Posted in Electronic records, Exchange Online, Governance, Information Management, Microsoft Teams, Office 365, Office 365 Groups, Products and applications, Records management, Retention and disposal, SharePoint Online

Setting up SharePoint Online to manage records (as part of Office 365) – Part 1/3

This is the first of three posts that describe the main elements involved in setting up SharePoint Online to manage records.

This post focuses on the recordkeeping related elements in the Office 365 and Compliance admin portals:

  • Office 365 Admin – Licences, Roles and AD Groups (including Office 365 Groups)
  • Compliance Admin – Retention labels and policies (and some more options)

The second post focuses on SharePoint Online Admin centre configuration.

The third and last post focuses on SharePoint site collection provisioning and configuration to manage records

Office 365 admin center

O365AdminPortalUsersRolesGroups

The main elements that impact on the management of records in Office 365 are Users (for licences), Roles and Groups, as can be seen in the screenshot.

Users – licencing and applications

Organisations that acquire Office 365 will generally have the relevant licences required (a) to set up and administer SharePoint Online, and (b) for users to use it (and OneDrive for Business).

This post assumes that organisations will have at least an E3 licence which includes SharePoint for end users, visible as an app when they log on to https://office.com, along with all other applications included in the licence, for example Exchange/Outlook, OneDrive for Business, MS Teams and so on. End users with access to these items will also be able to download and use the equivalent mobile device apps.

Roles

The three key roles that impact on the management of records in SharePoint are as follows:

Global Admin (GA)

Global Admins:

  • Are responsible for managing the entire Office 365 environment. This includes creating new Groups (Security Groups, Distribution Lists and Office 365 Groups).
  • Are responsible for assigning key roles, including the SharePoint Administrator and Compliance Administrator (and other roles).
  • May have responsibility for, and/or the skills and knowledge required to set up and administer SharePoint Online and create new sites for the organisation.
  • May also be able to create and publish retention policies in the Compliance admin portal.

Note – Organisations that outsource the administration of Office 365 should always have at least one GA account to access the tenant if ever required. If they don’t have a log on, they should have or acquire a very good understanding of the access and privileges afforded to the outsourced company. 

SharePoint Administrator (SP Admin)

The SP Admin role will usually be a ‘system’ role that is responsible for managing the SharePoint environment, including OneDrive for Business. As noted above, a GA with the right skills can also manage the SharePoint environment. 

Generally speaking, SharePoint Administrators will focus on the technical and configuration aspects of SharePoint. They are not usually responsible for confirugint SharePoint to manage records, managing records, or creating and publishing retention policies. This role usually falls to either the GA or Compliance Administrator.

Compliance Administrator

The Compliance Admin role is responsible, among other things, for the creation and publishing of retention labels and policies in the Compliance Admin portal. A GA can perform this role (along with all other roles) if required.

Compliance Admins will usually be responsible for disposition reviews linked with retention labels, and be involved in eDiscovery cases.

The Compliance Admin can search and view the audit logs for all activity across Office 365 and can carry out broad content searches with the ability to export the content of those searches. As this role is relatively powerful, it should be limited to key senior individuals in the organisation.

Office 365 and Security Groups

Office 365 Groups are Azure/Exchange objects just like Security Groups and Distribution Lists. Accordingly, there should be controls around their creation, including naming conventions.

As every Office 365 Group has an associated SharePoint site, organisations should consider restricting the ability for end users to create Office 365 Groups, and only allowing Global Admins and members of a Security Group to do this. Neither SharePoint Admins or Compliance Admins would normally create AD Groups.

If the ability to create Office 365 Groups is not restricted, an Office 365 Group will be created with an associated SharePoint site whenever:

  • A new Team is created in MS Teams.
  • A new Group is created from Outlook.
  • A new Yammer Group/Community is created.

External sharing

The ability to share content externally from SharePoint and OneDrive for Business is controlled from the Office 365 Admin portal. This is a global setting that can be disabled by the Global Admins if required.

It is assumed, for the purpose of this post, that that setting is enabled to allow external sharing.

Note that enabling external sharing at the global level does not enable it globally for all SharePoint sites; sites must be individually modified to allow it.

