Using SharePoint for Compliance Management

SharePoint is a Microsoft owned, cloud-based document management and sharing platform widely used in the business community - in fact, Microsoft claims that it's used by more than 75% of Fortune 500 companies. Along with its document storage and sharing capabilities, SharePoint has a number of features for managing the security and compliance of documents and information sharing within organizations. But there can be some challenges and inefficiencies when using SharePoint for compliance management.

In this article, we look at SharePoint for compliance management, as well as alternative compliance management solutions.

SharePoint as Your Compliance Management Program

Pros

SharePoint is a great platform for easy collaboration and information sharing within an organization. If your organization is already using one tool to share documents and files, it would make sense to use SharePoint for compliance management – well, it's not that simple.

SSharePoint has many built-in features to help with IT compliance management, such as eDiscovery and Holds, record centres, and auditing tools.

Role-based permissions and access management is possible through SharePoint, meaning you can control access to sensitive documents and files based on assigned roles within your organization (though it does take some work to set this up).

SharePoint is part of the Microsoft Suite and fully integrates with Microsoft Office, meaning processes are streamlined and easier for organizations already using Office.

Additionally, an organized site taxonomy and well-structured information architecture in SharePoint can help organizations ensure that their content is properly classified and managed. This reduces the risk of compliance violations by making it easier to locate, categorize, and retain information according to regulatory requirements. With everything in one place and standardized structures, teams can more confidently manage compliance-related documents without losing track of critical information.

Making SharePoint Work for Compliance

To really tap into SharePoint's compliance potential, it's crucial to start with a solid information architecture and site taxonomy. This foundational work pays off in several ways:

• Improved Search: A well-organized structure means SharePoint’s search function gets more accurate, so users can quickly find the right documents without endless clicking.

• Better Collaboration: Clear site organization makes it easier for teams to work together and reduces the risk of duplicate files floating around.

• Increased Productivity: When everyone knows exactly where to find what they need, less time is wasted tracking down documents.

• Stronger Compliance: Organized content is easier to manage, classify, and audit—helping reduce the risk of compliance slip-ups.

Cons

To start with, there is a lot of work that needs to go into configuring SharePoint for compliance management. Compliance management is not the core function of SharePoint and it is not structured in a way that allows for easy, centralized management of information security.

The granular nature of roles and permissions is great for specific access control, but it can take a lot of work to setup correctly. Organizations need to ensure the right people have access to sensitive documents. By default, there can be excessive access to information shared within your business, which can pose security risks.

There is often a lack of proper security training for use of the platform and a lack of oversight into end users and devices - for example, employees downloading sensitive information to their personal devices and sharing via non-secure communications.

A number of security vulnerabilities have been identified in SharePoint leading to attacks.

SharePoint's SQL database is also unencrypted out-of-the-box, which can leave it vulnerable to attacks and exploits.

Auditing document use: tracking who has viewed and edited content, is minimal and there is limited ability to properly document controls for information security framework security certifications.

Mitigating Risks Associated With SharePoint

It's important that best practices are followed when managing compliance through SharePoint. Following best practices for SharePoint is complex but vital for minimizing security risks.

Adding encryption to the SharePoint SQL database is very important to remove vulnerabilities and protect against attacks. If you’re looking to use SharePoint for regulatory compliance, here’s a practical approach:

• Understand the regulations: Get a handle on the specific compliance requirements your organization faces sometimes this means pulling in legal or regulatory experts.

• Develop clear policies and procedures: Define how your organization will meet these requirements, document everything, and make it accessible to everyone who needs it.

• Create a dedicated compliance site: Set up a specific SharePoint site for compliance documents, policies, and procedures. Keep it up to date as rules or processes change.

• Assign roles and responsibilities: Make sure it’s clear who owns which parts of the compliance process, think about appointing a compliance lead or team.

• Monitor and audit: Use SharePoint’s tools to set up workflows, alerts, and audits. This helps keep everyone on track with compliance activities and deadlines.

By laying this groundwork, SharePoint can help your organization stay organized, support compliance goals, and reduce the risk (and stress) of missed requirements.

Establishing a Compliance Program in SharePoint

If you do decide to use SharePoint for compliance management, a structured approach is key:

• Understand Your Regulatory Requirements: Start by identifying and understanding the specific compliance regulations relevant to your organization (such as GDPR, HIPAA, or SOX). Consulting with legal or compliance experts can help ensure you don’t overlook critical obligations.

• Document Policies and Procedures: Clearly outline how your organization will address compliance requirements. Store these policies and procedures in a central, easily accessible SharePoint site to make sure all stakeholders have up-to-date information.

