Real World ECM and ERM

in SharePoint 2013

David Tappan, IOAp, MCSEdavidt@cdh.com

West Michigan ARMA Spring SeminarApril 17, 2014

About Me

David TappanConsultantMCSE:SharePointAIIM IOAp

DavidT@cdh.com

Agenda:SharePoint for ECM/ERM

• Why SharePoint for ECM/ERM• Features• Challenges and limitations

• How to make it work

Why SharePoint for ECM/ERM?

• Cost• Integration• Extensibility

Cost of SharePoint vs. Enterprise ECM/ERM Competitors

• SharePoint is often already owned for other purposes

• Cost of eDiscovery can be lower for covered content

• Cost of required add-ons usually either comparable or less than that for similar components of competitor suites.

2009 Price Comparison

EMC/ Documentum

OpenText Alfresco SharePoint

100 Users $129,078 $196,794 $18,500 $24,669

1000 Users $863,937 $637,304 $46,250 $318,738

• 2009 figures from a comparison done by Alfresco• These are first year costs with maintenance/software

assurance• Compares cost for “Document Management, Collaboration

and Web Content Management”• No ERM features included in EMC, OpenText or Alfresco

quotes• No Office integration included in any of the other quotes. • By the way: Do you already own SharePoint?

Example third party licensing costs

eDocs DM vs. SharePoint DM with MacroView - Cost ComparisonProducts Licensing Cost Annually/1

TimeCost Now Yearly cost

eDocs DM Licensing Costs        eDocs DM standard user licenses ($813.15/user) x 30 $23,394.50 one time $23,394.50  eDocs DM extensions for SharePoint ($173.75/user) x 100 $17,375 one time $17,375.00           eDocs DM standard user maintenance

($162.63/user) x 30 $4,878.90 annually $4,878.90  

eDocs DM extensions for SharePoint-maintenance

($34.75/user) x 100* $3,475 annually $3,475.00  

         Total     $48,123.40 $8,353.90                  SharePoint DM Licensing Costs        MacroView DMF – Sofware Assurance licensing

3 server farms and 30 users

$8,670 one time $8,670  

  Software Assurance $1,416 annually $1,734 $1,734         Total     $10,404 $1,734         

*eDocs DM extension for SharePoint required by all users who view documents through eDocs on SharePoint (currently 100 user licenses). MacroView DMF client required for all users who actively profile documents, but documents are accessible for other users in SharePoint directly without additional charge.

“But other ECM providers offer everything in one package”

This is not accurate. Here’s why:• Most vendors offering a “complete solution” built it by

acquiring makers of enhancements to their product. Often these acquisitions haven’t been fully absorbed—with separate code bases, revision cycles and support organizations.

• In most cases, additional functionality such as ERM features are priced in addition to the core product.

• All the vendors provide SharePoint add-ins—so if you are using SharePoint at all for documents, you can’t avoid integration.

SharePoint’s integration advantage

• Best built-in integration with the rest of the Microsoft product line. – Office (Word/Excel/PowerPoint– Outlook– Microsoft Exchange– Microsoft CRM– SQL Reporting Services/Analysis Services

• SharePoint is so ubiquitous that most other enterprise server applications support integration with it.

SharePoint ECM and ERM Features

ECM, ERM and eDiscovery in SharePoint: A Brief History

• SharePoint 2007– Check-out/versions

– Basic Records Center (silo)

• SharePoint 2010 ECM Features– Managed Metadata (enterprise-wide controlled

vocabulary)

– Content type syndication (enterprise-wide document types and policies)

– Column default values

– Document Set content types

– Increased scale

• Very large libraries and lists (up to 10,000,000 items)

ECM, ERM and eDiscovery in SharePoint: A Brief History

ECM, ERM and eDiscovery in SharePoint: A Brief History

• SharePoint 2010 ERM– Unique document IDs

– Multi-stage disposition

– In-place holds and records, BUT

• Users prevented from working on a held document

• Holds limited to SharePoint content

• Configured by site collection

• Based on content type (document type) only

• ECM– Search

• FAST Search now built in–Continuous crawl–Entity extraction

– User interface improvements• Drag and drop filing• Bulk editing

– Scalability• Shredded Storage (i.e. only version deltas are stored)

SharePoint 2013 ECM Improvements

SharePoint 2013 ERM Features

• Retention Policies

• Declaring records

• Content organizer

• Legal holds

• Auditing and reporting

Retention Policies

• Based on multiple factors

– Content type

– Library

– Folder (Important for robust file plans)

Retention Policies

Declaring Records

• SharePoint potentially lets anyone declare a record

• In-Place

–Manually, by policy, or by custom workflow

• Send to a Records Center

– Manually, by policy, or by custom workflow

– Move, copy or leave a link

Content Organizer

• AKA: File Plan

–Rules to file document by folders matching metadata values

• Requires matching content types (value of content type syndication)

• Folders can have retention policies set automatically with some PowerShell or event receivers.