Compliance Admin

The Compliance admin portal can be accessed by the GAs and also the Compliance Admins (and some other roles). It is where retention labels and policies are created (in line with the corporate file plan/BCS) and published, and disposition reviews are undertaken, so records managers need access.

Other options in this section that relate to the management of records include the audit logs, content search and eDiscovery.

Retention policies

Retention policies may be applied to all the key workloads in Office 365 where records are stored:

  • Exchange Online
  • SharePoint Online
  • OneDrive for Business
  • MS Teams
  • Office 365 Groups

Retention labels published as retention policies are visible to and can be applied by end-users. Generally these are more likely to be applied at the document library level rather than to individual records, or in mailboxes or OneDrive for Business.

Retention policies that are not based on labels may be applied to all, or parts of, the four workloads listed above. For example, they may be applied to all, or a sub-set of Exchange mailboxes or OneDrive for Business accounts, or SharePoint sites. Retention policies may also be applied to individual or team chats in MS Teams.

Organisations seeking to use retention policies in Office 365 should understand how these work, have a plan for their implementation, and keep track of what has been applied where.

  • Retention policies for all mailboxes or all ODfB accounts may replace previous on-premise backup options for those workloads. It is unlikely that end-users will (or will want to) apply retention labels published as policies to individual emails or folders in mailboxes or OneDrive.
  • SharePoint sites are likely to have either or a combination of explicit and implicit/invisible retention policies. Implicit, single period retention policies may be more suitable for entire smaller, short-lived SharePoint sites. Explicit retention policies may be more suitable for the diverse range of content on more complex and long-lasting sites. Some sites may be created and populated around the need to keep a particular type of record for a long period of time – for example, employee records.

Audit logs

The Office 365 audit logs are found in the Compliance admin portal. For an E3 licence, the content in the logs is stored for 90 days.

As audit logs are an important element in keeping records, organisations may need to consider ways to retain this content for a longer period.

Note – SharePoint document libraries record the name of anyone who edited a document (and also previous versions), but they don’t record the name of anyone who simply viewed it. SharePoint lists also include audit trails, making it possible to track changes in individual rows of a list.

Content searches and eDiscovery

The Compliance admin portal provides two similar options to search for content across Office 365. Both the Content Search and eDiscovery options provide the ability to establish a ‘case’ that can be run more than once.

The eDiscovery option provides the added ability to put content on Legal Hold. Advanced eDiscovery is available with a higher licence.

Next

Click on the links below to read the next two posts:

  • SharePoint Online Admin centre configuration.
  • SharePoint site collection provisioning and configuration to manage records.
Posted in Governance, Information Management, Microsoft Teams, Office 365, Office 365 Groups, Records management

Creating a Team in MS Teams creates a SharePoint site – and more

In recent weeks a number of organisations with ‘default’ Office 365 configuration settings have told me they are not using SharePoint but they are using MS Teams, and have even created new Teams.

Every new Team in MS Teams creates a linked SharePoint site via the Office 365 Group that is created when the Team is created. If the ability to create Office 365 Groups is not restricted the following is likely to happen:

  • Naming conventions go out the window. New Teams and SharePoint sites will probably be created with random names (eg ‘Andrews Team’, ‘Footy tipping’).
  • The SharePoint environment will ‘go feral’; new sites will not be provisioned according to business requirements.

This post describes what happens when a Team is created and recommends the creation of new Teams by creating an Office 365 Group.

What happens when a Team is created

At the bottom left of the MS Teams client is the option to ‘Join or create a team’. This option will be visible even if the ability to create Teams is not enabled for end users (because the control is on the creation of Office 365 Groups).

TeamCreate01

The dialogue box that opens gives the option to ‘Create Team’.

TeamCreate02

The user now has the choice to build a new team from scratch or create it from an existing Office 365 group or team. For the purposes of this post, we will assume the user chooses the first option.

TeamCreate03

The user is then asked if the team should be private, public or organisation wide. The options will affect the visibility of the Team to others. For the purpose of this post, the new Team is ‘Private’.

The next option is to name the site (‘Footy Tipping’) and give it a description.

TeamCreate05a

The user is then prompted to add members (people who have edit rights) to the new Team. They may add individuals by name, a distribution list, or a security group. If external access is allowed, they may also add people outside the organization as guests. People or groups that are added are made ‘Members’ by default but this may be changed to ‘Owners’.

