ECM Report

Licensed to: Hewlett Packard Enterprise - lori.ann.hall@hpe.
com
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IBM
MICROSOFT
HP
ORA
L LIFERAY
EMC
ADAM
MEDIAWIKI
ADOBE
ATLASSIAN
ALFRESCO
EVER TEAM
TRACTION
HYLAND
UGHTFARMER
SPRINGCM
Enterprise Content Management

and Cloud File Sharing
Evaluation Report
Version 9.2
Licensed to: Hewlett Packard Enterprise - lori.ann.hall@hpe.com
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About Your License
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About the Authors
Real Story Group Senior Analyst Apoorv Durga served as the principal analyst for this report.
Tony Byrne and other members of the RSG team also contributed key insights into this
research.
Acknowledgments
To Lyza Morss for editorial support, without you, these reports would never see the light of
day.
Thank you to the many customers who shared their experiences with specific tools. As a firm
rule, we do not list their names, but we sincerely appreciate their input, which underpins the
bulk of this report. Our sincere thanks also go to all the vendor firms that provided
demonstrations of their products, supporting information and fact checking for us.
Important Disclaimers
The product-specific information contained in this document is intended to provide an
overview of a specific product and vendor at the date of publishing. CMSWorks, Inc. cannot
ensure the accuracy of this information since products, vendors, and market conditions change
rapidly. The authors and CMSWorks, Inc. disclaim all warranties as to the accuracy,
completeness, or adequacy of the information in this report and shall have no liability for
errors, omissions, or inadequacies in the information presented. A complete assessment of
your specific application, the method of implementation for a given product or technology,
and the current state of that product in your specific environment must be considered in order
for a recommendation to be made on any products suitability for your purpose and needs.
Copyright 2015 Real Story Group. All Rights Reserved.
ECM & Cloud File Sharing i
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ECM & Cloud File Sharing ii
Table of Contents
Table of Contents
Part 1 How to Use this Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Part 2 The Business Case for ECM & Cloud File Sharing . . . . . . . . . . . . . . . . . . . 3
Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
NPV (Net Present Value) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
ROI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
ROI and CDB . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Project Risks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Building a Business Case . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
When to Write the Business Case . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Part 3 Business Scenarios for ECM & Cloud File Sharing . . . . . . . . . . . . . . . . . . 10
Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Document & Records Management: A Business Application or an Infrastructure? . . . . 10
Typical Business Scenarios . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Document Lifecycle Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Part 4 ECM & Cloud File Sharing Technology Dissected . . . . . . . . . . . . . . . . . . 22
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
Functional Business Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
Document Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
Document Collaboration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
Records Management and Archiving . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
Workflow & Business Process Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
Imaging & Scanning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
eForms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
Mobile Access . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
File Sync and Offline . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
Technology Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
Architecture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
Integration and Extensibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
Application Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
Administration and Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
Cloud Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
Vendor Intangibles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
Vendor Professional Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69
Channel Partner Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69
Support and Community . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70
ECM & Cloud File Sharing iii
Table of Contents
Strategy & Roadmap . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
Viability & Stability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
Part 5 Vendor Evaluations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73
ECM Platforms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
Alfresco: Enterprise Edition version 5.0 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
EMC: Documentum ECM 7.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
HP: WorkSite . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126
IBM: FileNet P8 version 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140
Microsoft: SharePoint 2013 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155
Nuxeo: Nuxeo Platform 5.8 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175
OpenText: Content Suite 10.5 SP1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191
Oracle: WebCenter Content 11.1.1.8 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 210
Document Management Products . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 224
EVER TEAM: EverSuite . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 230
Hyland: OnBase 13 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 245
M-Files Inc.: M-Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 261
SpringCM: Content Cloud Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273
Cloud File Sharing and Sync Vendors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 286
Accellion: kiteworks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 293
Box: Box . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 298
Citrix: ShareFile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 307
EMC: Syncplicity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 313
Oxygen: Oxygen Cloud . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 318
Workshare: Workshare Platform . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 323
Part 6 Advice, Pitfalls, and Best Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 332
How to Select an ECM Package . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 332
Vendor Pricing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 339
Software . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 339
Professional Services and Support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 340
Some Final Words on Pricing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 341
Ten Common Pitfalls to Avoid (and Best Practices to Follow) . . . . . . . . . . . . . . . . . . . . . . 342
Appendix A: Document Management Technology Standards . . . . . . . . . . . . . . . 347
Appendix B: Glossary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 352
Vendor Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 374
ECM & Cloud File Sharing iv
Part 1 How to Use this Report

This is a very long report. Thats intentional. Youre going to be making some important
decisions on behalf of your enterprise, and our goal is to provide you with as much relevant
detail as possible. However, we know you may not have time to read cover to cover. So use
this introductory guide for traversing the report more efficiently.
Brief Outline
The report is broken into several segments:
Part 2 The Business Case for ECM & Cloud File Sharing on page 3 looks at key
concepts in document management, as well as the business case (both pros and cons) for
implementing an ECM platform.
Part 3 Business Scenarios for ECM & Cloud File Sharing on page 10 identifies nine
universal document management scenarios to help you place your own needs in the
market.
Part 4 ECM & Cloud File Sharing Technology Dissected on page 22 explores the
Records & Document management product set, defining and demonstrating key
features youre likely to find in the technology, as well as how to examine critical
aspects of the vendor itself.
Part 5 Vendor Evaluations on page 73 begins the meat of the report. Here we
categorize vendors into three different tiers and then provide comparative evaluations of
each product individually.
Part 6 Advice, Pitfalls, and Best Practices on page 332 offers just that, including
how to select a vendor and budget properly for your project.
Appendix B: Glossary on page 352 offers a short glossary and supplementary guide
to relevant document management standards.
Browse by Role
Depending on your role in the enterprise, you may wish to start at different places in the report
and then back-fill your knowledge as necessary. Consider the following short-cuts.
Project Champion
Start with Part 2 The Business Case for ECM & Cloud File Sharing on page 3 to help you
distill the business case for a document management system. Then explore our discussion of
generic Scenarios in Part 3 Business Scenarios for ECM & Cloud File Sharing on page 10
and perhaps the vendor comparison charts beginning with Ratings Summary: ECM
Platforms on page 83. Finally, be sure to review Part 6 Advice, Pitfalls, and Best
Practices on page 332 before dipping into individual product chapters.
Project Manager
You might want to start by getting familiar with the technology through Part 4 ECM &
Cloud File Sharing Technology Dissected on page 22. Then use the vendor comparison charts
ECM & Cloud File Sharing 1

beginning with Ratings Summary: ECM Platforms on page 83 to consider a long list of
vendors to investigate. Use the compare to rows of the vendor summary charts to find other
similar vendors who may not have made your long list. Finally, be sure to review Part 6
Advice, Pitfalls, and Best Practices on page 332.
Project Engineer
Start with the vendor comparison charts beginning with Specsheet Summary: ECM
Platforms on page 76 to consider a long list of vendors to investigate. Use the summary
comparison charts under each category to review basic technical compatibility. Refer back to
Part 4 ECM & Cloud File Sharing Technology Dissected on page 22 to catch up on any
key concepts that are new to you.
Enterprise Procurement Specialist
Examine our analysis of the marketplace and current vendor stability under the introduction to
Part 5 Vendor Evaluations on page 73. Use the summary comparison charts under each
category to understand key differences among the products. Be sure to review the Part 2
The Business Case for ECM & Cloud File Sharing on page 3 to understand the value your
enterprise can expect its investment to bring.
Consultant / Integrator
How you use the report depends on what you need to provide your clients. Each section can
provide useful analysis. You may want to jump to the vendor comparison charts to begin your
investigations, particularly if you are in search of suitable software partners. Pay special
attention to the Vendor Intangibles sections of each vendor chapter.
Part 2 The Business Case for ECM & Cloud File Sharing
Part 2 The Business Case for ECM & Cloud File

Sharing
Document Management is broad enough to touch multiple areas within your enterprise. The
most common reasons that managers use to justify applying document management
technologies are:
To bring order to the ever increasing volume of electronic documents
To meet new legal or compliancy requirements regarding the management of
information
To reduce the amount of paper documentation within the organization
To provide more standardized means of gathering and distributing data (e.g., via forms)
To re-engineer business processes, and increase efficiencies
To support business continuity requirements
To obtain more value from costly investments in content
To more consistently communicate to employees, partners, and customers
As times change, the marketplace finds new reasons for applying document management
technologies. Compliance is a relatively new rationale, and now we are seeing AN increased
use of ECM platforms as a basis for application development of content-aware business
applications.
Nevertheless, enterprises turn to document management to reduce costs and bring information
overload under control. Indeed, with digital information mushrooming faster than most
enterprises can manage it, document management projects have become a cost of doing
business: Enterprises need to do something about information overload. Specifically, what
benefits can you expect to receive from implementing document management technology?
Benefits
For better or worse, the benefits of implementing document management technology may be
more difficult to calculate than corresponding costs are. Nevertheless, its worth listing areas
where your enterprise could find hard cost savings. Such examples would include:
Reduced staff and office overhead numbers
Faster business-critical information processing
Reduction in the number of errors and corresponding exception management
At the next level, elements might include:
Reduced IT costs through the reduction of storage and file server requirements
Reduction of information duplication and redundancy
Easier access to key information across and beyond the enterprise
Increased visibility into operational efficiencies and bottlenecks
Benefits often are grouped into hard or soft categories. Typical hard costs benefits for
document management include:
Faster time to market
Improved process efficiencies
Better customer service
Typical soft benefits include:
Improved business agility
Improved record keeping
The list of benefits is almost endless. Measuring benefits is notoriously difficult and can rely
overly on subjective interpretations. In contrast, costs are finite and are relatively easy to
calculate. As such, when considering benefits it is often best to explain the benefits clearly
rather than try to spend too many cycles quantifying them up front.
Costs
Costs can be divided into two general buckets:
Capital costs
Operational costs
The typical capital costs you will need to consider for any document management project will
be various elements of infrastructure items such as hardware, storage software, webservers,
test, development, production servers, database software and services, and operating system
licenses. Hardware costs are typically underestimated in document management calculations.
In addition, you will likely incur software-licensing costs. Remember to check what is
included in the base product from a document management vendor and what comes at an extra
cost; this is true even in so-called EWAs (Enterprise-Wide Agreements), which often seem to
leave seemingly core elements such as workflow out of the equation. You will need to
account for any third-party license costs such as imaging and capture servers, migration
software, and so forth.
Operational costs will include the general costs of maintaining not only the software and
hardware, but also the configuration of the document management system. (For example, file
structures and taxonomies are organic in nature and will continue to need time devoted to their
maintenance.) Other operational costs include specific professional services that cover
development, configuration, and implementation of the document management system, its
components, and any elements of infrastructure.
We will reiterate this point throughout this report because professional services and
implementation costs will nearly always exceed license costs often by several orders of
magnitude.
NPV (Net Present Value)
It is worth taking particular care to ensure that any financial analysis makes full use of the
NPV; any document management implementation will take time, and will cost money to
continue running and developing over many years. The principal of NPV is simple: a dollar
today is not worth the same as a dollar in the future. After all, a dollar today invested will
make a percentage return simply by sitting in a bank account.
Therefore, if a document management system costs $100 today and returns $100 in one years
time you will have lost money, since $100 in one years time will not buy as much as it did
the previous year.
Be aware of NPV and ensure that this is factored into any equation; thus, a five-year cost
projection at least has a semblance of credibility about it.
ROI
When it comes to providing financial measurements in a document management business case,
most people immediately think of ROI (Return on Investment) calculations. These are
increasingly common in the industry, and are favored by software vendors and vendor-funded
consultants and analysts who will offer to calculate these for you, or (for a price) allow you to
use their patented methodologies for ROI. Remain skeptical.
ROI is based on the seemingly logical foundation that if costs can be balanced against benefits,
then a time for a return on the original investment can be calculated; thus, an ROI of X percent
can be achieved.
A standard formula for this is:
Net Income/Value of Assets = ROI
Or:
ROI = Benefits - Costs
Truly accurate ROI calculations are rare. The challenge here is that too many of the numbers
used in the calculation are predictive in nature and can only be guessed rather than truly
assessed. For example, We will save 2.3 hours per week per employee at a cost of $50 per
hour this will result in savings of... Until the system is running, theres no way to know
exactly how much time will be saved (or in some cases, added to a task). In addition, many
costs are not factored in at all; e.g., often hardware and infrastructure costs fall out of a
document management ROI calculation, and enterprises fail to include the added costs of
administrating, running, and maintaining the new system.
ROI calculations are incredibly fickle and open to interpretation. Be particularly wary of using
statistics from analyst firms that quantify mythical employee hour savings. Youll do better to
give specific examples within your own organization of inefficient practices that need to be
addressed. A business case should be just that not a discussion on what document
management is or is not, and certainly not a technology discussion with large tracts lifted from
vendor collateral.
Rather than cooking numbers to prove this new document management system will pay for
itself in two years, try to see what affect this document management system might have on the
organization and how it may be leveraged now and in the future to reduce costs and raise
revenues. A business case may identify some of these important areas, but an estimated dollar
value cannot be accurate.
Build a business case and not just a Proof of Concept (POC) as an outcome. There is more
chance of getting approval for a low-cost proof of concept, and at this POC various
assumptions can be refuted or validated with accuracy, and a far clearer idea of true eventual
costs be calculated.
ROI and CDB
Another approach classifies a major expense as a necessary precondition for doing business
such as investing in an upgraded phone system in circumstances where there is no
immediately definable ROI. This is known as Cost of Doing Business (CDB) analysis. A
common and quite successful business rationale for a document management system is, We
just couldn't go on without one anymore.
Both approaches offer valid analytical models for constructing a business case. The paucity of
ROI justifications for document management projects beyond enterprise Imaging has led some
commentators to describe it as a luxury. However, the enduring demand for document
management solutions suggests that enterprises view them as a necessary cost of sharing and
storing information effectively among customers, partners, and employees alike.
ROI / IRR
Return on Investment / Internal
Rate of Return
CDB
Cost of Doing Business
Definition
Calculate the value of an

investment by dividing incremental
revenue + cost savings by the
amount invested.
For any company certain

investments must be made
as a precondition for
successfully conducting
business.
Classic Example
Rolling out a traditional, directmarketing campaign. Marginal

sales increases can be measured
against incremental costs.
Firewalls. You must connect

to public networks to do
business, but also secure
your information systems
from outside intrusion.
When to use?
Use when there are clear causeand-effect outcomes and

incremental revenues or cost
savings can be readily quantified.
For IRR, look at the opportunity
costs of not implementing a
document management system.
Use when key arguments

cannot be quantified as
readily. Document
Management is a
precondition for other
corporate revenue and costcutting initiatives, rather
than vice versa.
Possible
Document
Management
Benefits
Greater sales, broader offerings,

reduced customer service costs,
reduced content production costs,
reduced legal liability, faster time to
market, faster e-discovery, and
better adaptation.
Better internal collaboration,

more fulfilled and
specialized staff, greater
customer loyalty, broader
future business
opportunities, less risk of
public failure.
Decision-makers
likely to concur
Finance-oriented, data-driven
Strategic, visionary, intuitive
Project Risks
While there is a solid business case to be made in investing in document management
technology, the fact remains that most document management projects are high-risk
undertakings especially as they get larger.
Many document management projects fail, or fall short of expectations. Though again there is
no scientific way of knowing for sure, many people in the field suggest that only about 20
percent of document management investments fully deliver to expectations. Even if this
statistic is off by half, you can see the value of undertaking a thorough business case.
Document management projects fail for very predictable reasons, most of which should be
addressed to some degree or another in the business case. The following summarize these key
areas of potential failure:
Underestimation of costs
Unrealistic expectations for the technology
Underestimating the length and complexity of the project
Lack of buy in and support among staff who must change the way they work
Insufficient business analysis
Lack of knowledgeable human resources and product- or domain-specific talent
Although there is clear overlap in some of these bullet points, each is distinct and should be
addressed honestly in the business case. It is always better to flag potential issues in advance; if
issues should start to develop, there would be an increased awareness that could help in
resolving them.
It is very common to overestimate the abilities of the document management system. Since
many of these purchases are initiated or led by IT staff, there can be a tendency to bring
unrealistic expectations regarding the technology. All document management systems
without exception will require major configuration and pre-planning as a pre-condition for
success. Installing the software is typically easy. Obtaining genuine adoption from your peers
usually becomes monstrously difficult.
Indeed, lack of support from business groups and end users has killed many document
management projects. Although lack of buy-in and support may seem a generic risk for any
project, it is particularly acute for document management, since any document management
system by default will change the way people work and true change is seldom simply
imposed. It requires tacit or explicit agreement by users and departmental groups.
When building the business case, it is important to remember that at a fundamental level,
document management is about managing and moving business information around. If the
business analysis has been insufficient, then those automated processes and rules will not work
as they should, and the system will quickly fall into disuse and previous inefficiencies may
worsen.
Remember the purpose of a business case should not be to provide the documentation to
rubber stamp a previously made decision. It should be a tool in its own right to ensure that
the right issues are being addressed, that proper consideration has been given to people, process
and business issues, and that the proposed project is aware of the work and difficulties ahead. In
addressing risk, and in building an honest and open financial case (as detailed below), you will
increase the chances of success (and approval) for your document management project.
Building a Business Case

Building a business case for any kind of expensive IT system is never an easy task, and it is
seldom done particularly well or accurately. Although it is no easier to build a business case
for document management than for say a CRM or ERP system, the document management
case has some advantages. First, the problems that document management aims to fix
represent familiar issues. Further, soft benefits can become tangible for document
management, even if the hard benefits remain difficult to quantify at times.
This chapter then focuses on how to build that case, what to measure, and what to ignore,
along with a more general overview of various pitfalls you may encounter. We will also look at
some of the different ways that people undertake cost/benefit analysis for document
management, and the relative suitability of each.
A document management business case needs to:
Clearly articulate the issues that the proposed document management solution will fix
Justify the need to fix these issues
Propose a solution and associated strategy to achieve success
Clearly identify and, where possible, measure risks involved in this approach
Justify and detail the projected cost of the proposed solution
When to Write the Business Case
Most large enterprises have their own process and methodologies for major projects (and
document management will always be a big project), though these processes are not always
followed as closely as they might be. In short, the generic process for any major IT project
goes something like this:
1. Identification of Issues
2. Assembly of a Task Team
3. Preparation of Initial Assessment Report
4. Feasibility Study
5. Requirements Analysis
6. Business Case Development
7. Project Strategy Roadmap
8. Project Plan
9. RFI
10. RFP
11. Technology Selection
12. Prototyping and Proof of Concept
13. Implementation
Following this stepped process will help ensure that all relevant stakeholders are involved and
aware of the proposed document management initiative from the get-go, and that all relevant
perspectives and viewpoint are considered and balanced in the process moving forward.
All too often, enterprises bypass these early steps. Remember that in many cases (if not all) the
services portion of your overall budget will be considerably higher than hardware or software
costs. At best, you will likely spend twice as much on services than software, and it is not
unusual for that spending to be 8 to 10 times the cost of the actual technology. Therefore, if
you have skipped quickly to the business case and built a financial argument to justify your
proposal based on costs from software vendors, you will seriously underestimate the task and
subsequent costs ahead.
For example, resist the temptation to avoid a feasibility study, which will at least give you a
sense of scale. This will often determine whether you have a hope or not of pursuing the
document management goal further. In this regard alone, going through the steps in the right
order will more than justify the effort.
In addition, consider building a case to fix a specific business issue that has been identified.
Document management technology simply becomes the tool used to improve the business.
Conclusions
Indeed, most executives do not know what a document management system is, and there is no
good reason why they should. Your business case should focus on the business issues your
organization faces, how you propose to deal with those, and some of the potential benefits that
will flow from this approach.
The physical structure for a document management business case is no different from any
other IT business case, and most larger enterprises have templates and structures for these
things. Nevertheless, document management technology remains poorly understood.
Part 3 Business Scenarios for ECM & Cloud File Sharing
Part 3 Business Scenarios for ECM & Cloud File

Sharing
Summary
In this chapter, we will look at a range of common usage scenarios for document management
systems.
At a high level, there are two key approaches to using document management technology:
As a business application in its own right
As infrastructure to support content-specific processes
The possibilities for both are infinite, and there is an industry dimension as well: law firms use
document management technology very differently than manufacturing companies. Of course,
every enterprise is different; clearly, there are patterns in the adoption of these tools. We call
these patterns business scenarios, i.e., document management technology can solve very
specific business problems. While in the next section we examine the potpourri of technology
product families and the dizzying array of associated acronyms, this chapter will help you
understand what business problems the technology could help you solve.
Document & Records Management: A Business Application or an Infrastructure?
To date, very few deployments of document management technologies have spanned farther
than a single department, be it the marketing department of a major retailer, the research and
development group at a pharmaceutical firm, or the legal department in a Fortune-500 firm.
The typical document management system implementation targets groups of users who have
very specific, document-centric needs to meet; thus, few installations span the entire
enterprise, regardless of what the document management moniker might suggest.
As a result, many document management systems have developed specific applications to
meet these varied needs; e.g., OpenText has applications designed for public-sector needs. The
specific vendor evaluation chapters detail many other examples, and vendors are working on
more.
However, not all document management-related applications are specific to a particular
vertical industry. Others span across industries and provide a more general-purpose (some
would say, horizontal) approach to document management. A good example would be
applications to manage correspondence and incoming mail a very particular task, but one
that will not differ much from retail firm, to government agency, or an industrial giant.
In order to survive, some enterprises depend on high volumes of documents running
efficiently through their systems. A typical example would be a bank or insurance firm that
handles large volumes of forms and documents to process claims and manage transactions. In
these cases, enterprises require content management as part of the underlying IT infrastructure
either because of the sheer volumes of disparate content, or because key, process-driven
documents interact with different business units throughout the lifecycle.
What is common here is that all of these use cases bring specific needs that require specific
combinations of tools, approaches, and expertise. Explicitly or not, different document
management tools target different use cases. Understanding the business scenarios that fit

better or worse for the different packages enables you to see deeper into their relative strengths
and weaknesses for your particular circumstances. We have identified the following common
scenarios:
Enterprise Content Platform
Basic Document Lifecycle Management
Process and Case Management
Cloud File Sharing and Sync
High-Volume Imaging
Information Governance
Document-Centric Collaboration
Typical Business Scenarios

Below we have identified a series of typical scenarios in which document management plays
an important role. To be sure, these scenarios are abstractions. Although your needs may not
reflect any one of these precisely, it is likely that you will resonate with one or two scenarios or
a hybrid combination of scenarios. This can be a very good starting point for a product
selection exercise.
Use this section and the comparative charts before the three vendor segments as a guide
to identifying what vendors might best fit your needs.
Document Lifecycle Management
A pharmaceutical firm has been researching a new drug that may bring about relief to
sufferers of twitchy-leg syndrome. All the research work and testing documentation needs
to be assembled into a regulatory submission (e.g., in the US for the Food & Drug
Administration). The document management work involved here is commonly referred to
as Submission Management.
At a basic level, the firm needs to provide a controlled environment with appropriate levels
of permissions and basic library services such as ACLs, versioning, the ability to check-inout, taxonomy, and search.
Hundreds of staffers may contribute to these submissions, and many pieces are reused
across the submission. Document managers must therefore create a series of compound
(or virtual) documents, which are a collection of report elements assembled to form a
single, cohesive meta-document. These documents (often referred to as CTDs (Common
Technical Documents) can be highly complex, containing a large number of elements,
each with its own lifecycle and revision history. The compound document needs to
recognize the lifecycle of each dependent element, as well as the process and lifecycle of
the meta-document all within a highly regulated environment. Fast and accurate
assembly of these compound documents is essential to obtaining regulatory approval for a
new drug.
Compound documents are analogous to folders that hold many documents; they function
in a parent-child relationship. There is a parent-level item (the holder for the virtual
document) that contains child documents that could be unique to the virtual document, but
are more likely extant documents living elsewhere in your ECM system. Child elements
may consist of other virtual documents. The added complexity here for both system and

manager comes in understanding and resolving dependencies; e.g., when a reusable
element is updated, all of the upstream and downstream references may need to be
regenerated.
This scenarios complexity can vary between extremes. On the one extreme (Basic Document
Lifecycle Management), you have are basic content services that include plain and simple
document management (but they are in no way less important). This includes the ability to
upload content, simple workflows, basic library services such as ACLs, versioning, the ability
to check-in/check-out, taxonomy, and search. Most cloud-based file sync and sharing tools
such as Box, EMC Syncplicity, and others are suitable for this scenario.
Figure 1. Cloud-based file sharing tools are suitable for basic document lifecycle
management.
The other extreme (Advanced Document Lifecycle Management) provides much more
advanced capabilities such as compound and virtual documents and component content
management. Compound documents are built by identifying links within files (for example, in
an MS Office environment, a complex Word file may contain links to embedded PowerPoint,
Visio, or Excel files). The compound document functionality has the sophistication to resolve
these links. The important thing to note, however, is that the placement of and lifecycle of the
individual links is static.
A virtual document, in contrast, provides immense flexibility to order, freeze, and activate
elements of the whole. However, outside of geeky document management circles, few
understand the differences and the terms are used interchangeably. We outline the differences
here; many document management vendors provide compound document functionality, but
very few provide full virtual document management capabilities. Be clear what you need
before approaching vendors.
Figure 2. DM/ECM tools usually provide more advanced lifecycle management.

In the early days of document management, compound documents appeared to be the future of
the industry, but outside of a few niche areas, they have not been frequently used. The drug
submission example above is somewhat stereotypical, but is by far the most established
requirement in industry for compound documents. If this constitutes your primary reason for
buying a document management system, then you will want to create an advanced and detailed
requirements case, along with fostering a corporate culture that will embrace, learn, and
manage what can be a highly complex method of document creation.
You will find a limited choice of vendors even though (as in the case of digital asset
management above) many suppliers claim to provide compound document management
capabilities, even when they do not. Like the WCM marketplace, some of the best content
component management tools will be found amid smaller, niche vendors that focus on this
space, rather than among ECM suites.
A consulting firm employs many administrative assistants, consultants, and managers who
create, review, and utilize project related documents and deliverables internally and for
their clients. Information has historically been on shared folders in file servers, or in hard
copies in filing cabinets distributed around the company. At some point, this situation
became impractical, as many of these documents contained key knowledge and
information about the firms business and clients, and it was difficult to locate. In the
absence of shared knowledge, staff would duplicate research and document creation
work. Perhaps more importantly, an increasingly mobile array of consultants and
contractors contribute to multiple projects from numerous different locales, precluding
more formal, face-to-face information sharing and coordination.
The key objective is to ensure that knowledge becomes more accessible, that time is not
spent in duplicating research, and that messages to clients are accurate and consistent.
Hence, they use a collaborative document management system, one that allows the easy
creation of project-specific shared workspaces. In these workspaces, team members can
hold online meetings with white-boarding capabilities, and store project documentation so
others can access it and collaborate while keeping track of versions and version control.
Collaboration is an overused term; thus, procuring a collaboration system that meets your
needs can be a challenging task. Here we are concerned with what is sometimes called

collaborative document management, and the scenario above requires technology that can
support the collaborative authoring of documents, along with the ability to support easy (but
secure) sharing and reuse of deliverables.
Workspaces are a common structure in which vendors try to supply this kind of functionality.
What this means is that you can buy software that allows you to configure online workspaces
(e.g., for a particular project) that will become the daily on-screen working area for team
members. They can store documents there, with tools provided to lock, unlock, annotate, and
track access to the master file.
Figure 3. EMC Documentum's CenterStage for collaboration.

Some cloud-based file sync and sharing tools such as Workshare (formerly, SkyDox) and
Box.com provide lightweight collaboration capabilities. In some cases, document
management vendors will provide project management support functionality in their
collaboration tools, such as discussion management, whiteboarding, and task lists. Some
document management vendors are slowly adopting wiki and blog functionality. Equally
slowly (but maybe more importantly), many document management vendors are positioning
themselves to capture business at the back-end of collaboration deployments e.g., by
providing a unified and compliant repository and archive for SharePoint. In short, document
management can play in collaboration in a couple of ways by providing a complete
collaboration offering, or by providing an archival/management layer for complex multiple
collaboration environments.
A Fortune-500 automobile company operates around the clock in over 60 locations
globally, with literally thousands of partners, along with busy and active web and extranet
sites. Having grown organically and via acquisition over the past 30 years, the firm has
many business applications ranging from multiple ERP systems to multiple versions of
desktop productivity software. Information on new safety and emission rules needs to be
managed closely, and the firm needs to ensure that such information is distributed to all
relevant parties within their remit. Content is created by administration staff across the

globe, reports are generated from multiple ERP systems, and email volumes have gotten
out of control (slowing servers and the network response times down to critical levels).
Over time, the firm acquired and deployed over 30 ECM systems and a similar number of
ancillary records management and collaboration tools.
The organization has begun an SOA-driven enterprise architecture project to bring some
cohesiveness and consolidation to the many disparate applications and infrastructure
pieces across the firm. Centralized ECM is the goal, but more importantly, coordinating
content services across the new architecture that will consume and create content is a
necessity along with the need to automate archiving in a compliant manner.
Many IT departments are coming to view unstructured data as something they need to
accommodate in enterprise architectures. Often driven by SOA (Service-Oriented
Architecture) initiatives, IT departments ideally want to manage unstructured data in much the
same way as they do structured data. This entails creating either a content (and associated
process) layer in an enterprise architecture, or as a set of services that represent part of the
middleware services that can be delivered and consumed as necessary. To date, most
document management vendors have operated as complex business applications serving a
particular set of business process needs.
When document management is used as infrastructure, then it should be available as a generic
service (or set of services) for a wide array of applications and interfaces; and provide backend archiving and compliance services to the large volumes or content generated in a typical
enterprise. Only the largest vendors currently offer products to meet the latter need.
However, with database and middleware giants Oracle, IBM, and Microsoft entering into the
document management marketplace, this is starting to change. Oracle now offers ECM as part
of Fusion Middleware, and IBM and EMC offer document management product sets that can
begin to meet these needs. However, most of these tools still only produce services natively,
and are not set up to consume them.
This is a difficult scenario to master, since it implies potential capabilities for developing
myriad different business applications. Much of the grief experienced by enterprises around
the concept of ECM over the past decade have originated in overestimating their capacity to
manage document services as core infrastructure at a time when business stakeholders were
demanding highly specialized, easy-to-use applications.
In addition to selling policies and investing the proceeds, insurance companies process
claims. An insurance claim begins life through a loss/claims notice. This triggers a
sequence of documents that are created and assembled from cost estimates,
photographs of the scene, statements, witness records, and so forth. Some of these will
be scanned images, paper documents, voice mails, or electronic forms and there will
likely be many copies of each document.
These elements of the claim then undertake a complex business process, with some
pieces reviewed by one person, other elements by others, involving adjusters,
supervisors, and auditors. Each has a specific job, and missing or incorrect documents
mean costly delays and errors. The typical company may have many thousands of these
claims at differing stages of the process at any one time.

Of course, claims processing involves any number of exceptions that need rework and
clarification, requiring initiation of yet more complex workflows. Many departments (some
external to the insurance company) will take part in managing these exceptions, including
legal counsel, underwriting, and investigation units, as well as law-enforcement agencies.
All claims must be handled in a rigorous, compliant, auditable, cost-effective, and efficient
manner.
As elsewhere, technology requirements for BPM and case management depend heavily on the
volume of cases and documents under management at any one time. Larger throughput
volumes (such as insurance claims processing/application processing) typically is built off the
same technology as high-volume imaging with a particular emphasis on the underlying
BPM rules engine to manage the case document relationships and processes.
Figure 4. OpenText provides a visual workflow and process designer.

In lower volume scenarios such as legal or capital management firms, the emphasis is less on
capture, and more on the secure collaboration of cases that will comprise of varied
documentation often including hard copy as well as digital documents. As a result, products
that provide good workgroup collaboration often fall into this category. The only caveat here is
that good case management often requires strong records management and retention
capabilities, since cases typically have to be kept for long periods due to legal requirements,
and it is essential to manage these cases as a single entity to ensure integrity and context over
time.
Figure 5. Alfrescos Workdesk for case management.

Cloud-Based File Sync and Sharing
A not-for-profit organization has thousands of volunteers and employees spread all over
the world. The employees create documentation related to campaigns in developing
countries, teaching material, and documentation related to fund raising. They need a
platform to share it with employees and volunteers.
Since many volunteers are in countries where high-speed Internet is a luxury, it is
important that they have the ability to work in offline mode. In many of these countries,
volunteers use mobile devices (because they are on the road more often), so they also
need to synchronize files across multiple devices.
Finally, the employees want a bit of collaboration nothing very sophisticated but they
need to be able to comment, work in small teams, and so forth.
This scenario has become really popular and the rise of consumer-oriented services such as
Dropbox and Google Drive is a testimony to their increasing popularity. These services are
simple to use, usually require no up-front investment, run off a public cloud, and provide
lightweight document and collaboration services. These tools provide services for file sharing,
multi-device sync, and the ability to work offline using a cloud-centric deployment model.
Figure 6. Box and other tools provide cloud-based file sync and sharing.
In terms of capabilities, theres an overlap with traditional document management vendors as
well. As a result, many document management vendors are acquiring cloud-based file sync
and sharing vendors or building these capabilities. There are some standalone vendors such as
Box.com, Workshare, and Accellion that also provide these capabilities.
High-Volume Imaging
A global logistics and shipping service operates hundreds of bureaus around the world; in
addition, they support a very large network of agents. For every piece of freight shipped
an envelope, a parcel, or pallets of supplies employees and customers need to
complete paperwork locally. The paperwork consists of a shipping form, invoicing/account
information, and relevant customs/legal documentation. These documents commonly
completed by hand on paper are scanned to a centralized system. Throughput of
documentation into the document management system can run as high as 300,000
documents per hour at peak. Security is essential, since much of the documentation
contains names, addresses, and credit card information. The documentation is then
processed in a distributed fashion around the clock, and is made available to authorized
company staff and customs officials across the globe in real time.
In these situations, you will be looking for vendors that specialize in the high-volume capture
and throughput of relatively fixed content, often referred as Transactional Document
Management. The technology must be able to manage geographically distributed scanning
locations and automatically index large volumes of incoming documents. These products will
also typically undergo automated quality control of the captured images, checking whether the
image needs to be corrected in orientation, de-speckled, or otherwise manipulated.
More advanced products offer the ability to recognize incoming imaged documents
automatically, based on highly sophisticated rules and artificial intelligence technologies. At a
simple level, they can recognize a statement from an invoice and route it accordingly; as

the sophistication level rises, they can read and extract numeric and textual data from the
image before sending it for processing.
Underpinning most high-volume imaging deployments is a powerful business process
management functionality that can route documents based on intricately configured rules. The
captured document moves through a document management repository and potentially
migrates to other host or legacy systems for elements of the processing cycle. Acting as a
middleware layer, BPM tools drive the lifecycle of the document process.
Look for advanced imaging and capture functionality (often provided courtesy of a third-party
vendor such as Kofax), and the document management system must be able to manage your
distributed capture network, as well as route the document through workflow or the BPM
engine at the level of depth suitable for your needs. Not all workflow and BPM systems are
equal; many offer basic routing inside the walls of the document management system, while
others bring full-scale (read: complex and expensive) middleware integration tools that can
support process management involving a wide array of systems outside of the document
management product.
Most tools that are good in this scenario also provide capabilities for forms processing. In fact,
many high-volume imaging vendors will include forms processing and recognition software
layered into their offering. You must consider how intelligent you want your electronic form to
be: a simple template with fields and data that saves as a single document, or something with
real-time validation of fields (e.g., date or account number). You may want to go even further
and create a truly intelligent form that can process input data as it is generated (rather than
simply validate it against some predefined parameters). In these more advanced cases, you
may want the form to go beyond your document management system and be routed for further
processing. You may also want some of the captured information to be fed to a database or
legacy business application.
There are many mature imaging products on the market, which is a good thing. However,
since imaging has been around for a while, some are looking dated both at a UI and at an
architectural level. A good understanding of your image ingestion rates peaks, averages,
and the distribution of the workload at the process and capture level across your organization
is essential to know before starting discussions with any vendors. You otherwise run the
risk of buying a toolset that is unable to meet your needs.
A major construction firm requires an ECM system that can help facilitate records
management to ensure that it stays compliant with a wide array of local and national
regulations.
The firm undertakes many construction projects simultaneously across a wide geographic
area. This work involves handling many sub-contracts, brokering land purchase deals,
procuring materials, developing planning and design documentation, and submitting local
permits and certifications. A recent audit revealed that the firm was unable to trace
important documentation regarding past developments, and that not only were they out of
compliance with regulations, but also highly vulnerable to potential litigation.
The firm now employs an ECM system that can provide records management capabilities
to ensure that business records are captured, stored, and managed off-line for appropriate
periods. Document types have been identified and a file plan has been instigated to

support this task. Various document types now have automatic retention and disposition
rules attached to them to ensure good and visible management of all important
documentation throughout the lifecycle.
Records management is considered a part of document management functionality, but the

reality in many (if not most) organizations, is that it remains a distinctly separate corporate and
technical function. However, due in part to the increasing burden of compliancy, and the
seemingly uncontrollable volumes created daily within most organizations, it has been
regarded as an information management issue. Hence, it increasingly comes under the banner
of document management.
This sets up a problem for many buyers, because some vendors are not rooted in records
management and know little about the topic even if they sell expensive solutions to meet
record management needs. Of all the scenarios discussed in this report, this may be the most
difficult scenario to procure and deploy successfully.
Figure 7. FileNets Records Manager interface.

In terms of product requirements, the first thing to note is that this construction firm will
require at least a basic document management system that is tightly integrated with a records
management system. This is one of the major benefits a Suites provider can bring to the
table assuming they have truly made the effort to integrate their DM and RM products
(some have not).
Beyond this, consider how all of this technology is going to work in practice, since records
management revolves more around business procedures than anything else. Hence, many
buyers are looking for automated declaration of records via smart folders, or by powerful
rules-driven systems that read and tag incoming documentation. Youll need to assess whether
this approach is sufficiently accurate or valid; regardless, many firms have chosen this as the
most practical way to handle huge volumes of email and office documents that would
otherwise require an army of clerks to sort.

Buyers need to consider where the records will go once identified, since they will likely need
to be held for a long period (often many years) and online storage may not make sense. Hence,
the products need to be able to manage archives and provide an array of storage options. This
wide array is essential, given that multi-year commitments to a single storage system or
vendor are often difficult to sustain.
Any RM technology procurement process should involve existing records management and
legal personnel, as well as those responsible for corporate storage (physical and electronic) in
order to have any chance of success.
Conclusion
Enterprises use document management tools in a wide variety of situations and contexts, and
finding the right fit for your specific needs is much more important than selecting generic
document management leaders for your shortlist. There are no best document
management tools, nor are there many particularly bad document management tools. Rather,
some have been optimized for certain scenarios and may therefore not match other scenarios
effectively. The typical ECM Suite is constituted from a loose grouping of software offerings,
each originally developed to meet a specific business requirement. Whether you need to fix a
very particular business need and find an off-the-shelf application from a vendor, or you will
be involved in the large-scale development of a process- and content-centric infrastructure
across departments and geographies, you need to be very clear on your requirements from a
document management supplier.
In these vendor evaluations, we match vendor suitability to these scenarios. Some vendors fit
well into multiple scenarios; most scenarios fit multiple vendors; some scenarios are not well
matched by any supplier. Use these charts to identify your list of suppliers, and investigate
more deeply via the individual vendor chapters.
Dont automatically discount a vendor because theyre not listed in a particular scenario. This
doesnt necessarily mean that the vendor cannot meet that need; rather, you (and they) will
have to do more work to make the product fit into your scenarios.
Part 4 ECM & Cloud File Sharing Technology Dissected
Part 4 ECM & Cloud File Sharing Technology

Dissected
Introduction
This chapter is a primer on understanding the three main dimensions of document
management technology:
Functional Business Services Document Management, Document Collaboration,
Records Management and Archiving, BPM and Workflow (including Case
Management), eForms, Imaging and Scanning, Mobile Access, and File Sync & Offline
Technology Services Architecture, Integration and Extensibility, Application
Development, Administration and Management, Cloud Services, and Security
Vendor Intangibles Vendor Professional Services, Channel Partner Services, Support
& Community, Strategy & Roadmap, and Viability & Stability
We use these dimensions as the basis for our evaluations in this report. When we criticize what a
particular product does or does not do with respect to Business Process Management or
Mobile Access, this chapter will provide clarity on this terminology.
Functional Business Services

Document Management
Document management technology can help organizations better manage the creation and
flow of documents through the help of databases and workflow engines that encapsulate
metadata and business rules. Perhaps more importantly, they represent the original
manifestation of effective library services: versioning, version control, repository search, and
cataloguing. In other words, DM systems facilitate the security and administration of large
volumes of content.
From a product standpoint, the marketplace has seen some confusion about what exactly
document management is. Since DM is literally the management of documents (unstructured
data), many document imaging systems call themselves document management products.
Many early workflow products also call themselves document management systems, since
they drive documents to the right locations within an enterprise. More definitively, we refer to
electronic document management services today as the functions that are analogous to hardcopy document filing systems.
In fact, most document management systems closely mimic traditional filing, with cabinet,
folder, and document level structures. Here again however, vendors differ widely in
functionality and target use cases, so we can broadly divide document management services into
the following four big buckets:
Fixed (or Transactional)
Regular (or Active)
Structured (Compound)

Archival (or Historical)
Fixed DM (sometimes called Transactional Content Management) refers to systems that
have been designed to handle captured images (scanned documents). The documents
themselves are fixed, in that they typically will not change. A good example of this would be a
scanned bank check. It is what it is, but needs to be stored, referenced, and accessed. However,
once the document is captured and labeled, the contents of that file will never change.
Regular document management systems pick up from this lightweight function set and add a
layer of sophistication that could include:
Allowing multiple people to work on a document in a secure manner
Audit and reporting mechanisms to track who has done what and when
Much more advanced attribute (metadata) and security options
Combined, these provide for more secure organization and retrieval processes.
In lightweight versions of regular document management systems, some basic repository
services become available so that document modifications can be tracked, and version control
can be applied to keep people from overwriting each others work. (See Introduction to
Repository Services on page 25.)
Figure 8. Hyland's document management user interface has MS Office-type controls.

