).
What type of SharePoint site will be required?
Once the two points above are clear, it is then possible to understand what type of site will need to be created, and how the records will (or will need to) be managed. For example, if Content Types and/or additional metadata is required.
As a general rule, the SharePoint sites linked with Teams are more likely to remain simple, folder-based libraries because, while additional Content Types and metadata can be used, end-users may not react favourably to additional document saving requirements, especially if they access the library via File Explorer.
Organisations with more complex recordkeeping requirements might consider establishing SharePoint sites dedicated for that purpose and accessed via the browser. These may and may not be linked with Microsoft 365 Groups.
The following shows how the new site will be created (if it’s not scripted). Microsoft recently announced that it will add the ‘Created From’ column to the list of active sites in the SharePoint admin portal.
Different site types are likely to have different security controls. Team/Microsoft 365 Group-based sites use the Group Owners and Members to restrict access to the SharePoint site (the Owners and Members Group are added (respectively) to the Owners and Members permission group of the SharePoint sites), whereas a SharePoint site not linked with an M365 Group is more likely to use Security Groups.
Communication sites are likely to have very few Members and ‘Everyone except external users’ added to the Visitors permission group.
Finally, a decision needs to be made about what type of retention policy will be applied to the SharePoint site or the content stored in it. My suggestion is to apply a broad ‘safety net’ retention policy to all SharePoint sites and then use label-based policies as necessary.
As much as possible, the content of sites should ‘map’ to business function and the retention classes in that business function. For example, try to avoid storing legal records with HR records and property records on the same site. Retention management will get complicated.
Label-based policies might have no disposal outcome (‘Do nothing’) but they ensure that the records cannot be destroyed and are labelled accordingly. For example, records that are of permanent value could be labelled with a ‘Do nothing’ retention label in dedicated document libraries where edit rights have been removed, thereby locking them from disposal.
Once the site has been created, it should be provisioned with three key elements shown below.
- Records managers should be assigned to a Security Group that is added to the Site Collection Admin area of every SharePoint site. This will allow records managers to manage the content of those sites.
- Document IDs should always be enabled and configured (remembering they have a 12 character prefix limit)
- The SharePoint Viewers feature should be enabled on every site to provide visibility of who viewed the content.
The decision tree should help to guide the create of new sites and Teams (which have a SharePoint site) for the storage and management of records.
2 thoughts on “A decision tree for managing records in SharePoint and Teams”
Great simple explanation of what is a complex topic