A key point here is who will have access to the Team if there is a single Owner. What if that person leaves the organisation?

The new Team has been created with a ‘General’ channel. The three dots to the right of the name allow the Owner to modify the members of the Team, add channels, get a link to the Team (to send to others and delete the Team.

TeamCreate06

Along the top of the new Team are three default tab: Posts, Files, Wiki.

The ‘Files’ tab appears (for those who are new to this) to allow documents to be uploaded to the Team, Synced to their File Explorer and so on. This is actually the default Documents library of the SharePoint site that is created when the Office 365 Group is created when the Team is created.

TeamCreate07

What happens in Office 365 Groups

The end user is not likely to care much about what happens anywhere else, they have a new Team and can start chatting.

Meanwhile, in the Groups area of the Office 365 Admin portal, a new Office 365 Group appears. The Global Administrator should be keeping an eye on the creation of new Groups, if they are not controlled, especially if there is a requirement to adhere to naming conventions for all AD Groups (Distribution Lists, Security Groups, and Office 365 Groups).

The Group name has had the space removed in the Group’s email address (and, as we will see, in the SharePoint site). The Global Admin can review and change the Members.

TeamCreate09

The Global Admin may also changed the settings to allow external senders to email the Group and to send copies of Group conversations (in Outlook, see below) and events to Group members. (The Microsoft Teams settings takes the Global Admin to the MS Teams Admin portal).

TeamCreate10

So, an end user has ‘simply’ created a Team, but now there is a new Office 365 Group with a mailbox (not visible but can receive emails) and a SharePoint site.

What happens in Outlook

Every new Office 365 Group has an Exchange mailbox, similar to a shared mailbox, but when a new Team is created from MS Teams, the mailbox is not visible in Outlook. If the Global admin enables the ability to ‘send copies of group conversations and events to group members’, the group members may use that Group’s mailbox address.

The mailbox is visible when a Group is created first, which is a good reason to create a new Team by creating the Office 365 Group first.

Channel chat message are stored in a hidden folder in the Group’s mailbox, where they are subject to any retention policy applied to the chat messages, separate from any retention policy applied to the mailbox.

What happens in SharePoint

As noted already, every new Team gets a SharePoint site because the Team has created an Office 365 Group.

The SharePoint Admin will see the new site in the SharePoint admin portal:

TeamCreate11

The SharePoint Admin may, via the ‘Permissions’ section, view and update the Group Owner/s and also may add additional ‘Admins’. They may make the site a Hub site and decide whether the site can be shared externally or not (the default is not shared externally).

TeamCreate12

The SharePoint admin may also delete the site – but consider that it is not now just a site but a Team and also an Office 365 Group. Some care needs to be taken here – which should be deleted first, and what happens if a retention policy has been applied to the Teams channel or the Office 365 Group?

If the SharePoint admin opens the site they will see a standard ‘modern’ team site with a single default document library. This is the ‘Files’ library that appears as a tab in the Teams General channel.

In the Permissions section of the site, the Site Owners show as the Team owners group, and the Site members (add/edit rights) show as the Team members group. There are no site visitors.

TeamCreate13

If the SharePoint admin goes to Advanced permissions settings and clicks on Site Collection Administrators they will see that only the Footy Tipping Owners are in this section. Organisations should consider adding a Security Group, that includes any records or information managers, in this section. Otherwise, any records will be more difficult to manage and the records managers will need to request access from the SharePoint admin.

TeamCreate14

Two important points that are sometimes missed:

  • Aside from the Global and SharePoint admin, only the Team Owners and Members can access the SharePoint site.
  • The SharePoint site may be shared with another person (or Group) and given Member or Visitor access but this does NOT give them access to the Team channel. They need to be added to the Team Owners or Members to have access to the Team channel.

Summary

Allowing end users to create a Team in MS Teams has a flow-on effect:

  • It creates an Office 365 Group with an associated SharePoint site
  • It creates an Exchange mailbox
  • It will (initially, unless this is changed) make the SharePoint site inaccessible to records managers.
  • It gets complicated if it is decided to delete the Team, SharePoint site, or Office 365 Group.