Structured Document Management systems typically contain Compound Document
Management functionality, which allow for the construction and management of highly
complex document objects (see Compound Document Management on page 24).
You may have seen industry discussion about the commoditization of document
management, and the emergence of BCS (Basic Content Services). Typically, BCS is focused
on lightweight document management with an emphasis on core library services. Most
products today fall into the lightweight and regular categories, and now Microsoft is providing
collaborative document management functionality to the masses through SharePoint.

Historical or Archival Document Management refers to the management of larger volumes of
content once they have become inactive. Not to be confused with Records Management
(though RM can play a significant part in the management of historical content), Archival
Document Management maintains the administration and security of content through the later
period of its lifecycle. For example, in claims and check processing, a piece of fixed content
captured via an imaging system may only have an active life period of a few days or weeks;
after that, it will seldom (if ever) be accessed again, but destroying it may be illegal or
impractical. Yet allowing it to remain on the live system network becomes equally impractical.
The information is archived, along with its metadata, and continues to be managed (often
offline) in a manner that may be invisible to the end user.
Few document management vendors provide advanced or historical document management
capabilities. If either of these are something you may require, then you will need to take
exceptional care in your document management selection process.
Compound Document Management
Compound Document Management (or Virtual Documents as they are often called) is
typically the central reason enterprises buy and deploy document management systems; yet for
many, it is functionality they never use.
Compound documents go back to the roots of document management as a discipline separate
from imaging. For example, FileNet started life as a pure Imaging player, and in that world, a
file is a finished and complete content item. At the same time, firms such as Documentum
were developing advanced abilities to manage complex document structures. They did not
deal with huge volumes of fixed images like FileNet, but a smaller number of documents that
had highly complex structures.
Archetypal Compound Document scenarios include submissions forms by pharmaceutical
firms to the FDA, and Operating Manuals in the Aerospace sector. Each is essentially a single
entity (submission form or manual) that is, in fact, a dynamic array of many different
documents, drawings, charts, and spreadsheets. The compound document facility holds these
together into a cohesive end deliverable, forming potentially dozens of different virtual
documents.
Each element of the compound document may have a life of its own (e.g., an engineering
drawing in an airline operating manual will have a specific lifecycle of its own that needs to be
maintained). If that drawing changes for any reason, it will trigger a change control process,
and then (depending on predefined rules) change in parallel within the compound document.
Alternatively, it may flag users of the compound document that the element is currently under
revision and subject to change.
Outside of technical publishing, enterprises have tended to find compound documents difficult
to assemble and maintain, although this is improving. While it is technically possible to reduce
a compound document to paragraph-level components, it is seldom done, since dependencies
at micro-level can be nearly impossible to manage. Undertake intense business analysis of
impacted processes, because what can seem like an elegant technical solution may become a
business process horror in waiting.
A simpler way to obtain more value from content is to repurpose it rather than to reuse it. The
ECM community is indebted to Ann Rockley (www.rockley.com) for clarifying this
distinction first. Here, you convert a single document to multiple formats (or renditions),

possibly stripping and/or converting some elements for certain media types. At the simplest
level, many content and document management packages can repurpose Word content to PDF.
At a more complex level, you may have XML-based documents that you wish to transform via
XSL into more than one output: e.g., a rendition for your website, another for print, another for
wireless devices, and another for a syndication feed. In this case, the transformation occurs on
the entire document, and there is no notion of assembly of atomic units. All renditions of the
source are visual renditions, as opposed to structural renditions.
Introduction to Repository Services
Repository Services represent the core of any DM (and indeed, any document management)
system. This is where you control your content repository(ies). Repository Services sounds
mundane, but is essential for a well-functioning system, and may be the biggest immediate
improvement for your internal users over any ad hoc system you have today.
There are four key pieces to the puzzle here:
1. Version Control
2. Versioning
3. Access Control
4. Classification
Version Control
Version control is shorthand for a system that keeps people from stomping on each others
work in collaborative environments. This is typically enforced through document or element
check-in/checkout facilities that prevent two or more people from working simultaneously and
unknowingly on the same content.
Document management users in distributed systems often find version control tremendously
helpful, but it sometimes can come at the expense of collaboration. The idea that only one
person can have a content item checked out at any one time can lead to very linear processes
and sometimes added stress on workflow routines (such as excessive looping). Some
document management vendors have responded with specialized capabilities for multiple
editors to work on a content item simultaneously typically by saving rather than
submitting before promoting it to the next step in a workflow.
Versioning
Versioning also enables you to track changes, so you can audit and monitor what changes have
been made to any element or asset. Some document management packages have done this in a
sophisticated way relative to desktop tools, by providing redlining of changes just like in MS
Office. Other tools perform change tracking in a simpler, side-by-side way that can also be
useful.
Versioning has also become a major liability-related feature, and vendors have honed in on
this as a critical selling point. As a company, you are responsible for the content you produce
and manage, but content changes over time. How can you prove what a particular piece of
information said one year ago?
Within the increasingly litigious US environment, versioning has emerged as a huge issue,
especially with the advent of Sarbanes-Oxley. For legal reasons, even companies in largely

unregulated industries have to be able to recall exactly what their content looked like at any
given instant. The ability to rollback a document to that time is essential, and this is why a
new rationale for making a document management investment has emerged: Its a necessary
insurance policy.
Another important consideration with versioning is the concept of major and minor versions.
In most systems, documents simply go through a major version control process. The first time
the document is checked in, it becomes version 1; once checked out, altered, and placed back
in the system, it becomes version 2; and so on.
However, in some circumstances, this coarse-grained approach will not suffice. Some
organizations have more demanding requirements for documents to go through a more explicit
lifecycle (e.g., ranging through concept, draft, and issue). Each of these steps represents a
stage (a major revision), but may contain many sub-steps (e.g., multiple drafts) that represent
minor versions. In such prescribed situations, a version control system might follow a path
such as 1.1, 1.2, 1.3, 2.0, 2.1, 3.0, and so on. Note that the example here is a very simple one;
some organizations e.g., the engineering sectors may use alphanumeric systems beyond
the simple 1.0, 1.1 process, which many document management systems do not support. So, if
you need this depth of versioning, be sure to investigate carefully.
A final important consideration is exactly how a vendor manages old versions. In many cases,
the old version is locked and access to it is restricted. An entirely new file is then created for
the next version. In this way, 30 revisions of a document for example, would result in 30
complete electronic files. Many people wrongly assume that all document management
systems work this way, but they do not. Some systems do not hold the old versions; instead,
they overwrite them and only save the changes/differences between each revision.
This latter approach certainly has some advantages, in that it dramatically reduces the amount
of data stored on your server. However, many legal experts take major issue with this
approach, because you are not in fact storing original documents as many regulations mandate
just notations relating to the changes. Even though an old revision can be accurately
reconstructed, it is not in a legal sense the original. In choosing a system, you will want to
check how any document management tool manages old revisions and ensure that both you
and your legal department are happy with the vendors approach.
Access Control
Many people can be involved in the production of even a departmental electronic file system.
Moreover, since one of the key advantages of document management is to distribute content
maintenance capabilities directly to content owners, implementing a new document
management system leads to even more people becoming involved in this process. Therefore,
you need a system to manage internal access and permissions that is much more robust than
that required to support access to a file system (access and privileges for users outside the
corporation are addressed later).
Users can be assigned privileges based on the role they play (the types of things they can do),
or the group to which they belong, which defines their authority and, typically, the scope of the
documents they can touch. It is possible (and indeed quite common) for a user to make up a
group of one. Note, however, that many vendors do not have notions of groups in their system,
or have groups, but they are really roles.

Consider the following chart of Groups and Roles for a generic enterprise:
Sample Groups
Sample Roles
Office Services Can only contribute

incoming, mailed correspondence
Toronto Team Can only process
documents related to the Toronto region
or office
Finance Can only manage and process
Accounting-related documents
Enterprise Can manage and process
documents across the enterprise
Super User Performs any function in

the system
Administrator Manages users and
business rules
Clerk Scans and captures content
Reviewers perform QA
Intern Supplementary indexer of
content
Records Managers Declares and
processes groups of records
You may need a system that lets you assign a combination of Groups and Roles. Using the
chart above, lets say that Nancy serves as a Clerk in the Office Services Group. She can scan
and capture mailroom content, but she cannot scan content in other departments or approve
any final version of any document.
All document management packages come out of the box with generic roles preconfigured for
your use. Except on the very low end, these products enable modification of those roles as
necessary. However, not all document management packages allow you to create completely
new roles, and among those that do offer this capability, they may not be able to circumscribe
functions in exactly the way you would like. For example, you may want your interns to add
and modify metadata, but have no other privileges, or you may want your managers to initiate
workflow tasks, but not be able to author content. Ask prospective vendors to show you just
how to make the roles and groups you think you will need. On the other hand, if you have very
simple needs, stay cautious about products that offer highly granular control mechanisms.
These can be hard to manage, and the novice administrator can accidentally create problems
(typically revolving around editors who are locked out of sections where they should have
access).
Most document management packages will tie into existing corporate directory systems (such
as LDAP servers) for basic authentication, while providing authorization (what some call
entitlements) within the document management system itself. Note however, that the way
they do so will vary markedly among competing products. Some products will access an
LDAP repository in real time, whereas others require that the LDAP server sync up with (or
cache credentials within) the products own access control lists on some sort of regular
schedule. In the former case, you need to make sure that the network between your document
management system and your directory server is completely reliable. In the latter case, there
can be periods where a user whose rights have been expunged in the corporate repository may
still have access to document management privileges, or conversely, has been added to the
corporate directory but wont be visible to the document management system until the next
synchronization.
User management can become a big differentiator between truly enterprise-class content
management providers and smaller, cheaper alternatives. Distributed enterprises quickly learn

that they need particular managerial roles that fall short of super user powers, but offer more
capabilities than typical content contributors. In particular, it is nearly essential to devolve
basic user management facilities (add a user, assign them to a group, etc.) to designated
departmental managers, lest a set of centralized user administrators become a bottleneck in the
entire system. Even if your enterprise uses a centralized directory like LDAP or Active
Directory for basic authentication, you almost surely will want to assign specific rights and
entitlements in the document management tool at a departmental level. Surprisingly, many
major document management packages do not allow you to do this, because they commingle
user management with broader (and more technical) system administration capabilities that
you would not normally want to expose to a line-of-business manager. Make sure your
document management vendor can accommodate how you want to manage the multitude of
users and departments your system will encompass.
Metadata and Classification
Sometimes lumped under the general category of indexing, metadata and classification
technically concerns building, managing, and applying content classification and tagging
systems. When users or systems apply metadata, they are helping to liberate the
underlying information.
The first major benefit to tagging or indexing content is that it helps people find things.
Metadata enables your search facilities to become more targeted and efficient. How so?
Imagine your library with no catalog system, no labels on the shelves, and books without title
and author info on their spines. Finding the specific information you seek would be
extraordinarily difficult. Todays full-text search engines are only slightly better than going
into the library above. Moreover, some imaged documents may have no full-text to search,
anyway. Metadata enables you to provide greater meaning and cues, without which content is
just text.
A second major benefit to metadata is establishing relationships. Content elements or
documents can relate to each other in time (sort by date), subject (show me both the 3-D
image and detailed specs on the product line Im viewing right now), and other attributes.
Metadata enables this.
One Record,
Multiple Classifications
ONE RECORD,
MANY ATTRIBUTES
MULTIPLE ATTRIBUTES,
MULTIPLE RECORD COPIES
HIPPA
HIPPA
CUSTOMER
LEGAL
LEGAL
LEGAL
CUSTOMER
ACCOUNTING
TING
UN
COIP
PA
ACH
Figure 9. Classifying content allows you to find it later, either by browsing or searching a
repository. Different systems apply attributes in different ways; some will physically place a
copy in multiple locales; more commonly, metadata is stored in a separate, searchable
database with a pointer to the document.
Assigning metadata is often seen as the job of content contributors. Who else can better apply
meaning to content? Of course, some metadata can be applied implicitly, or transferred from a
source document. This includes such attributes as date, file type (where relevant) and size,
author, approver, and so forth. The availability of this new implicit metadata is a powerful
reason to implement a document management system in the first place.
However, because entering explicit metadata requires extra manual effort, people generally
dont like to do it. If tagging requirements are particularly onerous, contributors will rebel and
either put in bad data or find workarounds to avoid this work altogether. Most document
management packages will enable you to apply rigid technical controls to prevent this, but a
better strategy revolves around getting buy-in from contributors for the extra work. Point out
to your contributors that good tagging likely means that more site visitors will see their
content, and that since the contributor herself will find the text more readily in the future,
updates will come easier. Explain that metadata is critical to whatever business objectives you
are pursuing by linking content to core products and services that pay the rent.
Then, in the contributors tagging interface, be sure to employ intuitive, easy pull-down menus
with preset options. The industry phrase for this is controlled vocabularies.

Figure 10 shows a classic example of
both free-form and controlled
vocabulary input.
Another school of thought suggests
that you should give up on getting
good explicit metadata from busy
authors, and turn this librarian
function over to skilled information
specialists, perhaps with the help of
auto-categorization software.
Figure 10. State/Province lists are excellent

examples of controlled vocabularies.
Taxonomies
Information architects or others
with librarianship training can come
to the rescue here by either
developing enterprise-wide
vocabularies or applying industryspecific classification schemes,
called taxonomies. Fortunately,
various automation tools have
matured to the point where they can
speed such things up, but ultimately,
this process needs human oversight.
Taxonomies should be built with the
content consumer in mind also. If
you want documents to be found,
you need to apply vocabularies that
are familiar for those searching for
the content.
Our final advice is to avoid making
contributors do too much tagging at
the start, and keep your
classifications schemes simple. Yes,
Figure 11. Managing a hierarchical classification in
metadata provides an important
CrownPeak.
value-add within the system, but
like workflow, it can be overdone.
Keep in mind that you will need to update your vocabularies persistently as content changes,
and good contributor feedback mechanisms will be essential to keeping taxonomies relevant.
The important thing, though, just is to do it in the first place, especially if your database
exceeds, or is going to exceed 1,000 pages. Without metadata, you wont be able to keep track
of all that content.

Note that in some industries and public
sectors in some countries, standard
taxonomies have emerged. For example, all
UK government entities must support the
Integrated Public Sector Vocabulary
(Figure 12). Among other things, this
prompted document management vendors
in that region to upgrade their tools to
support hierarchical classifications or
miss out on that important marketplace.
In organizations for whom taxonomies are
especially critical (such as news and
portals), a taxonomy guru typically
emerges who serves as a kind of context
administrator for the system at large. With
this authority in place, some firms then find
it easier to off-load some or all metatagging to interns or other support staff,
overseen by the head information architect.
Document Collaboration
Document management tools traditionally
were not seen as collaboration platforms in Figure 12. A part of the UK Integrated
Public Sector Vocabulary.
the marketplace. Most buyers tended to
employ document management systems
initially to automate procedures that became too sclerotic for the volumes of content
enterprises were trying to process and exploit for content reuse.
Then came SharePoint. SharePoint revealed that nearly all enterprises want to collaborate
around certain types of documents MS Office files in particular. In some organizations, this
is clearly an important consideration, but youll want to think about what collaboration means
in your document management context. For most enterprises, it means the ability to collaborate
in document-intensive environments. Consequently, the focus of document management
collaboration offerings is on secure, shared document authoring and review usually within a
specified workspace or portal.
Microsoft has set the bar high here, with SharePoints focus on providing collaborative
environments for typical Office situations. However, we caution you to clarify whether you are
looking for a document management system to accommodate semi-autonomous knowledge
workers. If you need to drive forms and relatively fixed information employing clerks who
review or utilize documents in highly transactional processes, then your enterprise may have
little need for fancy collaborative functionality.
To be clear: document management is not evolving from a world of transactional clerks to one
of complex knowledge workers; it is simply expanding to meet both needs.
Some document management vendors have responded by adding richer annotation features to
traditional workflows (e.g., digital stickies). EMC| Documentum, Oracle, and OpenText,
have aggressively purchased or developed lightweight collaboration tools to add onto their

document management offerings. These new capabilities include project-based categorization
for workgroups; threaded discussion boards, and real-time, collaborative document editing
facilities. In this connection, however, they are bumping up against traditional groupware
vendors (MS Exchange, Lotus Notes) who already command major market shares, not to
mention MS SharePoint, which presently dominates this space, at least at the workgroup level.
The key distinction for would-be document management buyers is whether they need fullblown collaboration functionality for workgroups who are working together on specific
projects, or whether they want their content management processes to be more collaborative,
and for the document management system itself to be able to account for multiple actors
working together on and communicating about a single piece of content while it exists in
any particular status (e.g., draft, edit, or approved). A full-blown collaboration package may
help you manage ad hoc projects run by distributed teams of staffers, but it may not help you
improve cooperation in your content approval workflows.
In the meantime, a raft of interactive, Web 2.0-style collaboration utilities has hit the market.
Not all of these are new, but together they offer the potential for more dynamic informationsharing in the workplace. Such applications include:
Polls
Surveys
Calendars
Forums and chat
Email lists
Blogs
Wikis
Simple (even perishable) data collection forms
Buyers should note, however, that portal software packages usually include these modules as
well. In fact, portal products and their ecosystems of third-party suppliers can typically supply
a greater variety of these newer collaboration facilities, and they are more likely to be tightly
integrated with the portals access, security, and search subsystems (which is particularly
critical for intranet scenarios). If you have portal software already on hand, you face a strategic
choice here.
Content management packages that provide these applications natively can usually boast
integrated metadata and workflow frameworks, as well as ease of applying a common look
and feel. Perhaps more importantly, they can allow content managers to control other types of
information exchange without resorting to separate administrative interfaces and a separate
technical team to make it all happen.
Figure 13. CenterStage provides collaboration based on Spaces. You can access
Documentum content, share it with other colleagues, and participate using discussions,
wikis, and blogs.
The downside to micro-applications within your document management tool is that they may
not represent best-of-breed functionality; e.g., most blog tools that bundle with document
management packages do not have state-of-the-art comments-handling subsystems, complete
with spam avoidance. That might not matter for intranet scenarios, but could present a rude
surprise in a public environment.
A recent trend in the document management market is that the vendors are beginning to
expand their collaboration definitions beyond just document-centric collaboration. In fact,
some vendors are offering integrated enterprise social software capabilities as part of their
offerings. In some simpler enterprise collaboration cases, getting your social software from
your document management vendor will suffice, but for most enterprise collaboration needs,
youll want to explore the offerings of the best-of-breed enterprise social software platforms.
We evaluate enterprise social software platforms in considerable detail in our Enterprise
Collaboration and Social Software Report.
Records Management and Archiving
What is Records Management? Here is a formal definition we like:
A professional discipline that is primarily concerned with the
management of document-based information systems. The
application of systematic and scientific controls to recorded
information required in the operation of an organizations
business. The systematic control of all organizational records
during the various stages of their lifecycle: from their creation
or receipt, through their processing, distribution, maintenance
Records

and use, to their ultimate disposition. The purpose of records management is to
promote economies and efficiencies in record keeping, to assure that useless records
are systematically destroyed while valuable information is protected and maintained in
a manner that facilitates its access and use.1
As you can see, Records Management is not about keeping everything (though in some highly
regulated industries, it may seem so). RM is about ensuring that what needs to be kept as a
record is retained AND prescribing how long it should be kept, where it should be stored, who
has access to it, and when it should be destroyed (if ever).
Definitions vary, but a good working definition is that records are recorded information,
regardless of physical form, that are generated or received and used while conducting
business, and preserved because of their informational value or as evidence of an
organization's functions, policies, decisions, procedures, operations, mission, programs,
projects, and activities.
Is this information a record?

Does this information...
...document your daily business process?
...provide input to a mission critical business decision?
...provide evidence as to why a business decision
was made?
...have requirements for legal, fiscal, audit, or tax purposes?
Figure 14. Simple questions to define business records.
There is no single approach to defining a records retention program for every document that is
out there every company has to look at its own business operations and examine what
should be considered a record, and then decide what retention rules to apply against them.
Again, the government and other industry regulators may help in that decision by defining
exactly what they expect to see if they have to do an audit or investigation, but audits and
investigations aren't the only reasons to have a records management program.
This cannot be stressed too much: RM software products support the implementation of your
Records Management Program. Understanding your records needs what needs to be kept,
1. Source: Robek, Mary; Brown, Gerald F.; Stephens, David O., Information and Records
Management: document-based information systems 4th edition, Glencoe/McGraw Hill, 1995, p. 585

for how long, and what needs to be destroyed (a file plan, also called a record plan) is
absolutely necessary before embarking on a search for software.
A file plan groups records on the same subject and allocates record numbers to ensure that
related records are either shelved together (or in electronic systems, filed together), and
automatically assigns a retention schedule. This usually necessitates the development of a
thesaurus or taxonomy to categorize records and/or documents in a common and/or standard
way. In general, records management systems should be able to provide automated control and
tracking of an organization's file plans and records retention and disposition plans, and provide
an optimized process for helping users to identify and file (declare) a document (electronic
or otherwise) as a record.
How RM Fits into the Overall Document Management Landscape
Unfortunately, confusion still abounds when it comes to understanding exactly how records
management and archiving is differentiated from document management and other document
management strategies. Although many enterprises rightly try to link these strategies together,
it is still important to understand the differences between them so that key functions and
procedures are not overlooked.
Even the word archive is used in various ways that can confuse buyers and sellers alike. To
some people archive means saving just about everything; to a records manager, archive means
saving the right things for a specific length of time usually forever. Retention and
disposition practices define saving other things for a specific length of time.
A document (whether in electronic form or paper) is the basic communication device in what
is considered unstructured form (as opposed to structured data records which in some cases
can be embedded within different electronic documents) that is used in most organizations.
Not all documents are records and records can be both structured (such as data records) and
unstructured. Records can be documents but have a more rigorous process associated with
managing them. Records can include books, papers, maps, photographs, machine-readable
materials, or other documentary materials. They can be created or received in connection with
the transaction of public or private business. Records Management systems had their original
roots in tracking the whereabouts of paper-based records and providing an audit trail for the
access and eventual disposition (read that as destruction) of a record. These days, electronic
records management systems must still track both paper and electronic records in order to be
effective. In addition, since the definition of a document (and, therefore records) has
significantly broadened to embrace web pages, videotapes, instant messages, and emails, RM
systems have had to be able to provide mechanisms for also managing these artifacts.
RM is more focused on maintaining a repository of evidence that can be used to document
events related to statutory, regulatory, fiscal, operational, or historic activities within an
organization. While DM repositories are generally focused on keeping as much as possible for
future reference, RM repositories are generally focused on keeping only what is necessary for
a specified length of time and then providing a mechanism for complete destruction of a record
and an audit trail of the activities associated with that record. An RM system usually deploys a
role-based user security model with strict filing permissions for groups of users.

Organizing Records and Defining Retention Schedules and File Plans
The retention schedule for a record series defines how long those (paper or electronic) records
should be kept, who has access to them, who has the authority to file them, where they are
located, when they can be moved from active to inactive status, when they can be disposed of,
and who has the authority to dispose of them. RM systems should be able to take the defined
retention system and automate it. (They should also be able to import plans.) Most RM
systems allow users to create an organization-specific file plan and link the file plan to records
retention schedules, including disposition instructions and the specification of cut-off dates for
changes from active to inactive storage or final destruction.
Figure 15. A Records Manager creates and manages a specific file plan in IBM/FileNets
Records Manager product.
Users should also be able to add, edit, and delete records retention schedules, and to freeze
or execute records retention schedules. The system itself should execute disposition
instructions and allow users to assign a status to records to prevent their destruction. In
addition, the system should be able to capture applicable legislative or regulatory citations
supporting the retention period.
Declaring a Record
The success of any electronic records management system hinges on the user's ability to
declare a record quickly and effectively. If the decision takes over five seconds, declaration
can be delayed fir days or weeks (when the user has the time). Any electronic RM system
should assign unique identifiers to records and their associated metadata (e.g., record creator,
creating organization, and author); capture as much metadata as automatically as possible, and
reliably link metadata to the records. They should also have the ability to mark Official
Records that may only allow limited access to certain individuals or departments, and vital
records that need to be kept forever for disaster recovery and/or historical archival purposes.

Many systems allow for the pre-population of standard information and/or the ability to access
pull-down menus or pick lists of standard classification and metadata attributes to speed up
and standardize the process.
With auto-classification, the system can automatically add metadata to the record and move it
into the appropriate category within the file plan by scanning the content of the document.
While this feature can save time, it needs to be thoroughly benchmarked for consistency. Some
records have multiple uses, raising concerns over what the official record is.
Most RM systems should allow the importation of records from other sources. You should be
able to import records or your RM system should be able to apply appropriate controls on
records in other repositories (called Federated Records Management).
Every organization needs to understand how much security is appropriate for the records it has
on hand. The system should prevent over-writing of a record and prevent any modification of a
record's unique identifier. It should also prevent the deletion of indexes, categories, and other
pointers to records, and track changes to a record or its metadata.
Managing Records Access or Circulation Management
An RM system should control access so that only an authorized individual is able to retrieve,
view, print, copy, or edit a record or other entities (e.g., metadata, file plan) in the record
keeping system. It should also permit the identification of individual users and groups of users,
and enable different access privileges to be assigned to individuals or groups.
Preserving Records
An RM system should ensure that all records can be read and accurately interpreted
throughout their useful life in that system. (This does not preclude the need for preservation
options for those records that need to be archived for an extensive period.) The system should
enable migration of records to new storage media or formats in order to avoid loss due to
media decay or technology obsolescence. It should also ensure that all captured metadata
remains linked to appropriate records and is unchanged throughout the useful life of the
records, including after migration to new media or technology.
Retention and Disposition Management
Once a file plan and retention schedule has been created and developed, the RM system should
manage the retention aspects of the records from cradle to grave. An RM system should
identify records (in groups or individually) that are eligible to be migrated from active to
inactive status or transferred from inactive to destruction or archival, based on records
retention schedules and disposition instructions. It also should export records and metadata
(i.e., copy and subsequently remove them from the system), in a format that is acceptable for
transfer to the user organization. It should keep a record of all record transfers, providing
certifiable proof of transfer, as well as an audit log of records destroyed, with certifiable proof
of destruction.
Retention and Disposition Management

Manage active, inactive and
total retention periods
The ability to track the status of the record automatically

after it has been declared into the repository is a
mandatory function.
Support time and/or event

driven retention periods
Retention periods can be driven by a specific time period

such as 10 years and/or by an event such as the closing
out of a project or the death of the person to whom that
record pertains.
Automatically calculate
transfer and destruction dates
for all records in the
repository
Using the retention periods defined within the file plan to

identify when a record should be transferred or destroyed
is a mandatory function.
Change disposition for

groupings of records or
individual records
Sometimes rules changes and it is important to be able to

change the retention periods in bulk for a certain
classification of records.
Capture applicable legislative

citations supporting each
retention period
This is a nice to have feature that provides the why

behind the retention period. This is extremely helpful when
records managers change and new staff needs to
understand why the class of records is filed for a certain
length of time. Also aids in identifying those classifications
that need to be changed as a result of a change in
regulations or legislation.
Create disposition reports,

including destruction
certificates
Destroying records demands an audit trail usually in the

form of reports. Destruction certificates authenticate the
fact that the record(s) has indeed been destroyed
Automatic workflow process

for record destruction
Records are not usually destroyed without several

approval authorizations and routing those approvals
through a workflow process is mandatory.
Ensure deleted records are

destructed
The product should be able to provide irrefutable evidence

that the record has indeed been destroyed (destruction of
pointers, indexes, etc.)
Assign multiple retention

schedules to a single record
This ability to support this feature tends to be a debated by

records managers. Most government agencies and some
records managers believe that a record should be subject
to only one retention schedule. Many commercial
enterprises need the ability to apply multiple retention
schedules to one record because it is retained by different
people for different reasons. Thus, retention (and therefore
access) may be longer for one department or staff member
versus another.
Provide email notification of

disposition results
Once all approvals have been met to destroy a record or

set of records, appropriate authorities should be notified of
their destruction.

Retention and Disposition Management (Continued)
Bulk Loading of Legacy
Documents or Records from
other systems
Migrating records and folders one at a time from another

system can be time-consuming and tedious. The ability to
bulk load whole folders or categories of records from one
system to another is a significant time saver.
Workflow & Business Process Management

Workflow in a document management context constitutes how
content is processed through a set of interdependent tasks that
usually occur in a specified sequence. Done right, workflow
systems can improve process efficiencies within enterprises of all
sizes. Executed poorly, a workflow system can gum up an
otherwise perfectly good system.
Document management without workflow leaves you with a static Business Process
Management
repository. Workflow is the technology that automatically moves
content out from the repository, and around (and sometimes
beyond) an enterprise. Though they are technically complex systems, workflow tools operate
on a simple logical structure that recognizes:
Processes
Tasks
Resources (which can consist of data, applications, or people)
These three elements make up the logical structure of any workflow system. You first design
processes such as application form approval, invoice preparation, or publishing
authorization using workflow design tools. The system translates these models to a
workflow engine to automate the process against a series of triggers and rules.
Tasks are the elements that make up a process and may stand alone, or consist of a series of
smaller sub-tasks. Tasks typically relate to one persons efforts, or a defined and set procedure
such as review document for inconsistencies.
The workflow system utilizes and matches resources to tasks e.g., it will drive a particular
document to a particular person, using a particular business application.
In most document management deployments, there is seldom really an option as to whether or
not to use a workflow system, since the whole point of the document management system is to
automate and bring order to huge volumes of unstructured data. In that context, moving files
around in a manual fashion simply doesnt make much sense.
However the degree to which you automate this, and the degree to which you will want to
manage the automation process on an ongoing basis, will vary hugely. In some situations, little
more than an a to b to c routing process will be required. In other cases (particularly Web
Publishing environments), you may only want to engender ad hoc collaboration with simple
content promotion to different states of readiness. In others instances, you will need to apply a
deep understanding of complex processes, cross-application integration, queuing, and
workload balancing.

Contrasting Technologies
The range of possibilities here matches the breadth of technology offerings in the market, and
navigating these requires that you have some understanding of the fundamental camps that
products fall into:
Routing
Workflow
BPM (Business Process Management)
Rules Engines
Workflow Models
STANDARD, LINEAR WORKFLOW EXAMPLE
WRITER
SUBMITS
ARTICLE
EDITOR
EDITS
ARTICLE
COPYEDITOR
PROOFS
ARTICLE
MANAGING
EDITOR
APPROVES
ARTICLE
GOES LIVE
ON SITE
Documents are passed from one person to the next in preparation for publishing.
These categories are not particularly

definitive. There is overlap among
them, and vendors will label
themselves in whatever way they
think is currently most effective, as
opposed to the label that is most
accurate. Still, this is a good starting
point for understanding the range of
workflow options you have available
to you.
Every document management tool

ships with basic routing as standard
Editor
functionality in its core document
Writer
Edits
Submits
Article
management offering. This is
Article
essential: You need something to
Article goes to legal
Revised article sent to
move content from one place (or
department for
Creative department.
compliance review.
Creative composes
person) to another. In some cases, this
Legal makes revisions.
accompanying graphics
functionality is little more than
simplistic routing, with email flags
Editor approves author
Writer conducts
changes and approves
sent to alert people that a document
edit review.
legal changes.
needs attention. This kind of
functionality will suffice for many
ARTICLE
Documents follow parallel paths
GOES LIVE
through the production process.
basic needs, particularly in simple
ON SITE
Changes are reconciled & merged
before publishing.
publishing scenarios (author, review,
authorize, publish), but can quickly
become over extended. Therefore,
Figure 16. Different workflow models.
most document management vendors
embed far more than simple routing
in their offerings and provide instead full-blown workflow capabilities as standard.
BRANCHING WORKFLOW EXAMPLE
Workflow is, somewhat confusingly, both the generic term for automated process
management, as well as a set of distinct products in its own right.
Workflow technologies are more sophisticated than simple routing tools; they have more
powerful modeling abilities and are able to capture and design more complex processes. For
example, workflow systems typically manage parallel processes, whereby an event triggers a
series of parallel and usually different actions that may or may not connect again at some
future process point. They typically can deliver a document directly to an employees

application not simply ping them an alert that there is a job to do. As workflow tools
manage more complex processes, they also require some management and analysis
functionality to ensure that the workflows can be modified as required, and that processes that
are in action can be monitored for potential bottlenecks and other problems.
Business process management tools take this to the next level. They do everything a workflow
tool does, but they also extend this functionality to a higher-level, cross-system tier. More
importantly, they do not work on documents within a single repository or application, but
instead attempt to choreograph business activity across multiple tools and applications. In
short, BPM tools are not just focused on accessing and moving documents around an
enterprise (indeed, this may not be their main focus), but are also tasked with moving data and
communicating between business applications, databases, and network systems.
Therefore, BPM tools in many respects represent back-end integration software toolkits
designed to knit different systems together to drive particular processes. In contrast to
workflow systems that route information to people to undertake tasks, sophisticated BPM
systems combine the power of workflow and EAI (Enterprise Application Integration)
technologies not only to initiate a task, but potentially to complete the task as well, based
on a set of rules.
Rules Engines perform a similar job to workflow engines, but are driven by defined rules more
so than processes. They are often used in conjunction with BPM systems, providing a certain
intelligence to a process-driven approach. A typical example of a rules engine in action would
be a credit card application. The application is scanned and read, its data extracted out and fed
through a rules engine; the engine considers the data, and triggers off business application
functions or workflows dependent on a decision it makes based on the data order, relevance,
and type.
Virtually all document management systems come complete with some form of workflow
system, while some of the larger vendors tout BPM capabilities as well. However, with the
exception of a handful of firms such as IBM or Oracle, few ECM Suites can really meet the
needs of full-scale BPM requirements. Of course, a more lightweight approach might work
better for you in any case.
Note that many document management vendors sell workflow or BPM products, but then also
embed workflow/BPM capabilities separately within their different product offerings. These
are almost never the same technology. In fact, we know of no ECM Suite where workflow
works the same across all products (recall that most suites are assembled via acquisition). As a
practical matter, if you unify around a particular vendors set of offerings, you will be dealing
with multiple workflow subsystems. Over time, vendors will figure out how to separate out
workflow as a distinct service that can be easily replaced, but that remains years away.
The good news is that in many, if not most, instances the workflow subsystem in an Imaging
or DM tool will offer more than enough capability to meet your needs. However, in some
cases, you will require a separate workflow product or third-party system.
In all cases, test carefully, and remember to look for flexibility as well as rules-enablement,
including support for ad hoc workflow and rerouting mechanisms. You may well need this
flexibility, because content workflows tend to become more collaborative than other business
processes that you might be automating.

Process Modeling
Whether you use a workflow, a BPM tool, or a routing mechanism, you will have to model
your business process to make sense of it and implement it in an automated way.
There are several different ways to model processes. You are probably most familiar with
creating a flow chart using a modeling tool. Microsofts Visio is common, and there are other
options. These tools take flow-chart principles and enable the modeler to add a great deal of
intelligence to each task (or sub-task), and provide output options in an attempt to meet the
needs of business reviewers and system developers.
Figure 17. Many tools offer a similar interface to Nuxeo Studio for creating workflows.
Selecting the right modeling tool for document management should find a balance of the
following key requirements:
A business analyst can capture basic business requirements
Non-technical reviewers can use it with ease
It drills down to a level of granularity that a developer will value
Most document management vendors provide their own modeling tools to support their
embedded workflow offerings, but they are seldom user friendly, and you will find that many
look dated. Vendors seem to have decided that (whether they like it or not), most people use
Visio, and we are seeing more effort going into providing connectors for Visio.
In sum, workflow can mean many different things, but essentially, it drives processes
constructed of tasks that make use of resources. You have many different software options
available to you, from the most simple to highly complex. Its an area of critical importance if
a document management deployment is to have any hope of success, and an area in which
document management buyers need to have a clear understanding of their requirements
(whether they are collaborative and ad hoc, process and transactional, human, or data centric),
before issuing an RFP or considering vendor solutions.

Case Management
Essentially, case management means applying rules (either automatically or manually) to
documents to ensure that they recognize their relationship with one another, as well as any
associated business processes and the people who use them. To give a practical example, a
health care professional needs awareness of all of the documents related to a particular patient.
These documents and records are sorted and managed through the lifecycle as a Case, even
though they may reside in different locations, have different owners, other relationships, and
different retention policies. Other individuals may also need to interact with these documents
for purposes of billing or insurance, or the y may be needed for multiple legal and compliancy
requirements: same documents, different purpose.
In theory at least, case management provides you with the tools to predefine and orchestrate
requirements. Permissions, rules, metadata, and process triggers all play a part in what can
become a highly complex system.
A representative sampling of case-management scenarios could include:
Legal matters
Professional certification or other complex professional application processes
Medical cases
Internal or external dispute resolution (e.g., customer complaints, HR disputes, etc.)
Correspondence management
Professional service engagements
Insurance or other claims
Figure 18. Documentum's xCP creates case-management applications.

For some organizations, case management applications built from ECM platforms form the
core of the business. The need to manage massive volumes of transactional documentation
effectively is growing more acute, and case management increasingly will play an important
role. However, almost more than any other scenario, case management demands good
information governance and squeaky-clean, relevant data; without it, everything falls apart.
The fact that so many organizations are lacking here indicates that case management is not as
widely deployed as it should be.
Selecting the right software to meet your case management needs is difficult; everyone claims
to do it, but very few do it well. The nightmare scenario is to buy a vanilla ECM software
system and then just bring in a .NET or Java developer. You are not only buying technical
functionality; you should also be buying deep and very specific domain expertise. Without the
right combination of the two, you could be in trouble quickly.
Imaging & Scanning
Taming paper is a major requirement for many businesses, and its
importance continues to grow as scale becomes an issue. Put simply,
document imaging is the conversion of a paper document into an
electronic facsimile, or picture, of that document. Once converted, the
electronic image can then be stored and retrieved, distributed via email
or network routing, and potentially saved to light storage media for
portability. Digitizing documents offers many benefits, including:
Imaging
Reduced filing
Storage and distribution costs
Better protection and control of information
Improved access to information
Automated workflows
Better customer service
Help in addressing regulatory compliance
In most cases, once the paper has been converted into its digital format, the physical paper can
be destroyed and the digital image becomes the legal representation of that document.
Documents that cannot be destroyed (such as a Promissory Note or legal signature documents)
still can be scanned, and the digital image used for any work-related activities. The physical
document would be stored in a secure place and retrieved when and if needed.

Scanning density, or resolution, is usually determined by the dots per inch (DPI) at which a
document is scanned. A higher resolution may be necessary depending on the document type
and business purpose, but generally, 200 DPI is sufficient for most office documents.
Document Conversion
PAPER
DOCUMENTS
INDEXING
WORKSTATION
BATCH
SCANNER
INDEXING
DATABASE &
STORAGE SERVER
USER
WORKSTATION
Figure 19. Digitizing hard-copy files remains an essential function in ECM Suites.
Document imaging is a step-by-step process:
1. Scanning: Scanning digitizes the document, which turns it into a file that can be
stored, viewed, and routed electronically. While a scanner is most often used,
documents can be scanned with a fax machine or a multifunction peripheral. The type
of scanner to purchase varies on document size, type, volume, and many other factors.
2. Quality Control: This step allows an operator to determine if the image is readable,
and if not, the document can be re-scanned or cleaned up using various technologies.
3. Indexing: Document indexing refers to how documents are indexed for retrieval once
the document is scanned into a document repository. Indexing is critical; if a
document can't be retrieved, or retrieved in an acceptable time frame, it might as well
not exist. Indexing refers to the actual index values needed to retrieve a document
from wherever it is stored. Classification refers to how the data is categorized in terms
of which storage media it should reside on and for how long. A typical customer file
may have the following index words:
Last name, first name, middle initial
Account number
Social security number
Telephone number (home, business)
Address
Account type
Document type (account application)
Indexing strategies must be thoroughly reviewed and discussed with the users as part
of any document imaging system implementation. If indexing does not follow users

retrieval patterns, the documents will not be accessible and the system will be less
than successful.
The basic methods of indexing are manual key entry, optical character recognition
(OCR), and full-text indexing. Manual key entry is when a person keys in the required
data by hand. It can be slow and requires continual review for accuracy. OCR
technology can read the index fields and convert the image to data. Full-text indexing
via OCR is another method for indexing every word in a document. The document
image is read via an OCR program, converted to ASCII text, and a text-searchable
document is produced. OCR results are dependent on the original text and paper and
how well the OCR engine can be tuned for quality. While very accurate, OCR is not
100 percent accurate. However, it is far more accurate than many seem to realize, and
when deployed in high-volume situations, usually it is considerably more accurate
than human keying.
4. Storage: When the document image has gone through quality control and is properly
indexed, it is typically stored on the storage media selected. While difficult, it is
technically possible to change an electronic document. To ensure document integrity,
documents are stored on media that do not allow the original documents to be
manipulated or changed. Today, all types of media are used to store document images
including WORM (write once, read many) optical disks, CD-ROMs, DVD, magnetic
disks, RAID storage, and magnetic tape. The storage media is dictated by the
application and legal compliance needs.
5. Workflow: If the document is part of a work process or workflow, the location of the
document is sent to the beginning of the workflow process.
6. Retrieval: At any point after a document has been indexed and stored, it becomes
available to a user.
7. Archive: If not part of a work process, the document simply resides in the storage
system until it reaches the end of its life as an active document. At this point, the
document may be moved from the expensive first-tier storage system to a less
expensive second-tier storage or it may be deleted from the system. Once digitized
and stored, an electronic document should follow the same rules as if it were a paper
document.
A document may also undergo special processing after it has been scanned. Special processing
may include:
Forms recognition. Software can recognize the form type, speeding indexing and
processing. Forms-recognition software can be trained to recognize any form or
document type. Once the data has been extracted from the form, the digitized document
may be stored or deleted.
Document image clean up Software removes stray speckles (sometimes called
electronic dust) that were either on the original document or were introduced by an unclean scanner. This software can also enhance a digital document by improving the
contrast of light to dark, which increases the readability of the document.
Document imaging can be centralized, decentralized, or outsourced. In centralized capture,
documents destined for the system are transported to a central scanning area for processing.
The benefit of a centralized area is that all of the equipment, personnel, and expertise are

efficiently leveraged. Drawbacks include high setup costs, potential for losing (and additional
expense of moving) documents to and from a central facility, and the need for a sizable
physical space to contain the scanning operation.
A distributed capture implementation allows scanning and indexing to occur within
departments without having a centralized scanning area for the enterprise as a whole. As the
imaging industry matures and technology becomes easier to use and implement, some
companies have installed small desktop scanners or have purchased multifunction scanner/
copier/printer devices in workgroup locations. A third option is a dedicated workgroup
scanner located, e.g., in a copy machine room. This workgroup scanning concept is one of
the fastest growing areas in document imaging and we believe it will continue to grow at a
brisk pace.
Methods of Distributed Scanning

SPECIALISTS SCANNING
SPECIALISTS SCAN
DOCUMENTS
INDEXED
CONTENT
CONTENT ENTERS
WORKFLOW
SELF-SERV SCANNING - CENTRALIZED QC / INDEXING
STAFF SCANS
DOCUMENTS
SPECIALIST QC /
INDEXING
INDEXED
CONTENT
CONTENT ENTERS
WORKFLOW
TOTAL SELF-SERV SCANNING
STAFF SCANS, QCs,

INDEX DOCUMENTS
INDEXED
CONTENT
CONTENT ENTERS
WORKFLOW
Figure 20. Be aware of the different approaches to multiple scanner environments.

