1. Real World ECM and ERM
in SharePoint 2013
David Tappan, IOAp, MCSE
davidt@cdh.com
West Michigan ARMA Spring Seminar
April 17, 2014

2. About Me
David Tappan
Consultant
MCSE:SharePoint
AIIM IOAp
DavidT@cdh.com

3. Agenda:
SharePoint for ECM/ERM
• Why SharePoint for ECM/ERM
• Features
• Challenges and limitations
• How to make it work

4. Why SharePoint for ECM/ERM?
• Cost
• Integration
• Extensibility

5. 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.

6. 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? 

7. Example third party licensing costs
eDocs DM vs. SharePoint DM with MacroView - Cost Comparison
Products Licensing Cost Annually/1
Time
Cost 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.

8. “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.

9. 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.

10. SharePoint ECM and ERM Features

11. ECM, ERM and eDiscovery in
SharePoint: A Brief History
• SharePoint 2007
–Check-out/versions
–Basic Records Center (silo)

12. • 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

13. 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

14. • 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

15. SharePoint 2013 ERM Features
• Retention Policies
• Declaring records
• Content organizer
• Legal holds
• Auditing and reporting

16. Retention Policies
• Based on multiple factors
–Content type
–Library
–Folder (Important for robust file plans)

17. Retention Policies

18. 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

19. 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.

20. Content Organizer

21. SharePoint 2013
eDiscovery Features

22. Where SharePoint Fits in eDiscovery

23. 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*

24. How Microsoft Does eDiscovery:
Pre-SharePoint 2013

25. How Microsoft Does eDiscovery:
Post SharePoint 2013

26. Real World ECM and ERM with SharePoint

27. Challenges and Pitfalls of using
SharePoint for ECM/ERM
• Software limits and boundaries
• User interface limitations
• ERM-specific limitations

28. 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.

29. 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

30. 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.

31. 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

32. Third party options
• Gimmal (http://www.gimmal.com)
• RSD (http://www.rsd.com)
• Collabware (http://www.collabware.com)

33. Closing thoughts

34. 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?‖

35. 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

36. • 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

37. Detroit
1500 Woodward Ave
Suite 400
Detroit, MI 48226
(248) 546-1800
Grand Rapids
15 Ionia Ave SW
Suite 270
Grand Rapids, MI 49503
(616) 776-1600
Thank You
www.cdh.com