• Create a Dedicated Compliance Site: Set up a dedicated site or library within SharePoint for all compliance-related documents, policies, and evidence. This ensures everyone knows where to find the latest versions and can help with audits down the line.

• Assign Ownership and Responsibilities: Designate individuals or teams responsible for different aspects of compliance. Make sure roles and responsibilities are clear and that ownership of key documents or processes is assigned.

• Monitor and Audit Compliance: SharePoint can help here by allowing you to set up workflows and alerts to remind stakeholders about upcoming compliance deadlines and requirements. These workflows can also help track compliance-related activities, providing a degree of oversight and accountability within your organization.

By combining SharePoint’s capabilities with a clear, methodical compliance process, you can reduce risks and improve your organization’s readiness for audits or regulatory reviews. However, always be prepared to supplement SharePoint with additional security measures and regular training to address its limitations.

Alternatives to SharePoint

While SharePoint may serve as a starting point for document storage and collaboration, it lacks the purpose-built features needed to manage complex compliance programs. As organizations mature, they often outgrow SharePoint and begin evaluating other solutions. Here are two common alternatives:

Spreadsheets

Some organizations, particularly startups or very small teams, rely on spreadsheets (like Excel or Google Sheets) to manage controls, policies, risk assessments, and compliance tasks.

Advantages:

• Low-cost and readily available

• Flexible for ad hoc tracking

• Easy for individuals to use independently

Limitations:

• Not scalable: As the number of requirements, team members, and frameworks grow, spreadsheets quickly become disorganized and hard to manage.

• High risk of human error: Manual updates, missed version control, and overwritten data can introduce serious inaccuracies.

• Lack of collaboration control: It’s difficult to maintain accountability and ensure only authorized users make changes.

• Limited traceability: There's no clear audit trail to track changes, comments, or approvals — which is critical for audits.

• Fragmented data: Managing a program with multiple spreadsheets across departments makes it hard to get a centralized view of compliance posture.

Best for:

• Very early-stage companies

• One-person compliance teams

• Organizations not yet under heavy regulatory pressure

Bottom line:
Spreadsheets may appear cost-effective upfront, but over time they introduce hidden costs in the form of inefficiencies, risks, and missed compliance obligations.

A Governance, Risk and Compliance Tool

A dedicated GRC platform, such as StandardFusion, is designed specifically to help organizations manage risk and compliance holistically. While it may require an upfront investment, a modern GRC tool reduces long-term costs, improves accuracy, and simplifies program oversight, even for smaller teams.

Key Benefits:

• Centralized management: Policies, controls, risk registers, evidence, and tasks are all managed from a single location.

• Automated workflows: Eliminate repetitive tasks like control testing, evidence collection, and status reporting.

• Real-time visibility: Dashboards and reports provide leadership with up-to-date compliance and risk status.

• Scalability: Easily manage multiple frameworks (e.g., SOC 2, ISO 27001, HIPAA) without duplicating effort.

• Audit readiness: Built-in audit trails and version histories make external audits smoother and faster.

• Collaboration and accountability: Assign ownership, track task completion, and notify teams of upcoming deadlines — all within one platform.

• Integration capabilities: Modern GRC tools can work alongside SharePoint (for document storage) while providing the necessary structure, oversight, and control.

Cost Consideration:
GRC tools often save money by:

• Reducing hours spent on manual compliance work

• Lowering risk of non-compliance penalties

• Reducing dependency on consultants or outsourced support

• Enabling smaller teams to do more

Best for:

• Organizations with growing compliance complexity

• Teams managing multiple frameworks or regulations

• Any company that needs scalable, audit-ready infrastructure

Bottom line:
Unlike SharePoint or spreadsheets, a GRC tool is purpose-built for long-term compliance success. It simplifies workflows, minimizes manual burden, and supports continuous oversight. Making it one of the smartest long-term investments for compliance-driven organizations.

Next Steps

SharePoint is a powerful solution for document storage, sharing and collaboration, however, it is limited in its compliance management capabilities, particularly at scale.

Depending on an organization's budget, spreadsheets or a dedicated GRC tool may be better options.

Ultimately, it depends on a company's maturity and attitude to managing compliance and risk. Whatever the scenario using a dedicated tool is typically the best approach. Previously enterprise focused tools are making their way into the hands of small and medium business. Meaning business can take advantage of enterprise grade tools earlier in their growth.

It's important to find the balance between a cost-effective compliance management solution that adds value and minimizes risks without hindering your productivity or compliance program.