Content Organizer

SharePoint 2013

eDiscovery Features

Where SharePoint Fits in eDiscovery

What SharePoint 2013 Brings to eDiscovery

• eDiscovery Center

–Search to hold and refine

–eDiscovery export

• Content can be changed while held

• Exchange and Lync included

• File servers too*

*For export only

How Microsoft Does eDiscovery: Pre-SharePoint 2013

How Microsoft Does eDiscovery: Post SharePoint 2013

Real World ECM and ERM with SharePoint

Challenges and Pitfalls of using SharePoint for ECM/ERM

• Software limits and boundaries• User interface limitations• ERM-specific limitations

SharePoint 2013 Software Limits and Boundaries

Limit Size Details How to overcome

List View Threshold

5000 Applies to items in a folder or in a view—and view paging doesn’t help. Will lead to misleading results.

• Index columns in views. Create a file plan to store in folders by metadata values.

• Use search• Create views unaffected by the

limit.

Unique permissions per list/library

50,000 Exceeding the limit causes excessive SQL round trips, and can also cause event log storms.

• Manage permissions at the container level—a better governance approach anyway

File size limit 2 GB Technically a SQL limitation—but in practice HTTP won’t even handle this much without tweaking.

• Compress files, or store larger files elsewhere. Remote blob storage doesn’t help.

URL length 260 characters

Also a limit of 128 characters in a file or folder name.

• This is a browser limit. Don’t create folder structures too deep. SharePoint will tell you on upload if the path is too long.

User interface limitations

Limitation How to overcome

Bulk edit/upload/download • Not really a missing feature:• Drag and drop (requires Office 2013 or IE 9+)• Datasheet view

• Third party browser solution (e.g., SharePointBoost)• Third party client

• MacroView DMF• Handshake DM

Virtual/dynamic folders • Design a folder-based solution based on key metadata (up to two columns).

• Third-party client• Handshake DM

Usability for complex classification schemes

• Leverage default values for content types, document sets and folders• automate with PowerShell or event receivers.

• Third party autoclassification products• Concept Searching• Data Facet

Records management limitations

• No intuitive file plan builder• No built-in event-driven disposition• Lacking built-in physical records management

features• Not DOD 5015.02 ERM certified.

SharePoint-native approach to overcome file plan limitations

• Create a complex file plan by customizing the content organizer feature.– Design a file plan and represent it in SharePoint with Records

Centers, content types, and content organizer rules that create folders based on metadata.

– Create different rules within content types by adding a “Record Type” column and adding separate rules for each.

– Add event receivers to:• Define additional metadata automatically in the records center folders

(Location-Based Metadata).• Define folder-level information management policies

Third party options

• Gimmal (http://www.gimmal.com) • RSD (http://www.rsd.com) • Collabware (http://www.collabware.com)

Closing thoughts

Why do records management projects fail?

• Lack of alignment with business goals and business model

• Failure to integrate with business processes and IT systems

• Failure to answer the user’s question: “What’s in it for me?”

The solution

• Make your System of Record a System of Engagement– Don’t create a records silo; integrate it with day

to day processes.– Define document types that make sense for

users, not just records managers.

“It is simply not realistic to expect broad sets of employees to navigate extensive classification options while referring to a

records schedule that may weigh in at more than 100 pages.”

Forrester Research/ARMA International Survey

• Knowledge Management Solution for a Major US Accounting Firm

• Extranet Document Repository for a Large US Accounting Firm

• Enterprise Taxonomy and Search Design at a Global Manufacturing Company

• Massive Records Repository for a Financial Services Firm

C/D/H ECM Case Studies

www.cdh.com/whatwedo

Detroit1500 Woodward AveSuite 400Detroit, MI 48226(248) 546-1800

Grand Rapids15 Ionia Ave SWSuite 270Grand Rapids, MI 49503(616) 776-1600

Thank You

www.cdh.com