Distributed and central scanning are not mutually exclusive concepts. It is entirely possible to
have a dedicated scanning area for a business unit with a high volume of paper, but have other
departments with lower volume making use of a distributed capture model. The key, of course,

is having an imaging system that has the capacity to handle both types of scanning. Document
volume, security needs, business use of the documents, and budget, among other
considerations, will dictate which method is best for you.
Other Methods of Capture
Almost in the same category of distributed scanning is the ability to scan documents into the
system using a fax machine. When faxed documents are captured by a fax server (instead of
being printed), they are stored electronically until they are passed to an indexing workstation
where they are indexed into the system and then stored. It is also possible to index the
incoming documents electronically via OCR, forms recognition, and fax number
identification, but a more detailed indexing may require the human touch. A document
imaging system can also acquire an electronic document (e.g., converting a Microsoft Word
document into a bit-mapped image is called rasterizing the document).
Outsourcing Document Imaging
Due to the large capital outlay and ongoing costs of operating a capture operation, outsourcing
document imaging has been practiced since the technology's inception. There are varieties of
models for outsourcing document imaging such as:
The SaaS (Software as a Service, or hosted) model. The outsourcing company
handles the entire conversion process and stores the electronic images, providing access
to the company via a secure internet connection.
The scanning operation (paper capture and indexing) is outsourced, but you maintain
control over the resulting index data and images with an internal system. You are also
responsible for storage or disposal of the paper.
A third model is that you are responsible for the initial scanning of the documents, but
an outsourcing company provides all of the indexing and returns to you the images with
the indexing values.
A fourth model brings the outsourcing company onto your premises to do the work.
This model is used when a company cannot/will not allow their documents off-site.
Caveats
While mature and fairly straightforward, document imaging (like any technology) needs to be
understood to maximize its effectiveness. A few items to keep in mind:
Indexing is essential. Documents that are indexed incorrectly are essentially lost. This
concept is taken up further in Functional Business Services on page 22.
Manage input quality. Poor digital quality equals lost information.
Hardware, software, integration, training, and operating costs can be costly. However,
many systems are able to reach a payback in 24 months or less.
Beware of proprietary formats and the potential expense of future conversion to a
standard format.
System maintenance is key to keeping scanners operating at peak efficiency.
Do not neglect end-user training both the personnel responsible for digitizing the
documents and those responsible for working with those digitized documents.

eForms
Although eForm (Electronic Form) software solutions have been available for several decades,
many organizations continue to use paper-based, or static electronic forms (printed PDFs and
Word documents). This is due in large part to a lack of understanding of the technologys
benefits, and a similar lack of understanding regarding best practices for moving from
traditional forms to eForms. The business case for moving from traditional, static forms
toward more dynamic electronic forms is clear cut; error rates fall, processing times shrink,
and ease of use dramatically improves. Although this is the case, adoption of eForms has been
patchy, slow, and many organizations today still rely on traditional forms.
Paper Forms
Printer dependent
eForms
Browser based
Manual entry
Pre-populated, choice-driven fields
Skill and experience dependent

entry
Embedded live help and

guidance-driven entry
High rework rate
Self-correcting and validating
Human intensive processing
Completed fields trigger rulesdriven workflows
High error rate
Low error rate
Exception handling centric

approach to processing
QA/QC approach to processing
When to use eForms

Customer-facing, transactional forms typically make the best candidates for conversion to
eForms since these enable customer self-service, are transactional in nature, and are logical
and rules driven, rather than free form. Typical examples include loan applications, transfers,
and statement inquiries, since forms like this trigger rules-driven workflows. Starting a rulesdriven workflow with a static form requires a lot of human data entry (and correspondingly
high error rates). Likewise, when a person fills in a form manually, errors are typically
introduced that only can be fixed later by rejecting the form and sending it back for correction.
eForms ensure that the initial form completion is accurate, and that data can be extracted
immediately for automatic processing, rather than relying on human-centric task management.
There is a very wide selection of software options available on the market today. Key things to
consider are:
A good forms designer interface that allows business users to create apps. (Okay, that
never happens in reality). Consider user-friendly features for creating templates, drag &
drop fields, and more.
The capability for development via APIs to enable binding data elements for form field
pre-population
Integration with imaging and capture software
Integration with ECM systems (or basic repositories at a minimum)
Integration with or capabilities of rules engine

Integration with or capabilities of process management
Support for different ways to access forms (web, email, PDF, proprietary)
Offline forms, which is very important when customer service agents collect form data
for census or any other activity where its not possible always to be online
Security and Rights Management
Support for bar codes
Although there are some major vendors in this space with specialized offerings (most notably
Microsoft InfoPath, IBM FileNet eForms, and Adobe LiveCycle), there are many more
options available, ranging from specialists to open source options such as Orbeon. In short,
dont limit yourself to buying from a major vendor; check the market first and you may find a
solution that is a better fit for your organization that also is standards compliant.
Mobile Access
With mobile devices becoming increasingly
powerful, users want to access their
documents while on the move. Tablets and
iPads have become game changers here.
Increasingly however, employers allow
employees to bring mobile devices of their
choice.
The first key differentiator is whether the
vendor provides mobile applications for
only a few devices or for a broader number
of devices. Most tools provide specific
native applications for Apples iOS
operating system and Android. Some also
differentiate between the iPhone and iPad
and provide separate apps for these two
devices. Some provide apps for other
devices such as those based on Windows,
BlackBerry and PlayBook.
Most tools provide a mobile web-based
application that allows you to access your
files from your mobiles web browser. This
is handy when you are using a device for
which the tool provides no dedicated app.
Figure 21. Box's mobile app. Most tools

provide some sort of a mobile app.
The capabilities of mobile apps vary across

different tools. In some cases, the mobile
app is very basic, allowing you only to
perform read-only operations. In some other
cases, you can carry out more complex tasks
such as triggering workflows, editing
documents, and adding permissions or
comments.

File Sync and Offline
Most users use more than one device at work. You might use a laptop in the office, a desktop at
home, and a tablet and phone while traveling. Most users need to access files from all of these
devices, and it is important that the tool can synchronize files across different devices.
In fact, a separate category of tools has emerged that specializes in these capabilities.
Popularized by consumer-oriented services like Dropbox, Google Drive and others, vendors
such as Box.com and Syncplicity (now acquired by EMC) have been providing services for
cloud-based file sharing, sync, offline work, and lightweight collaboration for enterprises.
However, there is considerable overlap of services between these Cloud-based File Sharing
(CFS) vendors and document management vendors.
Indeed, these segments are increasingly converging now, as cloud-based file sharing vendors
build better document management (DM) capabilities (such as library services), and DM
vendors build (or acquire) cloud-based file-sharing, sync, and lightweight collaboration
services.
Figure 23. Most tools provide desktop integration to sync content across multiple devices.
DM vendors are actively trying to address this space include Alfresco (via Alfresco Cloud),
EMC (they acquired Syncplicity), Microsoft (SkyDrive/Office 365), Nuxeo (Nuxeo Connect)
and OpenText (via their Tempo Box offering). Meanwhile, collaboration/social vendors like
Jive, Microsoft, and Salesforce have also entered the enterprise file sharing market. Other
large platform vendors are not far behind; for example, Citrix acquired ShareFile. Oracle is
working on its own offering to be released in near future, and IBM and HP are nibbling around
the edges of this marketplace as well.
One of the consequences of all this activity is that the two marketplaces cloud file sharing
and document management are seeing some convergence. Customers invested in DM tools
frequently consider deploying their incumbent technology for Cloud File Sharing and Sync
scenarios. Similarly, many customers want to extend their usage of CFS platforms for basic
document management services.
Standalone CFS tools make sense for many scenarios. However, for more complex and
enterprisey use cases, customers will increasingly expect their existing enterprise vendors
(DM or collaboration) to provide capabilities for advanced file sharing, including cloud and
hybrid cloud-based services. Most tools do this by providing a sync app for your desktop/

laptop, which then sync your files from the cloud-based storage to your local machine. There
are some differentiators here. Most tools want you to create a dedicated folder and move your
files to that dedicated folder, which is then synced. A few tools like Syncplicity allow you to
sync from any existing folder on your machine.
A dedicated folder can be better managed and seems to be a cleaner solution; however, it does
mean that you need to move files around, duplicate them, and so forth. The other approach of
using any folder as a sync folder allows you to keep working on files in their usual location.
That is convenient, but if you reach a stage when you have too many folders scattered around
on your laptop and other synced machines, you might have some manageability issues.
Some tools allow you to selective sync, so rather than syncing your entire cloud drive, you can
decide which folders to sync. This is useful when you are in a slow speed area or you have
other bandwidth-related constraints. In some cases, you can also decide whether you want a
one-way sync or a bidirectional sync. Once you have the files synced up and available locally,
you typically can work offline as well. When you go online, your changes are synced back to
the cloud.
Most tools that provide a dedicated mobile app can also sync files on your mobile devices.
However, mobile syncing is usually tricky due to the closed nature of mobile devices file
systems; test this are well. In addition, offline behavior also can be unpredictable on mobile
devices.
Technology Services
This section deals with the underlying plumbing (e.g., access control), as well as the overlying
layers of the tools (e.g., architecture). This section is of critical importance if you are involved
in system administration, architecture, development, or management.
Architecture
Here you must address some basic questions of your own infrastructure and what a vendors
offering will support. These include:
On what operating systems will the tool run?
Which databases does it support?
On which application servers will it run?
Which standards will be supported?
Most packages in this report run on application servers, but app servers are not alike, and
many products come with underlying dependencies here.
Scalability, Performance and Reliability
Some other aspects of architecture that are important are those that relate to performance,
scalability and reliability (PSR).
The system is slow. Both content managers and content consumers hear that lament too
often. Diagnosing specific bottlenecks requires a holistic view not because performance
problems can originate on networks and hardware but your system can play a decisive role
(good or bad) here.

The key parameters to look for here are related to large file sizes. In particular, look out for:
File upload performance, especially for bulk files as well as large-sized files
File download performance
Report generation time
Sync times for multi-level folder hierarchy with large numbers of files
To put content closer to end users, vendors use several options for network caching. There are
appliance products and there are hosts that do this. Vendors can also contract with Edge or
Content Distribution Networks (CDNs) like Akamai, and they provide network caching as a
service.
The fact that vendors consistently boast of speed and scalability improvements suggests that
this is a persistent challenge. Tools that are not easily clustered according to industry-standard
practices can present a particular liability for large deployments.
Replication / Clustering
Some vendors provide you with the ability to replicate and cache content locally using their
own caching servers (e.g., Documentum has BOCS) or by using third-party acceleration and
caching techniques such as Akamai.
You may want to replicate your content beyond your core web servers and application servers
for the same reason that you cache on those machines: to improve site performance. You
improve performance by distributing the traffic load to multiple computers (typically with
some sort of load-balancing hardware in front of them), and you bypass potential network
bottlenecks by replicating to other data centers and networks thereby getting closer to your
end users.
The other reason to replicate is to provide failover in the event of a critical failure on one of
your machines.
In the broadest sense, we mean several things when we talk about replication:
Replicating content and applications to multiple servers at your datacenter
Replicating across multiple locations (including internationally)
Replicating, or caching different elements or assets at different levels of the broader
network
Load balancing and replication look very elegant in network diagrams, but in reality, they
introduce substantial technical complexity to any system. For example, managing user
sessions (where the system needs to remember a user from one click to the next) and database
connections can become tricky with multiple load balancers, web servers, and database
servers. Commercial-grade application servers (on which these tools run) are designed to do
just this and often provide well-documented guidance, but youll still want to investigate how
they handle session management behind the scenes. Replicating content repositories has its
own challenges, especially for frequently changing content and multi-directional updates.
Bottom line: Look carefully before you leap.
There are licensing considerations here, too. Depending on your requirements, you will not
only need multiple servers, but also servers for other associated components, such as database,

LDAP, and other systems. Replication for performance (where multiple servers are running
simultaneously) may incur more licensing fees.
To put content closer to end users, you have several options for network caching. There are
appliance products you can buy and there are hosts that do this. You can also contract with
Edge or Content Distribution Networks (CDNs), like Akamai, and they provide network
caching as a service. CDNs boast that they can integrate with specific packages, which is
useful but not essential. Pick a package first, and then select a network caching service.
CDNs particularly excel in putting images, streaming media, and other bandwidth-intensive
files on their edge servers. This simple form of replication is indeed very easy to implement.
An XML-based format called Edge Side Includes (ESI) promises to provide some level of
dynamic delivery from caching servers as well. The standard is relatively new, but major
vendors are getting involved.
Standards and Guidelines: Aligning with the Rest of the Industry
Consultants and vendors love to talk about standards and adherence to various web guidelines;
it makes our industry sound more mature than it really is. To be sure, standards are important,
but there are few of them, and they are less standardized than you might like.
First, lets get the terminology straight and identify some important distinctions:
Standards: A set of specifications, often with a reference implementation and supported
by multiple vendors.
Guidelines: These are recommendations or best practices, such as the Web Content
Accessibility Guidelines (WCAG), which define good practices for improving
accessibility of content
Standards are quite helpful and have many advantages. Some of these benefits are:
Integration and interoperability
Portability
Simpler and more predictable development lifecycle
A by-product of all this is that development and maintenance becomes simpler and more
predictable, which in turn decreases costs. In fact, if products comply with standards, you can
do a lot of development on open source products and then deploy on commercial products,
which results in saving on licensing costs as well. Now developers can focus on actual
business, rather than spending time on commodity tasks like browser testing.
However, be prepared to face trade-offs as well. Standards can be immature and shifting
and various factors (mostly business rather than technical) can inhibit widespread acceptance.
Reduced acceptance naturally reduces value.
Treat standards as a means to an end and not an end in themselves. Look at the standards
holistically, in order to ascertain how much benefit youre likely to get and at what expense.
Many people believe that a standards-based approach is always a better approach, but by
asking the right questions, you can better assess which ones will provide the most bang for
the buck.

The most important thing to keep in mind is that regardless of the boxes vendors check
standards support is a relative attribute rather than an absolute. There are different ways to
comply with J2EE or support XML, but the key concern is how a particular tool supports a
particular standard.
In the rest of this section, well outline some standards that are worth exploring before you
begin (or re-embark) on a document management journey.
JSR 170/283 and JCR 1.0/2.0
JSR 170, which was succeeded by the newer JSR 283 in September 2009 also known as
Java Content Repository or JCR is an infrastructure specification developed under the
Java Community Process (JCP) program.
The idea is to provide greater code portability above the repository layer. Today almost every
content management application ships with its own (frequently proprietary) content
repository. Repository services for example versioning are implemented differently by
nearly every vendor.
JSR 170/283 promises the Java world, and possibly beyond, a unified API that allows
accessing any compliant repository in a vendor- or implementation-neutral fashion, leading to
the kind of clean separation of concerns that characterizes modern IT architectures. Some
people call JSR 170/283 the JDBC of Content Repositories. There are long-term benefits
here, potentially in connection with swapping out applications and suppliers in the persistence
tier without unduly upsetting the content applications youve built on top.
The JSR 170/283 API defines how an application and a content repository interact with
respect to a number of content services. For example, the versioning facilities of a content
repository are clearly defined, so an application knows how to browse the version history,
check-in and checkout content items, or update and merge content in a standard fashion.
There are different levels of JCR compliance, and not all vendors that say they support the
standard fully support it at all levels. In particular, you may want to know if they support the
application level (that is, their repository can be shared with other applications through a
consistent API), or repository level (that is, their application can use other JCR-compliant
repositories). It depends, as you can see, on just what is getting swapped out.
You may also want to check which version of the specification a vendor supports, as many
have decided not to upgrade their reference implementations to JCR 2.0. The underlying
architecture of JSR 283 is very similar to JSR 170, yet some new features, fine-tuning, and
deprecations have been introduced after four years in the making.
RSS and ATOM
RSS and ATOM are alternative syndication formats. Both are lightweight and designed for the
one-way distribution of titles, links, and optionally, descriptions or full text.
Although designed for feeding news headlines (see sample below), RSS is well suited to any
circumstance where you require a lightweight format and want to drive visitors back to your
website. The feed contains a series of news items, each with an article headline, short blurb,
and hyperlink back to the complete document that resides at the syndicators website.

Sample XML Format for RSS Syndication
<?xml version=1.0>
<news-feed>
<channel>Content Management</channel>
<url>http://www.realstorygroup.com/news.xml</url>
<date>2014-MAR-04</date>
<news-item>
<title>Vendors Agree on new Standard... </title>
<desc>Several major enterprise software...</desc>
<url>http://www.realstorygroup.com/News/... </url>
</news-item>
........
</news-feed>
Youll want to clarify what you want in terms of RSS support. If you plan to syndicate using
RSS, wouldnt it be nice if the document management package offered a mapping interface or
some other tools to automate the set up for you? Sure, any package can generate an RSS file
(you just create a template), but how much work do you have to do to make that happen?
Similarly, almost any document management tool can be made to ingest and transform RSS
feeds, but only a handful come out of the box with RSS-handling tools for non-technical
managers to use to control and deploy incoming feeds.
Web Services vs. REST
Web Services refers to a related set of protocols and technologies that are designed to enable
applications to expose discrete features to each other (according to certain rules) over the web.
Instead of hypertext, think of hyperservices.
Web Services are built on three interrelated standards:
SOAP: The transport protocol that enables disparate applications to plug into
each other seamlessly as services
WSDL: The language for describing those services
UDDI: A directory protocol for listing those services
All of these standards use XML.
REST stands for REpresentational State Transfer, and defines key principles for using
HTTP and URI standards via standard methods. REST is another approach to providing and
consuming discrete services using Internet protocols. Specifically, you serve or invoke any
function through a URL that can be called. A document management platform with a REST
API might let you invoke any item in a repository through a URL/URI, and access alternate
versions or kick off a workflow by adding additional parameters to the location.

Architects increasingly appear to favor REST-based approaches, largely due to their simplicity
and comparative lack of overhead. Some vendors, however, still equate services-oriented
approaches with Web Services, and have been somewhat slow to join the REST bandwagon.
In the meantime, many vendors today can produce Web Services, but their products (with rare
exceptions) cannot consume them. This means you can get more mileage out of their tools
(perhaps at additional expense to the extent you need more CPU power), but rarely will you be
able to swap out subsystems like workflow with service components from other vendors.
Figure 24. Checking in an image from Photoshop using WebDAV.

WebDAV
WebDAV stands for Web-based Distributed Authoring and Versioning. It is a set of
extensions to the HTTP protocol that allows users to edit and manage files on remote web
servers collaboratively, without overwriting others work. WebDAV-compliant CMS products
can enable contributors using similarly compliant desktop tools to check files in and out of
server repositories directly from the desktop, avoiding proprietary plugins and messy (and
likely insecure and unsynchronized) file transfers. Most HTML editors, for example, are
WebDAV compliant. Alternatively, you can use Windows Explore to drag files into a
WebDAV repository.
Also, WebDAV enables an associated XML-based metadata payload that can ensure that
certain key attributes (like author, expiration, etc.) will be maintained and updated along the
way.

WebDAV compliance can vary from implementation to implementation, so test before you
plunge, but the protocol can be extremely helpful, especially for image management (where
the atomic unit for web publishing purposes tends to be a discrete file).
Content Management Interoperability Services (CMIS)
Content Management Interoperability Services (CMIS) is a standard that was ratified by
OASIS (Organization for the Advancement of Structured Information Standards) in May
2009. The CMIS specification is designed to enable interoperability of content management
applications at the repository services layer. Adobe, EMC, IBM, Microsoft, OpenText, Oracle,
and SAP are some of the original backers of CMIS.
CMIS uses wire protocols rather than direct programmatic calls (like JCR) or special remoting
protocols of the RMI or CORBA type. Client applications talk to CMIS servers via Web
Services (e.g. SOAP) or AtomPub protocol bindings. Both a SOAP binding and a REST
binding should be present in a CMIS-compliant repository.
CMIS purpose is to enable content management applications to talk to any compliant
repository without knowing any vendor-specific details about that repository. In version 1 of
the specification, CMIS can make a variety of simple CRUD operations (create, read, update,
delete) on folders, documents, and repository relationships as well as filing, search,
versioning and navigation a good deal easier for client applications that need to operate
against a compliant repository. Nevertheless, the devil is in the details, and many problems
remain to be ironed out in the upcoming updates to the standard.
Note a couple of things about CMIS. One is that the backers of it are primarily ECM vendors;
therefore, currently, this is primarily a Document Management and not a web content
management standard. One area in which this shows up is its domain model for data, which is
distinctly document-based and assumes a relational model rather than the XML-friendly
hierarchical model upon which JCR (for example) is based.
Many working integrations that produced CMIS-compliant repositories and CMIS clients
(IBM CMIS Firefox connector, xCMIS, Flex+AIR-based CMIS Spaces, etc.) already exist.
There are quite a few PHP, Python, .NET (DotCMIS, NCMIS, CMIS4SharePoint) and Java
(e.g., Apache Chemistry and OpenCMIS) reference implementations out there as well.
Apache Chemistry was promoted by the Apache Software Foundation to a top-level project.
Chemistrys open API to CMIS repositories and a set of libraries (Java, PHP, Python and
.NET) is available under the Apache Software License version 2.0.
CMIS is worth keeping an eye on, especially from the perspective of how major WCM players
will implement it, but don't rush to include it on your next RFP or expect all the kinks to be
worked out before more mature versions of the standard see the light of day. Until then, if you
have non-trivial interoperability needs, consider JCR connectors or bite the bullet and plan to
use other integration methods to stovepipe together a solution.
SAML (Security Assertions Markup Language)
Created by OASIS, SAML (now in version 2.0) provides a framework for the exchange of
security credentials (both authentication as well as authorization) among disparate systems
and applications in an XML-based format.
The most important problem that SAML is trying to solve is the single sign-on problem. SSO
solutions at the intranet level abound (e.g., using cookies), but extending these solutions

beyond the intranet has been problematic and has led to the proliferation of proprietary
technologies that do not inter-operate. SAML has become the definitive standard underlying
many web SSO solutions in the identity management problem space.
Integration and Extensibility
At an enterprise level, ease of integration with major business applications rises to the fore.
This can include integration with common productivity applications such as Microsoft
Outlook, as well as integration to existing legacy enterprise systems or other applications such
as Salesforce.
Figure 25. Integration with Outlook is a common requirement. This shows Hyland's
integration.
Enterprise Content Integration (ECI) is an emerging area of functionality that vendors interpret
differently, without a universally recognized definition. The purpose of ECI tools, however, is
to facilitate information exchange across disparate systems.
Few enterprises have a single source for content. Most maintain many different locations and
repositories, with content sitting in business applications, documents, on the web, and in
record repositories across the enterprise. ECI aims to bridge these systems and provide truly
federated content management capabilities. However, ECI is still an emerging field and even
at its best, it falls short of this lofty goal.
Typically, ECI is used to support:
Moving content between systems
Searching across disconnected repositories
Providing a single point of access across disparate content sources

In practice, what this translates to is a variety of approaches to integration, the most common of
which in document management terms are:
Federated Search
Connectors
Federated Search
Federated search is a search tool that can access and crawl different repositories and deliver
back collated results to an end user. For some, this is a sufficient depth of information
integration, since the ability to locate and access content in distributed environments is a major
win in itself. Federated search is the ability to form a single query that then executes across
different repositories (predefined or individually selected). The results are then collated,
normalized, and delivered back to the end user. The major caveats here are that not all
repository configurations are going to be friendly to such an approach, and disparate systems
may have different access and security issues to navigate. In addition, just because you can
locate a piece of content on a remote repository does not mean that you can access or manage
that piece of content remotely. Like all complex applications, federated search applications are
notoriously slow and buggy.
Connectors
Connectors represent a more advanced approach to ECI, since typically in an enterprise there
is no perceived value in integrating all content sources; rather, the focus is on one or two
mission-critical sources. Specific connectors are offered to take advantage of particular
services within a proprietary package. For example, an ECI tools FileNet adaptor could
enable a remote user or application to invoke a workflow routine within a particular FileNet
installation, and send the results of that workflow when it concluded. Overall, connectors
appear to be more common and mature for DM and DAM repositories than for other data
stores. Some ECI tools work by establishing one-to-one bridges among disparate
applications; others, (like Oracles Context Media shown in Figure 26), work through a central
metadata repository to provide centralized content views and routing among applications.
Central metadata repository is the operative phrase here.
Either approach can be quite valuable. For example, an SAP implementation may contain
mountains of report information that you need to extract to use in non-SAP related workflows,
or for meeting archiving and compliancy requirements. In such cases, many document
management vendors will sell you a preconfigured SAP connector into their ECM Suite. At
the most basic level, the connector will extract information out of SAP and place it into the
document management repository. In more sophisticated cases, it will provide a two-way push
and pull of content in and out of the ERP system. Some document management vendors now
offer a wide array of connectors into common business applications; others offer very few (if
any), and as noted above, the sophistication of these adapters vary widely.
Figure 26. Context Media software, now part of Oracle.

Increasingly, larger document management vendors are providing connectors to rival
document management repository systems, enabling you to link their products, e.g., FileNet
and a Documentum implementation together. Partly, this is a recognition that in larger
deployments there will always be a homogenous environment, but it also represents some
gamesmanship on behalf of document management vendors. With the slow emergence of
standard JSR 170, some firms are producing a range of connectors from well-established
repositories such as Documentum and IBM.
Alternatives to ECI tools
There are many more common ways to integrate content sources. Many enterprises have
implemented Enterprise Information Portals (EIPs) as a way to integrate disparate, contentheavy applications. Portals provide a useful window into enterprise applications like document
management systems, many of which offer prepackaged portlets that allow enterprise
portals to elevate specific content views and services to a broad-based intranet or extranet
dashboard.
This can be very helpful from a staff-efficiency standpoint, and makes for a more powerful
and usable intranet. However, it tends to expose the more visible elements and services of
individual systems, rather than commingling or merging content across disparate applications.
For a more integrated view of heterogeneous repositories, portal vendors tend to rely on major
search engines, and the portal itself will not typically manage the authoritative transfer of
approved content from one application to another. Enterprises might use BPM/Workflow
options or EAI tools that deeply integrate differing systems together.

In most mid-sized to large organizations, a combination of these approaches will be used,
since each involves different levels of complexity, cost, and resources. What will ultimately
define your needs is deciding just how important the automated integration of two or more
content sources is to you.
Some Caveats and an Example
There are at least two preconditions for any successful enterprise content integration initiative:
1. A solid enterprise directory strategy. Enabling end users to reach into different
repositories to take advantage of content wherever it resides presupposes that users
rights have been established and clarified at an enterprise level, such that adequate
permissions (and restrictions) are in place. You may want to allow Elizabeth in
Marketing to access a remote DAM system via the document management system
so she can add images to web pages, but that means the DAM system needs to know
about Elizabeth and understand what rights are assigned to her.
2. Some agreed-upon enterprise information architecture (EIA). Metadata
provides essential support structures to any bridges between content systems. This
means you need some kind of common or at least mapped taxonomy for all
systems to use as a base for routing or accessing content. Successful
implementations typically presume that the enterprise has worked out some sort of
underlying reference model to describe and find the content intended to be shared or
exchanged.
If you cant address these two issues adequately, searching for an ECI software solution is
almost certainly premature.
Prospective document management buyers frequently list integrate with our document
management system, as a critical requirement, but what does that really mean? Integrate
can be a vague term, and there are different ways to pull this off. Regardless of how you
attempt to do this, there are key questions to resolve in your functional specifications:
Do the two systems share a common or at least compatible security and access
model?
Which version of the document should be selected? The latest version? The latest
approved version? Does the system have a choice?
Are documents physically copied to the document management repository? Or is only a
pointer added to content item? Does the pointer reference a document via an API in the
DM system?
What if a new version of a document is created, or an existing version is deleted? How is
the website updated?
Does new content from the DM invoke a workflow in the document management
system? How?
Of course, most enterprises would prefer a more automated approach at least some of the time,
where documents automatically find their way to the right places. There are two main ways to
accomplish this: via metadata relationships or canned queries. An example of using metadata
would be automatically listing all the documents tagged to a particular customer account on

the main page referencing that customer on the enterprise intranet. Alternatively, you might
use a query to pull links to all the documents that referenced that customer within the
document.
Then, broadly speaking, you may need to account for a second set of use cases: pushing
content into a document management repository. Typically enterprises do this for archival and/
or records management reasons. Here again, you have some key questions to address:
What are the rules governing this process? Are they invoked in the document
management system to pull documents in or legacy system to push them back?
Is content physically transferred, or just a pointer? What happens to the original content
item (this matters a lot in records management)?
Are content managers alerted when content is moved or deleted?
What happens to previous versions of the content?
Given all the complexity here, you should be realistic and focus on practical, high-value
needs. Simply copying documents from a legacy repository to your document management
repository nightly might work for you, but the cost of this expedience is potential
redundancy, and the costs of integration can also be steep not just for developers, but for
system users as well.
Application Development
For every use case except perhaps simple document services, significant development efforts
will follow any document management installation and configuration. Document management
systems often automate specific business processes, and as a result will not work out of the
box. For even more complex enterprise scenarios, you will also integrate with application
servers, identity management systems, workflow engines, and middleware. All of this will
require a significant amount of application development.
Vendors sometimes equate document management application development with content
modeling and simple configurations related to files and folders but there is much more to it
than that. Your developers will also require development tooling that aids them in creating
applications for your specific processes. These tools should also help them in designing,
development, debugging, testing, and deployment.
To support these development efforts, most vendors support integration with the popular open
source IDE, Eclipse. In fact, they usually provide a downloadable version of Eclipse that has
the required plugins so you can start developing on the tool. Alternatively, you can download
just the plugin and install it on your existing Eclipse installation.
While most tools allow you to write code and carry out basic debugging using an IDE, some
tools also provide a visual interface where you can drag and drop from a pallet and create a
user interface without writing code by hand. You then take that interface and add further
customization with additional coding. This is typically useful in creating workflows and
modeling cases.
APIs and Web Services
At this level, you are using the tools built-in capabilities to extend the product
programmatically or write some sort of composite application. This is the lowest level of

development, and therefore typically the most complex and costly but has the potential to
bring the highest return.
Web Services allow developers and consumers of services to hide underlying deployment
details. Through Web Services, developers have access to services that execute independent of
the tool.
Web Services can also be used to connect these tools to select external resources, such as the
Google search engine, but security concerns limit the breadth of their use beyond the
enterprise firewall. Varieties of Web Services standards have proliferated, but enterprises
continue to express concerns about security, performance, and choreography.
Administration and Management
Even though many vendors boast of simple installs, managing a document management
solution is usually anything but simple especially if you are considering packages such as
those from EMC, Oracle, IBM, and OpenText. Youll need to make sure the entire stack is
ready, which often means that you typically must possess a pre-installed operating system,
database, application server, web server, and directory server. Of course, the stack does not
need to run on the same machine rarely a good idea but you need to know how to
connect to all of the different elements.
Figure 27. Most tools provide an admin and a management console.

Many products are dependent on a particular application server, and sometimes require the
specific database and operating system from the same vendor. You can see obvious advantages
here, starting with ease of installation. However, to the extent that this locks you to the
platform, migrating to an alternative platform will be expensive, since all of your application
development logic will be tied to your vendor.

As an administrator, an important feature is the ability to monitor health of your apps as well
as the underlying middleware. All tools provide some sort of reporting, but this generally is
not an area of strength.
The second relevant aspect here is analytics related to end-user content usage. You should be
able to find out who is using what, kind of content being downloaded, a country-wide list of
users, and other metrics.
Some key things to consider in reporting are:
What types of metrics are available
Can you define your own metrics?
Can you define ad hoc reports if the out-of-the-box reports are not enough?
Can you export reports to external systems?
Can you drill-down progressively?
Is the reporting enough for audit and compliance requirements?
Cloud Services
When we evaluate a vendors Cloud Services, we assess the extent to which a particular
solution can get deployed in the cloud by you, the vendor, or a third party. It's not always a
simple proposition, and as enterprises seek to free up IT resources, the cloud has risen to the
forefront on many agendas.
Definitions of cloud may vary and just as importantly, you'll want to distinguish between
Infrastructure as a Service (IaaS), Platform as a Service (PaaS), and Software as a Service
(SaaS). The important thing here is that all three of these models obviate the need to run
document management technology on-premise.
When a vendor says they do cloud, it could mean a variety of things:
The vendor certifies that its software can be installed in virtualized environments.
Many vendors offer versions of their software that can be installed in a virtualization
environment such as VMware. Other virtualization environments such as Oracles
VirtualBox are less popular, and some of the modules/features dont always work in a
virtualized environment.
The vendor or one of its partners offers managed hosting on a traditional version
of the software in a datacenter. You still have control over customizing, extending,
and upgrading the software; in fact, they're just replacing your hardware and network
connections with theirs. We could debate whether this is truly cloud.
The vendor or one of its partners offers to host traditional software in a public
cloud service, like Rackspace, Amazon, or Azure. You'll find many variants here. You
could host your core system on-premise, but take advantage of cloud elasticity to
support global delivery or spikes in activity. Alternatively, you could split your storage
between an on-premise setup and a cloud-based setup. The vendor (or its partner) may
or may not manage your relationship with the cloud provider. The vendor may or may
not convert its one-time license fee into a monthly subscription model. As always, you
will need to pay more money to the cloud vendor to achieve greater levels of

redundancy, reliability, and global dispersion. In addition, don't forget the cost and
hassle of VPN connections to your cloud instances.
Note that using this model, you're still running traditional software as a dedicated
instance and you are responsible for whatever changes you make to the application
unless the vendor includes that as a managed service. Note that not all on-premise
solutions will work in the cloud today.
The vendor has built a multitenant, SaaS solution from the ground up. Youll find
only a few serious SaaS options in content and document management marketplaces,
but this model predominates across most digital marketing platforms.
Remain wary of hosting companies or vendor partners that take on-premise software
and convert it to multitenancy to sell as a shared service to more customers. This
frequently does not end well.
As above, you are still running traditional software as a dedicated instance and are
responsible for whatever changes you make to the application unless the vendor includes
that as a managed service. Not all on-premise solutions will work in the cloud today. Most that
do so have been certified with only one cloud vendor.
Now lets turn to some more general cloud considerations. In every case above, you need to
address special issues and ensure you have some key elements:
Sufficient and secure network connections to your remote instances
Trust in the vendor's security model and procedures they know this and usually have
strong controls in place, but you still want to check
Awareness of the potential for outages or disruptions caused by other customers
Understanding of who is going to perform backups and where
A clear outline of who is responsible for each layer in the stack, including:
Network
Hardware
Operating System
Application Server
Data
Document Management application and content
Caching and/or CDN
A clear plan for handling authentication and authorization, including integration with
on-premise identity management and SSO systems
Knowledge of how you will integrate with other enterprise systems where necessary
Bottom line: vendors, consultants, and analysts throw the term cloud around loosely. Be
sure you know exactly what you're getting when you sign the contract.

Security
Like many other terms in our industry, security is loaded with different definitions. Security
means many things to many people and your organization may already have several requireduse security products on an approved corporate product list. This may mandate that all new
projects use this or that authentication or authorization mechanism, regardless of what the tool
vendor offers.
From both the inside and the outside of your organization, security is often surrounded by fear,
uncertainty, and doubt. Your IT Security colleagues may not be easy to deal with, but your
vendor may also use dubious tactics to scare you. Security is indeed one of those areas that can
bring the entire document management program to a halt.
For our concerns, there are two general security considerations with respect to these tools:
1. Security of the application Document management tools are not too different from
other applications, particularly web-based applications. Any new server inherently
introduces new security vulnerabilities (e.g., opportunities for hackers, thieves, etc.).
2. Security of the information and services exposed Who gets to see and do what
inside the document management system?
At the very minimum, you will want to understand how your vendor handles authentication
and authorization:
Authentication Are you who you say you are?
Authorization What are you permitted to see and do?
Most tools do this and maintain their own user store. However, some do support protocols like
SAML and allow you to use external systems such as LDAP, Active Directory or others.
For authentication, the vendor would ideally connect directly to your directory system (e.g.,
Active Directory), or do a regular sync. This could potentially support single sign-on. In
practice, most vendors simply ask you to create separate user names and passwords for their
hosted systems. This will be a management burden for you and something to beware of if you
dismiss employees with this level of access.
Authorizations should be based on roles and groups, and some systems offer both. Roles
determine what youre allowed to do. For example, are you an approver? Groups are also
useful in defining the parameters of what an employee can see and do.
This sort of permissions management doesnt come into play if you have a small (one or two
person) team, but once you start to grow, you may need to segment authorizations. Be aware
that if you want to distinguish between a manager and line worker, not all systems can do this.
Vendors also boast about security-through-encryption, but the devil is in the details.
Encryption means that only you can read the content. Carefully check the vendors terms and
conditions to see if it reserves the right to review and monitor your content. Thus, the larger
question is one of data access. As a buyer, you need to consider several data-access issues:
Who holds the key to the encryption?
Who within the service provider has access to my data, and under what conditions?
How is access to my data authenticated?