It is recommended, in organisations rolling out MS Teams to end users, that the ability to create Office 365 Groups is disabled except for Global Admins, and any new Team is created from a new Office 365 Group that includes the option to ‘Add Microsoft Teams to your group’, as shown below:

TeamCreate15

This will result in the following outcomes:

  • Controlled creation of Office 365 Groups, SharePoint sites and Teams, with appropriate naming conventions.
  • A new and visible mailbox for both the Group and the Team.
  • Stop SharePoint from ‘going feral’ and becoming uncontrolled.
  • Establish better governance controls for recordkeeping.

 

 

Posted in Classification, Compliance, Electronic records, Governance, Information Management, Office 365, Products and applications, Records management, Retention and disposal, SharePoint Online

Shifting the paradigm for managing records – from EDRMS to Office 365

Computer systems used to to manage electronic documents and records, commonly known as ‘EDRMS’, have been around for at least 20 years.

Many (but not all) of these systems developed from electronic databases originally used to register and manage only paper records, replacing the old paper registers (hence ‘Registries’).

How does an EDRMS work

A common theme with most EDRM systems is that they describe (via metadata) and provide some kind of visual ‘file’ or ‘folder’ structure for digital objects, almost always stored in a linked network file store.

To store records in this way, EDRM systems required end-users to upload a copy of a digital object (document, email, photograph) to a pre-defined digital container, corresponding to a ‘file’ or ‘folder’. The digital file might have be assigned a range of metadata including the classification (business function and activity) or file plan details, title, business owner or area, and retention information.

Once an object was uploaded, end users were required to add metadata about the object, including the object ‘title’ (if it didn’t copy the original title). Additional metadata fields, for example ‘Document Type’, might also be required.

The system recorded the date and time the object was uploaded and who uploaded it. As noted, the system might copy some of the uploaded object’s metadata, for example the default title, date created and author.

The uploaded document then ‘became’ a record, visible ‘within’ a digital container (‘file’) along with other records.

EDRMModel2

EDRM systems had (at least) three weaknesses:

  • End-users were required to upload the records to the EDRMS, and to one correct container (file/folder)
  • The EDRMS contained a copy of a digital object that almost always remained in the original storage location (email, network file share)
  • The EDRMS tended to be based on records as documents (including emails, and sometimes photos). Newly evolving forms of record such as text messages, social media posts and new digital forms were difficult to upload without costly add-ons that didn’t necessarily capture everything

These weaknesses meant that:

  • End users avoided uploading records because it was extra work (uploading and then adding metadata)
  • The EDRMS contained only a percentage of all potential records stored in any location
  • The original copies of records, remained in email and network file shares

There were exceptions to this situation, but most (and very much in the minority in terms of total volume) involved the requirement to meet compliance obligations to capture certain types of records.

The Office 365 model

Microsoft took a different approach with the approach to records management in Office 365.

Instead of centralising the storage of records in one system or location (with the weaknesses described above), records in the Office 365 environment generally remain in their original location (Exchange Online, SharePoint Online, OneDrive for Business, MS Teams), where they are covered by an overarching records management framework.

O365RMModel
The Office 365 model for records management

What this means is that records can be stored in any of the above locations and managed in those locations through (among other things):

  • User types, licences and roles set in the Office 365 admin portal
  • Retention and other controls set in the Office 365 Security and Compliance admin portal/s (the two were split in early January 2020).

How the paradigm shifted

The paradigm has shifted from (a) an attempt to manage records in a single system where not everything is captured and originals remain in place in email and network file shares, to (b) the distributed management of records where originals remain in place (assuming SharePoint and OneDrive are used instead of network file shares and personal drives, and email remain in Exchange) and records are managed through ‘global’ settings.

The new paradigm does not exclude the ability to store (or aim to store) digital records in a single location – SharePoint Online (including for specific compliance reasons), but it provides the opportunity manage records wherever they are and use a range of additional tools to manage content from creation through to disposal.

Why the new paradigm matters

The new paradigm is likely to be counter-intuitive to many records (and other information) managers. Records management training for many years has been focused on the idea of storing and managing records in a central location with specific controls (classification, metadata and retention).

But the reality is that there are now too many digital records, and too many types of digital records, to ever expect these to be all stored in an EDRMS. And, even if only some are, what about all the others? Has a legal subpoena ever been focused only on records stored in the EDRMS?

