Many organizations are looking to Microsoft 365 to support their records management and compliance requirements, but what does a successful implementation actually look like?

This session featured a practical case study examining how Microsoft 365 was used as an Electronic Document and Records Management System (EDRMS). Through a case study, we explored the decisions, challenges, and lessons learned throughout the project. We also shared lessons learned focused on change management and identifying retention triggers.

Watch the webinar, read the Q&A, and download the slides below!

Q&A

• Have you encountered push back on retention triggers with staff wanting to keep everything permanently “just in case”? If so, how have you overcome that?

  Adding fields such as Completed Date or Effective Date can help because they make it easier to find, organize, and manage files over time. It's also helpful to remind staff that keeping more files does not necessarily make information easier to find. In fact, the more content that accumulates, the more time people often spend searching for what they need. 

  If there is still resistance, involve the people responsible for compliance and information governance. In many cases, organizations have legal, regulatory, or policy requirements that prevent records from being retained indefinitely, so keeping everything forever is rarely an option. 
  

• How would you handle records which have previously been brought into SharePoint from somewhere else? And then the date of upload becomes the created date, instead of the true created date.

  Great point! This is a common challenge unless you are using a specialized migration tool. One way to address it is by using date fields such as Completed Date or Meeting Date and populating them with the original dates from the source system. This helps preserve important context even when the upload date becomes the SharePoint created date. It does require some additional planning and effort to put in place, but it can be an effective approach.

• Do you apply a retention label during the collaboration window to protect the document from accidental deletion while it is active or only after?

  It depends. In some cases, you may want to apply the label immediately to prevent deletion. In others, you may prefer to give end users time to clean up versions or remove transitory content before the document is classified. 

  For records that are high value or would have a significant impact if lost, applying the label right away is typically the best approach. For other records, you may choose to delay applying the label until a later stage. 

  It is also worth noting that accidentally deleting a file in SharePoint can be difficult. When a user selects a record and chooses to delete it, SharePoint prompts for confirmation before the deletion occurs. Deleted documents are then moved to the Recycle Bin for 93 days. If a user removes a file from the Recycle Bin before that period ends, it can still be recovered from the second stage Recycle Bin, which is available to SharePoint administrators for the remainder of the 93 day retention period. As a result, recovering deleted files is generally straightforward. Deleted files can also appear in SharePoint search results if the Show files in the Recycle Bin option is enabled. 

• Are there smart ways to set up SharePoint sites in preparation for a RIM software (Purview, Collabware, etc.) implementation in the future?

  Absolutely! Following Gravity Union's SharePoint best practices will help create a strong user experience today while also making it much easier to implement a records management solution in the future. 

  A few high-level recommendations: 

  • Use one Microsoft 365 group connected site per department or business unit in most cases. 

  • Keep your structure as flat as possible. As a general rule, use one SharePoint site per function within a department and one records management classification per document library. 

  • Always use content types and publish them centrally through the Content Type Hub. 

  • Build your retention triggers into the solution from the beginning. Retrofitting retention processes later can be challenging and may require users to change established ways of working. Planning for retention early helps avoid disruption and makes future records management implementations much smoother. 

• How have you built destruction processes in SharePoint? Do you recommend automated destruction in any instances, or do you always have an approval process?

  This depends largely on your organization's existing disposition processes and governance practices. Some of our clients have been comfortable using automated destruction for records considered transitory, while others have taken a more cautious approach and preferred to have departments review those records first to ensure nothing was misclassified. 

  Both Purview Records Management and Collabspace support multi-stage disposition reviews if your organization requires additional oversight. In Purview Records Management, review stages are sequential and follow a defined path. Collabspace, on the other hand, supports branching workflows, allowing for more flexibility in the review and approval process.

• What about those departments and staff members who are more paper based? Any insights or past experiences on ways to support them?

  It depends if you are looking to be less paper based or help manage the paper.  

  If you’re looking to go digital, start by identifying whether the records are born digital or not. If records are created digitally but are being printed and filed, you can work with the department to establish a go forward digital approach. Collaborate with them to design, test, and refine the solution before rolling it out more broadly. 

  As staff begin using the new process, there will likely be some small adjustments along the way. However, with thorough testing, training, and practice before launch, the transition can be relatively smooth. Success also depends on the department being open to change and willing to adapt existing processes. 