You will also want to note the difference between encryption at rest (while the data is stored
on the server either in the cloud or in your own instance) and encryption in transit or in
flight across the net. Most vendors say they encrypt files in-flight (meaning while you are
doing any transfers) and at rest (meaning when it is stored on their system). However, not all
vendors encrypt it when the file is actually at one of the end points meaning it has been
downloaded to your mobile or tablet device.
The worst scenario is that data may not be encrypted at any stage in transit or at rest
depending on the supplier.
As an administrator, you can configure many of these security parameters such as password
strength, device security policies, and so forth. However, most tools only provide basic
configuration options here that are not really granular.
Aside from these aspects, there are aspects related to data center certifications for cloud-hosted
offerings (such as SAS 70), physical access to data centers, audits for data centers, policies for
staff, and so forth. Hence, youll want to obtain solid answers to the following questions:
What consists of your suppliers physical security program?
When and how do they undertake audits?
How tight is the security of their third-party subcontractors?
What is the access model to your data?
If there were a breach of your information, how would you be alerted, and what would
be the process to manage that situation?
You will also want to consider staffing arrangements at the cloud supplier, remembering that
they possess a back-door key to your data. Be sure to ask:
What is the screening process for employees?
Who has data-level access, and how is this controlled?
What encryption/security standards are used?
In terms of risk, it can be argued that a private cloud option represents the lowest level of risk,
because all of the other models share the same environment. Consequently, there is a higher
possibility that your data could be accessed, exposed, or compromised by others using the
service.
Vendor Intangibles
Thus far, we have been discussing exclusively products and technology. However, the fit of
a particular vendor to your enterprise needs, culture, and orientation is usually more critical to
your overall success than the suitability of its portal product.
In this section we introduce Vendor Intangibles those other factors to consider when
looking at a solution. In the individual product sections, we evaluate each offering according
to five critical vendor intangibles.
In the typical portal project, customers spend more on services than software, sometimes many
times more. To meet customers consulting needs, most vendors maintain their own
professional services organization (PSO). Most of the vendors in this report have also grown
partner channels of integrators, consultancies, and resellers who can help customers

implement the package. We evaluate these two types of consulting services differently,
because offerings are typically strong in only one type or the other.
Vendor Professional Services
Like support, many factors can influence the quality of the implementation and other
consulting services you receive from a vendors professional services organization (PSO).
Vendors often have A teams of their most top-notch implementation consultants and then
theres everyone else. A teams tend to work only on the biggest or most prominent client
projects. Everybody else within a vendor PSO can include contractors that the vendor may
or may not have quickly trained on their tool. The vendors own PSO will know the product
best, but may be stuck in older ways of doing things and may not be up to speed on or even
favor the products latest capabilities and modules. Of course, the vendors PSO is highly
unlikely to bring ancillary skills in areas such as information architecture or user experience.
Channel Partner Services
All vendors give at least lip service to the channel, but in reality, some look to capture as
much consulting work themselves as they can, and the depth and breadth of channel partners
will vary dramatically from one vendor to another. It can also change over time.
The key for you is the availability of experienced services ideally in some close proximity
to your enterprise. Another factor in any services engagement is the consultants experience in
your industry although this can be overrated (especially if you dont have a great need to
integrate with other internal business systems). You may also want to know whether the
integrator or reseller can bring suitable soft skills to bear such as information architecture
and graphic design expertise in addition to just product knowledge.
We give better ratings to vendors that have larger, thriving reseller or integrator channels. Just
remember that many partnerships are in name only. The depth of expertise in any given tool
will vary wildly from firm to firm. An integrator may be very skilled in one of the vendors
products, but not another. Perform as careful diligence of all consultancies as you would of the
product itself.
Dont overlook the possibility of bringing in an independent developer or consultant that can
also provide a useful source of knowledge and assistance. Products that have been available
for sale longer can typically boast more experienced consultants out in the marketplace. Many
of these consultants are alumni of vendor PSOs, which tend to have high staff turnover.
However, the longer a tool has been out there, the higher the demand for these independent
consultants; thus, they cost more.
Remember that availability and quality of services matter just as much (if not more) for open
source platforms, particularly since many of them tend to be complex to install and configure.
As in the commercial world, there are sometimes tensions between the project founders, and
other firms trying to make money providing services and support. You may end up working
with a mixed team core project founders plus local developers like you might with a
commercial vendor. Commercial or open source, this places a premium on your ability to
manage multi-supplier projects.
In almost all cases, there is a downside to selecting a hot vendor or product. Consultants
who know the tool will be in high demand (and therefore scarce, expensive, and itinerant), as
well. Without adequate expertise, you may lose the added advantage that the innovative

technology was supposed to bring. Thus, before you select a tool, make sure you know where,
when, and how you are going to line up the necessary expertise to implement it properly.
Support and Community
All technology buyers want to know how well is this product supported? All vendors rave
about their product support. Nearly all customers complain about vendor support. Whats
going on here?
Many factors can determine whether a vendors support will meet your needs. One key
consideration is that vendors often offer different support mechanisms in different countries or
locales, including different hours of support or varying expectations about how much first- and
second-line support will be handled by a local partner. In general, the larger the vendor, the
more variable youll find first-line support; many large vendors in this report have outsourced
first-line support. Thats not necessarily a bad thing, but the person on the other line may never
have performed an implementation of the product. Many small companies in this report will
enable customers to reach real engineers in times of acute trouble. However, smaller
vendors often have difficulty providing the 24/7 support that enterprise customers have come
to expect. In almost all cases, you can spend more to get higher levels of support.
It is a fact of the software business that a vendors larger and/or more prominent customers
will receive better support. Agreeing to take reference calls and speaking at user conferences
also doesnt hurt. Of course, you dont necessarily want to be a vendors biggest customer,
such that they dont have the capacity to support you adequately. However, there will come a
day when you will need to escalate a problem up through or beyond your vendors support
department, and if you are a small fish in their pond, your likelihood of getting what you want
accomplished drops substantially compared to your larger brethren. Customers who have
contracted with their vendors professional services organization can sometimes turn
informally to the specialists who initially worked with them when a problem crops up (but
dont count on it).
The Community
An increasingly important factor is the availability of authentic community support vendor
developers, integrators, and customers. Open source projects usually excel here, and only a
few commercial vendors have seriously attempted to match the level of support ecosystem that
you will find in a Plone implementation.
Dont underestimate the value of this kind of informal support. Vendor user-group meetings
are extremely helpful in this regard, giving larger or more geographically focused vendors
additional leverage to compensate for somewhat impersonal support channels. Developer
extranets are also invaluable; the extent of these plays a big factor in our vendor assessments
in this category.
Documentation
Its possible to generalize about the state of documentation of most products in this report: Its
bad. Among most open source projects and some commercial vendors, documentation is very,
very bad. In general, you should not rely on the vendors documentation to teach, explain, or
even adequately document how a system works. Instead, invest in formal training, and

cultivating relationships with developers at the vendor, as well as other licensees of the
product in your own industry.
Some vendors have acknowledged the difficulty in keeping their support documents up to
date, and have developed various types of knowledgebases to capture and update more
information in a useful, searchable way. Not all knowledgebases are very knowledgeable, but
among some vendors, they are good enough that customers have learned to check there first.
Request guest access and test it before signing any contracts.
Maintenance
Typically, a support contract with your vendor includes maintenance. Examine the language
here very carefully to be sure what it covers. Typically, it covers free software upgrades and
patches, but the devil is in the details. Sometimes vendors will declare that a new major
version of a product after some major platform overhaul or change actually represents a
new product, and that you therefore have to pay some fee for the pleasure of upgrading (or
really replacing, in this case). Vendors will frequently release add-on modules at an additional
cost; sometimes these are snippets of code or subsystems that used to be part of the main
product, but are developed and marketed separately. Traditional vendor business practice
holds that the best way to grow is to obtain new revenues from existing customers. Closely
examine your maintenance contract accordingly.
Remember also that while maintenance covers the actual software patches and releases, it
almost never covers the labor involved in migrating to the newer version. Be sure to budget for
services here; depending on the scale and complexity of your implementation, this could take
days or even weeks (sometimes months) to accomplish. This is another area where hosted
vendors tend to have an advantage. Since they tightly control the environment, it is easier for
them to upgrade customers, often without customers even knowing it.
Strategy & Roadmap
Strategy is an abstract term and probably is overrated. Nevertheless, some vendors just seem
to have a clearer and more passionate sense for what the market wants, and orient their product
development around specific objectives. Others develop software in more of a vacuum, and
then see what sticks.
Clarity of vision is more important to us than expansiveness. A vendor obsessed with
becoming a winner across multiple scenarios is unlikely to satisfy any single customer very
well. We therefore look for focus: Does the vendor have a clear idea of what use cases its
product fits best? Has it structured its development accordingly? You should look for this too,
but remember that vendor marketing messages (and open source project promotional efforts)
tend to blur distinctions and create a false sense of omnipotence among vendor sales people.
Viability & Stability
If vision is one side of the vendors organizational coin, then execution is the other. Buyers tell
us they want stability and predictability from their software suppliers. In a fast-moving
marketplace, that can be hard to find. We look at stability in very broad terms, across three
general categories.
First is the general stability of a product or service in production. Does it hiccup regularly?
Where? Why? All software is buggy, and some vendors have a habit of regularly releasing

under-tested code into production. We try to isolate those tendencies in the individual product
chapters.
Another issue is whether changes are underway or planned. The web is dynamic, so portaltype technologies need to evolve, but migrations frequently become painful for customers. We
tend to downgrade products here that are about to receive a major technology refresh. Vendors
may find this unfair, but the last thing you want to do after spending half a year on an
implementation is to go through a major upgrade (or wholesale replacement).
Of course, recently upgraded products are not always ideal candidates. Some vendors will
upgrade their tools to Java or .NET, thinking they understand those platforms well enough,
when in fact they often do not, particularly when it comes to performance. This doesnt mean
you should avoid products that have been newly re-architected; just go in with your eyes open.
Finally, we look at vendors financial viability and potential mergers and acquisitions
(M&A) disruptions and opportunities. This examination is necessarily subjective, but there
are some clear markers, including cash position, sales trends, and whether any acquisition
constitutes a good fit. Of course, you should not use this report as a substitute for your own
diligence.
Part 5 Vendor Evaluations

Matching Features to Requirements
To help you compare and evaluate products based on your requirements, we will use the
following chart developed from the feature set discussion in Part 4 ECM & Cloud File
Sharing Technology Dissected. The Ratings chart is an analysis of product features by
lifecycle phase and includes our list of Vendor Intangibles. The explanatory key describes
the five possible rating values.
For comparisons across related products within the three categories, consult the comparative
charts within each category.
Ratings
Functionality
Document Management
Key
Product does not provide this

feature in any meaningful way
Product provides this feature, but

is not as mature as its rivals
Product offers this feature
Product excels at this feature,

relative to other products in the
same category
Product masters this feature,

relative to other products in the
same category
RM and Archiving
BPM and Workflow
eForms
Imaging and Scanning
Mobile Access
File Sync & Offline
Technology
Integration & Extensibility
Administration and
Management
Architecture
Cloud Services
Security
Vendor Intangibles
Support & Community
Strategy & Roadmap

Putting Scenarios and Vendors Together
In Part 3 Business Scenarios for ECM & Cloud File Sharing, we described nine universal
scenarios. The Business Scenarios in the Usage chart shown below identify which vendors
appear to be better or worse fits for each scenario. In the Industry Orientation section, we
identify eleven different vertical industries where an ECM Suite might be designed to fit. For
comparisons across products within the three categories, consult the comparative charts within
each category to anticipate which products might make sense for further examination.
Key
Product does not provide this

feature in any meaningful
way
Product provides this feature,
but is not as mature as its
rivals
Product excels at this feature,

relative to other products in
the same category
Product masters this feature,

relative to other products in
the same category
Scenario Fits
High-Volume Imaging
Note that with all Real Story Group rankings, vendors may offer you a different story or
suggest that our assessment of their suitability for different scenarios is too restrictive. Remain
skeptical; a vendor that tries to be good at too many things is unlikely to excel at any of them.
As it happens, nearly all vendors in this report have a particular sweet spot; if you are looking
for a single supplier to meet all of your document management needs, you will find that, in all
likelihood, no single vendor will provide a good fit for all your content technology
requirements. Similarly, long-standing document management vendors will point to customers
in nearly every industry segment. Nevertheless, most vendors have developed specific
expertise in particular verticals that come out in both their product and service offerings.
Always consider all of the possibilities when considering a long list. Look across the summary
charts for all of the vendors we review and read each individual evaluation more thoroughly. A
longer shortlist is always better than a shorter shortlist.
ECM Platforms
Surveyed:
Alfresco: Enterprise Edition version 5.0
EMC: Documentum ECM 7.1
HP: WorkSite
IBM: FileNet P8 version 5
Microsoft: SharePoint 2013
Nuxeo: Nuxeo Platform 5.8
OpenText: Content Suite 10.5 SP1
Oracle: WebCenter Content 11.1.1.8
ECM platforms are basically full-service Enterprise Content Management offerings
that provide a whole range of services around document management, collaboration,
case management, records management and archival, workflows, Business Process
Management (BPM), and eForms.
ECM offerings are the top tier of the vendors that we evaluate, in terms of industry
reach, market impact, and product offerings. These vendors are most typically
considered for large, enterprise-scale deployments. They are all performing reasonably
well in an expanding marketplace, but this tier has seen a great deal of movement and
consolidation over the past few years.
EMC: Documentum
HP: WorkSite
IBM: FileNet
Geography
Focus on Europe and North America
Global
Global
Global
Whats New
HP will split into two companies
Addition of cloud-deployment
options
Combined process and

content engine into one
deployable unit
Strengths
Version 5.0 released (initially to

Community Edition) with minor
enhancements to search, editing,
and administration
Company received major new
venture investment and
postponed apparent IPO plans
New releases of Documentum,

xCP, Captiva, D2, and other key
products
Wider range of support for

different environments
Better integration with Syncplicity,

SAP, and SharePoint
Enhancements to D2 client
interface
Employs many industry standards
Dedicated solutions for document

collaboration in Legal and
Hybrid ECM capabilities are

better than most competitors in
this report
Highly scalable platform that can

execute diverse use cases
Broad infrastructure support

matrix
Automated compliancy and RM

capabilities
Professional Services
Strong renditioning tools
Very high-volume imaging

capacity makes it suitable for
transactional scenarios
Highly sophisticated
business process
management capabilities
Strong content integration

technology
Strong process centric

management facilities
Generally strong support for

J2EE and Web Services
24/7 product support in

multiple languages
Modular and potentially very

scalable repository architecture
Broad operating system /

database support matrix
Supports useful document

security features
Comparatively user-friendly
records management facilities
Exceptionally deep integration

with Outlook
Automatic metadata extraction

may help large-scale projects
Object-oriented repository
architecture offers a rich API for
highly customized content
management applications
Embedded rules engine can

improve automated tasks and
makes the system more
production-oriented than open
source competitors
Growing integration with other HP

technologies for things like OCR,
mobile, and cloud
Growing developer community

with clear governance model
Reasonably well integrated with

other EMC products like
Document Sciences and
Syncplicity
xCP provides a powerful feature
set for building custom
applications
Specsheet Summary: ECM Platforms
Alfresco: Enterprise
(Continued)
Weaknesses
EMC: Documentum
HP: WorkSite
IBM: FileNet
Lacks industry-specific solutions,

and is therefore less useful out of
the box
Complex, semi-proprietary
architectures require substantial
time and resources to master
Confusing mix of COM/.NET and

Java across the product set
More of a development platform

than a finished product, and
considerable Java and/or
JavaScript expertise is required to
roll out, troubleshoot, and
maintain even the smallest
Alfresco system
Experienced, Documentum-skilled
developers remain in short supply
Weak document collaboration

services
A complete solution usually

requires licensing multiple
products, which may complicate
your infrastructure and budget
Finding and working with the

right IBM specialists will
present a challenge
Overwhelming breadth of different

modules makes for fraught
procurement efforts
No document collaboration
alternative unless you
license separate (and quite
distinct) Connections or
Quickr
Limited Information Integration

support
Weak transactional ECM

capabilities
Expensive option, really only

for major enterprises
Comparatively very limited

community interaction
among customer base
reduces opportunity for peer
support at a time when
FileNet skills are at a
premium
Rather weak mobile

capabilities
No features for cloud-based

file sharing and sync
services
Despite some improvements on

the usability front, customers
report endemic clunkiness
Limited process modeling

capabilities
Multiple user interfaces and

clients for different modules
increase training needs
Focus on dated IDOL technology

for search is likely to become a
lodestone in the end
BPM and case management

reside in different applications
Suffers from unusually slow

release/innovation cycles
Cloud-based file sharing services

are provided via a separate
application
Official support and training is

disconcertingly expensive
Product has seen comparatively

little R&D, and its core server
architecture is getting older
Enterprise Content Platform,

Enterprise Content Platform, Process

and Case Management
Enterprise Content Platform,

Process and Case
Management, HighVolume
Imaging
Unlikely Fit
Marketing Information Management,

Technical Documentation, HighVolume Imaging
Basic Document Lifecycle

Management
Document-Centric
Collaboration, Basic Document
Lifecycle Management
Compare to
EMC, IBM, Nuxeo, SharePoint
IBM, OpenText, Oracle, Alfresco
OpenText, EMC Documentum, IBM

FileNet, Microsoft SharePoint
EMC, OpenText, Hyland, Oracle
Operating
System
Linux, Mac OS, UNIX, and Microsoft

Windows
AIX, HP-UX, Linux, Windows, Solaris
Windows, Solaris, and some Linux
IBM AIX, Windows, Sun Solaris,

HP UX, Red Hat & SUSE Linux
Repository
File system repository with metadata

stored in the database (including
MySQL, Oracle, Microsoft SQL
Server)
Proprietary file-based content

repository
Metadata stored in RDBMS: IBM
DB2, Microsoft SQL Server, Oracle,
Sybase
Depends on product; typically file

system-based with database for
metadata persistence
Proprietary repository with

additional database support for
IBM DB2, SQL Server, Oracle
Potential Fit
(Continued)
EMC: Documentum
HP: WorkSite
IBM: FileNet
App Platform
Requires Java application server:

Tomcat, JBoss, Oracle WebLogic,
WebSphere and Oracle AS officially
are supported
IBM WebSphere, Oracle WebLogic,

Tomcat, JBoss
Unusually product specific:

COM, .NET, and Java are in the mix
across the product set
Java
Licensing
LGPL for Community version or

commercial version starts at US
$24,000 per year per CPU
Per seat for most modules. EMC

doesnt disclose actual pricing;
budget for a deal size in the range of
$1M+
Licensing is a per-CPU and per-user

model
User Value Unit pricing (part of

IBMs Passport Advantage
pricing model); budget for a deal
size of $1M+
Ownership
Privately held, venture funded
Public (NYSE: EMC)
Public (NASDAQ: HPQ)
Public (NYSE: IBM)
Nuxeo Platform
OpenText: Content Suite
Oracle: WebCenter
Geography
Global
Primarily Europe
Global with particular strength in North

America and Europe
Global
Whats New
Case Management is now part of the

core platform
Major service-pack release adds new

administrative features
Some features have been standardized

across DM and DAM modules
OpenTexts TempoBox file sync-andshare service is now a free add-on to

Content Suite
Re-architected capture module
Integration with SharePoint and

Enterprise Manager
Good storage management and storagevendor agnosticism increases your

infrastructure flexibility
Good BPM functionality
Well-regarded compliance
application
Generally does not lock you into specific

lower-level platforms (as EMC, Oracle,
and IBM are inclined to do)
Broad internationalization of the

product set
Abundance of sample code, APIs,

and documentation make this a
comparatively developer-friendly
platform
Free download available for

development, testing, and
prototyping
Strengths
Vendor is increasingly focused on

promoting the cloud version
Nuxeo Drive for file sharing and sync
Takes advantage of core

SharePoint Foundation and a rich
API
Relatively modern, Java-based

architecture
Open source, with commercial support
Potentially useful retention and

policy capabilities
Provides both cloud-based and inpremise deployment options
Decent folder processing and

taxonomy services that make the
platform better suited to traditional
document management scenarios
Scalable from small workgroups to

multi-hundred user systems
Broad ECM application development

platform: plugin architecture allows
custom-developed solutions
Vendor is traditionally strong on

regulatory compliance use cases
Offers a wide variety of industry- and

business-specific solution sets
Rapid company growth (from small

base) bodes well for future
Provides comparatively strong records

management services, including physical
records management
Cloud-based TempoBox service is now

free to on-premise licensees
Known for good integration with SAP and

Oracle ERP suites
Strong integration with Microsoft

Office makes it very useful for
Office-based document
management scenarios
Comparatively more user friendly,
and easier to install and propagate
than heavyweight document
management tools
Search works comparatively well
within an all-SharePoint
environment
Platform boasts exceptionally

broad, unofficial support community
SaaS-based offering is almost

feature-equivalent to on-premise
version
Localized in an impressive list of

languages
A good fit for enterprises that are

new to document management or
dont need highly structured,
complex solutions
Completely new web user

interface
(Continued)
Weaknesses
Nuxeo Platform
Oracle: WebCenter
No packaged integrations with

mainstream enterprise systems
Small company size limited

corporate resources and geographic
coverage
Integration with the rest of the

WebCenter suite is not as
seamless as Oracle would like
you to believe
Limited experience in the field: SI/VAR

experience with the platform will vary
widely
You likely will have to employ

proprietary Idoc scripting, forcing
your developers to learn a neardead language
Transition between two interfaces

could get confusing and clunky
Limited COLD/ERM functionality
Lack of collaboration features

within the native package
Comparatively pricey for what you

get
New mobile interfaces lack

customization capabilities
Tendency to force you to use

Oracle infrastructure underneath
Comparatively light or non-existent

support for document imaging,
formal digital asset management,
archiving, and COLD/ERM
Not designed for high-volume or
transactional environments
No native physical records

management services
Individual file size limit of 2 GBs

makes it unsuitable for some
scenarios
Like Alfresco, dominance of Nuxeo the

company may stilt broad community
growth
Once you get beyond the basics,

platform quickly becomes
deceptively complicated and
developer-intensive
Collaboration features spread across

DM and Collaboration modules with
very different interfaces
No native records management

features
Wide array of overlapping technologies

and products makes solution
identification fraught with error and
pandemic customer over-spend;
multitude of products also elevates
vendor abandonment risk
User experiences across the ECM Suite
are extraordinarily archaic and buggy,
and the company seems disinterested in
fixing them
BPM is a separate offering from ECM
with considerable, unnecessary overlap
Traditionally weak customer/partner

extranet mitigates against peer support
Company traditionally more interested in

acquiring software for new maintenance
streams, rather than building coherent
technology stacks out of its existing
portfolio
Cloud-based offerings are woefully

integrated with on-premise farms,
effectively ruling out hybrid offering
in major enterprises
Some services and functionalities

require Office 2010 or higher
Weaker global SI partnerships than its

competitors
Likely a poor fit for large

enterprises that need a one-stop
shop for document management or
that have industrial-strength
document management or
compliance needs
OpenText has a frustrating habit of

packaging many significant innovations
(such as modern UIs) into optional
products that must be licensed
separately
Emphasis on localized, bottom-up

site provisioning encourages
departmental freelancing that
mitigates against enterprise
governance
Some new features in 2013 edition

remain shallow
Potential Fit
Workgroup Collaboration
Enterprise Content Platform, Document

Lifecycle Management
Information Governance, Process and Case

Management
Information Governance, HighVolume Imaging, Enterprise Content

Platform
Unlikely Fit
High-Volume Imaging, Case

Management
High-Volume Imaging, Information

Governance
Basic Document Lifecycle Management,

Enterprise Content Platform, DocumentCentric Collaboration
Document-Centric Collaboration,
Compare to
IBM, Oracle, SpringCM, OpenText
Alfresco, Documentum, OpenText, EMC,

Microsoft SharePoint, Box
IBM, EMC, Alfresco
EMC, Alfresco, IBM
(Continued)
Nuxeo Platform
Oracle: WebCenter
Operating
System
Microsoft Windows Server
Linux, Mac OS, and Microsoft Windows
Windows, Solaris, Linux, IBM AS400, and

UNIX
Windows, Solaris, RH Linux, Zseries

Linux, HP-UX, IBM AIX
Repository
Database: MS SQL Server
H2, PostgreSQL, MySQL, Oracle, SQL

Server
Proprietary repository with preference for

Oracle to store metadata
BLOB-based objects are stored in

Oracle database. Relational
database for metadata persistence.
SQL Server, IBM DB2, Oracle,
Sybase. A file system can be used as
the repository or combination of
both
App Platform
.NET
Apache Tomcat and Red Hat JBoss
Dependent on particular module: primarily

.NET and Java
Oracle WebLogic Server, and some

modules are certified on WebSphere
Licensing
Complicated: Seat-plus-server licenses

on premise; seat licenses for Office 365
cloud version
Open Source (LGPL). Nuxeo sells annual

support (starting at US$15K) and training
plus development services
Per-named-user licensing model; Content

Suite is US$175,000 for the first 100 users.
Most customers will need to license a
plethora of optional modules.
Full licensing is US$172,500 per

processor or US$115,000 per
processor when excluding
WebCenter Imaging and Advanced
RM (note that a processor in Oracle
license terms does not necessarily
mean a CPU)
Ownership
Public (NASDAQ: MSFT)
Privately held; venture funded
Public (NASDAQ: OTEX, and Toronto Stock

Exchange: OTC)
Public (NASDAQ: ORCL)
Usage Scenario Summary: ECM Platforms
Alfresco
EMC
HP
IBM
Microsoft
Nuxeo
OpenText
Oracle
Usage Scenario Summary: ECM Platforms
High-Volume Imaging
Scenario Fits
Key
Product does not provide this feature in any meaningful way
Product provides this feature, but is not as mature as its rivals
Product excels at this feature, relative to other products in the same category
Product masters this feature, relative to other products in the same category
Ratings Summary: ECM Platforms
EMC
HP
IBM
Microsoft
Nuxeo
OpenText
Oracle
Ratings
Alfresco
Ratings Summary: ECM Platforms
2
2
2
2
2
1
2
1
3
2
3
3
3
2
2
3
3
3
3
2
3
3
1
3
3
1
3
3
3
3
1
0
2
4
2
1
3
0
1
2
2
2
0
2
1
0
3
2
3
1
3
2
1
2
1
3
2
1
3
2
1
3
2
0
3
3
2
2
3
2
3
3
3
3
2
3
2
2
2
2
2
3
3
3
2
3
1
3
3
3
2
2
2
2
2
2
2
2
3
2
2
1
2
2
2
2
3
3
3
3
1
2
2
2
3
2
2
3
2
1
1
2
2
2
1
2
2
3
3
2
3
3
1
3
4
1
3
2
2
3
2
2
2
1
2
1
2
3
2
2
2
3
Functionality
Document Management
RM and Archiving
BPM and Workflow
eForms
Mobile Access
File Sync & Offline
Technology
Architecture
Cloud Services
Security
Vendor Intangibles
Support & Community
Strategy & Roadmap
Key
www.alfresco.com
Specsheet
Alfresco Enterprise Edition 5.0 Summary
Geography
Focus on Europe and North America
Whats New
Version 5.0 released (initially to Community Edition) with minor

enhancements to search, editing, and administration
Company received major new venture investment and postponed
apparent IPO plans
Strengths
Weaknesses
Lacks industry-specific solutions, and is therefore less useful out of the

box
More of a development platform than a finished product, and
considerable Java and/or JavaScript expertise is required to roll out,
troubleshoot, and maintain even the smallest Alfresco system
Despite some improvements on the usability front, customers report
endemic clunkiness
Limited process modeling capabilities
BPM and case management reside in different applications
Official support and training is disconcertingly expensive
Potential Fit
Enterprise Content Platform, Document-Centric Collaboration
Unlikely Fit
Marketing Information Management, Technical Documentation, HighVolume Imaging
Compare to
EMC, IBM, Nuxeo, SharePoint
Operating System
Linux, Mac OS, UNIX, and Microsoft Windows
Repository
File system repository with metadata stored in the database (including

MySQL, Oracle, Microsoft SQL Server)
App Platform
Requires Java application server: Tomcat, JBoss, Oracle WebLogic,

WebSphere and Oracle AS officially are supported
Licensing
LGPL for Community version or commercial version starts at US $24,000

per year per CPU
Ownership
Employs many industry standards

Hybrid ECM capabilities are better than most competitors in this report
Modular and potentially very scalable repository architecture
Comparatively user-friendly records management facilities
Automatic metadata extraction may help large-scale projects
Embedded rules engine can improve automated tasks and makes the
system more production-oriented than open source competitors
Growing developer community with clear governance model

Summary
Throughout its existence, Alfresco has
garnered more than its fair share of
(mostly favorable) attention. This stems
in part from the impressive pedigree of its
founders, and from its substantial
investment in professional public
relations rare among its erstwhile open
source document management rivals.
Scenario Fits
High-Volume Imaging
3
2
2
1
1
2
3
Alfresco has tried to present itself as a

serious challenger to EMC, IBM, Oracle,
and Microsoft as a content platform player, but not surprisingly for a venture-fueled
company its attention seems to jump around, and one gets the sense that the platform is not
intently focused on any particular business scenario. Indeed, Alfresco tends to look to partners
to develop specific applications, and the company has built a decent (and still growing)
support channel of SIs and consultants.
Consequently, the firms roadmap perpetually seems to meander. Some partners we have
interviewed have expressed the same concern; Alfrescos attention flits around far too easily
for comfort, and there is insufficient staff to support the many initiatives it has started. Of
course, this kind of behavior is typical of many startups and it is not unique to Alfresco.
Alfrescos faddishness poses a challenge for customers, though, in part due to its change in
focus from an open source alternative to Microsoft SharePoint, to social content management,
to cloud content management. In fact, Alfresco will often change major components of its
underlying technology. Alfresco seems to make a habit of offering a feature, and then
withdrawing it or swapping it out for an alternative. If you are evaluating Alfresco, obtain
guaranteed support for current features and services.
Although the Alfresco software itself is freely available for download, when you factor in the
inevitable services work required for such a complex application, along with the relatively
steep maintenance and support fees that Alfresco itself charges, an Alfresco-driven document
management project may only be modestly less costly than a commercial competitors suite
and in some cases, it may actually cost more. Alfresco is more like a commercial software
vendor that happens to open source the code. To be fair, much the same could also be said of
its French competitor, Nuxeo (see Nuxeo: Nuxeo Platform 5.8 on page 158).
The package has promise as an open source, Java-based alternative to SharePoint, and the
firms early and deep integration with the SharePoint protocols augers well. Over the years
however, Alfresco has pitted itself more as an alternative than as an add-on to the SharePoint
stack.
Additionally, although Alfresco claims to have a huge number of customers of all types, we
believe that you need to be a hard-core technology true believer that has bought into the
value proposition(s) around open source software. It takes a certain kind of customer to
commit to Alfresco. Youre not so much buying a product as you are buying into a vision.
In sum, Alfresco is a high-end ECM development platform that runs on an open source
business model. As an ECM platform, Alfresco is scalable enough to slug it out with the best
of its competitors in some high-volume projects, but at the vertical or business application
level, it remains immature.

Introduction
Alfresco, founded by John Newton (co-founder of Documentum) and John Powell (former
COO of Business Objects), officially launched with great fanfare in June 2005. Alfresco is
venture backed, and its development is based in the UK, where it was originally
headquartered. With the hiring of Doug Dennerline as CEO in 2013, the management and nondevelopment functions are now centered in San Mateo, CA, USA.
Much like Documentum, when Alfresco talks about ECM, they mean a highly scalable
repository that can support a variety of content types and services. However, in other respects,
Alfresco resembles other open source content management projects since it pitches a
developer story. Of course, the real buyers of document management systems are line business
leaders who need to solve specific problems. Alfresco therefore relies on other reputable firms
to develop and market specific business solutions.
This is in fact Alfresco's explicit strategy in assigning a fairly liberal LGPL usage license to
the source code, which allows other firms to build commercial products off of their platform.
Alfrescos founders learned first-hand that major software companies make their highest
margins in support and maintenance, and this is where Alfresco has focused its revenuegeneration efforts.
The Enterprise version of Alfresco is currently written and maintained by Alfrescos own
developers. As an Enterprise customer, you get to see the source code, but if you alter and
recompile it, you could be on your own; read the license details carefully.
The Community Edition of the product (licensed under LGPL) is free, but comes with zero
support from the company and no guarantees. Thus, very few customers in the corporate world
go into production on the Community version, since it is not certified the way the Enterprise
Edition is, and it tends to be alpha/beta quality. Some but not necessarily all Community
features eventually get rolled into the Enterprise version. Nevertheless, you can look to the
Community edition as a kind of preview of whats coming in the Enterprise version.
Alfresco has made some changes to product names more recently. Alfresco Enterprise (its
commercially supported version) is now called Alfresco One, and it includes some
entitlements for Alfresco Cloud (the cloud- and SaaS-based multitenant service). When you
subscribe to Alfresco One, you get access to an on-premise installation as well as a cloud
setup; it is a hybrid environment consisting of an on-premise offering and a complimentary
cloud component. You can choose not to use the cloud entitlements but if you do, you will be
using two different and independent setups linked via Alfrescos sync services that sync
content across the two environments.
The key Alfresco products reviewed in this report are:
Alfresco One: The rebranded Alfresco Enterprise (the on-premise version of
Alfresco), which includes some entitlements for Alfresco Cloud as well
Alfresco Activiti: The open-source workflow engine that Alfresco recently launched
as a separate product
Alfresco Cloud: The SaaS-based service
Alfresco Mobile: Native apps for iOS and Android
Alfresco Workdesk: Alfrescos case management solution

Version 5.0 was released in the Community Edition in Q3 2014. Its numbered as a major
release, but is actually less consequential than most previous dot-releases.
The key changes in 5.0 are:
Faceted search with better preview functionality
Higher level site administration capabilities
New rich text editor for HTML content
PDF viewer, based on JavaScript rather than Flash
Figure 28. In version 5.0, you can manage multiple team sites from a single administrative
interface. Its a useful but still rather trivial improvement, representative of a somewhat
feature-thin release.
Functionality
Functional Services
Document Management
Document Management
Lets start with user experience and then turn to

core DM features.
RM and Archiving
BPM and Workflow
2
2
2
2
2
1
2
1
Currently there are at least two web-based

eForms
interfaces that access Alfresco for document
management: Explorer and Share. Alfresco
Mobile Access
now recommends Share for all purposes. Some
File Sync & Offline
customers still use the old Explorer client
(which is no longer under development), or
they create their own user interface. (Theres
another client called Alfresco Workdesk, but thats more of a case-management application
reviewed in a later section.)
Figure 29. Notice the number of pop-ups that display when tagging a piece of content.
Share is an AJAX-powered UI, which is based on the Surf platform. Share is a DM and
collaboration environment that does all of the typical Alfresco ECM things, as well as creating
and managing wikis, blogs, event calendars, project-based data lists, and discussion groups.
As a collaboration environment, its an easy way to set up and manage lightweight wikis,
blogs, and discussion/forum functionalities.
Customers tell us that usability is generally poor (see the multiple pop-ups in Figure 28),
despite some improvements in the 4.x timeframe. As of version 4, you could drag-and-drop
files from your desktop or across folders on Alfresco. Share also has built-in content previews,
inline tagging, auto geo-tagging, and thumbnail generation capabilities.
However (as with many other ECM tools), you still must invest time and energy to make
Alfresco user friendly. Doing your own usability testing is especially important, since Alfresco
was essentially developer-designed in almost every detail. Alas, programmers are not usability
experts.
Alfrescos strength lies in its core document management capabilities in general, and
repository services in particular. The package provides major and minor version controls that
can be automated using rules. Attributes (metadata) are very extensible and the configuration
and management of these can be delegated to approved end users. Alfresco also includes a
wizard for uploading bulk documents. You can also drag and drop documents to Alfresco from
your desktop or drag them across folders within Alfresco.
Of interest is the fact that Alfresco offers some good automatic metadata extraction facilities
that have been developed by the community. This is accomplished via Apaches Tika project
and supports many widely used document, audio, video, and image formats. Clearly, these
must be thoroughly tested, but if they work for you, it could be a boon to large-scale, textheavy projects.
Figure 31. You can now start workflow directly from within Alfresco Share.
Surprisingly, Alfresco offers only very basic compound document management (virtual
document) capabilities this is unusual, considering the firms roots are from Documentum.
Any compound document capabilities come courtesy of an extensible relationship model.
On the plus side, Alfresco integrates with JSR 168-compliant portals via portlets, and in
particular, it provides an unusually robust repository to replace the lightweight DM systems
found in open source portal packages like Liferay and JBoss.
To its credit, Alfresco goes where some other open source tools have dared not tread: the
Windows desktop. Users can mount the Alfresco repository as a shared drive and easily move
or synchronize files.
Figure 32. Users can use Windows Explorer to drag and drop files into and out of
the Alfresco repository as if it were a remote drive.
Alfresco has also implemented the SharePoint protocol in its server. This enables office tools
to access Alfresco directly as it were a SharePoint Server and there is no need for a clientside plugin. The firm has often positioned itself as an open source alternative to SharePoint
and this feature adds credibility to the claim. In fact, its integration with Office is extensive
enough to view the Alfresco repository via the CIFS capability. It also provides full
document management capabilities from within the Office environment, as well as
MySpaces, MyDocuments, MyTasks, and MyWebForms panes. Overall, its a
comprehensive integration.
Search can be considered a strength of the platform, and new enhancements in version 5.0
exploit Lucene Solr to enable faceted browsing of results.
Figure 33. Note the actions you can take on individual files (at right), using faceted
search in Alfresco 5.0.
The document preview was enhanced in version 5.0 (JavaScript was swapped in for Flash),
and you can perform basic library services on any document right from the search results.
Alfresco leadership has, at different times, positioned the technology as an open source, Javabased alternative to Microsoft SharePoint. At first blush, the comparison seems apt, especially
for document-oriented collaboration, but less so for SharePoints forte: project-oriented
collaboration.
Collaboration features are quite functional and resemble Documentums old eRoom product.
Alfresco ships with helpful templates to build basic team environments (Team Collaboration
Wizards). The package offers forums, including threaded discussions, blogs, wikis, and team
calendars within Alfresco Share. They also added some social computing gadgets for
Facebook and iGoogle along with Blog publishing to WordPress and TypePad.
Figure 34. The dashboard-type interface of Alfresco Share.

Records Management & Archiving
Records management is an area where Alfresco has made some recent improvements.
Common RM requirements are supported, such as rules, file plan design, and disposition
schedules. The functionality is certified to meet DoD 5015.02 requirements for unclassified
records. Alfresco has no plans to pursue the other DoD 5015.02 certification levels, but that
should not concern most buyers.
Figure 35. You can create rules to automate many aspects of records management.
To the extent that RM is largely driven by rules, file plans and lifecycles can be automated in
Alfresco; e.g., you can automatically place records in folders based on metadata or other rules
(Figure 35). You can also create rules that will adjust the file plan dynamically. These
automation features can be powerful, but they need to be evaluated together to ensure that the
file plan can respond to automated records declaration rules. Like most DoD 5015.02certified RM solutions reviewed in this report, you can now declare records in-place
without moving your documents to a formal records repository.
RM is not available in the cloud version, although likely few customers want to manage
records in the cloud. Thus, documents will need to be synched back to the on-premise
repository to declare a record. Alfresco also lacks support for physical records, which is a
problem if you seek a holistic RM solution.
Alfresco is best described as RM for non-RM users a refreshing change in a marketplace
frequently oriented toward the needs of power user records managers. The records
visualization, the ability to view metadata easily, and the URL-accessible record files make it
one of the more user-friendly RM systems we have seen. Given that user adoption is a major
issue with RM initiatives, this could be a strong suit for organizations trying to implement an
RM program.
Business Process Management & Workflow
There are two ways to process files in Alfresco. You can:
1. Set processing rules on folders (such as auto-convert to PDF or auto-archive based on
date functions).

2. For real workflows, you turn to Alfrescos own Activiti workflow engine. Starting with
version 4, Activiti is the default workflow engine with the option to retain the legacy
jBPM service. jBPM is still included in the base package, but will remain disabled by
default in new installations. However, it will be slowly deprecated over the next few
versions; you will need to consider how you will migrate your workflows from jBPM
to Activiti. There are a few pre-built workflows packaged with Quick Web Start, but if
you need to create new workflows, you will need to have developer resources with
considerable Activiti engine knowledge.
Figure 36. You can create hybrid workflows that span across onpremise and cloud setups.
In 2014, Alfresco created a new business unit to focus on supporting Activiti as a separate
open source project. This has led to a new cloud version and better process mapping tools.
Activiti is still embedded in Alfresco One, but pay attention to licensing to ensure that the use
of Activiti within Alfresco One is permitted.
Alfresco made process enhancements in version 4.2, which included processes that spanned
across on-premise and cloud instances of Alfresco. You can start a workflow in your onpremise installation, move it to a cloud instance, and back on-premise to finish it.
As with many other document management systems, you want to tap the internal rules engine
within the core repository structure. Though not a workflow system, it can (if used in
connection with good attribute data) provide some solid routing capabilities that may forestall
the need for a full-blown BPM system.

Workdesk is the vendors separate case management module, the result of Alfrescos
acquisition of WeWebU. Workdesk allows you to create business applications using the casemanagement paradigm (as opposed to just managing documents). Thus, you can create
document-centric business processes such as a loan origination process or a claims processing
routine. The focus is on creating these processes via configuration instead of coding. A
solution template typically consists of a data model, different views (such as case items,
submission date, and status), workflows, and reports.
Out-of-the-box, it comes with a few demo templates; however, evaluate carefully if those
templates will suffice. If not, you will need to create new ones from scratch and despite the
companys claim that its all about configuration, remember that these types of configurations
may not be trivial and you might need help from Alfrescos partners for a full-fledged industry
solution. Configuring to change an existing process and configuring to model a completely
bespoke process are very different.
Figure 37. Alfresco Workdesk for case management is a CMIS application.

Remember that Workdesk is a separate application with its own server component and a
separate web interface. In fact, its an application that can run on any CMIS repository.
Alfresco claims that because Workdesk has a separate user interface, this is an advantage
because it specifically targets process-oriented use cases as opposed to collaborative use cases
targeted by Alfresco Share. However, multiple interfaces will have different customization
requirements, different usability standards, training needs, and so forth. Whether multiple
applications will be useful for you completely depends on your requirements; test each
different client interface well. In addition, there is no visual interface to create a new case
management application based on BPM.
There are concerns in the partner community about long-term support for Workdesk. Alfresco
recently has publicly committed to supporting Workdesk for the long term by rolling

Workdesk into the Alfresco One architecture. Before committing to Workdesk, be sure that
you understand the roadmap and get a guarantee of long-term support from Alfresco.
Alfresco currently provides limited support for Imaging and Capture, with the exception of
partnerships with Ephesoft (its largest partner for capture), Filemark, Kofax, and Tiger OCR to
provide capture and recognition software. To be sure, Alfrescos combination of a BPM
engine, and its strong rules mechanism in the core repository, along with its scalability could
provide a decent platform to build a high-volume imaging system. At present, the partnerships
in conjunction with the integration into the Alfresco platform could scale out to support
a good-sized digital mail room, but would not be a consideration for large-volume forms
processing.
Customers have raised concerns about Ephesofts ability to scale for high-volume scanning
operations. Alfresco and a majority of its partners will bring in Ephesoft by default. Be sure to
perform separate due diligence for an imaging solution if your requirements extend to more
than basic back-office scanning needs.
eForms
Although Alfresco now provides some true eForms functionality in the form of Form
Service, this is not an area of real strength. Form Service aims to provide a unified eForm
capability (prior to this there were separate functions for document and web content
management) for the whole platform. It makes use of TinyMCE, an open source WYSIWYG
editor and provides basic but functional eForms capabilities. Like most things from open
source vendors, the future of this function depends on whether the community takes it further.
Currently, it is lacking in terms of templates and filters and only has a few out-of-the-box
integrations with third-party products. To be clear, if all you need is to build a simple form and
you currently use Alfresco, it will suffice; if you need anything more sophisticated, look
elsewhere.
Mobile Access
Alfresco provides native apps for Android and iOS (iPad and iPhone) devices that can access
the Alfresco Site (on-premise and cloud based). You can view documents, edit them (via
integration with third-party apps such as QuickOffice), add comments, and participate in
workflows.
Alfrescos mobile security options include support for MDM vendor MobileIron. They also
encrypt content and offer the ability to limit and expire content on mobile devices. While
Alfresco provides several mobile SDKs, it has no native mobile apps for Windows or
BlackBerry devices. Another shortcoming is that there are multiple mobile apps for core
Alfresco features and for Workdesk, which can mean inconvenient context switching for your
mobile employees.
While Alfrescos iOS and Android clients support syncing on mobile devices, there is no
desktop sync client available in the commercial version (although its available in the
community). For now, you cannot sync content across multiple mobile devices and desktops.