Plan to manage records

Many organisations have acquired and are implementing Office 365, sometimes at the expense of the traditional EDRMS. It doesn’t take long for end-users to adopt the new technology because it is so easy to use.

Any suggestion that specific records now need to be copied to the EDRMS seems to be counter-intuitive. And yet, that is how some records managers continue to see Office 365 – as yet another source of records to be uploaded to the EDRMS. It is not a viable plan.

Records managers need to be at the forefront of planning for Office 365, in particular managing content across the four primary workloads. Records managers should be able to provide advice on:

  • The architecture of SharePoint Online
  • Controls around the creation of sites, including naming conventions and the ongoing management of sites
  • The structure of SharePoint Online sites, document libraries and metadata in particular
  • The retention model for Exchange Online, SharePoint Online, OneDrive for Business, MS Teams. This includes understanding existing disaster recovery arrangements and potentially replacing them with retention policies.
  • Disposal actions
  • Other compliance obligations

Plan for change

Moving away from the centralised management of records in an EDRMS to a less visible (for end-users) decentralised model, or even implementing Office 365 without any other previous document and records management system, requires careful change management.

End users (and records managers) used to the idea of uploading records to a central EDRMS may find the new ‘invisible’ and decentralised model of recordkeeping unusually simple (to the point of disbelief).

Consequently, additional re-assurance, training and awareness sessions, may be required to demonstrate and confirm how the records are managed in the new environment. There is potential for some ‘push back’ as, although it requires very little end-user effort, it manages more records than ever before, including in ‘personal’ spaces such as mailboxes and personal drives.

IT will also need to be involved as disaster recovery processes, such as backing up email and network file shares, may no longer be required.

For end users who have never had to use an EDRMS, change management activities might focus more on improving awareness and knowledge about how records will be managed in the future, including in ‘personal’ spaces.

 

Posted in Classification, Compliance, Electronic records, Governance, Information Management, Legal, Office 365, Office 365 Groups, Products and applications, Records management, SharePoint Online, Training and education

AI curated chaos or control – the equally valid but opposite ends of the SharePoint spectrum

There are, broadly speaking, two ‘bookend’ options when it comes to creating new SharePoint Online sites and the document libraries in those sites:

  • ‘Controlled’ model: The creation of new sites is restricted to a small group of individuals with admin rights, who also oversee the creation of document libraries and application of metadata. A combination of controlled and manually applied classification and metadata and retention policies are used to access and manage content over time. Artificial intelligence (AI) tools can also be used to manage content.
  • ‘Chaos/uncontrolled’ model: The creation of new sites, including the creation of document libraries is not restricted. AI tools (including auto-classification) and auto-applied retention policies are used to classify, access and manage content over time. This model assumes that any form of random categorisation applied by end users (e.g., library names, metadata) is mostly ignored by AI tools.

From a traditional information governance and records management (ISO 15498/ISO 16175) point of view, the second ‘chaos’ or uncontrolled model option seems to run counter to conventional wisdom and agreed standards.

From a practical point of view, the first ‘control’ model option seems to run counter to common sense given the volume and range of digital information and the difficulty of classifying or categorising information and records correctly.

Which option is better?

Confusingly, perhaps, the answer may be a combination of both.

  • Certain types of more formal records, such as those required for corporate compliance, formal policies, staff files, accounting information not stored in a finance system, property information, and/or product information, is almost certainly going to be better off in a controlled SharePoint sites with pre-defined libraries and metadata. These types of documents are more likely to be subject to records retention requirements and almost certainly may be subject to eDiscovery and legal holds.
  • Other types of less formal records, including ‘working’ documents, chats and conversations may be better off stored in uncontrolled SharePoint sites, including SharePoint sites linked with Office 365 Groups and Teams, and in MS Teams/Outlook. These types of records are less likely to be subject to records retention requirements but may be subject to eDiscovery and legal holds.

Ultimately, the way the organisation needs to implement Office 365, including SharePoint Online and apply retention policies and other options will depend on its need to comply with oversight and legal requirements (including minimum retention periods), and/or its tolerance for risk.

How does this work in Office 365/SharePoint Online?

If both options Organisations need to make a conscious decision to allow both options, and be prepared to manage both.