  In our experience, most departments want to move toward a digital way of working but often struggle with the transition itself. Once a go forward process is in place, you can evaluate whether there is value in digitizing historical records or whether it makes more sense to manage them as paper records for the remainder of their lifecycle. 

  If the records originate as physical documents, you will need to establish a scanning process or explore opportunities to redesign the workflow so that records can be created and managed digitally from the start. 

• In terms of the records and disposition schedule. Are “big buckets” still the recommended approach?

  Medium sized buckets are typically the best approach because they strike the right balance between simplicity and manageability. 

  While large buckets can reduce the number of retention classifications, buckets that are too broad can create complex and time-consuming disposition processes. We generally recommend avoiding an approach where all classifications with the same retention period are grouped together. Instead, focus on the business function. For example, related classifications should be grouped under a single function with clear information owners. Corporate Policies might include all policy records within one classification owned by the Corporate Services department; while draft, working versions, or reference copies would be classified as transitory in other departments.  

  In some cases, it may make sense to separate classifications by business unit to streamline the disposition review process. For example, confidential Internal Audit investigations may only be reviewed by the Internal Audit team and should therefore use a distinct classification that is not shared with other teams. Most records management solutions support this approach and allow for custom disposition processes on each classification. Both Purview and Collabspace can reference SharePoint site permission groups if the information owners should be involved in the review directly. Ensure that you have procedures in place and end users will need to be properly trained on preforming disposition reviews.  

  It is important to consider how disposition reviews will be managed over time. We often recommend limiting direct access to the records management system to records managers, allowing them to process reviews in a timely manner and act as a liaison with the business units when input is required. 

  Finally, think about the long-term effort required to maintain the solution. Do you really want to manage and troubleshoot more than 500 classification labels and workflows over time? Finding the right balance between flexibility and simplicity will make the system easier to govern and sustain.

• Regarding shared links, is there a way to get a report on items in a document library that have been granted unique permissions through link sharing?

  Yes. Out of the box, SharePoint Site Administrators can generate a sharing report for a site, which is exported as a CSV file. This report can help identify files and folders that have been shared and highlight where access has been granted through sharing links. 

  For more information, see Report on file and folder sharing in a SharePoint site | Microsoft Learn. 

  As a best practice, consider training users to set expiration dates on sharing links, particularly when granting edit access to broad groups of people. This helps reduce the risk of permissions remaining in place longer than intended and supports better ongoing governance of shared content. 

• What strategy do you recommend for syncing SharePoint libraries to OneDrive? Is it allowed?

  We encourage using Shortcut to OneDrive, especially for saving between applications. Although files can be opened directly from a SharePoint library, first they are written to OneDrive before opening in the selected application. It can also save time when attaching files to emails or migrating content from shared drives to SharePoint. Shortcut to OneDrive is available across the devices you use, include mobile devices, and does not use much device storage.  

  Users should be trained to recognize shortcut folders in OneDrive and understand how they work. Although they look similar to regular folders, they mirror the live files in the SharePoint library and do not include custom metadata. Shortcut folders should be stopped or disconnected rather than deleted. 

  The ‘Sync’ option in a library, by contrast, will fully download the files to your specific device. This is an older feature that isn’t as visible from a library’s menu and is likely to be retired in the next few years. It has the same cautions as Shortcut, users cannot see custom metadata and should disable the sync instead of deleting the synced folder, while taking up considerable storage space on the users’ devices. Even in a scenario where a user would need to access files offline, they should use Shortcut to OneDrive and ‘Always remain available’ only the necessary files/libraries to their device. Think mission-critical files for disaster recovery, or if working in remote areas without stable connection (anyone going to space?).  

Presenters

Jessica Dobson
Digital Transformation Analyst

Jessica is a Digital Transformation Analyst specializing in SharePoint and Records Management with expertise in Microsoft M365 tools, database design, and records software. Holding a Master of Archival Studies from the University of British Columbia, she combines academic knowledge with experience in both public and private sectors to deliver agile solutions. Her project portfolio includes SharePoint and records management implementations for various organizations such as provincial corporations and municipalities, and multiple First Nations, highlighting her skills in solution architecture and digital workplace rollouts.

Pauline Richer
Digital Transformation Analyst - RM Lead

Pauline has 10+ years in records and information management, helping public sector organizations modernize data governance. She combines regulatory expertise with Microsoft 365 and SharePoint knowledge to deliver practical, compliant solutions.