Alfresco offers what it calls Enterprise Sync, but its more for syncing with an on-premise
Alfresco implementation with a cloud-based Alfresco installation; its not for syncing content
across multiple devices. If you only need cloud-based file sharing, sync, and collaboration
tools, remember that although Alfresco has features for those, it is a more heavyweight tool
than you need for those scenarios.
Technology
Architecture
Technical Services
3
3
2
2
3
2
As an ECM platform provider, architecture is

(by definition) where Alfresco stands or falls
Architecture
and most of the development and effort to date
Cloud Services
has gone into the core structure. Alfresco
Security
benefited from the notable advantages of
starting from scratch, good funding, and depth
of experience from past lives at Documentum and HP. This last element, however, is not
always an advantage; designers are heavily influenced by their own pasts, so the story of
having started with a clean slate is not entirely true as you can find visible legacy in the new
product that is Alfresco.
On the surface, Alfresco is a software architects dream of a content management system.
Built on best-of-breed, open source components such as Spring, MyFaces, Lucene, and an
aspect-oriented programming model, Alfresco is a buffet of buzz-worthy Java technology.
With support for Web Services, CIFS (Common Internet File System what Windows uses
to map network drives), CMIS, IMAP, the SharePoint Protocol, WebDAV, FTP, and the JCR
(Java Content Repository as specified by JSR 170), Alfresco is as attractive as a component
within a larger custom architecture as it is as a standalone application. Special attention to
enterprise concerns such as versioning, clustering, replication and federation and, in particular,
content deployment to multiple instances of the application help Alfresco pass most software
selection matrices. Also of particular note in the recent release include functionality
enhancements with a JMX-based Server Admin, providing JSR 160 support to administrators
via the JMX console.
Alfresco could be defined as a Java repository framework with a built-in rules engine, and a
separate indexing and categorization engine, with metadata stored in the DBMS. The
repository is quite sophisticated. Unusual for an ECM system, it is designed to provide a highavailability environment, with redundancy and replication to give automatic failover
capabilities that you typically only find at the highest end of the market (and even then, it is
not always well executed). Alfresco can use a number of databases, with MySQL the most
commonly used in production implementations.
Alongside the repository sits the Alfresco rules engine, which actually bears some similarity to
the approach of FileNet. The rules engine provides basic lifecycle management capabilities for
the content, and triggers and manages certain pre-defined actions. Alfresco provides runtime
authentication supported with LDAP and Active Directory integration, with the option to have
a distributed authentication model with chaining support.
Alfresco uses subsystems to help reduce the management overhead of an Alfresco
installation. A subsystem encapsulates a specific functionality, typically something that has

many alternative implementations, such as deployment and authentication. A subsystem can
be started, stopped, and configured independently.
Alfresco supports multi-tenancy out of the box. What this means is that you can have a single
instance of Alfresco to cater to multiple customers or organizations, with Alfresco managing
the partitions and content stores. This is quite useful if you use Alfresco to provide service to
multiple organizations or to different groups within the same organization that want complete
data isolation. Each tenant in this case gets its own administrator to manage tenant-specific
administration and customization tasks.
However, not all of Alfresco's interfaces support multi-tenancy. If you want to use Alfresco in
a multi-tenant environment, make sure you test all aspects of Alfresco for multi-tenancy. Give
special attention to interfaces like SharePoint, which enables document accessibility from
Office, CIFS, FTP, IMAP, and others.
Alfresco uses a Transfer Service that publishes contents of a space from a source DM
repository to a target DM repository or a file system. Built on top of the transfer service is
Distributed Repository Replication, which allows you to maintain a read-only copy of content
cached locally. Very similar to Documentum's Branch Office Cache (BOCS), this enables you
to replicate Alfresco Spaces (along with associated rules and content) to one or more Alfresco
destinations. This is quite useful for geographically distributed environments.
There is support for content-addressable storage. It is an Enterprise-only feature, which allows
you to store long term in external storage repositories. Alfresco supports EMC Centera but test
your setup if you require this feature especially with other products.
One downside to consider: Alfresco has proven fickle in the Java subsystems and projects it
adopts. The company has deprecated things like templating engines, Hibernate, and jBPM
after customers and partners have made significant investments in them.
With the exception of the SharePoint integrations detailed above, you wont find many out-ofthe-box connectors to other types of repositories. As with most document management
systems, most integration work must be done on an ad hoc basis by professional developers.
However, Alfresco provides a deep and broad Web Services interface, and is one of the few
document management vendors with a REST-based approach to access its own repository.
Alfresco ships with several JSR 168 portlets to access the repository from a portal interface,
and if you want to document enable Java-based portal applications, Alfresco is a solid
alternative. In addition to the JSR 168 portal interface, Alfresco provides specific support for
open source options: JBoss Portal and Liferay Portal.
In 2008, Alfresco joined with other ECM vendors to propose a new standard called CMIS:
Content Management Interoperability Services. Alfresco has been in the forefront of the CMIS
bandwagon and has traditionally been the first to offer working CMIS implementations, even
when the spec itself was in draft. Currently, CMIS is a good option for basic interoperability,
but may not be a suitable replacement for more intensive integration use cases. It will be a
while before its determined whether CMIS will persevere, but Alfresco has positioned itself
well if there is early adoption.
There are few out-of-the-box integrations with common legacy applications except for an SAP
connector and an evolving Salesforce connector. This is a weak area for Alfresco because
linking into ERP systems (for example) is now a common usage scenario for ECM platforms.

No doubt, the firm will argue that due to the adherence to standards and the open platform,
these can be built quickly and easily, but certified connectors into commonly used business
applications is a key differentiator for larger document management players such as OpenText
and EMC.
Since Alfresco was designed explicitly as an application development platform, it makes for a
good environment in the hands of a seasoned programmer. Alfresco provides a number of
APIs, including a new one released with version 4.2 that is common across the on-premise and
cloud versions.
As with many Java applications, you use Eclipse for development. Most configuration is done
using XML configuration files and scripting languages. This is important because altering the
Java classes that come with Alfresco voids the warranty. Note that there are lots of XML files
to edit. The files are well commented with instructions, but the general documentation on the
website remains thin and tends to lag product development (though it seems to grow daily).
Alfresco focuses on simple, rapid development through relatively lightweight scripting. All
Alfresco Web Scripts are developed in JavaScript and templating including PHP and
FreeMarker. Currently, there are around 50 Web Scripts available. This is really the focus of
Alfresco at present developing more Web Scripts and ultimately building out the next
version of the full client.
One problem weve seen is that the open source nature of Alfresco can lead to developers
using internal functions of Alfresco. These low-level functions can be extremely powerful, but
they were created for use in product development and they are not guaranteed to persist in the
next release. Ensure that developers and partners always use the published APIs.
Alfresco introduced a new admin console with version 4.2, which is a standalone, lightweight
application with a different user interface. The key advantage of having a separate interface is
that customers who dont use Alfrescos clients and use it more like a back-end repository can
use the admin console (Alfresco calls it headless mode).
Figure 38. A new admin console was introduced in version 4.2.

Where you had to resort to XML files earlier, the new admin console brings together many
configurations and settings. You can view what services are enabled or disabled, configure
different repository services, set up security, and configure directory services via this interface.
Cloud Services
Alfresco Cloud is Alfrescos dedicated SaaS-based offering.
As described earlier, Alfresco One includes some entitlements for Alfresco Cloud; when you
subscribe to Alfresco One, you get access to on-premise installations as well as a cloud setup.
Thus, you can license on-premise Alfresco, Alfresco Cloud, or both in hybrid mode.
Alfresco One is primarily an on-premise offering with a complimentary cloud component.
Alfresco Cloud is a different set up from your on-premise installation. If you have an internal
contract that you now want to share with external users, you can start a workflow process that
takes the document, moves it to Alfresco Cloud, the content is synced in the background, and
the external user can access it.
Alfresco offers possibly the most advanced implementation of managing documents in this
type of hybrid cloud environment. However, the additional complexity of managing and
governing two environments and multiple sets of documents across two environments instead
of just one cannot be overlooked. Test to ensure that the syncing between the on-premise and
cloud environment works well for you. Sync has various options for controlling; e.g., you can
lock the on-premise version when the cloud version is checked out (and vice-versa).

From a functional standpoint, Alfrescos cloud version does not reach parity with its onpremise version. For example, it does not have collaboration components (blogs and
discussions forums).
You can deploy a full enterprise system hosted as a private cloud on AWS. Thats more like
managed hosting by Alfresco, and it gives you the advantage of a full Alfresco on-premise
edition in a cloud environment.
Security
With respect to entitlements, Alfresco supports users, groups, and roles, at both the folder and
document level. ACLs are limited to five pre-defined permission groups:
Consumer
Editor
Contributor
Collaborator
Coordinator
While not as extensive as some of the more established document management players, these
groups should offer enough to meet most needs. Alfresco can use LDAP and Active Directory
to synchronize users and groups and provide authentication, or employ single sign-on via
NTLM and other solutions including SAML for cloud. Note that Alfresco states that these five
default groups can be extended.
Alfresco provides mobile-specific security controls such as encrypting content stored on
mobile devices and auto-expiry of content. However (unlike some other tools), advanced
mobile security features such as remote device wipe-off and device-specific policies are not
supported.
Vendor Intangibles
Alfresco seems torn between building a fullfeatured offering versus emphasizing the
underlying architecture and the platform as an
ideal document management development
environment.
Intangibles
Support & Community
Strategy & Roadmap
2
2
3
2
2

Of course, one of the many benefits of open
source projects is that they usually publish their
technology roadmaps publicly; Alfresco is no exception. Future markers include
enhancements to the cloud offering and some basic digital asset management capabilities.
Alfresco feels venture-funded (which it is) and perhaps a bit slick for some developers familiar
with participating more centrally in the highly meritocratic Apache process. Ultimately, any
open source platform draws its real strength from a large and active community, and it remains
to be seen whether Alfresco will loosen its tight reins on committing changes to the official
source code enough to let innovation flourish. However, enterprise customers should welcome
the fact that there is a firm hand on the code base in the near-term. Alfresco claims to have
140,000 active developers in its community, and have now employed a dedicated Community
Manager. Even so, partners in the channel have stated to us consistently that the community is

not as active or supportive as they would have expected, and more importantly, that Alfrescos
own staff is stretched too thin at times.
Alfresco has a small professional services organization that helps clients with initial
architectural and best practices guidance. For the bulk of its work however, Alfresco depends
on its integration partners. Their SI partners include companies such as TCS, Mahindra,
Accenture, CSC, Atos Origin, Unisys, CTG, Sword Group, and Fujitsu, along with specialist
firms such as Ixxus, Zia, Blue Fish, TSG, Amplexor, and Cignex. The platform orientation of
Alfresco (read: lots of services work), and the lack of software license fees to compete for the
clients wallet, make it an attractive partner for a systems integrator.
As always, youll want to test the true depth of product expertise before signing on with any
services firm. Alfresco is a small vendor and has very limited resources to help you if
something goes awry with a partners services.
Over the past few years, Alfresco has invested more time and money into developing better
documentation and you can find detailed documentation publicly available at
alfresco.com/resources/documentation. The publicly accessible forums are steadily improving
and systems integrators report that they tend to be more helpful than even the paid support.
Ultimately, a vibrant community could become a key asset.
Not surprisingly, nearly all the Alfresco technology partnerships and proven integrations have
transpired with other open source projects, including the major open source portal efforts and
significant Apache Java initiatives. The breadth of participation is impressive, if the licensee is
willing to work in an all open source environment. You should remember, however, that
technology partnerships are as finicky and difficult to manage in the open source world as in
the commercial world. The advantage in open source is that you should have some visibility
into the politics and (frequently divergent) roadmaps, as well as the code.
Alfresco itself remains a smallish company (about 320 employees), with revenues around
$60M (FY2013). Alfresco has recently strengthened its executive team by hiring new senior
executives and has opened new offices in San Mateo, CA (corporate and sales), and Central
London (UX and Cloud development).
Over the next few years, a greater influx of VC funds is likely to lead to more attention to sales
and marketing, rather than substantially more rapid R&D. Charged with growing the company
for an IPO in 2 to 3-years, the new leadership seems to believe that Alfrescos biggest
challenges revolve around market visibility and sales execution. We would beg to differ.
There is probably little to fear about the stability of Alfresco the company in the near term. As
for long-term viability, this is less easy to be sure about. Any VC-funded firm ultimately is at
the mercy of its backers, so there could be some twists and turns ahead as they make a juicy
acquisition target or bolt for an IPO in the next several years with the usual, associated
turbulence.
Licensing
When it comes to open source, Alfresco is definitely not free as in beer. The freely available
Community Edition is not as routinely patched with bug fixes, so customers are more or less
on their own.
The free Community edition is now available under the LGPL, while the commercially
supported edition is available as part of an Alfresco One subscription that starts at $24K per

CPU for a departmental subscription. It also includes the cloud sync connector and licenses for
20 cloud users. There are additional charges for optional modules. Records management starts
at $12K per CPU per year. Alfresco One has a higher tier (enterprise-level) subscription that
starts at $59K per CPU per year, which includes a higher number of users for cloud as well as
more production, test, and dev environments.
You can subscribe exclusively to Alfresco Cloud, which is hosted on Amazons infrastructure.
It uses AWS for hosting and Amazons S3 for storage. It offers a free version (free network),
but its not supported and is quite limited. The paid editions are Standard Network and
Enterprise Network. The Standard Network starts at $49 per month for 5 users and 25 GBs of
space, and it includes Enterprise Sync but no LDAP or AD connectors. The Enterprise
Network has more of everything and is custom priced. In both the Standard and the Enterprise
Network, the file size is limited to 2 GBs.
Remember: this is a subscription model, so it has a yearly cost. This pricing level will surprise
many, and puts to rest the idea that open source equals cheap. However, it is not dissimilar to
the pricing by commercial ECM Suite vendors, and since there are no up-front license costs to
pay, there are savings to be found compared to OpenText, EMC, or IBM (but not savings at an
order of magnitude). Alfresco points out that the modular nature of their offering means that
you only need to run the services you need (not the whole suite when scaling up or out),
thereby potentially minimizing CPU usage compared to larger commercial options. Cost it out
carefully before you sign.
Conclusion
Alfresco wants to become the open source alternative to Documentum, FileNet/IBM and
OpenText, but those major commercial vendors can boast substantial, mature applications
built atop their repositories; Alfresco cannot yet make this claim. Alfresco provides a more
credible alternative in larger enterprises, undertaking enterprise-wide SOA projects that
simply want access to a bare-bones (but scalable) repository. Alfresco is also well-suited to its
original target market of software vendors (ISVs) looking for a cost-effective platform on
which to build specific applications.
By putting so much emphasis on the underlying architecture of the package and so little on
how it would be employed, Alfresco leaves little doubt that this should be considered as an
ECM platform for developers. If your IT department is undergoing a move to a platform
approach, then Alfrescos ample support for Java standards and its support for REST and Web
Services should appeal even more. While many customers have created their own businessspecific applications, Alfresco itself does not yet offer any specific vertical and business
applications.
As always, the prudent enterprise will look closely at total cost of ownership; Alfresco is
neither a free system, nor is it in any way for amateurs. It will cost serious money to support,
maintain, and develop.
In sum, if you are looking for a document management development platform, Alfresco
should definitely be considered alongside more established (albeit more proprietary) players.
However, if you are looking for mature document management applications, Alfresco is not
there yet.
If you have hands-on experience with this product and wish to share your feedback, please
write to us at feedback@realstorygroup.com. All customer input is kept confidential.
www.emc.com
Vendor at a Glance
Specsheet
Documentum EMC 7.1 Summary
Geography
Global
Whats New
New releases of Documentum, xCP, Captiva, D2, and other key

products
Wider range of support for different environments
Better integration with Syncplicity, SAP, and SharePoint
Enhancements to D2 client interface
Strengths
Weaknesses
Complex, semi-proprietary architectures require substantial time and

resources to master
Experienced, Documentum-skilled developers remain in short supply
Weak document collaboration services
Overwhelming breadth of different modules makes for fraught
procurement efforts
Multiple user interfaces and clients for different modules increase
training needs
Suffers from unusually slow release/innovation cycles
Potential Fit
Enterprise Content Platform, Process and Case Management
Unlikely Fit
Compare to
IBM, OpenText, Oracle, Alfresco
Operating System
AIX, HP-UX, Linux, Windows, Solaris
Repository
Proprietary file-based content repository

Metadata stored in RDBMS: IBM DB2, Microsoft SQL Server, Oracle,
Sybase
App Platform
IBM WebSphere, Oracle WebLogic, Tomcat, JBoss
Licensing
Per seat for most modules. EMC doesnt disclose actual pricing; budget
for a deal size in the range of $1M+
Ownership
Public (NYSE: EMC)
Highly scalable platform that can execute diverse use cases

Automated compliancy and RM capabilities
Broad operating system / database support matrix
Object-oriented repository architecture offers a rich API for highly
customized content management applications
Reasonably well integrated with other EMC products like Document
Sciences and Syncplicity
xCP provides a powerful feature set for building custom applications

Summary
Scenario Fits
EMC Documentum remains a powerful

3
ECM player. From an architecture and
1
feature set, only IBM may be truly
3
comparable. For large enterprise
2
deployments, EMCs Documentum offers
High-Volume
Imaging
3
some compelling advantages, but the
Information
Governance
3
applications are complex, expensive to
install, and can take considerable
1
professional services to maintain. Of
course, EMC disagrees and will cite how
some of its relatively new simplifications within D2 (its new client user interface) and
xMS (a new automated way to deploy D7 and xCP in a virtualized environment based on
XML templates or policies).
EMC Documentum is not an inexpensive choice for document management, but when the fit
is right, you may find Documentum is worth it. The converse is that EMC Documentum can at
times become your most costly mistake. Within EMC Documentum, there are benchmark
modules that are the envy of the industry, and the thought and engineering that went into the
development of EMC Documentum is obvious from the start. Documentum products tend to
have broad and deep APIs, so they can be ultimately customized to meet almost any scenario.
The chief challenge with this suite is that you will surely customize it heavily to meet your
scenario needs. Thus, Documentum remains one of the most complex platforms in this report.
We advise full comparisons, tests, and proof of concepts against other leading document
management solutions before committing a large investment to EMC.
Introduction
Documentum was founded in 1990 and was acquired by EMC in 2003. EMC is headquartered
in Hopkinton, Massachusetts, but still maintains the original Documentum base in Pleasanton,
California. Documentum is now part of Information Intelligence Group (IIG) within EMC.
Overall, EMC has revenues of around $20 billion, primarily as a major storage vendor. Over
the past decade, EMC has broadened its footprint in the software world through its
acquisitions of Syncplicity, Legato, Document Sciences, and VMware. EMC has also created
Pivotal Software, a spin-out venture with VMware, leveraging EMCs acquisitions of
Greenplum and Spring.
EMCs main strategy seems to compete directly with the likes of IBM as a full service
provider a move that puts it in direct competition with various implementation partners, and
a move that is yet to be fully embraced by its customer base.
EMC Information Intelligence Group (IIG) remains a relatively small part of EMCs overall
income and focus, albeit with access to the EMC global sales force and support operation
with representation in almost every key country in the world.
Like its competitors, EMC has been working intensely to integrate its various pieces (most
acquired via acquisition) into a broader whole. The key modules that EMC sells are:
Documentum Platform Includes Content Server, Documentum Administrator,
Federated Search Services (formerly called Enterprise Content Integration Services or
ECI Services), Documentum xPlore, and Documentum Content Intelligence Services

Documentum Platform Extension Includes High Volume Server, branch office
caching services, content storage services, and reporting services)
Documentum xCP Solution development platform that automates information
intensive processes, including case management applications
Documentum xCP Designer A unified Eclipse-based design environment
Documentum D2 The primary interface for document management (there are many
other legacy interfaces, but D2 is the primary one now)
Documentum Mobile
Documentum CenterStage (largely deprecated)
Documentum eRoom (largely deprecated)
Documentum Digital Asset Manager/Media WorkSpace (rumored to be sunsetted)
Documentum Retention Policy Services
Documentum Records Manager
Documentum Physical Records Services
My Documentum Suite (Desktop, Microsoft Outlook)
EMC Captiva
EMC Document Sciences xPression
EMC OnDemand
EMC Kazeon eDiscovery
EMC InfoArchive
Syncplicity
Documentum has embraced the notion of Enterprise Content Management in the form of
trying to unify information control albeit records, multimedia assets, documents (its
traditional strength), or unstructured web content. However (as you see from the list above),
EMC under the Documentum family sells a large number of different products (sometimes
called components or modules). Note that many of the products listed above, such as
Captiva, Syncplicity, xPression, Kazeon, and others are independent products and are sold
separately.
In any case, this product breadth can make it difficult for prospective buyers to get their minds
around just what the different components of Documentums product suite actually do, and
which ones are truly needed to solve a particular business problem. A quick visit to the EMC
website confirms this complexity. Unneeded modules are often purchased, while truly needed
ones are added to your invoice after the initial deal has been completed.
Documentum D7 was released in November 2012. Version 7.1 was released in January 2014,
and it sported many new improvements and additions. The key ones are:
Documentum 7.1 now has support for a wider range of environments and combinations
on Microsoft, Oracle, IBM, and Linux stacks, as well as new connectors for SharePoint,
SAP, and Syncplicity

New improvements to Documentum D2 (now in version v4.2) include what EMC calls
Intelligent URLs and the ability to bulk-import content
xCP can now reuse objects and has better support for migration and integration use
cases
New Syncplicity connector and better integration with SAP and SharePoint
Various other enhancements across all of the products including Kazeon and xPlore
Functionality
Functional Services
Document Management
Document Management
3
2
3
3
3
2
2
3
Content Server is really a large-scale content

RM and Archiving
repository where all of your documents get
BPM and Workflow
stored as objects. These document objects in
eForms
turn reside in Folders within Cabinets,
which in turn are objects themselves. Because
the architecture is object-oriented, the creation
Mobile Access
of object (document) types is facilitated via a
File Sync & Offline
dedicated user interface that can manage
libraries of attribute types when building new
objects. However, there is a serious limitation in managing objects because of the number of
sub-types that can be supported. Typically, only three or four layers of object types can be
supported without affecting performance. However as the structure follows the cabinet, folder,
and document level concept, this is seldom an issue, since the layers apply separately to
folders and documents.
Documentum Platform provides extensive library services to manage these objects or
documents. These include support for check-in/out, versioning, virtual documents, full-text
indexing, and security.
While Documentum Content Server provides the underpinnings of all the required
functionality, you use a client interface to interact with the underlying functionality. The two
key interfaces of relevance for Document Management are Webtop, its long-standing web
interface, and the newer Documentum D2. (Theres a third client called CenterStage that is
currently being deprecated, that was better suited for collaboration-oriented use cases.) Of the
three UIs, only D2 is under active development and should be considered closely when
evaluating Documentum.
Webtop provides browser-based access to all of Documentums functionality such as version
management, security, workflows, categorizations, and so forth. It also provides federated
search, records management, and basic collaboration functionality.
Documentum D2 provides similar functionality. It provides a rules engine for managing
content, and as an end user, you can personalize what you see on your workspace. However, it
is newly built EMC originally acquired it from another company. D2 is built on more
modern technologies and uses widgets for composing the user interface. You select and
configure these widgets to have a personalized view of your page. If you need MS Office or
PDF integration, you will need to buy an add-on pack called D2 +Pack, which is an additional
cost over D2.

Technically, D2 is made up of two components: D2-Config and D2 Client. D2 is based on
Google Web Toolkit (GWT) and the Sencha cross-platform development tool, which is a set of
web applications that get deployed on an application server. In terms of the front-end, the
complete application is loaded onto a single HTML page that interacts with the D2 application
via Remote Procedure Calls (RPCs).
Note that for bulk file transfers, D2 still relies on old-fashioned Java applets.
Figure 39. The D2-Config application provides a comprehensive configuration module

to extend D2.
A key difference between D2 and Webtop is that while Webtop relies on customizations for
extending or changing behavior, D2 relies on configurations. Using the D2-Config module,
you can configure how content gets handled, create workspace layouts, define widget access
rules, and generally carry out a lot of other functionality via an excel type configuration
interface. In Webtop on the other hand, you typically need to write code and modify XML
configuration files, sometimes using complex services and APIs.
Webtop is more powerful, but it is also more complex. However, D2-Config has limitations
because it is not easy to make changes beyond those that are available via the default
configuration interfaces. EMC says that the recommended way for more aggressive
customization particularly if you require process-driven applications is to use xCP
(more about xCP under Business Process Management & Workflow on page 115). D2 4.1
added some additional capabilities for extensibility as well as an API, but you should evaluate
carefully whether those options are enough to customize D2 for your needs.
The release of D2 version 4.2 introduced a new feature called Intelligent URLs. By clicking
a URL, this feature allows you to open a folder, document, trigger a workflow, and other
actions. You can embed links in email messages and save users from clicking multiple times,

which is useful, but not new. Many vendors have had this feature and EMC is only catching
up.
Figure 40. D2's interface is dynamic, meaning widgets appear depending on context.
EMC says it supports both D2 and Webtop concurrently. However, any new customers without
a legacy of Webtop customizations should consider D2 since Webtop will not receive much
love going forward. All resources will be focused on D2 and other newer technologies; dont
expect any new innovation or functionality in Webtop.
Be sure to invest adequate time and effort in the initial configuration of cabinet, folder, and
document types. Insufficient consideration could seriously affect the future use of the system.
In fact, we have seen many expensive installations of Documentum where it serves as little
more than a static repository, due to initial underestimation of the work involved in setting up
the repository to bring value to specific enterprise needs. Initial document (object) type
structures and sub-types determine the usage of the system, as opposed to a simple hierarchy
that can be changed or modified on the fly. Once these configurations are made, changing
them typically requires significant effort, which can generate additional system overhead
going forward.
EMC argues that much of this has been simplified with Documentum D2. For example, setting
up and using Virtual Documents (a longtime Documentum specialty) is simplified with D2.
D2 includes a Virtual Document editor and Virtual Document applications with advanced
publishing options. Just remember that D2 is based on configurations rather than extensions,
so you could conceivably hit a wall here.
Virtual Documents are a key differentiator for EMC Documentum vs. other ECM providers
due to its outstanding compound document capabilities. In some respects, compound
document functionality lies at the core of the product set. As an object-oriented platform, it is
relatively straightforward to link objects together but where Documentum goes beyond
most of its competitors is in the level of granularity and control one can have over a compound
document. A compound document can have any number of object elements full documents
or paragraphs. Compound documents can be linked with other compound documents and
management of the meta object can be taken down to the individual, component level.

This allows for dependency and rendition management capabilities typically absent in other,
simpler DM systems. For example, if a single element is changed by a user who is unaware of
its role in a compound document, it can be dynamically changed in the meta object, flagged to
the object owner, or left in its current state. If complex compound documents represent an
essential part of your requirements, then certainly consider Documentum ECM. At the same
time, do not underestimate the level of effort and training required to manage text at the
component (rather than file) level.
Starting with D2 version 4.2, you can create rules so that a linked document is changed when
you make changes to the main document. This is useful, particularly when large teams work
on multiple documents (e.g., cost spreadsheets change when effort estimation spreadsheets are
changed).
The area of version control is also quite extensible and can be customized to support major and
minor versioning with unlimited version levels and branches. To give credit where it is due,
EMC has made some strides in usability. D2 is much more user friendly than older clients such
as Webtop. Today, Documentum provides a variety of clients, which is both a blessing and a
curse: a blessing because of all the options, and a curse because the choices can become
confusing and fraught for enterprises and individual users alike. The new Documentum D2
client is designed to be highly configurable, largely via widgets similar to IBMs Content
Navigator universal client. D2 allows objects to be added, manipulated, and integrated at the
client level and supports displaying content from non-Documentum sources.
Documentum acknowledges that for some buyers, SharePoint will be the most common UI to
Documentum. Documentum also supports SharePoint both in using Documentum to access
the client in SharePoint, and for SharePoint to access Documentum. EMC has used multiple
approaches and been somewhat inconsistent, but it seems that EMC has become more
comfortable with SharePoint and understands that large enterprises will need both
Documentum and SharePoint clients.
Finally, remember that different clients use different plugins and there can be browsercompatibility issues. The biggest issue with D2-Config is its limited support for non-Internet
Explorer (IE) browsers. EMC says that all browsers are supported, and newer versions add
incremental browser support; test this area well.
Webtop depends on a Java applet (called UCF Unified Content Facilities), which requires
you to have a JRE installed on client machines. This has had issues related to browser security
and JRE version incompatibility; test it in your environment with your combination of server
and desktop operating systems to understand its limitations.
As you might have guessed, EMC offers more than one collaboration offering within
Documentum 7x, although Documentum insiders will counsel you against using any of them.
They are:
Documentum eRoom
Documentum CenterStage
Documentum Collaborative Services This has now been rolled into Webtop and is
packaged by default

Before getting to these individual modules, note that EMC has said that collaboration
functionality in the future will be exposed via Documentum D2 (it already allows you
commenting, virtual documents, annotations, and file sharing via Syncplicity).
While the vendor currently supports the three modules above, this will not persist going
forward. In fact, collaboration is one area where Documentums strategy has seen many
changes. Therefore, if collaboration is important for you, you should either:
Consider a different vendor
Consider Syncplicity, a cloud-based file sharing, sync, and collaboration service
acquired by EMC (evaluated on page 313)
If you still want to understand Documentums offerings in this area, heres a short summary.
eRoom is a long-standing Documentum product, offering project-oriented capabilities
centered on the concept of secure workspaces (eRooms). eRoom is a very documentcentric collaboration space, and one that has appealed to service and research-oriented
corporate needs. It provides good project planning tools, along with the ability to
manage multiple projects at one time from the dashboard-style interface. It also
provides ongoing version control and synchronization with outside content.
Two cautions are in order here: firstly, eRoom comes with a separate license and
repository structure. It is fundamentally freestanding from the rest of the Documentum
stack, which sits atop Content Server. Secondly, although eRoom was seen as cutting
edge in the late 1990s, the product looks and feels absurdly old now. A number of
Documentum partners we have spoken to say that they believe eRoom will ultimately
get dropped. Most eRoom licensees already seem to consider it deprecated.
CenterStage was released in 2010. Unlike eRoom, CenterStage is built on
Documentums Content Server. Some of the features that eRoom lacked such as socalled Web 2.0 capabilities (like blogs and wikis), and compliance were addressed in
CenterStage. While these capabilities do not aim to compete with best-of-breed
products like Jive and Socialtext, they do provide collaborative functionality within an
enterprise context. What this means is that you can apply other Documentum services
like management, compliance, retention, and so forth to this content as well.
CenterStage is really a client that Documentum built using a JSP-client framework with
DHTML and the ExtJS library as the interface. You can choose widgets to add to your
page and customize the layout. CenterStage can use other EMC Documentum
capabilities, like Branch Office Caching Services (BOCS), Media Transformation
Services, and IRM.
Figure 41. CenterStage provides collaboration based on Spaces. You can access
Documentum content, share it with other colleagues, and participate using discussions,
wikis, and blogs.
As another client to the underlying Documentum repository (in addition to D2 and Webtop),
CenterStage provides this access via a site-space/section/page metaphor. Think of a site as a
domain that you access via a URL; a site consists of one or more Spaces. A Space groups
information is usually based on an area of interest and has its unique branding, policies,
templates, and membership. You assign members to a Space and give them appropriate
permissions. Permissions are on a per-object basis. There are five levels of permissions, which
are a combination of Documentum basic and extended permissions.
A Space can be public or private depending on your requirements, and a Space can be further
broken down into a number of Sections, with each Section having multiple Pages. For
example, the homepage of wikis would be a Section, whereas each individual wiki entry
would be a Page. You put widgets on a page to decide what content appears on that Page. Once
you log into a Space, you can carry out the activities that you are allowed to do. You can
access Documentum content, edit it, share it with others, and comment on it. You can also add
favorites, search within Spaces, and tag content. When you search, the results are displayed
using different facets to categorize them. Instead of searching for content, you can also find
content by using a tag cloud.
CenterStage offers all of the basic features, but it still does not have some standard features
that many other products provide. These include support for personal profiles, calendars, polls,
surveys, and instant messaging (or Presence).
On the whole, the future of this module seems quite uncertain.
As for Documentum Collaborative Services, it is now packaged by default with Webtop.
Although it offers fewer bells and whistles than eRoom and CenterStage, Collaborative

Services focuses more on providing core elements of a collaborative solution that firms can
use and develop further. Given the limited investment in Webtop and the generally challenging
user experience, this option is only useful as the basis of a customization effort.
As elsewhere with Documentum, there is more than one product module to consider for
records management. Each contains some well thought-out functionality, but there are
differences, and it is important that you make the right selection when considering the options.
The primary product is the Documentum Records Management tool (the result of a 2002
acquisition of longtime RM vendor, TrueArc). Records Management provides both full
manual RM capabilities and the option to automate (or partially automate) the identification
and declaration process. The solution is DoD 5015.2 compliant and is probably one of the
most long-standing RM solutions available from a document management vendor. Important
to note is that since the 6.5 release, the RM capabilities became federated and now multiple
repositories can be managed in one RM instance.
All the requisite functionality is available in this module for file planning, managing
disposition, and so forth. It can import file plans from other products, and through the optional
RecordsActivators, it integrates the classification and declaration of content from external
systems with Records Management. The product also offers some useful, less common
features, such as digital shredding and the ability to build and manage compound records.
Compared to many competitors, it also boasts unusually strong physical records management
via Documentum Physical Records Services (where TrueArc began).
Meanwhile, Documentum Retention Policy Services (RPS) forms the foundation of Records
Management; if you buy RM, you get RPS. However, RPS can be purchased and used
independently of Records Manager to automate retention and disposal tasks for organizations
that do not require more advanced and complex RM functionality.
Figure 42. The records management UI is simple and functional.

For electronic discovery related to regulatory inquiries and litigation, EMC offers EMC
Kazeon eDiscovery based on its 2009 acquisition. Kazeons offerings are part of SourceOne,
EMCs Email Archiving product line through Kazeon exists as a standalone product.
Finally, EMC offers a legacy system for archiving called EMC InfoArchive.

Typically, youll find three key environments for process management:
Workflows for creating event-based content management applications
Lifecycles for managing content lifecycle of documents
Business Process Management (BPM) for creating more complex business processes
that span applications
Documentum covers the first two scenarios, while for BPM, EMC points you to a separate
add-on module called EMC Documentum xCelerated Platform (xCP).
Starting with workflows, you create and manage Workflows via Documentum Workflow
Manager (WFM). You define workflows for documents (or a collection of documents), virtual
documents, and folders. A workflow can be simple or complex and can have associated
notifications.
Figure 43. xCP designer is an Eclipse-based design tool.

EMC and its partners offer separate case management solutions (certified by EMC) built on
top of xCP. With the release of xCP 2.0, EMC rewrote the entire front-end interface for xCP,
replacing a bundle of separate tools in favor of a new, standalone, interface. This new interface
is dynamic in nature, guiding users through tasks. When evaluating, be sure to test how
some of your key processes might look and behave in xCP since although its quite
powerful xCP is not a simple tool.
In theory, xCP Designer allows developers and technical people to mash up and compose
applications based on business processes and underlying data models. This enables a
developer to build out a solution relatively rapidly. Possibly the best thing about xCP is that
there are a number of templates available for case management scenarios such as grants
management, court case management, claims processing, and accounts management. EMC

claims to have 100 EMC-certified solutions. xCP also offers xCelerators EMCs term for
reusable components that you can use for your own development initiatives.
Figure 44. xCP 2.1 user interface.

xCP is a unique offering. Remember, most ECM applications aside from basic document
lifecycle management are unique depending on your processes. Thus, you will almost
likely be creating your own interface, and xCP lets you do that with a design environment for
creating business processes as well as a widget-based front-end. Based on your design, it
automatically generates the forms and front-end. This is powerful and no other tool provides
this kind of capability.
However, remember that for the type of scenarios that Documentum targets, you are going to
have to integrate with many complex systems outside of Documentum; dont let this no code,
only config EMC claim make you believe you can reduce your development team.
There was skepticism when EMC announced that they were going to focus their efforts on
case management, but they have made a lot of progress in a short period and what they have
delivered to date is impressive. xCP includes new features to deploy apps faster. xCP also
includes analytics and process modeling to help modeling cases and workflows. It is similar to
the higher-end BPM tools available from OpenText and others. It extends to the ability to
show this information to users as part of the case management process. When integrated with
Pivotal Greenplum (another company acquired by EMC), structured and unstructured
information can all be part of the xCP experience.
Document imaging and capture is not really a part of EMC Documentum, but it is provided by
the acquired Captiva technologies, rebranded as EMC Captiva, and InputAccel has been
rebranded as EMC Captiva Capture.
Figure 45. Captiva's scanning interface.

Captiva Capture filters all incoming data, albeit in the form of faxes, emails, or scanned
documents. It checks all data for accuracy and, where necessary, improves and fixes images,
extracts relevant metadata, validates data against predefined parameters, and automatically
recognizes and classifies document types. Captiva 7.0 introduced new user interfaces for
designing forms and running the scanning equipment. EMC also claims that the new version
has higher accuracy and new recognition technologies. In addition to Capture, the Captiva
family brings a range of modules to support everything from distributed capture to checkreading options. Documentum wants to compete hard in the high-volume imaging market;
hence, they now also provide a product called Documentum High-Volume Server (HVS). This
is a slightly simplified system that has been designed solely to meet high ingestion and
processing needs, much like IBMs On-Demand offering. You can activate HVS in an existing
repository without affecting the existing object model or content. HVS provides a streamlined
model to reduce the storage overhead and some specialized batching options for processing/
ingesting large volumes of content. Overall, HVS is a notable element in the Documentum
product family, and it fixes many historical issues related to high-volume imaging situations.
EMC Captiva now offers a mobile toolkit that allows you to convert your camera-enabled
mobile or tablet into a data capture device for Documentum. This allows you to use imageprocessing capabilities such as image filters for image classification and extraction and batchsubmission into your mobile device, and your users wont need to access dedicated scanners or
capture devices. This is helpful even for consumer-oriented scenarios such as an end user
sending documents for insurance claims.
eForms
EMC no longer offers Documentum Forms Builder. Instead, it relies on other tools such as
Adobe Acrobat and integrates them with Documentum xCP. This could be a major gap if
eForms is a major requirement.

Mobile Access
EMCs mobile story is a bit confusing, with multiple threads. The companys Documentum
Mobile is a native app that accesses certain Documentum features. However, this app is iOS
only, meaning it can run only in an iPhone, iPad, and iPod. There are no Android, Windows,
BlackBerry or any other OS-specific apps. Youll need to turn to third-party providers that
offer support for Android, BlackBerry, and other devices, which may present challenges for
you if you extend the server-based platform in ways that third-party mobile clients dont
understand or are unable to support. Fortunately, you can access the website via mobile
browser on other devices, but that doesnt replace the user experience that a custom native app
provides.
In release 7.1, EMC Captiva offered a mobile toolkit that allows you to convert your cameraenabled mobile or tablet into a data capture device for Documentum. This allows you to use
image-processing capabilities directly from your mobile.
Meanwhile, EMC also acquired Syncplicity and Syncplicity has reasonably feature-rich
mobile apps for most device types. This provides another alternative, but licensing an
additional service so that you can use its mobile apps is certainly an indirect way to provide
mobile access.
Figure 46. Documentum provides iOS-only native apps.