The key features of Office 365 and SharePoint to allow both options are listed below:

  • Office 365 retention policies apply to all of Exchange Online, all OneDrive for Business accounts, entire sites (invisible to users) or parts of sites (visible to users).
  • Some retention policies may be applied based on the auto-classification of records, subject to review.
  • The creation of SharePoint sites is either controlled (requested and provisioned) or uncontrolled (created by end users) via either (a) ‘Create sites’ in the end-user SharePoint portal or (b) when a new Team is created in MS Teams.
  • All sites, including Office 365 Group/Team sites are reviewed regularly for activity and inactive sites with no content of value deleted.
  • All controlled sites are assigned either an invisible retention policy or individual visible retention policies (with disposal review), depending on their content.
  • All uncontrolled sites are assigned an invisible retention policy. Uncontrolled and inactive sites with content are also made read only.

Features of controlled and uncontrolled SharePoint sites

SharePoint Online is quite different from older versions of the application and those who dismiss it based on previous experience should consider having another look as a lot has changed in the past couple of years.

SharePoint Online allows the creation of sites that contain important content that needs to be controlled of managed as records, as well as sites created and managed entirely by end-users. And, as an added bonus, all the content is stored in the one place, not in multiple locations (network drives, email servers, EDRM system, etc).

The elements that make up both types of sites, as well as ‘informational’ sites, are described below:

  • Controlled sites
    • Where the organisation’s official records are stored and managed.
    • Created by SharePoint Administrators.
    • More formal in nature, containing the official records.
    • Structure decided by business areas – for example, document libraries using agreed naming conventions.
    • Use of Content Types and site column or local library metadata to define the content.
    • Application of Office 365 retention policies to entire sites or individual document libraries, with disposal reviews. Auto-classification is less likely to be required as the content has already been structured as required.
  • Uncontrolled sites
    • Usually based on end-user created Office 365 Groups or MS Teams.
    • Where ‘working documents’ are created and managed, with the emphasis on allowing end-users collaborate and communicate easily and effectively – and move content to formal sites when required.
    • Created by end-users but naming monitored by SharePoint administrators (or using rules).
    • Informal in nature, used for working documents (effectively replacing personal and network file shares, and other unapproved systems).
    • A fluid structure for document libraries, driven by end-user requirements (not imposed by others).
    • Little if any use of Content Types or metadata.
    • Retention based on Group activity (E5 licences), otherwise based on Office 365 site retention policies and/or auto-classification options.
    • No disposal reviews – content is deleted after a given period of time.
  • Informative
    • Communication sites (e.g., ‘intranet’)
    • Used to publish information to the organisation

Things to watch out for

It is largely true that if you give people an option, someone is bound to try it, sooner or later, especially if it says ‘Create site’, ‘Create team’, or ‘Create group’. Early adopters learn quickly and can just as quickly abandon something that provides no benefit. 

In a ‘free for all’ SharePoint environment, where end-users can create new sites, teams or groups (both of the latter have a SharePoint site), the most likely issues will include:

  • Sites with names that are very similar to ones that already exist, created because the end-user didn’t know another existed (it may not be obvious) or didn’t like the name.
  • Sites with names that make no sense (including common acronyms) or are just ‘wrong’ or contrary to preferred naming conventions.
  • Sites used to create and store content that really should be stored in a more formal site or, conversely, doesn’t belong in the organisation’s official information systems (e.g., photos of someone’s wedding).

All of these issues require some general rules about the creation of new sites (or Office 365 Groups or Teams or Yammer Groups), including suggested naming.

Global and SharePoint admins can monitor the environment and fix issues when they arise rather than wielding a big stick.

What’s great about it

You can have the best of both worlds with SharePoint Online.

  • Keep formal official records in ‘formal’ sites with controlled structures and metadata.
  • Allow end-users to get on with creating, collaborating, sharing (one copy, not attachments), chatting, on any device.

If your communications and change management are good, end-users will soon learn how much fun it can be to use Teams, or access their content from File Explorer (or both!), without having to having to be trained how to save records. All they need to know is how to use the ‘Move’ option to move the final version of records to a formal site.

The foundation of any compliance program is knowing where all of your data lives and then classifying, labeling, and governing it appropriately.