Syncplicity provides native apps for iOS, Android, Windows, and (somewhat unusually)
Kindle Fire. The native apps are very basic; you can sync, upload files, create new folders,
download files (one at a time), view versions, and share files (but not folders). The mobile

clients work only when connected, but if you have downloaded a file while you were
connected, you can access it in offline mode.
For syncing across multiple devices, EMC offers Syncplicity, a company it acquired.
Syncplicity is a business unit of EMC based in California, and it offers an Amazon-hosted,
SaaS-based service for file sharing, collaboration, and sync.
The key components of the solution are:
Desktop-based sync applications
A web-based interface for accessing files anywhere and for the admin console
Native mobile apps for iOS, Windows, and Android
As its name implies, Syncplicitys strength lies in synchronization services. Most similar tools
want you to create a dedicated folder and then move files to sync with that folder. With
Syncplicity, you can designate any folder(s) on your desktop and keep working with files in
their usual location.
Syncplicity has some good security and policy-related features for administrators. In
particular, it can remotely wipe information and set up rules for retention. Beyond these
benefits however, Syncplicity lags behind similar tools; its collaboration capabilities are
minimalistic, and its own content management capabilities are non-existent.
Syncplicity has released an updated connector for Documentum. Now you can edit
Documentum content in Syncplicity and save it back to Documentum, providing much better
integration between Syncplicity and Documentum.
Remember that Syncplicity is also a standalone service, and you could subscribe to it
irrespective of whether you are a Documentum customer. It has its own repository (content
and user) and you will end up duplicating content between Documentum and Syncplicity.
EMC will make it easy for you but you will still have multiple copies of content items.
Technology
Architecture
The Documentum architecture has four layers:
Repository
Technical Services
Architecture
Services
Cloud Services
Development
Security
3
3
3
3
2
3
UIs
The repository layer is an object-oriented system that often is distributed (federated) into
virtual structures in multisite locations. It is capable of scaling in a highly distributed manner,
but buyers often centralize the repository layer to a single location. If your needs are to serve
multiple locations (global delivery), then you will need to consider federating the

Documentum ECM repository layer from the outset; otherwise, you will encounter
performance problems or undertake a significant effort to expand the architecture.
Scalability is one of the key selling points of Documentum. EMC was one of the first firms to
promote a federated repository structure, with a single content server in one location and
multiple repositories at other locations; conversely, you can set up multiple content servers at
different locations with a single-site repository. This can be deployed across a distributed
architecture, with content replicated between repositories. Due to the object-oriented approach
of the repository, the number of documents that can be managed is almost limitless; scalability
is not a problem. Other ECM repositories can scale nicely (IBM, Oracle, and OpenText
certainly can), but this is a small subset of vendors that can deal with documents running into
the tens of millions or more.
EMC added XML support to the repository via acquired technology from XHive, now called
Documentum xDB. xDB does not replace the old repository services; rather it provides an
additional option by means of providing a dedicated XML database and associated query,
delivery, and transformation services for XML document components.
In addition to file stores for the content itself, Documentum keeps attributes in a relational
database (traditionally Oracle, but other databases are also supported), and it generates a
separate full-text index (which is common across most document management systems).
Documentum uses xPlore, its own search engine based on Lucene instead of Fast Search,
which it previously used.
Documentums ECM Federated Search Services are the result of yet another acquisition,
from France-based AskOnce, a spin-off from Xerox. Of course, integration is a vague term,
and the services offered by Documentum ECM are not bi-directional. Rather, Services offer
federated search, though it is a very good federated search.
The services enable a Documentum ECM user to search across a wide range of disparate
repositories and information sources from a single interface. The tool comes complete with a
very large range of pre-built adapters, but you need to check against your specific needs to
make sure those key business applications, and commonly used document and content
management repository environments are supported.
A nice feature of the services is the ability to support multilingual with dynamic translation
functionality supplied as standard.
Basic auto-categorization is provided by Documentum's homegrown taxonomy management
tool, Content Intelligence Services (CIS). CIS should work well for most DM-/RM-oriented
classification, although some licensees have found that the product does not scale particularly
well when multifaceted, enterprise-wide taxonomies are required, or when category nodes
begin to number into the thousands. CIS can also provide auto-classification, although like
most such tools it works better at auto-suggestion than automated classification, and even
then, substantial training of the tool is required. We stress this point as though there is nothing
deficient about the tool, but there is considerable onus on the user/buyer to have a wellstructured and populated taxonomy (and few do). In short, there is a lot of non-technical work
that needs to be done before attempting to use CIS.
Documentum sports integration with SharePoint. EMCs current SharePoint strategy revolves
around the Documentum Connector for Microsoft SharePoint, a Web Parts and Data Services Copyright 2015 Real Story Group. All Rights Reserved.

based integration (this was previously a consulting offering, but it has now been productized).
Additionally, there is a Records Adaptor for SharePoint (for records management), Captiva
(for enterprise scanning directly to SharePoint), and Syncplicity (for enterprise syncing and
sharing with SharePoint).
Documentum also offers integration with SAP. There are different integration points based on
different use cases. You can use Archive Services for SAP to archive SAP content into a
Documentum archive, Content Services for SAP, and Process Services for SAP.
Documentum products tend to offer substantial power, but typically with substantial
complexity. EMC disagrees, citing that D2 and xCP simplify many activities. In fact, EMC
says they have addressed this concern with successive releases of D2 and xCP, providing
configuration and composition alternatives to custom code. While these products may meet
most of your needs, familiarity with Documentum APIs may be required. We recommend that
you remain cautious of those claims and test carefully within your own environment.
One common observation (and frequent complaint) is the use of DQL, a proprietary language
used by Documentum that is similar to SQL. It is not that DQL is overly complex; it is welldocumented and supported. The problem is more that most enterprises do not have DQL skill
sets in-house, and this represents an added cost and complexity when staffing a new system.
To be sure, DQL usage shrinks with each new version, but if you have a Documentum
installation, you will need access to DQL skills.
The other key layer is Documentum Foundation Classes (DFC) Documentums oldest and
lowest level API. Developers seem to have a love-hate relationship with DFC. It can be
difficult to learn, but once mastered, it can be manipulated to develop highly complex and
customized applications built off Java or .NET. In particular, developers have access to strong
underlying repository services: grouping, branching, creating object hierarchies, advanced
categorization routines, highly granular document security, dynamic linking, and so forth. The
downside to this approach is that simple system modifications routinely require an
experienced engineer, and maintaining those modifications over the course of system upgrades
can be time consuming.
The preferred approach to API development is its library of RESTful Services for stateless
web and mobile applications. EMC offers Documentum Foundation Services (DFS), a Web
Services/SOAP layer that encapsulates most of the DFC functionality. You can access the
repository using multiple approaches.
The Documentum API supports Content Management Interoperability Services (CMIS),
SMB, JDBC, WebDAV, FTP, DFS (SOAP-based Web Services) and Documentum REST
Services all providing an unusually broad application development environment, none of
which require any code to implement. The preferred route now is to use the Documentum
REST Services. This of course when you cant meet your needs via configuration using D2 or
composition using xCP.
As an administrator, you carry out different configurations and management tasks via
Document Administrator. Documentum Administrator is a web-based interface for monitoring

and administrating repositories, managing servers, search indexes, users and groups, security,
and other such aspects.
Figure 47. Documentum Administrator is a web-based interface.

Cloud Services
EMC is one of the torchbearers when it comes to anything Cloud. They have made huge
investments here, and they sell a lot of private cloud infrastructure.
All EMC products are optimized and certified on VMware. Many customers deploy it in a
virtualized environment. In addition, EMC offers a managed services cloud offering called
OnDemand (a somewhat ironic name, given IBMs long-time use of the name for their COLD
product). Note that EMC OnDemand is a single-tenant solution unlike Syncplicity, which
has a multitenant architecture. EMC OnDemand is a managed service; EMC does the hosting,
manages it, installs patches, and so forth. It includes xPressions, Documentum, Captiva, xCP,
and D2.
Security
Security features are quite comprehensive in Documentum, with very extensible ACLs
running down to the document level, with support for single sign on via Netegrity and RSA, as
well as integration with LDAP directories. The ACL functionality is deep, with very granular
levels of permissions, for example: None, Browse, Read, Relate, Version, Write, Delete,
Change Location, Change Permission, Change Owner, Execute Procedure, Change State, and
more. As always, fine-grained permission capabilities can present serious usability problems if
settings do not match user expectations. This is one area where we would urge buyers to
consider getting help from a Documentum partner sooner not later. Further, it is possible to
change user permissions dynamically, based on context (e.g., working in the office or
accessing via a WAN when working from home).
Documentum goes further than most ECM vendors do by providing digital shredding and 192bit, key-length encryption. Additionally, security has become more extensive since the

Authentica-acquired digital rights management capabilities (now called IRM Information
Rights Management) were integrated with the Documentum stack.
Vendor Intangibles
Intangibles
Anyone considering investing in a Documentum
3
system will want to monitor EMCs strategy very
Channel
Partner
Services
carefully. Documentum has seen many twists and
2
Support & Community
turns in the past several years, and the market that
1
it currently claims to lead is changing
Strategy & Roadmap
1
dramatically. The impact of these changes on
2
Documentum will be significant. Meanwhile,
EMC is slowly trying to transform itself into a
full-service IT firm in the model of EDS (now HP) or IBM Global Services a move that
will heavily affect Documentum moving forward.
Most EMC sales are direct, but Documentum has been a favored option for some large SIs and
consultancies due to the very substantial amount of services work (and associated high
revenues) that is typically involved in a deployment. Buyers should also be aware that
relationships between EMC and some of its bigger partners are likely to become more strained
as they try to compete head on. Smaller Documentum partners have largely exited for greener
pastures.
When looking at integrators and partners, it is important to check that the partnership is
specifically with the Documentum family of products, and not simply with EMC as a whole.
This caution applies to all ECM Suite vendors, but Documentum has an unusually wide and
overlapping array of products.
Meanwhile, Documentums own professional services organization has historically been wellregarded for the depth and experience of its staff, but as the company has ramped up in recent
years, it has like all its major competitors taken on more junior consultants with less
expertise in the inner labyrinths of the various different Documentum tools. Vet carefully here.
The quality of many of the courses provided by Documentum to train technical staff gets
mixed reviews. Customers tell us that Documentum training programs are of poor quality,
expensive, and deliver little value. This is especially true for developer training programs,
which offer little value aside from introducing basic concepts. Therefore, as training is a major
element in the early days of a new ECM system, you may want to look for third-party training
on Documentum and invest in hiring at least one experienced professional.
Overall, good Documentum-skilled developers can command a high premium and often come
in short supply. Learning this arcane platform can be lucrative, but not always an attractive,
long-term career path for the standards-oriented developer. In addition, for customers,
development, ongoing administration, and maintenance, the Documentum ECM platform
often can be a very costly and fraught process.
EMC is starting to tread a more independent path as IBM, Oracle, and Microsoft (in different
ways) have become serious competitors. The relationship with Oracle is particularly tricky as
they now have ECM ambitions of their own, yet Documentum has long been known in the
industry as an Oracle-oriented application, since its usage and configuration is usually in
conjunction with the Oracle Database and this is unlikely to change.

SAP is a good partnership with out-of-the-box offerings that have been well tested in the
marketplace, though the relationship between SAP and OpenText and IBM is closer.
Documentum is big enough to play in every usage sector, but its sweet spot has been regulated
industries. EMC Documentum offers specific solutions for some of these industry verticals. In
particular, it has solutions for energy and engineering, life sciences, health care, the public
sector, and financial services. EMC says 80 percent of its customers are in these verticals and
EMC has invested in solutions specific to these verticals. There are about 100 certified
solutions available both EMC and partner-provided options. One of these is offered in
conjunction with Capgemini called Case-as-a-Service (CaaS). It uses EMCs Documentum
and storage using its own infrastructure and hosting to provide this as a service.
EMC is a stable company with a large market capitalization, but of the larger vendors, it has
seen more dramatic swings in its fortunes than some others, and post the dot-com bust, EMC
was not in a healthy way. Moreover, storage is a good business today, and the company has
seen substantial profits.
Documentum as part of IIG is a profitable and healthy division; currently, there are no reasons
to be concerned regarding the firms viability. However for EMC as a whole, Documentum
has delivered little strategic value. EMCs storage salespeople tend to avoid the platform
altogether. Meanwhile, Documentum modules come and go with some frequency as the group
struggles with an overall technical direction. While its a viable vendor, its not necessarily the
most stable environment going forward.
Licensing
Licensing Documentum is an art form, and in any quote, you need to be very clear what is
included and what is not. Most importantly, you need to understand how the licenses are
structured. Depending on the particular modules you buy, you will have a computation of
server and seat pricing fees that are typically quite negotiable. Although Documentum is
very expensive, its closest rivals OpenText and IBM seldom come in much cheaper. A good
deal with Documentum comes down to your negotiating skills, the potential for follow-on
work, and (increasingly) your willingness to use EMC storage as part of your document
management system. More recently, EMC has started offering subscription-based pricing for
many of its products.
Conclusion
EMC Documentum is big enough to play in every industry sector, but its sweet spot has been
regulated industries. In particular, it has solutions for energy and engineering, life sciences,
health care, the public sector, and financial services.
The company has built up a strong and tested user base in regulatory compliance, documentintensive business processes, and single-source publishing. The one thing that is consistent in
almost all Documentum deployments is their large and mission-critical nature. This product
set will not sit comfortably in mid-sized firms.
As you review your alternatives, lengthy check-box RFP forms will not work well with
Documentum (or its closest rivals) as EMC will be able to check every box one way or
another. Many buyers have found in retrospect (to their consternation and cost) that a
scenario-based approach to the RFP process would have better revealed their real needs.

Be sure to recognize your need for specialist skills and consultants at an early point, since you
will make little progress getting your new Documentum system up and running without them.
The right consultants may even be able to advise and lead you through the EMC product maze.
Documentum is one of the broadest ECM platforms available; therefore it is in both your and
the vendors interests that you are clear from the get-go exactly how you intend to use your
new system. If you only plan for a loose need for a generic ECM platform, it will result in a
blanket of vague responses and potential module mismatches. Documentum has so many
features and costs so much to own that it is crucial to match modules with your scenarios
and deploy them as efficiently as possible.
To be sure, for just the right enterprise with the most sophisticated needs, Documentum can
deliver ROI if specked and implemented properly; just be sure to pay special attention to
program management, license bloat, developer availability, and real-life usability.
HP: WorkSite
HP: WorkSite
www.hp.com
Vendor at a Glance
Specsheet
HP: WorkSite Summary
Geography
Global
Whats New
HP will split into two companies

Addition of cloud-deployment options
Strengths
Weaknesses
Confusing mix of COM/.NET and Java across the product set

A complete solution usually requires licensing multiple products, which
may complicate your infrastructure and budget
Limited Information Integration support
Weak transactional ECM capabilities
Focus on dated IDOL technology for search is likely to become a
lodestone in the end
Cloud-based file sharing services are provided via a separate
application
Product has seen comparatively little R&D, and its core server
architecture is getting older
Potential Fit
Unlikely Fit
Compare to
OpenText, EMC Documentum, IBM FileNet, Microsoft SharePoint
Operating System
Windows, Solaris, and some Linux
Repository
Depends on product; typically file system-based with database for

metadata persistence
App Platform
Unusually product specific: COM, .NET, and Java are in the mix across
the product set
Licensing
Licensing is a per-CPU and per-user model
Ownership
Public (NASDAQ: HPQ)
Dedicated solutions for document collaboration in Legal and

Professional Services
Strong renditioning tools
Supports useful document security features
Exceptionally deep integration with Outlook
Growing integration with other HP technologies for things like OCR,
mobile, and cloud
HP: WorkSite
Summary
The first and perhaps most important
thing to know about the HP products
reviewed in this chapter is that they have
been through substantial turbulence due
to multiple ownership changes and
acquisitions.
Scenario Fits
High-Volume Imaging
1
3
3
2
2
3
2
The core document management product,

WorkSite, emerged when a nifty little firm
called iManage was acquired in 2003 by
an up-and-coming public company called
Interwoven best known at the time for its web content management product TeamSite
(reviewed in our Web CMS Report). Interwoven then was acquired in March 2009 as part of a
larger rollup under UK-based search vendor Autonomy. Autonomy resurrected the iManage
brand name by rebranding various Interwoven ECM Solutions back to the original iManage
corporate leadership, while retaining the WorkSite product name. Autonomy in turn was
acquired by HP in October 2011 for a whopping $10.3 billion, a move that degenerated into
significant controversy, as HPs board replaced its CEO shortly thereafter (although the deal
still went through).
Subsequent claims by HP regarding accounting improprieties by some members of
Autonomy's previous leadership have only added more uncertainty. With no Autonomy
leadership left at HP, the vendor claims renewed interest in engineering and a focus on
customer support. However with HP now splitting into two entities, you will need to evaluate
these claims carefully.
WorkSite today does collaborative document management well. In understanding the strengths
and weaknesses of WorkSite, it is important to note that the product was originally designed to
meet the needs of the legal community and similar professional services companies. HP says
its focus today remains on mission-critical content specifically for regulated industries and for
legal professionals. This essentially renders the core environments as Legal and Professional
services firms and Corporate Legal departments. This is where it acts as the core system of
record.
Introduction
The product (originally known as iManage WorkSite) has survived multiple ownership
changes. Current HP ownership has decided to continue WorkSite by focusing on its core
audience, which is legal and professional services firms and corporate legal departments.
At HP, ECM is part of Information Management and Governance, which includes archival,
eDiscovery, data protection, and enterprise content management. The capabilities that account
for overall information management and governance are:
Content Capture: HP TeleForm for capture, extraction, forms, and classification
Business Process Management: HP Process Automation for document-centric BPM
Document and Email Management: HP WorkSite
Enterprise Search: HP Universal Search, based on IDOL
HP: WorkSite
Records Management: Multiple solutions, principally HP Records Manager and HP
WorkSite Records Manager
Policy-based information management
Archiving
Legal Hold
eDiscovery
Data Protection
IDOL: For content integration and search
The main product evaluated here is WorkSite, although we reference other products when
appropriate. WorkSite has broad applicability across many professional services situations,
and hopes to create solutions to meet these very specific needs. The company sells a number of
predefined WorkSite solutions for accounting and law firms, financial services, and corporate
legal departments.
The current version of WorkSite is 9.0, which was released in late 2011. It adds support for
cloud-based deployment models and improvements to mobile apps and cloud-based file
sharing and sync services.
Functionality
Functional Services
Document Management
Document Management
Simply put, WorkSite is a case managementoriented product, with an emphasis on keying

actions and searches off folders that represent
cases, matters, or projects. You typically will
work directly in folders within Outlook,
although there are options to work through
Office files or a web interface. The product
comes with multiple client applications as well
(e.g., DeskSite and FileSite).
RM and Archiving
BPM and Workflow
eForms
Mobile Access
File Sync & Offline
3
3
3
2
3
3
1
3
WorkSite provides most standard document management features, including check-in/checkout features, version control, audit trails, and categorization. WorkSite focuses on enabling
everyday knowledge workers, so it is not too surprising that it can employ MS Office,
Outlook, and Lotus Notes as a front-end.
WorkSite was in fact one of the first document management products to use Outlook as a
front-end, and indeed, it can make the product much easier to use for employees used to
living in Outlook. Using an optional add-on, WorkSite folders become visible in Outlook,
and users can drag emails, tasks, as well as documents into a single project or case folder.
Through another optional module, employees can access WorkSite via a Lotus Notes frontend, as well. The integration with Outlook is well executed, and this is one of WorkSites
strongest selling points.
HP: WorkSite
Figure 48. WorkSite workspaces display as folders within Outlook.

For usability, recall that the classic definition of usability is fitness to purpose. In this regard,
WorkSite scores well because it has pursued very specific purposes. A lot of time has
obviously been spent applying the language and rhythms of matter management and case
management. It shows in the user interface that has been crafted explicitly for those scenarios.
The ability to extend the default interface simple configurations is impressive, and their
integration with Outlook still leads the field. For many users, this is the extent of their full
client interface.
For purposes beyond professional services particularly legal services the product
probably wouldnt present well at all, unless it was heavily customized for a different
experience.
WorkSite is designed primarily for power-user knowledge workers in the Professional
Services and Legal sectors those depending on large volumes of documents to work. You
typically work in project workspaces, which tie together users, documents, files, tasks, and
other project-related artifacts. Workspaces include the ability to share tasks, milestones,
calendar information, discussion boards, in-boxes, and notes.
Unlike OpenText, EMC, and IBM, collaboration facilities are not part of an optional module;
they are integral to the regular client WorkSite. However, HP sells optional modules that offer
the potential for a greater degree of enterprise control and intervention that you wouldnt see in
the likes of SharePoint. The Conflicts Manager for law firms is just one example.
Additionally worthy of note is an out-of-the-box, deep integration with SharePoint, via Web
Parts.
HP: WorkSite
Another way to collaborate to share files with users outside of your organization. You can do
this via LinkSite, HPs offering that integrates WorkSite with HP CM Flow, its cloud-based
file-sharing and sync service.
Via multiple acquisitions, HP (and Autonomy before them) came to own a plethora of options.
Navigating the records-management maze at HP used to be a challenge, which HP recognized.
Although HP has started to address this, use caution.
HP currently has two main products for records management. One is HP Records Manager,
and the other is HP WorkSite Records Manager.
Well start with HP WorkSite Records Manager, which is essentially an add-on module for
WorkSite and provides records management capabilities for WorkSite users. This was
originally an acquisition in 2004 from Software Intelligence, Inc., a records management
software provider.
Software Intelligences product was originally renamed Interwoven Records Manager and
folded into the WorkSite family, where it received some attention from Interwoven,
subsequently Autonomy, and now HP. HP Records Manager now boasts DoD 5015.2 version 3
certification.
As with its document management facilities, HP WorkSite Records Manager is practical and
designed with the knowledge worker in mind (as opposed to some other ECM vendors who
design clunky options that do little more than flag potential records).
An administrator can set the rules and policies relating to records at the folder, project,
workspace, or document level. WorkSite recognizes that records are seldom single documents,
but a collection of artifacts that (in context) represent a record. Consequently, in WorkSite,
paper documents, electronic files, emails, and calendar events (for example) that relate to a
specific event can be managed as a single record. This is a very different approach from most
electronic records management options that see records as individual items or elements. This
functionality is enhanced by the heterogeneous nature of the WorkSite virtual folders, which
can store emails and other non-document content in addition to electronic files.
Declaring a record in HP WorkSite Records Manager can happen in multiple ways, either
manually by providing a right-click option to an end user, or through automatically trawling
metadata and employing a rules-based mechanism for declaration. This is a bit more
sophisticated than just applying rules to a folder. Based on various conditions you establish,
the system will try to guess whether a content item is record or not. To be sure, this may still
requires some post-facto human QA, but it is a step up from a manual declaration.
Overall, HP WorkSite Records Manager provides a well-designed RM module for WorkSites
traditional customer base. However, it should not be confused with an enterprise-wide RM
solution for federating records across disparate repositories.
Autonomy also acquired the records management assets of CA (formerly Computer
Associates). These products were later consolidated under Autonomy Records Manager and
then renamed to HP Records Manager. HP Records Manager unifies products from HP TRIM,
ARM and Meridio.
HP: WorkSite
Figure 49. WorkSite manages physical records such as boxes and folders, and it tracks
physical artifact locations. Source: HP.
HP Records Manager represents a high-end RM option since it has been designed to provide
true enterprise-wide RM capabilities. It is certified against DoD 5015.2 v3 and VERS.
Therefore, if you want to manage all of your records centrally via a federated model
regardless of their location and type (over 400 repository connectors supported) then this
would be the option for you.
For workflow, WorkSite employs HP Process Automation (formerly, Autonomy Process
Automation or APA). Its a nice workflow system, although its not considered a serious
competitor against systems like Oracles BPEL, or IBMs FileNet products. However, for most
general purposes, it represents a solid and usable workflow product.
HP Process Automation provides a nice graphical UI that most business analysts can use. It is
relatively straightforward to change processes and tasks mid-stream; the design environment
is largely drag and drop and template driven, with the ability to simulate processes before
going live.
As an aside, one of HP Process Automations selling propositions is (not surprisingly) its
ability to integrate with IDOL indexes, trying to extract meaning at an early point in the
process and implementing that data for prompts and changes. Its an intriguing proposition for
document-rich scenarios, but not typically relevant to end users. More importantly, note that
HP Process Automation is a Java-based (J2EE) system, parts of it are a Windows app, and
WorkSite is .NET based. It is not compliant with BPEL or BPMN standards.
HP: WorkSite
Figure 50. HP Process Automation's graphical workflow modeling interface.

Standing alone, HP Process Automation is a solid product. However, it clearly adds a layer of
unnecessary complexity particularly if (like most WorkSite customers) you have no inhouse Java skills.
In the end, HPs products can be used to build case systems and many licensees have,
particularly simple case management systems for legal firms but the promise of IDOLbased intelligence remains more of promise than reality. The weakness in HPs case
management capabilities is its lack of a full-powered BPM, associated rules engine, and a
corporate world view that over-relies on automated IDOL search services.
Higher volume scanning and imaging capabilities for WorkSite come courtesy of an integrated
Kofax Capture option. To be clear, this is an actual integration complete with code and
associated documentation for Kofax Capture, and not simply an announced partnership.
However, licensing for Kofax will add to the overall cost of your solution should you take this
option. In addition to Kofax and Omtool integration, WorkSite has integration with TeleForm
to connect paper-based processes.
A number of WorkSite customers we talked to made extensive use of the Accuroute Omtool
product integration. Accuroute provides lower end, mid-market scanning capabilities to (for
example) automatically produce cover sheets, convert to multiple formats, and compress
captured files. This particular integration is out of the box, and should meet the needs of most
regular capture environments outside of high-volume imaging.
WorkSite now has some nifty integration with HPs MFPs. You can print and scan directly
from and into WorkSite and have access to features such as OCR. From the printer, you can
access the repository via a console and perform many operations.
HP: WorkSite
Figure 51. WorkSite has some nifty integration with HP's MFPs.
eForms
HP provides eForms functionality in the form of another acquired product LiquidOffice
eForms (Formerly Cardiff). This is one of the better systems on the market, and it is very well
established with a good reputation. As you might expect, there is a WYSIWYG designer with
the option to use JavaScript for more complex tasks. The designer is relatively easy to use and
has some drag-and-drop, pre-configured options. In addition, it has some out-of-the-box
connectors to simple databases and look up/validation tables. This works with HP TeleForm
another former Cardiff product which offers capabilities for capturing information from
documents received via post, fax, scan, and other paper-based processes.
Mobile Access
HP provides dedicated clients for iOS as well as browser-based mobile access to other devices.
You can find and view documents, and perform basic document management functions. There
is no native mobile app for Android, which should be a serious concern for you if your
employees use non-iOS devices.
The iOS apps have some nifty capabilities. For example, mobile capture enables you to click
photos using a mobile camera, use OCR (if required), and ingest into WorkSite. This is based
on Page Lift technology, developed by HP Labs.
WorkSite apps encrypt content at rest and during transit. Unlike many other products however,
there are no native capabilities to wipe off content or revoke access remotely for a stolen
device or if an employee leaves the organization. You need to employ MDM tools to do that.
However, you can restrict permissions (e.g., disallow copy/paste) from a mobile device.
HP: WorkSite
Figure 52. The WorkSite Mobility client for the iPad.

Here, HP sells a different product called HP Flow CM, a cloud-based offering for file sharing
and sync services. It has all of the standard services that tools such as Dropbox and Box.com
provide. For example, you can share files with external users, access them via mobile devices,
and sync them across multiple devices. In addition, it integrates with HPs IDOL technology
and has built-in OCR capabilities.
You integrate HP Flow CM with WorkSite using HP LinkSite, which allows you to view audit
trails and reports by project, client, user, etc. Similar to WorkSite, LinkSite has project-centric
cloud folders. HP plans to integrate RM with LinkSite. However, remember that the HP Flow
CM product is a separate product and has its own repository, security, user management, and
so forth. When you share via LinkSite, the file is actually copied to LinkSite on the cloud,
which potentially creates multiple copies of files on the system.
WorkSite OffSite allows you to work offline. You can check out documents, work offline, and
when you are back on the network, your changes are synced back to the server.
HP: WorkSite
Technology
Architecture
Technical Services
2
2
2
2
2
3
The original WorkSite architecture is pure

Microsoft in nature, developed using COM,
Architecture
ASP, and .NET. It works based on providing a
Cloud Services
Content Management Server that can access
Security
the Library, RDBMS (for metadata), files, and a
full-text indexing server, and separate workflow
service. WorkSite can make use of server clustering for horizontal scaling. The Server
communicates via a proprietary protocol RPC over TCP/IP to the client, through either a
browser or desktop application.
In essence, there is a core WorkSite Server, with an optional Clustering Server, and the
architecture utilizes a COM application framework. On top of this, you can layer IIS and then
out to the applications and client options.
The Clustering Server option provides the ability to cluster multiple WorkSite servers, in
theory increasing performance and providing load balancing and fault tolerance. Although this
add on can utilize Oracle Server, the vast majority of WorkSite customers run on SQL Server.
The WorkSite system is basically a pure Microsoft set up and you should expect this if you are
going the WorkSite route.
Things take a severe right turn though when utilizing the workflow functionality of HP
Process Automation, since it is essentially a completely different product with a different
architecture. In this case, it is a Java-centric stack, rather than Microsoft centric. Thus, it could
(for example) run an Oracle Database and Solaris.
Both elements of the equations (WorkSite and HP Process Automation) work perfectly well
both in their own right and combined, but this overlapping, two different worlds must be
supported, and you need to ensure that you have the appetite as well as the skills base to
support both technical environments.
Integration
Information integration is undertaken by:
Building web connectors
Integrating via workflows
Integrating via IDOL
The WorkSite interface allows users to build connectors that display as widgets that expose
back-end databases of business applications.
There are no full ECI (Enterprise Content Integration) capabilities within WorkSite. If it were
required, it would be more typical to use existing workflow processes to build links between
other business repositories.
From HPs perspective, the preferred method of integration is likely to be via the IDOL
platform and all that it encompasses. We recommend that you stick with traditional integration
points via Web Services or workflow.
HP: WorkSite
WorkSite provides integration with SharePoint via Web Parts that can expose WorkSite data
inside SharePoint. You can also link SharePoint calendars and tasks to WorkSite content.
Developers with VB or COM experience can drive a WorkSite SDK. There is a set of
WorkSite Web Services and SharePoint Web Parts integration. Overall however, this is rather
dated technology.
You have recourse to multiple admin tools to manage and administer a WorkSite installation.
You manage all of the WorkSite services such as registering new servers, or starting and
stopping services using WorkSite Service Manager. Your database administrators use
WorkSite Database Administration or the DBAdmin tool to work with tables in the WorkSite
database. Here again are the somewhat dated underpinnings of the platform; you define
document types and classification schemes at the data layer.
There are separate tools for importing documents and monitoring activities in a WorkSite
server.
Figure 53. The admin console manages database tables.
HP: WorkSite
Cloud Services
HP provides WorkSite in a private cloud meaning it can host and manage the setup for you.
However, there are a few variations in how HP provides cloud-based services:
You can opt for a private cloud to host your primary setup
You can host your primary environment on-premise and host your back-up environment
in an HP-managed environment
Security
Overall, the security mechanisms for WorkSite are not only extensive but also practical for
legal- and deal-centric environments. For example, you can partition a repository into many
smaller repositories, creating ethical walls of content. Security settings are particularly
granular and extend down to document/task/thread level. Of course, fine-grained security
means administrative and training overhead, as well as potential usability problems in
environments where there is an expectation of cross-project information access.
The access structure is particularly worthy of a closer look since it occurs at multiple levels:
Facility-level access is managed via groups
Workspace-level access is managed via groups
Object-level access is controlled via individual ACL or role
This combination could be confusing to some, but should work well for simpler scenarios and
it enables business managers to add and remove employees from workspaces without
involving a system administrator.
Known as entitlements in some other document management systems, privileges are used
for managing the set of operations a user can perform across all objects. For example, an
employee may not be permitted to delete a document in a specific workspace. Note that
privileges have workspace scope rather than enterprise scope, so you need to set them on a
project (or matter, or case, or deal) basis. Typical privileges include the ability to:
Send broadcast messages
Create projects and workspace root content
Assign Tasks
View Document History
View native contents of rendered documents
Create and modify tags
Create and modify items
Define document types
Delete items
Manage security policies
Manage workspace memberships and workgroups
HP: WorkSite
Vendor Intangibles
Licensing
Intangibles
2
2
1
2
2
WorkSite is based on per-CPU/server licensing,

Support & Community
with some seat fees. Note that the core WorkSite
server comes with very basic functionality. Most
Strategy & Roadmap
of the interesting features cited above (email
management, for example) come at an extra cost.
Average pricing for a full suite of products (DM,
RM, and Workflow) in a mid-sized firm will cost well over $500,000. Overall, it is a solid
product in the right circumstances but it is not a cheap one. If you are interested in cloudhosted version, HP will offer you a monthly fee, instead.
Given this potentially confusing mixture, you need to be sure it is the right tool for you; it is
ultimately the customers responsibility to weigh the suitability of any deal. As with any
vendor at this tier, youll want to negotiate very carefully. Ask many questions, and insist on a
synchronization of any technical and price proposals.
Like other vendors in this report, customers have few good things to say about first-line
technical support, but the companys DM and RM tools fare better than some of the others in
the overall portfolio.
HP did inherit a professional services group focused on WorkSite that was split into two
divisions one for legal, and the other for accounting services. Carefully probe the strength
and depth of these groups.
HP as a company has a sizable number of integration and consulting partnerships across its
various products, but as you might imagine, different partners tend to have experience
primarily with one or two tools, rather than the whole family.
WorkSite boasts a decent consultancy channel, mainly concentrated in the professional
services and legal sector. There are a small number of VARs that have built industry-specific
modules that run on top of WorkSite.
At the time of this writing (the end of 2014), HP announced it would split itself into two
companies. We consider that to be good news for customers of the former Autonomy products.
However, be very cautious of any roadmaps and commitments.
Conclusion
WorkSite is most commonly sold for use for matter-centric legal work, for deal management,
accounting firms, and corporate legal departments. It is a good general document management
product set that can stretch to meet many needs, but youll want to consider it primarily for
professional services firms partly due to the domain experience that the former Interwoven/
iManage team can bring in that area.
In those environments, WorkSite holds up well against its competitors. However, if you are a
larger enterprise that must deploy true ECM across varying departments and processes, then
you probably need to consider a more general-purpose platform ideally one built on more
modern technologies.
HP: WorkSite
Finally, remember that WorkSite is not the only ECM product HP offers. In fact, its HP
Records Manager may be suitable for more general-purpose records management
requirements that dont require you to use WorkSite.
www.ibm.com
Vendor at a Glance
Specsheet
FileNet P8 version 5 Summary
Geography
Global
Whats New
Combined process and content engine into one deployable unit
Strengths
Broad infrastructure support matrix

Very high-volume imaging capacity makes it suitable for transactional
scenarios
Highly sophisticated business process management capabilities
Strong content integration technology
Strong process centric management facilities
Generally strong support for J2EE and Web Services
24/7 product support in multiple languages
Weaknesses
Finding and working with the right IBM specialists will present a
challenge
No document collaboration alternative unless you license separate (and
quite distinct) Connections or Quickr
Expensive option, really only for major enterprises
Comparatively very limited community interaction among customer
base reduces opportunity for peer support at a time when FileNet skills
are at a premium
Rather weak mobile capabilities
No features for cloud-based file sharing and sync services
Potential Fit
Enterprise Content Platform, Process and Case Management, High

Volume Imaging
Unlikely Fit
Document-Centric Collaboration, Basic Document Lifecycle Management
Compare to
EMC, OpenText, Hyland, Oracle
Operating System
IBM AIX, Windows, Sun Solaris, HP UX, Red Hat & SUSE Linux
Repository
Proprietary repository with additional database support for IBM DB2, SQL
Server, Oracle
App Platform
Java
Licensing
User Value Unit pricing (part of IBMs Passport Advantage pricing model);
budget for a deal size of $1M+
Ownership
Public (NYSE: IBM)

Summary
Scenario Fits
IBM FileNet P8 is the core ECM offering

3
from IBM, supplanting IBMs longBasic Document Lifecycle Management
1
standing Content Manager (CM) offering
3
(at least for new sales). Nevertheless,
0
IBM continues to support CM due to its
High-Volume
Imaging
3
very large customer base. Going forward,
Information
Governance
3
IBM will offer P8 to those who are
looking for new ECM infrastructure,
1
particularly those with strong BPM
requirements that have the need to
manage large volumes of content. The exceptions to this would be customers who want to run
an ECM platform on a mainframe, or have very limited BPM requirements; in these cases,
IBM Content Manager may still present a better choice.
Note IBM sells other content management tools under several of its other major brands, most
notably WebSphere (AppServer, portal, WCM, and some BPM), and Lotus (collaboration,
social, and some light DM), plus other relevant modules in the Rational, Tivoli, and DB2
product spaces. Aligning all of these various resources is a challenge and will probably
always remain one. You may need to educate your IBM sales rep about your needs, as opposed
to what may get presented to you as an ultimately unwieldy, kitchen sink of IBM product
SKUs.
Indeed the distinctions among these different solutions are important, and when looking from
the outside, it can be hard to tell which specific features come from which IBM product. If you
find that you need WebSphere to realize your collaboration or document publishing needs,
your software costs could easily exceed those of other vendors that provide such services
natively within their ECM solutions. You will also face the potentially burdensome chore of
dealing with two or more wholly different product groups within Big Blue.
With respect to FileNet specifically, its sweet spot remains very high-volume document
processing. For large enterprises (particularly in insurance, banking, and manufacturing),
FileNet likely deserves to join most shortlists but they are not for everyone. Just like
OpenText and EMC, P8 is not a cheap option, and if you are a mid-sized firm spending $250K
with them, you wont get much attention. However, if you are moving toward a unified and
truly enterprise-wide document imaging and management platform, or you have a major point
solution need that will run into millions if not billions of items in the repository and the
depth of your pockets match the depth of your ambitions then FileNet certainly should be
considered.
Introduction
FileNet makes a strong claim to being present at the birth of document management
technology and laying the foundations for others to follow. The company started out in 1983
with one of (if not the) first image processing systems, and then followed in 1985 with
arguably the first workflow system on the market. From then on, FileNet remained a leader in
the DM industry and grew both organically and by acquisition in the 1990s to become the
largest player in the sector, outselling better-known Documentum by a good margin. They
regularly competed in large accounts against IBM, who had built their own high-volume
imaging and workflow system.

Indeed, both FileNet and IBM have a long history in document management. Both were best
known for their suitability for process-driven markets such as Banking and Insurance, and
driving activities such as credit card applications or insurance claims. Both had expanded out
beyond that core competency to develop full ECM Suites. Acquisition of other vendors played
a part in expansion of both, yet acquisition was far less of a growth strategy than it has been
for EMC, OpenText, or HP.
When IBM acquired FileNet, there was considerable overlap between IBMs two ECM
product sets. After some confusion in the marketplace, IBM seems to have settled on FileNet
as its main platform going forward.
IBM and FileNet also shared weaknesses in content management beyond fixed image
processing. Lighter-weight document collaboration la SharePoint was relegated to Lotus and
WebSphere Portal at IBM, and never really addressed by FileNet. That said, P8 does provide
SharePoint, WebSphere Portal, and Quickr integration.
The core IBM FileNet P8 components are:
Content Platform Engine: Provides services for content and process, with basic
repository services and it governs all of FileNets ample workflow and business process
management services
Application Engine: The Application Engine generates the end-user interface called
Workplace, which is entirely browser based (with a Java applet for rich text editing)
Workplace XT: An alternate web application
Rendition Engine: For converting documents from various formats to HTML and PDF
formats
Version 5.2 is called IBM FileNet P8, and IBM has implemented major changes to BPM
functionality. The previous FileNet Business Process Manager is now called IBM Case
Foundation. Earlier, there was a separate package for BPM, but it is now part of Content
Platform Engine.
Functionality
Functional Services
Document Management
Document Management
IBM FileNet provides multiple interfaces for
RM and Archiving
document management. Youll find an old web
BPM and Workflow
interface called Workplace, as well as a
eForms
relatively new one called Workplace XT. Both
of them provide similar document management
features but have some key differences.
Mobile Access
Workplace is the default web interface for P8.
File Sync & Offline
Its a portal- or dashboard-type motif used to
access document management functionality.
You can add and customize what appears on your Workplace interface using different
portlet or widget-type boxes.
3
1
3
3
3
3
1
0
Figure 54. Workplace's portal-type interface is the default interface.

Workplace XT (an optional component, so beware of licensing implications) looks like a
regular file-browsing interface, with a navigation tree on the left and a details area on the right.
You can access both document management and process management features of FileNet from
Workplace XT. It provides many advanced features (such as process designing) but via Java
Applets. The biggest disadvantage of Workplace XT is that it is not as customizable as
Workplace and you cant select what components display. IBM does not provide a
development environment for Workplace XT (it does for Workplace).
Figure 55. Workplace XT provides an alternative interface.

As almost an aside, IBM offers one more interface called IBM Content Navigator. Content
Navigator is not specific to FileNet, and is a more general-purpose client, which can access
IBM Content Manager, IBM Content Manager OnDemand, and CMIS repositories in addition
to one or more FileNet P8 repositories. Aside from these web interfaces, you can access
FileNet content via integration with MS Office and WebDAV.

P8s document management capabilities are, as you might expect, fairly extensive, with the
ability to check content in and out via a variety of interfaces. It provides strong versioning
control, along with some useful functions for compound document management, but not as
sophisticated as vendors who focus on such things (e.g., Formtek for version control,
EMC|Documentum for compound document management), but will suffice the needs of most
firms.
P8 also has some advanced capabilities. The first is its object orientation, whereby documents
can automatically inherit metadata, classification, security, and workflows on the basis of
where they are stored or created, a staple of case management. Secondly, P8 can support
advanced workflow processes to a degree that would not be possible in many other systems.
Documents (based on rules and metadata) can trigger and be closely threaded into business
processes, and these active processes (and documents) will supply very rich audit and
reporting information back to the enterprise.
P8 has some strong multilingual capabilities, and is currently available in sixteen languages,
including eight European languages (in addition to English) plus Japanese, Korean, Arabic,
and Chinese. FileNet provides language packs that have effectively separated underlying code
from the client level, making localization tasks relatively lightweight in nature though the
actual translations are another matter altogether! An important differentiator to note is that the
multilingual options cover the BPM toolset as well as the core DM options.
Overall P8 offers extensive document management capabilities that on a checklist will match
or exceed those of many other vendors. However, P8 typically gets deployed using extensive
and specialized consulting resources who presumably know how to make full use of its array
of tools and functionality. Or you may purchase P8 via a reseller who has likewise used these
wide range capabilities to build specific solutions.
FileNet on its own has a weak story on collaboration tools and it is trying to fill the void
through a better relationship with the IBM teams.
IBM may try to sell you FileNet Collaboration Services, which is essentially a middleware
layer to access FileNet P8 via IBM Connections and IBM Lotus Quickr, its collaboration
applications. However, this is an optional component and aside from additional resource
requirements (and increasing complexity), it will come at additional cost. Remember that
Quickr and Connections are complete applications and not just additional modules. They have
their own hardware and software requirements and licensing implications.
Although its closest competitor EMC (Documentum) decided to acquire an RM firm to flesh
out this area, FileNet opted to build its own RM services. To the surprise of many, they did a
good job and, if anything, benefited from working with a clean slate. FileNet delivered an RM
product designed for general purpose needs within large organizations in contrast to most
RM tools on the market that were built for dedicated RM power users.
FileNet Records Manager provides the standard File Plan and Records Declaration features
and functions that are needed for both electronic and non-electronic records, but recently
introduced what it calls Intelligent Retention. This provides alternative or optional retention
periods based on any number of variables or rules that may be imposed upon an organization

by multiple regulatory authorities (for example, insurers that are regulated on a state-by-state
basis).
FileNet can also file records using programmatic interfaces, workflows, and events. This is a
key differentiator for the product: it includes a full-fledged version of the P8 workflow module
(as opposed to having licensees pay extra for the function). This provides the ability to use
business process management (BPM) and workflow capabilities to automate some of the more
mundane tasks associated with declaring records, putting records on legal holds, or integrating
the record management process within more involved business process.
Figure 56. Records Managers can also override automated settings, for example, to put
groups of records on hold.
The automated processing of records management tasks is marketed as the FileNet
ZeroClick approach for automated records declaration, classification, and administration.
This selling point should not be minimized as just hype. Automating the process as much as
possible within the context of ones relevant work does minimize the chance that record filings
will be ignored and should aid compliance efforts.
Just remember that although FileNet touts the ZeroClick angle as unique, in fact many other
document management vendors approximate these capabilities via common rules-driven
folder management. Most enterprise-class vendors also provide some sort of automated
declaration and processing facilities, but FileNets implementation is unusually clean and the
workflow aspects comparatively well thought out.
IBM offers a content collection engine based on technology acquired by FileNet from
Yaletowns Universal File Importer (UFI) product. This engine can collect content from
network drivers or from email servers that must be managed and identified as potential
records, subsequently managing the content in the P8 repository. You need to license either the
FileNet Records Crawler or the eMail Manager products to get the content collection engine.

Finally, FileNet Records Manager has now been integrated with the IBM Classification
Module (ICM) for automated information categorization, assigning content and record
metadata via the analysis of a documents contents. The ICM addition to the RM portfolio
really does separate FileNet from its competitors, making it perhaps the most comprehensive
of all the document management offerings in this area.
Also worth noting is the fact that records management activities can be federated for
example, they can be extended to cover Documentum or OpenText objects without moving
them from their native repositories. This is achieved by using IBMs IICE technology. On the
whole, FileNet Records Manager is a functionally strong records management product.
FileNet long claimed to have first invented workflow technology a claim that has some
merit. Its little wonder then that workflow and BPM is probably P8s strongest area, and that
the entire P8 philosophy is centered on process-driven ECM.
Starting with version 5.2, IBM has made major changes to BPM functionality. IBM FileNet
Business Process Manager is now called IBM Case Foundation. Earlier, there was a separate
package for BPM, but it now comes with the core Content Platform Engine. As a result, a
single deployment provides both content and process functionality via a single Java EE
application. This results in simplified system administration as well as architecture.
You can readily deploy workflow functionality that consists of out-of-the-box workflows that
come as part of FileNet P8. To create your own custom workflows however, and to use
functionality such as Case Analyzer (for reporting, monitoring, and analyzing processes) and
Process Simulator (for simulating workflows and what-if scenarios), you must purchase
additional licenses for IBM Case Foundation. Remember, these are already a part of Content
Platform Engine but if you use them, you need a separate license.
Case Foundation is a Java offering and supports an XML classification framework, allowing a
wide range of container types for process objects such as Folders, Case, and complex object
relationships. Perhaps more importantly, it provides what is called STP Straight Through
Processing (or Event-Driven Processing). This is a means of utilizing Web Services to ensure
high availability, speed, and accuracy. The STP approach also encompasses much that would
previously have been provided in an EAI toolkit for data-centric process management, right
through the stack to human-to-human workflow capabilities. The underlying P8 process
engine is BPEL compliant and comes as a plug-and-play option with WebSphere Process
Server.
Frankly, such technology would be overkill for many enterprises, but in larger banks,
insurance firms, and the like that are handling extremely complex processes over highly
distributed environments, these modules provide a broad tool base to exploit.
Figure 58. Process Designer for designing new workflows.

The Monitor module provides real-time monitoring and alerts via a web-based dashboard. The
basic idea is that business users can pre-configure the monitor to measure certain thresholds of
KPIs. The dashboard is nicely designed and in the hands of a good business analyst can be
configured to deliver rich information on the status of current processes. The key differentiator
for P8 is in its use of a real-time database, that rather than batching and caching process
actions, it in fact delivers them in real time. In addition, the dashboard can also generate
automatic reports and deliver them to identified users on demand.
The Simulator utilizes reuse of existing processes and historical data to simulate and test new
process models. Again, this makes full use of a visual environment to test and observe
bottlenecks and cost, time, and role conflicts.
The Analyzer is an interesting module that provides Business Intelligence-like functionality
across complex processes. It is, in fact, an OLAP cube that can be used to slice and dice
process data into analytical reporting via Excel.
The integration with Visio is quite handy, since Visio represents the preferred modeling tool
for business analysts. In most BPM tools, it will require remodeling work to convert Visio
diagrams into the BPM suite; here it is integrated.
In summary, P8s BPM capabilities represent a goliath status among document management
vendors, but for those with less complex and voluminous process needs it may well represent
overkill.

FileNets heritage is founded on Imaging and Capture. FileNet software underpins
installations running over one million scans a day, on top of a separate repository system for
high-volume imaging that has been designed to handle (literally) billions of objects over a
distributed environment.
IBM FileNet Capture provides the key interface for ingesting documents via scanning and
faxing. The documents are imported as images and stored in a separate repository. IBM
provides different mechanisms to integrate image repository with FileNet P8s content
repository either via Content Federation Services or Image Services Resource Adaptor.
Capture provides functionality to capture, index, and make full use of bar coding, patch
coding, and a range of image enhancement elements. To deal with very high-volume
requirements, processing can be undertaken on or offline, and remotely as needed.
Administrators can customize capture paths and configure the system to almost any
combination of centralized to decentralized set ups.
High points in the module include out-of-the-box automated indexing and multi-page OCR
functions. It can also perform scan and post-scan-time PDF conversion, and create color TIFF
through to TIFF Group 4 and 5 images.
Remote Capture Services (RCS) extends the Capture module to enable remote workers to
access and index captured images over the Web. This is an interesting option for larger
enterprises that make use of offshore resources for verification and indexing work by reducing
or eliminating WAN requirements for these teams. RCS is a Web Service that uses XML and
SOAP protocols and provides authentication for these remote sites via HTTPS and SSL
(Secure Sockets Layer).
Both of these modules run on top of Image Manager Active Edition the key P8 solution
element that handles large-volume image management formerly known as Panagon Image
Services.
Though theoretically any kind of content could be managed in the Image Manager, more
general requirements are normally handled by the lighter-weight Content Manager product.
However, you would still choose Image Manager over Content Manager for support of remote
image importation, storage and access of COLD reports, as well as support for WORM
technologies (traditionally optical disk, but also magnetic). In sum, P8 offers extensive and
quite scalable Capture and Imaging capabilities, but they are realistically best suited for those
with very high throughput and volume requirements.
For buyers with deep pockets and intensive imaging needs, FileNet may be better suited to
meeting extreme scalability in capture (and workflow) compared to other suppliers like
Hyland, who (however reputable) come less prepared to handle such high volumes or complex
requirements. P8 Content Manager can also be used for imaging applications where the
volume of throughput does not require or justify Image Manager.
eForms
IBM FileNet eForms provides a forms-related functionality for P8, offering a suite of
functionality. This functionality is installed as part of Workplace (Application Engine) or
Workplace XT. The Forms designer requires little to no coding (although JavaScript can be
used) and a user-friendly interface (as friendly as such things can be). In addition, there are

many pre-configured tasks and functions that can be dragged and dropped into pure HTML
designs. eForms is typically used in conjunction with P8 and makes use of case management
functionality in particular.
Mobile Access
IBM FileNet provides an app for iOS (iPhone and iPad) devices. There is no Android support
yet, which is rather surprising given IBMs stated focus on Mobile First as a strategy.
IBM FileNet does not provide any services for cloud-based file sharing and abilities for
syncing files across multiple devices. This is a major lacuna, and IBM will need to catch-up
quickly, since most other vendors have at least some offerings here.
Technology
Technical Services
Architecture
With P8, FileNet was the first out of the gate

among its competitors with a J2EE-based
product architecture. Like a few document
management vendors, FileNet has broken the
services stack into a set of products that you
need to buy and install separately.
Architecture
Cloud Services
Security
3
3
2
3
1
3
The core FileNet P8 components are:

Content Platform Engine: Provides services for content and process, and provides
basic repository services and governs all of FileNets ample workflow and business
process management services
Application Engine: The Application Engine generates the end-user interface called
Workplace, which is entirely browser-based (with a Java applet for rich text editing)
Workplace XT: An alternate web application
Rendition Engine: Converts documents from various formats to HTML and PDF
formats
There are many additional components, such as those for case management, image services,
connectors to other enterprise systems, eForms, Collaboration services, and so forth. In fact, if
anything, there are too many components with varied dependencies among them, which can
confuse even seasoned FileNet experts. Take time to prototype here.
The core component that provides underlying document and business process management
services is Content Platform Engine. It is the repository for workflows, documents, and other
objects that you manage using FileNet. It is a J2EE application running inside a Java EE
application server, which provides content services (related to creating, editing, deleting, and
managing content objects such as documents) and process services (related to workflows and
business processes).
P8 supports some level of high availability and disaster recovery, and can utilize Oracle RAC
for more robust high availability and disaster recovery. FileNet typically is deployed in
distributed environments and supports local content caching.

IBM stakes a strong claim as the most enterprise-ready of all the ECM Suite vendors. There is,
for example, real-time integration with LDAP, utilizing the JAAS integration model, which
also authenticates in real time to nearly all other directory servers on the market that work in
distributed environments.
Web Services support is essential for many larger P8 purchases, and WSDLs come out of the
box with all P8 solutions; more importantly, youll find a broad array of REST APIs across the
modules. However, SAML and XAML are only partially supported since they are deemed as
not playing well with JAAS.
Integration
The key product set for information integration in P8 is IICE (Information Integrator
Content Edition). Coming originally from an acquisition of Venetica, IICE continues to be
used by many other document management vendors for information integration. As it so
happens, FileNet was one of these Venetica OEM partners.
One other product to look at in the IBM portfolio is CFS (Content Federation Services) that
somewhat goes beyond what IICE offers. In summary, it is a metadata management and
cataloging tool that provides a unified view of disparate FileNet Image Service (and IBM
CM8) repositories and allows centralized control and access.
IICE certainly brings value as a content integration toolset, but nonetheless has some notable
drawbacks. On the positive side, it enables a user to search and find, but equally (if not more)
importantly also modify, delete, and manage content items from disparate repositories. This is
a fundamental improvement over federated search (such as EMC ECI tool) that allows search
and read only.
Cleverly, IICE works with each repositorys own API, running the location process on each
repository and then collating and normalizing the results. IICE does not maintain an index or
cache of found content, rather it runs this dynamically each time. As IICE is a Java package, it
can either run its embedded J2EE server, or alternatively on a WebSphere or WebLogic server.
However, you typically embed the service directly into a document management application,
rather than running it as a standalone tool (like other content integration packages). In
summary, IICE provides a much greater degree of manageability of located content over
federated search-only approaches, though it will take time and effort to customize the service.
However, this approach has its drawbacks. Not surprisingly, the real-time queries can slow this
system down to a snails pace. Additionally, the pricing has historically been high for this
module. Speed and cost may well mean you need to consider it carefully against alternate
integration methods.
Of course, another part of IBM will have a different answer for Information Integration; use
WebSphere Portal. WebSphere offers a large repository of portlets for integration with many
different systems, including ERP, CRM, as well as legacy systems from IBM.
When configured properly, dynamic profiling enables you to provide different views of the
data for different audiences. At a more basic level, IBM is one of the original developers of
CMIS (Content Management Interoperability Specification), and P8 has a CMIS-compliant
integration.
Figure 59. A key strength for IBM WebSphere Portal is the integration with legacy systems,
particularly IBM-based legacy systems as host environments. This example shows integration
with an iSeries 5250 inventory application.
Of course, OpenText and (to a lesser extent) Microsoft can also claim the capability to expose
content management services via their portal packages. Indeed, they are probably more closely
integrated than the IBM/FileNet offering.
The most important legacy application for high-volume imaging is likely to be your ERP
system, and here we should discuss SAP.
IBM enjoys a very strong partnership with SAP, but FileNet did not (though it did have a
requisite archive link into the repository). As of today however, OpenText has a stronger
relationship with SAP. Doubtless IBM/FileNet is working to close the gap, but a deeper
integration path will take time to establish. Nevertheless, often in conjunction with IBM MQ
Series, P8 has been integrated to operate in many complex legacy application environments. It
is also worth noting that P8, in conjunction with MQ Series, has been used to integrate into
some of the most complex legacy environments.
There are also out-of-the-box connectors to Siebel, Microsoft SharePoint, and many IBM
products like Quickr and Connections.
Although P8 delivers many applications, it is really more of an ECM platform than anything
else designed for others (either large enterprises or VARs) to build industry-specific
applications atop it. So it should come as no surprise that P8 comes with a range of APIs for
Java, .NET, COM, and Web Services.
Of particular interest for the application developer is the IBM FileNet Case Foundation
Framework (formerly, Business Process Framework), a module built out of the BPM
capabilities in P8. It is, in most regards, a RAD (Rapid Application Development) tool in

disguise, and as almost all applications out of P8 will be process-centric, this placement in the
stack makes a great deal of sense. It may also reduce the amount of coding required to develop
an application, but the usual caveats about code-builders apply here.
The framework is Java-based and leverages the UI-friendly protocol, AJAX. This case-centric
approach might not work well with other document management vendors, but for processcentric FileNet, it works well. It makes good use of many reusable code chunks that typically
form the basis for process-centric application scenarios. REST style composite application
development is supported via WebSphere widgets.
For developers, we think the architecture is technically elegant and durable. You use standard
JSP and controller servlets to customize individual screens and behaviors. However, for end
users, the application is only as good as the underlying services that become accessible.
There are multiple interfaces for administration and management. You administer the Content
Platform Engine from an Administration Console for Content Platform Engine. Here you
manage content, storage, and security-related settings. You can define document-related
properties, define objects, and so forth. You also configure workflows and manage users via
this interface.
Aside from this administration console, Workplace and Workplace XT have their own admin
settings that you access from their respective UIs.
Administration capabilities are spread across multiple interfaces, which can cause lot of
confusion particularly when there are too many modules and components.
Cloud Services
Like Oracle, IBM is a big proponent of cloud, but for FileNet P8, IBM only provides managed
hosting and support for virtualized environments. It cant be used as a multitenant, SaaS-based
service.
Security
IBM FileNet P8 provides JAAS-based security and can integrate with most existing directory
services. It provides a robust infrastructure for authentication, authorization, and single signon.
Vendor Intangibles
The key issue with Big Blue is always the breadth Intangibles
3
and diversity of its different product sets, each
typically with its own support grid and roadmap.
3
Support & Community
IBM is such a behemoth that it is unrealistic to
2
expect them to align all of their various product
Strategy & Roadmap
3
ranges in the same direction this is both the
3
strength and weakness of buying from such a
large organization; on one hand, you are buying
from a virtually indestructible supplier. On the other hand, you are dealing with many different
vendors/sub-divisions within a single organizational structure; not all the parts may be equal.

Then again, how important are these weaker elements to typical P8 buyers if the majority of
them are buying P8 for its advanced BPM and case management capabilities?
FileNet used to sell directly, yet relied in good part on a huge network of VARs and other
vendors who have produced more than 300 solutions from P8. FileNet boasted partnerships
with major SIs (in particular: BearingPoint and Cap Gemini), along with nascent relationships
with Indian firms, Cognizant and HCL. Under IBMs ownership, little of this has changed and
IBM Global Services has also become a major channel and partner for P8.
Similar to Microsoft MSDN, IBM also has its DeveloperWorks (there is a separate
document management/ECM zone), which is a large community for developers around the
world to share experiences and publish articles and code. On the whole though, the community
around P8 is unusually quiet, perhaps originally owing to FileNets legacy of never creating
developer zones or customer extranets.
IBM is certainly a stable and visible brand. The FileNet acquisition was a substantial
undertaking even for IBM, which now has 1,000 developers dedicated solely to document
management, but the full breadth of IBMs ECM portfolio still falls across multiple often
competing product groups within Big Blue.
Licensing
FileNets fee structure was infamous, arguably trumping even Documentums byzantine route
to coming up with a price. Indeed many FileNet staff seemed unsure as to how to price deals.
One of the most notable and worthy of the changes made since FileNet became a part of IBM
has been the simplification of this system into the standard User Value Unit system, which is a
part of the IBM Passport Advantage system.
Conclusion
Well note first that customers of IBM FileNet P8 are typically Fortune 1000 if not Fortune
100 customers. By default, this means that like EMC they are an expensive option.
However, in very large enterprises particularly those that are process- and compliancycentric, with additional complex federation and integration requirements IBM could be an
obvious candidate.
Verticals of particular strength include Insurance, Banking, and Government. However, it
should be noted that IBM and FileNet are represented in virtually all major vertical industries
(to some degree).
If you are a large organization looking to build an ECM platform that is more processingoriented than collaboration- or publishing-centric, then IBM makes a sensible choice. To
lessen potential risk, though, we advise you to focus your consideration on the P8 modules
and not the legacy IBM document management tools since the company is now focused on
P8 as its main ECM offering moving forward.
As an ECM platform, P8 is impressive, but that does not mean you should be blind to its
shortcomings. For collaboration, asset management, and cloud file sharing, P8 offers little to
nothing, forcing you to deal with other groups at IBM (or beyond) for these capabilities.
Likewise for COLD/ERM, you will likely want to go with IBMs DB2-based offerings.
Moreover, as with many other document management products, you will almost surely
experience difficulty finding affordable FileNet skills. This is starting to change due in part to

the launch of an online training portal, yet because of the large-scale nature of FileNet
deployments and the relatively high cost of the software, services firms have enjoyed charging
a premium.
Equally problematic is the lack of substantial community services for P8 customers, which
means that individual customers are largely on their own. Under the circumstances, you can
understand why IBM Global Services does such a good business here. The good news is that
FileNet P8 is here to stay. Whatever the difficulties of dealing with Big Blue the reams of
consultants and salespeople, confusing and overlapping product families, and inconsistent
support the company seems to have committed itself to FileNet at least for now.
sharepoint.microsoft.com
Vendor at a Glance
Specsheet
Microsoft SharePoint 2013 Summary
Geography
Global
Whats New
Vendor is increasingly focused on promoting the cloud version
Strengths
Takes advantage of core SharePoint Foundation and a rich API

Potentially useful retention and policy capabilities
Decent folder processing and taxonomy services that make the platform
better suited to traditional document management scenarios
Strong integration with Microsoft Office makes it very useful for Officebased document management scenarios
Comparatively more user friendly, and easier to install and propagate
than heavyweight document management tools
Search works comparatively well within an all-SharePoint environment
Platform boasts exceptionally broad, unofficial support community
SaaS-based offering is almost feature-equivalent to on-premise version
Localized in an impressive list of languages
A good fit for enterprises that are new to document management or
dont need highly structured, complex solutions
Weaknesses
Comparatively light or non-existent support for document imaging,

formal digital asset management, archiving, and COLD/ERM
Not designed for high-volume or transactional environments
No native physical records management services
Individual file size limit of 2 GBs makes it unsuitable for some scenarios
Once you get beyond the basics, platform quickly becomes deceptively
complicated and developer-intensive
Cloud-based offerings are woefully integrated with on-premise farms,
effectively ruling out hybrid offering in major enterprises
Some services and functionalities require Office 2010 or higher
Likely a poor fit for large enterprises that need a one-stop shop for
document management or that have industrial-strength document
management or compliance needs
Emphasis on localized, bottom-up site provisioning encourages
departmental freelancing that mitigates against enterprise governance
Some new features in 2013 edition remain shallow
Potential Fit
Workgroup Collaboration
Unlikely Fit
High-Volume Imaging, Case Management
Compare to
IBM, Oracle, SpringCM, OpenText
Operating System
Microsoft Windows Server
Repository
Database: MS SQL Server
App Platform
.NET

Specsheet
Microsoft SharePoint 2013 Summary
Licensing
Complicated: Seat-plus-server licenses on premise; seat licenses for Office

365 cloud version
Ownership
Public (NASDAQ: MSFT)
Summary
Microsoft SharePoint 2013 is best
understood as two different ECM
offerings:
Out of the box, a decent solution
for workgroup collaboration
around Office-based documents,
either on-premise or in the cloud as
part of Office 365
Scenario Fits
High-Volume Imaging
2
3
2
1
0
1
4
As a development platform for

more complex ECM solutions, with a significant investment in customization,
extension, or third-party add-ons
This dual nature of SharePoint accounts for its beguiling promise and its many frustrations in
an enterprise context. Microsoft markets the platform as a ready-made, easy-to-use product for
replacing your dependence on shared drives, but enterprise customers quickly realize that
business stakeholders often require much more. Microsofts vast implementation channel
makes an excellent living creating essential applications from what is a highly extensible
platform.
Lets start with the first value proposition, as a basic product. In its native incarnation,
SharePoint represents basic document management for the general office worker, particularly
knowledge workers laboring in teams. This is a highly valuable and much-needed service, and
helps account for much of SharePoints success in the marketplace. The 2013 edition of
SharePoint has improved on these capabilities, if more in degree than kind.
However, SharePoint handles Office-type documents, rather than large repositories of scanned
image files or transactional document processes. Thats your first clue that you typically
wouldnt use it for high-volume, process-heavy scenarios, or those that require large files (e.g.,
HD video or large engineering files).
Ultimately, SharePoints enterprise ambitions are realized more in breadth than in depth.
Microsoft doesnt do applications, like, for example, Contract Management; it leaves those
to integrators or software partners (like OpenText). Natively, the platform remains incomplete
for advanced DM use cases. Budget your time and resources accordingly.
Introduction
It was actually a great surprise to Redmond when SharePoint became a runaway success
within just a few years of its initial release. Microsoft had stumbled on a pervasive user need
for basic document sharing and simple workgroup portals that the marketplace had grievously
underestimated. It helped that the product was tremendously easy to install and the core
Windows SharePoint Services came at no additional cost with Windows Server.

A quiet army of Microsoft-trained administrators installed the product, and a huge array of
Microsoft partners grew to support and extend it. It became increasingly clear, however, that
SharePoint was not really designed for the breadth and depth of environments for which it was
applied. Not surprisingly, problems arose around scalability, security, and administrative
management. Many of those problems linger even after multiple new editions.
By SharePoint 2010, the platform had become a cornerstone of Redmonds middleware
strategy and strategic effort to connect Office (the most lucrative Microsoft offering) webbased applications. This effort has continued in the era of the cloud as Redmond aggressively
pushes SharePoint online as a key component of Office 365.
Figure 60. Microsoft messaging now takes a more task-oriented approach, although the
latest version of the platform is really a stepped evolution of SP 2010. Note the renewed
emphasis on SharePoint as an application development platform.
In 2013, Redmond made marginal feature improvements to SharePoints DM services, most
notably around some interface niceties and surprisingly comprehensive eDiscovery and search
services. Note that like previous versions, Redmond divides SP 2013 into for-pay and free
versions.
Except where noted specifically below, we review full SharePoint capabilities, including the
Enterprise license in an on-premise installation (for more on licensing, see Vendor Intangibles,
below). However, we will note key differences for Office 365 (specifically SharePoint Online)
throughout the review as well.

Functionality
Functional Services
Document Management
Document Management
SharePoint has reasonably strong repository

services. At the outset, SharePoint provides
check-in and check-out functionality.
SharePoint users can check out a document
(making it unavailable for editing by others), or
download a read-only copy.
RM and Archiving
BPM and Workflow
eForms
Mobile Access
2
4
2
1
3
0
1
2
File Sync & Offline

Microsoft supports Information Management
policies, which allow more lifecycle control
over content through the Content Type
construct. Through these policies, firms can implement controls like periodic content reviews,
automatic bar coding & document identifiers, content reorganization, and automatically
initiate a workflow.
SP 2013 adds an e-discovery layer on top of this, as well as the ability to apply retention rules
to an entire site, rather than individual content types. You can also group documents into sets
and process them together (including adding metadata in bulk). All good stuff.
Another area of improvement in SP 2013 is the near ubiquitous feature of dragging and
dropping desktop files or emails into folders that represent SharePoint libraries. It demos well,
but in real life, you may find this service a bit thin. When dragging documents or adding from
Outlook, you cant select the content type and in many cases are not prompted for metadata
(and if metadata is required, the document wont appear for others).
On the plus side, SP 2013 carries forward the generally praised Managed Metadata Service,
which enables publishing a term store and content types, which are then consumed by different
web apps, site collections, or sites.
Depending on the level of control you want to have and the scope of the application, you can
apply different models of tagging. You can implement a Managed Taxonomy for a highly
structured, controlled environment that requires users to apply terms from a controlled
vocabulary set.
Figure 61. Configuring a Term Store.

You can implement a more flexible regime where users add new terms as free-form keywords
(a.k.a., a folksonomy). A managed taxonomy is suitable for a records management scenario;
a folksonomy is more suitable for a blog. Tags can be applied uniformly from within
SharePoint, InfoPath, and Office applications.
Note that #hashtags now represent a third form of metadata in SharePoint. To the extent that
the three datasets dont always integrate the way you might expect, both implementers and
end-users need to plan information retrieval strategies very carefully.
The picture with repository search has become much clearer with SP 2013. Its basically a
rewrite of FAST Search, although supposedly it incorporates some features from the previous
SharePoint Search. Although some highly advanced FAST features have been dropped in
this rewrite, this is good news, since search is now optimized more intimately for SharePoint.
In addition to performance improvements, the SP 2013 search now takes advantage of social
signals such as likes and mentions, to improve precision and connect results to people more
readily. It can access the full depth and width of your SharePoint estate, providing unified,
security-trimmed results. The results page sports noticeable improvements in clustering,
preview, and filtering.
Figure 62. Search services have been largely rewritten in SP 2013, and the results
seem promising. In the image above, a user hovers over a document to see a
preview, just as in the 2010 version of FAST.
Note the caveats that apply to nearly all other SharePoint services:
Initial configurations are easy, but more advanced customization can become very
complicated very quickly
Woe to those licensees who dont have good software configuration management
practices in place
In 2013 you may need more hardware (and therefore licenses) dedicated to search
The new search in SP 2013 brings four additional potential downsides:
Early testing with some of the guesswork that the search service tries to undertake (on
things like document metadata and individual users preferences) can lead to quirky
results
The platform is no longer optimized for enterprise search e.g., to index content
stores outside of the Microsoft family, unless you turn to third-party connectors
Showing cloud and on-premise SharePoint search results in a truly integrated fashion is
difficult and potentially expensive (more about that below)
The major revisions underneath the covers change your default search results
substantially maybe dramatically from SP 2010 to SP 2013. Test carefully and plan
for post-migration work here.
To be fair, you likely no longer need a third-party search engine for decent search in
SharePoint 2013, unless you need to execute something complex, like ontology services.

SharePoint effectively addresses the low-hanging fruit of document-based collaboration: file
organizing, tracking, and sharing.
In particular, SharePoint is positioned well to enable multiple authors to collaborate on the
creation and manipulation of content particularly Office files. In this regard, Microsoft has
done a decent job creating an integrated approach to both the creation of content and further
editing, as well as the creation of collaborative spaces to manipulate documents.
The latest version continues Redmonds efforts to compete with Google Docs by providing
simultaneous authoring capabilities for licensees of Office 2010 or 2013. However, it doesnt
quite mimic Googles offering, inasmuch as authors cannot work on the same paragraph
together, and some changes made by others dont become apparent until after theyve saved a
document.
There is a feature that enables co-browsing in PowerPoint. You can run through a presentation
and follow the slide transition.
The short story is that collaborative editing works pretty well if youre using Office. However,
youll be reduced to a more traditional check-in/check-out process with other tools.
This is one of the few areas where the SharePoint cloud version delivers extra services. First,
by default you can invite external users to external sharing sites, for the most part without
paying for extra licenses, if you have one of the enterprise license plans. Second, if you license
Exchange Online, you can create site mailboxes. These are project inboxes that combine
emails and documents about a project. To view them in Outlook, though, you need Outlook
2013.
As mentioned above, attachments and other documents that end up in the mailbox dont
leverage much of SharePoints wider document management services, such as metadata and
versioning; youll need some education and training here. In addition, its brand new; test
carefully.
You can apply retention policies to libraries, content types (most common), or in SP 2013 to an
entire site. A Content Organizer enables a Records Manager to create rules to put records at
the right place in the file plan.
As for formal records, in SP 2013 you can still manage them in-place or via special Records
Centers. The former is more convenient for employees; the latter offers more functionality to
records management.
Figure 64. In SP 2013, you can set retention policies on sites.

A prudent administrator will activate these RM features with care. It can become a surprise to
workaday, knowledge-based employees when email and documents are hardened and moved
to an untouchable records repository.
Note that RM services work only within SharePoint. This is important because Microsoft has
no native hooks into other products on the desktop or records in other repositories. There is no
notion of federated RM across repositories, so for enterprises where records exist all over the
shop, in various repositories and locations (and need to be managed in context), SharePoint
will deal with only part of the picture. Therefore, what you are really getting is RM for
SharePoint, rather than RM for your enterprise.
SharePoint has other limitations when it comes to formal RM, not the least of which is its
inability to manage physical records out of the box. However, there is no shortage of thirdparty vendors hoping to fill that gap.
The bigger shortcoming is SharePoints difficulty in managing compliance issues effectively
over a large number of SharePoint instances in a centralized and federated manner. As we have
seen in many enterprises, SharePoint can grow at viral rates, yet Microsoft only has the ability
to manage ideal scenarios, of one or two closely integrated instances, with a heavy dependence
on content types (of which you may end up having hundreds).

Records managers will struggle to manage this situation in a holistic manner. Hence, many
larger customers turn to more scalable solutions from the likes of HP, EMC, or OpenText, to
layer on top of larger SharePoint deployments.
As for archiving, enterprises that take this seriously will frequently license a third-party tool
that can effectively extract the relevant information documents, metadata, and policies
from SQL Server and SharePoint for long-term storage.
SharePoints first obstacle here is its reliance on SQL Server as its native repository. If you
need to store content for 10 years or more, then you would have to keep the SQL databases
running for that period, running in parallel with the related SharePoint sites. Moreover (as with
any relational database), large volumes of BLOBs can slow SQL Server performance
another reason to move inactive content onto a separate storage media. (No major document
management system archives content in the database; they archive content on file servers or
storage devices.)
Moreover, there are basic issues of scale here. Microsoft recommends for most cases that a
SharePoint content database can hold no more than 100-200 GBs of data a level that some
organizations reach on a daily basis. To be sure, you can assign multiple content databases, but
this requires advanced planning, and each instance requires care and feeding. This is not the
same kind of robust repository you would find with EMC or IBM.
In theory, you can use Remote BLOB Storage (RBS) services to offload files to a file
system. In practice, these services remain very generic out of the box, and you would need to
develop a custom application to do this. In fact, most SharePoint storage partners leverage
RBS its just that theyve done the grunt coding.
The good news is that you can avail yourself of several credible SharePoint archiving vendors
here.
For any decent document management application, workflow and business process
management (BPM), are quite important. SharePoint offers both simple and advanced
workflow configurations, but it still lags its competitors when it comes to more processoriented BPM.
Workflows are part of the core SharePoint foundation and can cope with general routing and
approval cycle needs. In SharePoint, you create simple workflows using a browser. However,
as the complexity of workflow increases, you will need to use other tools to model these
workflows. To be specific, you will probably end up using multiple tools including SharePoint
Designer, Visio, Visual Studio, and perhaps even the Workflow SDK. Depending on your
technical skills and licensing arrangements, this could turn out to be cumbersome and
expensive. To be fair to Microsoft, they have tried to make it a seamless experience with a bidirectional import and export between Visio and SharePoint Designer.
You can visualize workflows as they progress, which is achieved by using Visio services.
Within the browser, a diagram with a set of annotations shows where the process is at any
point in time. The workflow forms are powered by InfoPath (this would be another tool you
might need to use to customize your forms) and can be customized.
In this release, workflows are reusable, which means you can create new workflows based on
existing ones. Unlike previous versions where a workflow had to be associated with a list

(which meant you often had to create a dummy list), workflows now can be associated with a
site or a content type. Since they are reusable, you can associate them to any list as well, and
there is no need to have a pre-defined list association.
SharePoint workflows have not been built to meet complex process management needs. To do
that and stay entirely within the Microsoft environment, you would need to use the Workflow
SDK with Visual Studio and the BizTalk server; in other words, you would have to build the
solution to a large degree by yourself.
There is some customer excitement about the ability to use workflows directly in Office
applications. From a usability perspective, this is certainly helpful for simple, Office-oriented
routing, but it does not constitute a full workflow tool. Microsoft recommends K2 as a thirdparty vendor for enterprise workflow, but there are many other options available.
Document imaging and capture refers fundamentally to converting paper-based information to
electronic files (either scanned images or text files or both), and managing the process of the
capture image and data. Document imaging is one of the most important elements of document
management, and makes up a disproportionately large chunk of the document management
market. It involves the capture of large volumes (many thousands per day) of faxes or scanned
images, typically from a distributed capture environment. Usually, these are converted to a
TIFF (or similar) format, and at the same time, data is extracted and validated from a free-form
document such as a letter, or a semi-structured document, such as a form. Depending on the
data extracted, the file with then be routed according to pre-defined rules, in a specific
business process.
Capture and imaging in SharePoint requires using third-party software. For a variety of
reasons (including the fact that SharePoint stores files directly in SQL Server), this is not a
suitable platform for high-volume or transactional imaging and image management. To be
sure, other imaging vendors particularly those that focus on workgroup scenarios have
gotten very enthusiastic about the rise of SharePoint, as it gives them a potentially very
accessible repository in which to dump scanned images, a store that is likely to be familiar to
prospective customers.
Overall, imaging requires you to work with a Microsoft partner (such as KnowledgeLake,
Captiva, or Kofax), but the forms capabilities are quite impressive.
Unfortunately, we have observed some channel partners (unscrupulously) try to sell
SharePoint as a suitable platform for imaging, only to add large fees for associated
development and consulting work to extend it to a level where it may be able to cope with
these demands. Instead, youre better off buying a SharePoint-friendly imaging extension from
one of many available resellers.
Mobile Access
By default, SharePoint recognizes mobile devices through User Agent (UA) strings, and
redirects to a mobile version of a site.

In SP 2013, there are five choices:
1. Classic View The same SP 2010 mobile version displays a prosaic list of libraries
that Redmond has mobilized. You can click through a list or library to see individual
list items in mobile form. You set this to display when the user has a non-HTML5compatible browser.
2. Contemporary View This is a slicker, more modern UI built with HTML5,
including touchscreen support.
3. Full Site UI This is essentially your full desktop experience. This is likely to render
reasonably well on a tablet, but not on a smartphone, since SP 2013 doesnt natively
support Responsive Design. However, it is not optimized for touch. You can default to
this view for certain devices; alternatively, the user can click to it from the
Contemporary View.
4. SharePoint SDK The SDK can develop your own mobile web apps, or better
mobilize your various SharePoint sites better than the default views. This could
become necessary after substantial customization or extension of default team sites.
5. Deploy Native Apps Today, Microsoft itself only provides one: a Newsfeed app for
iOS and Android. As with SharePoint 2010, a rich array of third-party vendors are
bringing out their own native apps for SP 2013.
On the downside, the sophisticated Mobile Views capability that manages and extends
master pages for different mobile experiences is only available for Publishing Sites (i.e.,
websites), not for collaboration sites.
For file sync, Microsoft offers SkyDrive Pro as an option for SharePoint on-premise or
bundled within your Office 365 license (more about Office 365 in Key Considerations for
Office 365 on page 166). SkyDrive Pro allows employees to sync their MySite content or any
document library to their local machines.
Unfortunately, native mobile client support remains thin, so its not well suited for mobile
synching.
Figure 65. SkyDrive Pro for an Office 365 user.

Key Considerations for Office 365
After some early skepticism about cloud computing, Microsoft has taken to the model with the
zealotry of an apostate. The company has converted most of its own internal SharePoint estate
to Office 365 at much pain and expense: more about that later and is heavily promoting
that alternative to its traditional enterprise customers. Among other benefits, Microsoft
promises a more rapid innovation model, rather than the sluggish, 3-year development cycle
associated with SharePoint on-premise.
Although Microsoft has won some big customers to this model, its safe to say that most major
enterprises are taking a wait-and-see approach on Office 365 in general and SharePoint Online
in particular. As of April 2013, Microsoft conceded that 90 percent of Office 365 customers
had 50 or fewer employees.1
From a functional standpoint, SharePoint Online offers somewhat more and somewhat less
than the on-premise version. Some differences are highlighted in the evaluation categories
later in this chapter, but heres a quick summary of the delta.
On the plus side, SharePoint Online has:
Better integration with Yammer and SkyDrive Pro (included in Office 365 for file
sharing and synching)
Some extra collaboration features when you also license Exchange Online
Support for the new Apps model for application extension
1. http://www.citeworld.com/cloud/21713/old-ways-die-hard-office-365-not-penetratingenterprise-yet

On the downside, SharePoint Online has:
Reduced support for custom applications and multi-collection management
Reduced capabilities to customize user experiences
Fewer management and administrative services
No native analytics
No claims-based authentication
Somewhat reduced records management and e-discovery capabilities
Individual file size limit of 2GBs a big deal in some enterprises
Shockingly poor support for hybrid environments (more about that below)
To be sure, most document and records management features are now fully functional in the
new cloud version; however, the cloud version is missing some of the same enterprise-y
management services that make SharePoint a potentially attractive candidate despite its
manifold shortcomings from a business scenario perspective.
Like all SaaS services, SharePoint Online has experienced the occasional hiccups with
upgrades. You can only postpone upgrades on your cloud estate for 60 days.
Office 365 does not run in Azure; instead, it runs within dedicated Microsoft data centers in
North America, EMEA, and Asia-Pac. The core architecture resembles that of an on-premise
installation, but you have very limited access to the underlying systems and even log files. For
the largely SMB customer base, this is a benefit. Microsoft is providing SharePoint as a
service here, with some limitations cited earlier.
For customers with incumbent SharePoint installations, a hybrid approach will prove tricky
and potentially very costly. When Microsoft itself migrated the majority of its SharePoint
estate to Office 365, the expense creating custom Azure and on-premise solutions for
replication outweighed the savings they otherwise enjoyed.
Figure 66. Microsoft messaging now takes a more task-oriented approach, although the
latest version of the platform is really a stepped evolution of SP 2010. Note the renewed
emphasis on SharePoint as an application development platform.
For hybrid deployment, Microsoft itself built the complex, Azure-based integration
environment, with localized replication, which negated long-term cost savings.1
Specifically, the Microsoft IT team found it difficult and costly to sync:
Search
Activity Streams
Taxonomies
Workflows (models and instances)
Information Governance & Policies
Add-on modules
If your enterprise is considering becoming early adopter of a major hybrid deployment and
you care about providing an integrated user experience for your colleagues then we
recommend waiting to see how Redmond sorts this out (likely from the lessons of major
customers who skin their knees).
1. Source: http://channel9.msdn.com/Events/TechEd/NewZealand/TechEd-New-Zealand-2012/
OSP207

Technology
Technical Services
Integration
A SharePoint environment consists of several

different Microsoft systems. The base systems
underneath SharePoint 2013 remain unchanged:
Architecture
Cloud Services
Windows Server
Security
3
3
2
2
2
2
Active Directory
.NET Framework
IIS & SQL Server
SharePoint 2013 maintains the concept of SharePoint Foundation, which is the free version.
Foundation provides the plumbing components on which SharePoint Server functionality is
built. The product takes advantage of mature SharePoint services in terms of version control,
security, search, Web Parts (Microsoft-speak for portlets), and more. For workflow, SharePoint
employs the underlying SharePoint Foundation and .NET workflow services.
Note that SharePoint still stores files natively in SQL Server (or alternatively in the Remote
Blog Storage service, which is more of a framework than a feature). This makes them more
conducive to indexing, but storing files in a relational database can affect performance. With
2013 comes BLOB shredding where only the modifications get stored but this is
optimized for Office files, and its not clear what performance gains will result. Remember
that there is a 2 GB size limit per file.
At the base level, a SharePoint installation starts with the notions of sites, which can be
rolled up into site collections. Site collections can be aggregated into applications within a
farm (single instance of SharePoint), where other shared services may reside.
Sites can be made up of lists and libraries, which aggregate different information elements
that Microsoft calls columns. Content types are another, more abstract way of combining
columns into an organizational unit. Individual pages are typically comprised of one or
(usually) more Web Parts, which connect you to underlying content and services.
In SharePoint vernacular, templates and site definitions help you maintain models that can
be cloned in new sites. A best practice is to deploy significant customizations or extensions as
packaged Solutions or (as of SP 2013) as Apps.
The challenge for you is to understand these (sometimes-overlapping) terms and concepts, so
that you can customize and troubleshoot effectively. Again, SharePoint is relatively easy to
install, but by no means simple to master.
From a capacity standpoint, theres a general sense in the community that additional and richer
services in SharePoint 2013 will require more servers and more storage. This is particularly
the case since many of the newer social capabilities rely on MySites a service some
enterprises had turned off to reduce the amount of storage and sites in their farms.
The 2 GB size restriction on individual file sizes remains in SP 2013, and includes files you
may store on disk (or elsewhere) via RBS. This will not present a problem if you only need to
manage images or small audio and video files. However, if you need to manage something like

high-fidelity X-ray images, advanced CAD drawings, or full-length movies, you might hit a
roadblock.
Tied to changes in both the SharePoint services architecture and improvements in overall
content volume handling, SharePoint 2013 appears to be more scalable than 2010 was.
However, Microsoft has also added complex new services (e.g., ubiquitous search) as well as
extended the data model (e.g., the social data model). Additionally, you will want to gauge
how chatty Office can become on your networks when tied to SharePoint.
Even more than SP 2010, with SP 2013 there are many key switches that need to be thrown at
the beginning of an implementation, and you need to plan very carefully.
Because SharePoint is built using a .NET environment, then integration with other repositories
and services should, in theory, be relatively straightforward. While integration is possible
using the native repository API and the separately packaged Developer Studio, it will not
always be a simple task. Theoretically, with the use of Web Services, you should be able to
integrate with ERP and other Business Applications. However, system integrators tell us that
this is neither an easy effort, nor is it a low-cost approach.
Business Connectivity Services (BCS) helps to expand your integration options. BCS is an
umbrella term that includes everything related to integration from presentation, to
connectivity, to required tooling. Business Data Connectivity (BDC) provides the actual
connectivity services. Note that BDC is a not a SharePoint service application, however.
Another integration option is to use Microsoft BizTalk Server, rather than SharePoint itself.
BizTalk (which must be licensed separately) enables integration by exchanging business
documents among applications, within or across organizational boundaries.
Youll find Web Parts galleries online as a central warehouse of Web Parts, and you can
download a specific Web Part to create your custom SharePoint features and applications.
Some of these are quite helpful for content and application integration. As always, the
reliability and quality of these will vary. Like portlets in the Java world, you may sometimes
see a messy commingling of presentation and business logic. Be sure to performance test any
Web Part carefully (including those that you build yourself).
You could think of SharePoint as a platform for building content applications in .NET. Since
the product natively supports .NET and ASP.NET, you can embed other objects and services
into your CMS using standard Microsoft tools and methodologies, and take advantage of
specific .NET services. This is not simple, however, and the novice .NET developer can get
(you) into deep trouble very quickly.
For the developer, SharePoint itself offers a series of convenient constructs for grouping
functionality together, including features, applications, projects, solutions, and now
apps. Understanding where one ends and the other begins becomes a big part of any broader
design.
In SP 2013, Redmond added deployment services to manage code pushes. However, in larger
enterprise projects, there are still challenges around configuration management or integration

with external configuration management systems. While many Java-based packages suffer
from the same shortcoming, if you are writing a lot of code across multiple tiers, this may
become a serious issue.
As mentioned earlier, SP 2013 brings the new app model, where you use JavaScript+HTML
to create apps that live above SharePoint albeit with access to SharePoint data and services
and they can interact with other systems without SharePoints overhead.
Redmond is heavily promoting the app model, but it remains controversial. Some developers
have complained about yet another approach, particularly one that does not feel tightly
integrated with native SharePoint objects. Its heavy use of iframes for combining with
SharePoint services on the glass is also controversial.
Other developers laud the of-SharePoint-but-not-in-SharePoint approach. It appears that a big
driver for apps was the ability to enable cloud customers to deploy them to Office 365
without significant server-side impact on the Microsoft hosting environment.
Figure 67. You have many different options for hosting apps including Azure, but the
uptake on this approach was slow as of mid-2013. Source: Microsoft.
Overall, SharePoint brooks a comparatively high developer learning curve once you get
beyond simple configurations. For advice, developers must depend on a heterogeneous

panoply of websites, books, bloggers, and search engines to find useful information. Microsoft
neither organizes nor certifies the results from vast experimentation in the field in any
meaningful way.
Security
For authentication, the product is unusually flexible. In addition to Active Directory (AD), it
will also support LDAP, or any other ASP.NET-supported role provider. If you do not employ
AD, however, your users can no longer access SharePoint directly from within Office.
Microsoft fixed a long-standing problem in previous versions of SharePoint by enabling
document-level security. Now you can give a set of permissions to users and groups for
everything up to item level, including site, folder, document, list, or library.
Vendor Intangibles
For support, a key consideration is remembering
all of the details and nuances of SharePoint. In
reality, there is an excess of unique details and
quirks that ship with SharePoint. Youll want to
keep your own FAQ handy, running lists of bugs,
running lists of fixes, oddities, and end-user
instructions. Getting organized from the
beginning of the project will help down the road.
Intangibles
Support & Community
Strategy & Roadmap
1
3
4
1
3
Fortunately, finding good resources on the web should be relatively easy. There is a surfeit of
bloggers and forums inside Microsoft and out willing to explore the innards of
SharePoint with you in a way that you would never find with EMCs Documentum, for
example. The only potential problem here is that most SharePoint specialists tend to be more
up-to-speed on the portal and collaboration aspects of the platform, and less conversant in its
other capabilities particularly things that have radically changed in SP 2013, like search.
Anyone can download a trial copy of SharePoint and install and configure it for their own
environment; few other document management vendors will let you do that.
Strategy & Roadmap
The strategy for SharePoint is fairly clear and well defined in that Microsoft has recognized
that the huge volume of files its Office tools produced each day need to be managed. It is
somewhat ironic that the firm largely responsible for the electronic document chaos that we
see in most enterprises is now the firm asking to be trusted to sort-out the mess (for a price!).
There is pragmatism in the products strategy that we didnt expect to see ten years ago from
the same firm. SharePoint Foundation is the platform, and Microsoft obviously wants massive
market share with this product layer. Yet at the same time, Microsoft recognizes that the
services they can offer on top of this basic layer will only be a part of the story. Microsoft
depends on a huge channel of small development firms and consultancies to take their
products to market, so Microsoft treads a thin line between alienating this channel and
developing the out-of-the-box components that customers expect.

Services & Channels
To date, it appears Redmond has catered to its consulting channel base which in turn has
embraced SharePoint enthusiastically perhaps at the expense of the companys end-user
customers, many of whom have been surprised by the complexity of the platform.
There is probably no vendor that has a larger channel to market than Microsoft and
SharePoint has been much hyped, so the number of systems integrators in the field willing to
deploy and further develop this product set is larger than perhaps any vendor in this report.
The challenge for prospective licensees will be finding solid, experienced integrators, since
Redmonds channel tends to emphasize smaller consultancies that may not have broad
experience in SharePoint, though there are plenty of larger partners as well. This is not a
simple product, and the depth of expertise will likely remain shallow. Even if you have strong
.NET talent in-house, you should consider aligning with a consultancy that has gotten inside of
SharePoint and can help you avoid specific pitfalls.
Integration & Partnerships
Microsoft excels at building technology partnerships, and many other software vendors are
joining the SharePoint bandwagon. In the web space, third-party developers are creating elearning modules and taxonomy management tools. OpenText, Documentum, and other
vendors are collaborating with Microsoft to enable customers to use SharePoint as the frontend to their repositories. Even other Web CMS vendors with encouragement from
Microsofts international offices in particular are building connectors to the SharePoint
document repository.
Thus, if you already license a document management tool, you may have new choices about
the business user experience to present to your colleagues. For collaboration scenarios,
SharePoint may be more attractive than your incumbent document management tool is.
However, an important issue here is Microsofts tendency to turn to third-party developers for
fixes or enhancements for things like compliance, accessibility, globalization, hierarchical
taxonomies, and standard URLs. This is helpful because it takes advantage of the dynamism of
the ecosystem, but still it leaves customers exposed if Redmond develops a product to address
these shortcomings.
As a product set and as a company, it might seem that there is little to discuss around viability
and stability. Microsoft is a blue chip company, and if they fall, many will fall with them.
Likewise, SharePoint will be around for a long time to come, there is already an enormous
user base out there, and the demand for these services is likely to grow. In addition, the sheer
enormity of the SharePoint footprint will appeal to VARs and the underlying Windows
SharePoint Services will quickly become a popular platform for delivering content-rich
applications.
Licensing
SharePoint pricing is a bit complicated, but (to its credit) Microsoft is very open about it. The
on-premise version comes in three editions: Foundation, Standard, and Enterprise. Licensing
is further complicated due to a combination of licensing types (server or client access
licenses), and whether you buy software support.

Behind the firewall (i.e., for an intranet), SharePoint sells a combination of server and client
access licenses (CALs), listing at about $4,000/server, and about $100/seat per user or
device. The CALs come in two versions: Standard and Enterprise. Most larger enterprises will
want the Enterprise version. Note that you purchase the Enterprise CAL on top of the Standard
CAL, and you have to purchase the Enterprise edition for everyone, not just a small, privileged
group.
With SP 2013, Microsoft helpfully does not apply different licensing for external-facing sites.
Additionally, the FAST-ish search service is now included. However, you must apply full
licenses to any staging environments. Development environments must use MSDN licensing.
You must apply full licenses to any failover or staging environments (but not dev; thats
handled by MSDN licensing). Plan infrastructure very carefully; SP 2013 is considered more
hardware intensive than its predecessors were.
For SharePoint Online, the licensing is similarly variable. For SharePoint alone, licensing
ranges from $3-$7/month/employee, but there are volume discounts and additional savings if
you license multiple Office 365 services. Note that the cloud version of SharePoint may bring
other costs to your enterprise, including bandwidth and potentially VPN connections.
As mentioned throughout this report, you need to be aware that Microsoft SharePoint may not
suffice, and additional products from third-party vendors, as well as corresponding services
will affect total costs. Also note that many advanced SharePoint activities require other
Microsoft products to function properly (including, for example, users to be upgraded to
Office 2010). Again, these will need to be factored into the total cost of a SharePoint
deployment.
Conclusion
Basic file sharing collaboration at the workgroup level remains SharePoints biggest strength.
It boasts tight integration with MS Office, a broad and increasingly deep feature set, with
decent customization facilities and comparatively good information management services.
Document sharing is the hallmark of most team-based environments; as such, SharePoint is
particularly well suited to departmental scenarios.
SharePoints biggest shortcoming as an ECM platform is that, well, its a platform. With
enough time, money, and painkillers, you can develop business-friendly applications with it,
but at that point, you are wading into the same deep pool as IBM, Oracle, and EMC i.e., the
pains of a heavily customized system.
On the plus side, bevies of Microsoft consulting and software partners are prepared to sell you
various software modules to compensate for the products native shortcomings. Budget your
time and finances accordingly.
www.nuxeo.com
Vendor at a Glance
Specsheet
Nuxeo Platform 5.8 Summary
Geography
Primarily Europe
Whats New
Case Management is now part of the core platform

Some features have been standardized across DM and DAM modules
Nuxeo Drive for file sharing and sync
Strengths
Weaknesses
No packaged integrations with mainstream enterprise systems

Small company size limited corporate resources and geographic
coverage
Limited experience in the field: SI/VAR experience with the platform will
vary widely
Like Alfresco, dominance of Nuxeo the company may stilt broad
community growth
Collaboration features spread across DM and Collaboration modules
with very different interfaces
No native records management features
Potential Fit
Enterprise Content Platform, Document Lifecycle Management
Unlikely Fit
High-Volume Imaging, Information Governance
Compare to
Alfresco, Documentum, OpenText, EMC, Microsoft SharePoint, Box
Operating System
Linux, Mac OS, and Microsoft Windows
Repository
H2, PostgreSQL, MySQL, Oracle, SQL Server
App Platform
Apache Tomcat and Red Hat JBoss
Licensing
Open Source (LGPL). Nuxeo sells annual support (starting at US$15K)

and training plus development services
Ownership
Privately held; venture funded
Relatively modern, Java-based architecture

Open source, with commercial support
Provides both cloud-based and in-premise deployment options
Scalable from small workgroups to multi-hundred user systems
Broad ECM application development platform: plugin architecture
allows custom-developed solutions
Rapid company growth (from small base) bodes well for future

Summary
Scenario Fits
The Nuxeo Platform (Nuxeo) has

3
sprung to prominence mainly due to its
3
position as one of only two enterpriseProcess and Case Management
2
scale, open source Enterprise Content
2
Management (ECM)/Document
High-Volume
Imaging
1
Management (DM) systems (Alfresco is
Information
Governance
0
the other). However, thats not the only
reason; the Nuxeo Platform offers a
2
competitive and extensible platform that
provides capabilities for document
management, document-centric collaboration, and digital asset management. The products are
open source and can be downloaded for free. Nuxeo the company makes its money from
selling support, training, and development services to users of the product.
The product can be viewed in two different ways:
Nuxeo Document Management, as a capable and scalable out-of-the box DM system,
primarily for collaborative workgroup document management, with a very modern look
and feel. With only a small amount of configuration, you can set up a reasonably
capable DM system.
Nuxeo Platform (and arguably more important), you can deploy Nuxeo as an
application development platform. This is where its comparatively open orientation
toward Java standards could become a real advantage, for enterprises with the necessary
skills and experience to exploit it.
Nuxeo has many similarities with Alfresco in terms of technical features, approach, and
business model. However, while the UK-based Alfresco is quite popular in the Englishspeaking geographies, France-based Nuxeo is only catching up now. In fact, customers tell us
that Nuxeo still uses terminology thats uncommon in Anglophone world.
Aside from Nuxeo Platform and modules for DM, DAM, and Collaboration, Nuxeo offers
Nuxeo Cloud (its cloud-based platform), Nuxeo Connect (a subscription-based offering for
support), Nuxeo Drive (its file sharing and sync service based on Nuxeo Platform), and Nuxeo
Studio, its SaaS-based customization service.
Introduction
Nuxeo can lay legitimate claim as the original open source ECM vendor. The product can be
downloaded freely with payments to Nuxeo only for support and development services.
However, unlike some open source projects, Nuxeo itself essentially performs product
development. There is no broad community of committers.
Founded in France in 2000, Nuxeo the corporation is a venture-funded, smallish firm, with
around 50 employees, albeit with global ambitions. It has raised $9.5m to date, and the
company claims to be growing; it has 500+ customers with the bulk of them in EMEA. Nuxeo
is headquartered in Paris, where most of its employees are located and has offices in Brooklyn
NY (US headquarters), Boston, and San Jose, CA.
The Nuxeo project has gone through various guises. In its earlier days, it was the definitive
Zope ECM platform, followed by quite an abrupt shift to Java in 2005. The community was a

bit unnerved by the abandonment of Python in favor of Java, but in retrospect, the move made
sense.
In terms of visibility, Nuxeo has been eclipsed by Alfresco, owing to the latters investment in
marketing. Nuxeo invests comparatively little in marketing, though this is starting to change.
Nonetheless, the companys profile remains low. Nuxeo says the platform has seen more than
5,000 deployments to date, but (as with any open source project) its impossible to confirm
that number.
Nuxeo has the following key offerings:
Nuxeo Platform The base open source offering with basic document management
capabilities, with additional modules on top of the Platform, which include:
Document Management Adds advanced DM functionality to base module
Collaboration Adds features for workgroup collaboration
Digital Asset Management Adds DAM functionality
Nuxeo Studio A SaaS-based service for customizations
Nuxeo Mobile Provides iOS and Android mobile apps
Nuxeo Drive A file sharing, sync, and offline work service similar to Dropbox
Nuxeo Cloud A managed hosting service for Nuxeo Platform
Nuxeo recently changed its release cycle, and they now release once every year. The latest
release as of Dec 2013 was 5.8. There are 5 or 6 fast-track releases during the year, and once a
year, theres one major release. Fast-track releases are like incremental features and fixes;
major releases consolidate all fast-track changes.
Functionality
Functional Services
Document Management
Document Management
The base Nuxeo Platform (Nuxeo calls it

Naked Platform or Content Application
Platform) provides core document management
features such as main file types, basic metadata,
a tree navigation, and a spaces-based archetype
for collaboration. This usually suffices for
simpler use cases or if you use the Platform as a
repository where you build custom
applications.
RM and Archiving
BPM and Workflow
eForms
Mobile Access
File Sync & Offline
2
2
0
2
1
0
3
2
While its not the best in class (we know customers who have created their own user interface),
the standard Nuxeo user interface has been improved. The various tabs are dynamic and only
appear when relevant. Like most Java-based portals, the web client look and feel is theme
based and therefore swappable.
Nuxeo ships with a useful dashboard for users to see an overview of their workspaces,
documents, and workflow tasks. The interface is available in over 15 languages, including
French, English, Italian, Greek, and Polish however, there is a lack of consistent quality;
make sure you test your language well.

You add the Document Management module on top of Naked Platform to include more
advanced document management features, which include support for additional data or
content types, the ability to use tagging, more advanced metadata, and faceted search.
As with most other tools, you can create a new file based on predefined file types and then add
metadata to it. You can also drag and drop instead of uploading. You can do version
management and version control. You carry out all of these activities in a workspace, and
publish approved content into sections. Theres also a provision for forums and comments
within the Document Management module for basic collaborative file management.
Figure 68. The main document management interface shows a regular file/folder
hierarchy.
Other standard features such as check-in/out and preview are available. A nice feature is the
ability to annotate content while previewing. These annotations can be indexed for search.
Users can subscribe to document events (such as when a document is edited or modified), and
users will be alerted when a specific event happens.
The Nuxeo system supports a rich document model, with compound documents defined
through document component relationships and documents with attachments diagrams and
appendices. A relationship is a way of linking documents using arbitrary relationships. You
can define your own relationships as well. Document relationships can be mandatory or
optional, and the relationships can be to a document or an individual version of a document.
Versioning is supported.
Documents get stored within domains, which in turn are segmented into workspaces,
templates, and sections. Nuxeo documents have a lifecycle across four states: project,
approved, obsolete, and deleted. The lifecycle state determines which actions are available on
the document. For instance, publication can be available for approved (valid) documents only.
Documents are published to sections areas viewable to users outside the workgroup. This
is a nice touch and has a lot of applicability for longer documents and manuals, whereby one
can release and effectively publish sections (yet keep other sections closed) of the document to
specific users, without editing the whole.
Youll find integration with MS Office, which means you can open a Word document directly
from Microsoft Word, edit it, and directly save it in the Nuxeo repository.

Curiously, Nuxeo has embedded its own bespoke search engine into the platform. It works for
common search use cases, but you will probably need to consider an external search engine
like Lucene if you require more sophisticated search features.
Figure 69. The version-compare feature shows changes with highlighted text.
For shortcomings, youll likely be disappointed with Nuxeos browser-based document
handling capabilities, especially when it comes to handling multiple files simultaneously. For
example, previewing documents completely loses the formatting for many file types.
Similarly, the document compare feature is more like Microsoft Word change track mode,
and doesnt provide a side-by-side visual comparison of two versions. Similarly, theres no
way to check-out multiple documents at once. You have to download and lock them one at a
time. You cant upload multiple files using the interfaces form upload, and to drag and drop
files there are browser limitations (such as the need to install a plugin for Internet Explorer), or
you must use alternate interfaces (WebDAV is supported). Additionally, folder upload is
supported only in Internet Explorer.
Another key shortcoming is that some of the features are per repository and the repository is
not multitenant by default. Thus, if you have to use Nuxeo for multiple departments (with
proper isolation of content, users, schema, and so forth), you will need to do a workaround,
license an add-on, or license multiple repositories. This will increase your licensing costs and
create additional overhead.
Document Collaboration is an additional module that you install on the Naked Platform and
Document Management module.
The collaboration interface is a very different interface from the Document Management
interface. It looks like a dashboard with different widgets that displays news, accessible
workspaces, activity streams, and so forth. These are open social widgets and you can create
your own widgets via functionality on the dashboard. The dashboard is completely
customizable, and the interface is like a dashboard interface (widgets et al.).
Figure 70. The collaboration interface is a dashboard-type view.

There is support for activity streams, comments, and displaying news items. You can manage
collaborative workspaces either at the user or group level. In addition to collaborative
authoring, formal routing and workflows for approval cycles and processing are available. The
definitions of users, roles, and company hierarchies can be entered directly or can be picked up
by the system from one or more LDAP servers. The Nuxeo system also provides a document
comment facility, which works like an online forum.
To be clear though, Nuxeo is not positioned as a SharePoint killer; rather it provides document
collaboration-style capabilities that can be extended to include very usable case management
functions. The Web 2.0 functions seem more of an afterthought than much of the Nuxeo
platform, but then again so do they in most ECM products. What it does well is apply strong
controls (where required) to documents, yet allows users and developers the ability to create
advanced workspaces.
The key shortcoming here is that the collaboration functionality is spread across two interfaces
document management and collaboration and the two interfaces are very different; the
collaboration interface is a portal-type interface with widgets, and the document management
interface is more like a traditional file management interface without widgets. The
collaboration interface is essentially a set of open social widgets on top of document
management. If you need to do anything beyond simple actions, you have to switch to the
document management interface, which is not a seamless experience.
Nuxeo offers nothing out of the box for records management.
Nuxeo comes with a pre-configured serial and parallel workflow. You can create new workflows
using Nuxeo Studio, a user interface targeting technical users and administrators. Studio provides a
canvas-type interface where you can lay-out tasks and interconnect them.

There is also a facility for dynamic (ad hoc) workflow creation an administrator can route a
document without prior workflow setup.
Figure 71. You can create new workflows using Nuxeo Studio.
Studio is a SaaS-based offering from Nuxeo, so even if you have installed Nuxeo on-premise,
you still need to use Studio as a SaaS-based service. This can have some important
implications on security, access, and integration issues. In addition, you cant use desktopbased tools (such as Visio) and other third-party, standard-based tools to create workflows and
import them into Nuxeo.
In earlier versions, Nuxeo had a separate module called Case Management Framework
(CMF). They have now integrated its key technology into the core Nuxeo Platform. Now,
Nuxeo essentially treats case management in the same manner it does for workflows using
Nuxeo Studio. As a result, you create a workflow and add users and content to it.
Document imaging is not native, and therefore typically requires a separate, partner
application an example is Xerox which can be linked to Nuxeo through workflow or the
application integration (plugins) route. Direct capture of office documents (e.g., Microsoft
Office) is supported: the web client allows for simple drag-and-drop import.
Rendering of documents comes from third-party tools ImageMagick and JAI as image
processing engines. Distributed (grid) computation is available for high-volume image
processing, thanks to the Mistral library.
eForms
Nuxeo only supports very simple forms-based document capture using a combination of
layouts and widgets. Buyers requiring more advanced forms of creation and management
functionality will need to look elsewhere.

Mobile Access
Like most other tools at this tier, Nuxeo provides native mobile apps for Apple iOS and
Android devices. It provides no apps for BlackBerry, Windows, and other mobile operating
systems.
The mobile apps are open sourced, so it is relatively easy to customize and extend them. This
is a shortcoming for most other tools mobile apps. Nuxeo has an advantage here.
The mobile apps let you browse, preview, search, and edit documents. However, the mobile
apps functionality is mostly for document-related activities and is not suitable for more
general-purpose collaboration.
Nuxeo Drive is Nuxeos offering for file sharing and bi-directional syncing between the
desktop and Nuxeo server (and offline work). It is similar to what Box, Dropbox, and other
cloud-based file sharing tools provide. Nuxeo Drive uses Nuxeo Platform as the back-end.
Nuxeo Drive is relatively powerful; it can handle documents selectively based on their
lifecycle or content type. It can also handle conflicts and supports Windows, Mac, and Linux.
Nuxeo Drive itself has no mobile device apps. However, you can use Nuxeos mobile clients
in conjunction with Nuxeo Drive, but this is without advanced capabilities such as remote
device wiping when an employee leaves or a device is lost. An additional shortcoming is that
you cant select arbitrary folders on your desktop for syncing. You have to designate a specific
folder (inside the Nuxeo Drive Folder) and move files/folders into that folder. It is for syncing
folders on Nuxeo, not for syncing arbitrary folders on your desktop.
Additional Features
Nuxeo also provides Digital Asset Management (DAM) features. In fact, DAM is an
additional module that you can install on top of the Naked Platform and Document
Management modules. All assets within the DAM module are displayed in a flat structure
without any hierarchy. You can create a storyboard when you upload a video and then query,
use tag clouds, query by tag, and so forth.
Nuxeo provides a marketplace with several additional modules that you can deploy on your
Nuxeo installation to extend functionality.
Figure 72. The Nuxeo marketplace provides additional modules.

Technology
Architecture
Technical Services
At the base of the Nuxeo stack lies Nuxeo

Runtime, a component that handles the hosting
Architecture
of Nuxeo on various Java platforms. Nuxeo
Cloud Services
Runtime makes use of the OSGI (Open Services
Security
Gateway Initiative) dynamic component model
along with various adapters to run POJOs
(plain old Java objects) and Java Enterprise Components such as EJB or MDB.
2
2
2
2
3
2
Above this sits the Nuxeo Core and Foundations which contains various functional
components. At the foundation level, these consist of caching and user interface components.
The services level contains workflow, document management, and other repository services.
The core content processing mechanism in Nuxeo relies on its internal workflow and rulesbased engine. Nuxeo Service Platform runs on Tomcat, thus removing dependencies on the
JBoss application server (but still leveraging JBoss components); JBoss is still supported.
There is native runtime integration with Active Directory and LDAP. In addition, Nuxeo can
support virtual directories where, for example, access to multiple LDAP servers can be
managed as a virtual whole. The system complies with JAAS for distributed authentication.
Unlike some of its competitors, Nuxeo does provide a REST API and encourages development
of RESTlets via the RESTlet framework. (Although there are plans to replace this with JAXRS.) WSDLs are supported out of the box for repository and workflow services. Overall
Nuxeo is a very friendly Web Services offering.

The Nuxeo repository is Visible Content Store (VCS), its homegrown CMIS standardcompliant repository. Nuxeo introduced VCS with release 5.2 as the default repository, and as
an alternative to the previously used Apache Jackrabbit repository. Jackrabbit (the JCR
repository) was later discontinued with Nuxeo 5.4, released Q4 2010. Nuxeo claims that VCS
delivers a number of improvements over Jackrabbit including performance improvement,
support for clustering, tagging, and join queries. Another VCS advantage claimed by Nuxeo is
that it allows direct access and manipulation of data through SQL but do you really want
your users to access the ECM repository directly? While VCS has been around for a while, we
recommend that you test it for your requirements.
With the introduction of VCS, search now comes directly from the VCS repository. The search
queries and their results can be output as an RSS Feed for monitoring changes to the document
base. It provides a combination of relational querying and full-text search. In addition, the
Lucene open source Apache module can be plugged to the repository.
It is also possible to install a different search engine of choice, such as Sinequa or Exalead,
Nuxeo offers connectors for both of these. Nuxeo now also supports the OpenSearch standard,
potentially reducing the need for connectors to other repositories.
Nuxeo Core features two storage back-ends as plugins: CMIS and a native repository API.
You can choose to develop the CMIS standards-based custom connector, or use the native
repository-based REST APIs to integrate with other applications. The API offers NXQL, a
SQL-like query engine that makes it intuitive for development. A document import/export
facility is also available.
There are limited out-of-the-box integrations to standard business systems available unlike
several of Nuxeos competitors and a custom solution must be created. The key integrations
supported out-of-the box are Amazons S3 storage, Google Search Appliance, and there is
reporting integration with BIRT, Hippo, Liferay Portal, and a few others. Some current
deployments include links to applications such as SAP the integration done by the relevant
Nuxeo SI or VAR.
Nuxeo IDE is Nuxeos integrated development environment. It is based on open source
Eclipse IDE.
Figure 73. Eclipse-based Nuxeo IDE.

Much of Nuxeos utility will come as an ECM back-end to other business applications. To
achieve this, Nuxeo offers a number of development options. In fact, Nuxeos APIs are
considered quite comprehensive.
Web Services: REST and SOAP Web Services are available and extensible to other
applications. For example, all basic ECM services are available using this approach (i.e.,
the Search Bridge component, used by search vendors to index content in Nuxeo).
LDAP/AD Connectors: Available and configurable for authentication and user
directories
Java API: Developers can connect their apps to the platform using the remote Java API
Plugins: Nuxeo claims its plugins are easy to write and can help integrate external apps
with the Nuxeo Platform
Like many vendors, Nuxeo stresses configuration as opposed to development. Nuxeo Studio is
Nuxeos primary configuration and customization environment available to users as a SaaS
offering as part of the Nuxeo Connect subscription. The web-based environment provides a set
of tools that allows users (administrator, developers, and business users) to customize the
Nuxeo implementation without exposure to the complexities of the platform. These
customizations then can be downloaded and deployed into your implementation. As
mentioned earlier, Nuxeo Studio is a SaaS-based offering and cannot be installed in-house.
There are multiple interfaces for different activities related to administration, configuration,
and management, which can be confusing. The main interface is Admin Center, which you can
access via a link from the user interface. Admin Center allows you to manage users and
groups, themes, changed workflow properties, define vocabularies, and view system activity.

An administrator can set defaults for dashboards and decide what gadgets will display on
dashboards. This is more like a technical administration area.
Figure 74. The admin console for day-to-day maintenance.

Another aspect of configuration and management is the ability to define new content types,
create new workflows, or make other system configurations. You do this via Nuxeos SaaSbased offering, Nuxeo Studio.
Youll find very limited capabilities for reporting out-of-the-box, using end-user analytics or
system health-related reports. Nuxeo can help you create your own reports; for system metrics,
Nuxeo integrates with the Coda Hale (Yammer) Java library to give access to number
system metrics that can be exposed via JMX, or exported to CSV files. For end-user analytics,
Nuxeo offers an Eclipse BRT plugin or you can integrate with BI tools such as Tableau or
GoodData.
Cloud Services
Nuxeo Cloud provides a hosted service for Nuxeo products. Remember, it is managed hosting
and not a SaaS-based offering; only Nuxeo Studio is a SaaS-based offering.
Security
An administrator can define users and groups within Nuxeo. You can also integrate with some
external LDAP systems, but test this aspect well with your existing user stores; not all LDAPs
are the same.
Figure 75. You can manage users, groups, and access permissions from the Admin
Center. Source: Nuxeo.
By default, there are three groups: members, power users, and administrators. A group can
have sub-groups too. You combine groups and users with access permissions (such as read,
write, manage, remove, and version) to manage access on workspaces.
Vendor Intangibles
The Nuxeo Platform in its out-of-the-box form
could well appeal to the mid-sized business
market. However, Nuxeo the company is working
mightily to appeal to larger organizations as these
are the ones who will likely pay for support and
development which is what earns Nuxeo its
revenues.
Intangibles
Support & Community
Strategy & Roadmap
2
2
3
2
2
These organizations are also likely to want customized solutions and thus will be utilizing
Nuxeos partners who will in turn be likely to promote the product on Nuxeos behalf. So
Nuxeos product strategy is to increase the systems appeal to those companies who are
looking to embed document management capability in a modern, standards-and SOA-oriented
custom application. The company targets an unusually broad range of markets including the
energy, finance, press, distribution, manufacturing, and defense markets, plus government
departments. Perhaps consequently, Nuxeo offers little of specialized interest to any one of
those markets, through presumably over time VARs will fill this gap.
While around half of its current clients are in Nuxeos home country of France, the companys
global ambitions are underscored by the products availability in ten languages including
Arabic, Japanese, Russian as well as French and English.

As an open source software company, Nuxeos revenues come from services rather than
license sales. It offers both support services, subscription-based services like Nuxeo Studio
and professional services. Nuxeo claims that custom application development is primarily
provided by Nuxeo partners except when it involves developing new features.
Nuxeo offers training and support for application development (Connect Project) and for ongoing system use (Connect Operation). (The latter operates 24x7, in English or French.)
Nuxeo offers different levels of response time and incremental support services (e.g., system
tuning) at different fee rates. Software bug fixes and online access to a knowledge base are
provided as part of the support services.
Nuxeo has a formal partner program, and has developed a partner list of systems integrators
who have built systems for their major corporate customers based on the Nuxeo platform.
However, you should understand that most of these systems developers, like Nuxeos business
as a whole, dont have a global footprint.
Nuxeo has a support and development community that sees a lot of activity, due in part to the
fact that its software is available under an open source LGPL license scheme.
For peer support, theres a customer extranet at connect.nuxeo.com. Subscription customers
use this as their entry into support services. Annually in Paris, France, Nuxeo hosts Nuxeo
World, a global gathering of the Nuxeo community. Nuxeo also manages an open, online
community at http://community.nuxeo.com/. Community resources include a Q&A site
(answers.nuxeo.com), a documentation site (doc.nuxeo.com), and a public bug tracker
(jira.nuxeo.com).
Nuxeo was a self-funded company until it first raised VC funding in December 2008; it
continues to be small (about 50+ employees) but it is growing in terms of customers and
revenues: around 40 percent year-on-year. It has raised $9.5M to date. This actually
approaches a range where a prudent customer will track stability (as opposed to viability)
more carefully amid all the new hires. The company says platform downloads are up 130
percent year-on-year.
Initially focused on France and parts of Western Europe, Nuxeo is now headquartered in New
York and Paris. The product development and R&D is centralized in Paris, while marketing is
driven from the U.S.
Licensing
The product is available for free download under the conditions of the LGPL license (GNU
Lesser General Public License see http://www.gnu.org/licenses/lgpl.html). This of course
comes without commercial support.
There are a few options for obtaining Nuxeo support. Nuxeo Connect is Nuxeos support
subscription program. As part of this offering, Nuxeo offers maintenance, support, and Nuxeo
Studio (its customization as a service offering). This offering comes in 4 flavors Base,
Silver, Gold and Premium, starting at $15K, $25K, $38K, and $89K per annum respectively.
Theres only 1 repository and 1 studio project included in this price, and you typically need to
buy additional repositories and projects particularly if you are using Nuxeo in a large
organization.

Nuxeo Cloud is the cloud-based offering for Nuxeo Platform. Nuxeo Cloud is a managed
hosting service where Nuxeo hosts and manages the installation for you in its data centers for
a monthly fee. Nuxeo Cloud starts at $1,950 per month for the Business Edition and can
support 100 concurrent users. The Premium Support package is additional and starts at $1,080
per month.
Customers tell us that they couldnt imagine working without the Nuxeo Connect subscription;
as with most open source vendors, the documentation is not extensive and you will need
support from the vendor. In addition, customization to the Nuxeo implementation without
Nuxeo Studio would be quite complex and time consuming.
For anything more than a simple, out-of-the-box implementation, include the Nuxeo Connect
subscription that starts at US$15,000.
Conclusion
Nuxeos flexibility as a development platform and the capability of the underlying document
repository system makes it applicable to a wide range of usage scenarios and industry types.
The flip-side of this is that there is no area where it stands out as head-and-shoulders above all
competition the applicability is often dependent on the way it has been implemented.
There are no particular packaged applications to address any of these business scenarios or
industry sectors. Most of its applications today are custom applications requiring a highcapacity and functional back-end DM system e.g., in military applications. A key strength
of Nuxeo is the ability to define a highly flexible content model, which renders it suitable for
customers who want to create their own applications based on specific content models,
metadata, and vocabularies.
In our view, the most likely business scenarios where it will excel as an out-of-the-box
solution are those akin to workgroup document support. It can support this type of application
without custom development being necessary only configuration and setup.
Nuxeo is a very modern document management platform with extensive capabilities and the
advantage (for some) of a services-oriented approach and the open source licensing model.
While some customers will value its out-of-the-box capabilities, we expect that most users
particularly those Nuxeo wishes to appeal the most (i.e., large corporations and government
organizations), will want custom applications integrated with their other systems and
embedded with content management facilities. Such customers should recognize that the lack
of up-front license costs (while beneficial) is secondary to the costs of support and
development. Nuxeos modern, open systems architecture will be advantageous in
encouraging cost-effective integrations, but at the same time, up-to-date skill sets in the open
systems arena is a must for effective development with Nuxeo. Customers must ensure that
they have identified where this talent is located and have access to it, either internally or in
partner integration companies.
Finally, Nuxeo is mainly a document management platform and is therefore not suitable for
records management, compliance, and other similar scenarios. Its lack of imaging and
scanning features also render it unsuitable for capture-oriented scenarios.
www.opentext.com
Vendor at a Glance
Specsheet
OpenText: Content Suite 10.5 SP1 Summary
Geography
Global with particular strength in North America and Europe
Whats New
Major service-pack release adds new administrative features

OpenTexts TempoBox file sync-and-share service is now a free add-on
to Content Suite
Strengths
Good storage management and storage-vendor agnosticism increases

your infrastructure flexibility
Generally does not lock you into specific lower-level platforms (as EMC,
Oracle, and IBM are inclined to do)
Vendor is traditionally strong on regulatory compliance use cases
Offers a wide variety of industry- and business-specific solution sets
Provides comparatively strong records management services, including
physical records management
Cloud-based TempoBox service is now free to on-premise licensees
Known for good integration with SAP and Oracle ERP suites
Weaknesses
Wide array of overlapping technologies and products makes solution

identification fraught with error and pandemic customer over-spend;
multitude of products also elevates vendor abandonment risk
User experiences across the ECM Suite are extraordinarily archaic and
buggy, and the company seems disinterested in fixing them
BPM is a separate offering from ECM with considerable, unnecessary
overlap
Traditionally weak customer/partner extranet mitigates against peer
support
Company traditionally more interested in acquiring software for new
maintenance streams, rather than building coherent technology stacks
out of its existing portfolio
Weaker global SI partnerships than its competitors
OpenText has a frustrating habit of packaging many significant
innovations (such as modern UIs) into optional products that must be
licensed separately
Potential Fit
Information Governance, Process and Case Management
Unlikely Fit
Basic Document Lifecycle Management, Enterprise Content Platform,

Compare to
IBM, EMC, Alfresco
Operating System
Windows, Solaris, Linux, IBM AS400, and UNIX
Repository
Proprietary repository with preference for Oracle to store metadata
App Platform
Dependent on particular module: primarily .NET and Java

Specsheet
OpenText: Content Suite 10.5 SP1 Summary
Licensing
Per-named-user licensing model; Content Suite is US$175,000 for the first

100 users. Most customers will need to license a plethora of optional
modules.
Ownership
Public (NASDAQ: OTEX, and Toronto Stock Exchange: OTC)
Summary
OpenText sells a wide range of different
ECM products that can be compared to
those of IBM, Oracle, and EMC. Growing
primarily via acquisitions, OpenText is
the largest of the remaining
independent ECM vendors, with 50,000
installations in 114 countries, with annual
revenues in excess of $1.35 billion.
Scenario Fits
High-Volume Imaging
0
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3
1
Over the years, OpenText has become a

serial acquirer really more of an example in financial engineering than technical
engineering. Key acquisitions include EasyLink, Vignette, Gauss, Artesia, IXOS, Global 360,
Metastorm, Hummingbird, and GSX, among many others. Although some of these
acquisitions were excellent standalone products, most of them had also made acquisitions of
their own (most notably Vignette and Hummingbird). Several years into this journey,
OpenText has not fully integrated them, or finished sorting out how to deal with substantial
product overlaps. Realistically, OpenText will never fully integrate many of these acquired
products; instead, they will continue to run them as standalone entities, each with distinct
customer bases, while continuing to generate lucrative maintenance income.
To be sure, some pieces of the ECM OpenText puzzle can work well together; for example, the
vendor tends to integrate records management services fairly well across its product set. The
sheer number of different products and OpenTexts apparent indifference to develop a true
winner out of any of them has led to a comparatively unhappy customer base in recent years.
In an effort to provide a way to navigate this cornucopia of products, OpenText has pulled
together some elements to form a core ECM product (the key focus of this evaluation), while
designating others as standalone content management offerings.
Today, OpenTexts major suites are:
Content Suite Based on Content Server (ne Livelink), the flagship enterprise ECM
product
eDocs The legacy Hummingbird product for smaller or specialized implementations
RightFax A well-established product
BPM Via legacy Global 360 and Metastorm
OpenText is a less significant player within WCM and DAM, and has abandoned enterprise
search as a standalone solution.

Consider OpenText if you are more interested in specific applications particularly those that
need to integrate closely with SharePoint and SAP in lieu of the herculean task of building
base content infrastructure for your overall enterprise.
Going forward, OpenText seems poised to keep acquiring other companies, rather than
investing heavily in its own product development. Were not sure this strategy is sustainable;
therefore, OpenTexts institutional future remains unclear. Be ready for a potentially bumpy
ride.
Introduction
OpenTexts roots started in the text search and retrieval technology market in 1991, emerging
from a Canadian university project. Since that time, the company has grown mainly through
acquisition and has been consistently profitable since about 1999. Overall, the Company
supports 60+ million users in 114 countries and 12 languages worldwide. FY 2013 revenues
were $1.62B.
As noted previously, the firm has grown primarily via acquisitions over the years, and as a
result has offices in many locations, though its headquarters remain in Waterloo, Canada.
In December 2013, OpenText changed the name of its core offering, now calling the overall
solution, Content Suite Platform. It consists of following modules, which you buy la carte:
Content Server: This is the base content management platform and provides features
for document management, workflow, search, forms, and reporting
Records Management: For managing records, both physical and electronic
Enterprise Scan: For imaging, scanning, and viewers
Archive Server: For long-term archival
Enterprise Connect: For accessing OpenText from desktop products such as Microsoft
Office
OpenText Directory Services
OpenText ECM Anywhere: For mobile access
OpenText Content Intelligence: An auto-classification engine
OpenText Template Workspaces: Some pre-built workspaces for different
departments like Finance
OpenText Extended ECM for SAP Solutions or Oracle E-Business Suite
OpenText Application Governance & Archiving for Microsoft SharePoint
TempoBox: OpenTexts cloud file-sharing offering
WebReports: For reporting and some workflow services
Various other applications and add-ons for specific use cases
The current version is OpenText Content Suite 10.5, which was released in December 2013.
The vendor has followed up with minor quarterly tweaks, the most recent (in December 2014)
significant enough to get a Service Pack designation (SP1). This latest SP brought improved
cluster management and a wider REST API. OpenText announced that TempoBox would
become freely available for any customer upgraded to version 10.5.

Functionality
Functional Services
Document Management
Document Management
Here, well focus on Content Server, though for

some use cases, OpenText may pitch you the
separate eDocs product formerly from
Hummingbird.
Overall, Content Server can serve up some sort

of offering for nearly any aspect of document
management, including records management
and email management.
RM and Archiving
BPM and Workflow
eForms
Mobile Access
File Sync & Offline
3
1
3
2
1
2
1
3
In the core platform, you organize documents in

workspaces, which can be project-specific, enterprise-wide, and personal. The documents
themselves reside in a traditional folder-file-document hierarchy, and you can navigate or find
documents based on metadata or a custom taxonomy.
Figure 76. Document Thumbnails can be generated for files in Content Server.
Other features such as versioning, document ratings, audit trails, search, check-in/out, and
other standard features are supported.
OpenText supports compound documents a document container that contains other
documents or other compound documents (albeit not very smoothly). The compound
document can be versioned and can link to different versions of sub-documents that are part of
it. This is a useful feature particularly when multiple people work on different parts of
documents that are part of the same deliverable. However, it requires a fair bit of user
education to work smoothly, and the systems behavior can be quirky. You wouldnt want to
depend on it for heavy usage.
Figure 77. Content Server now supports drag-and-drop uploads, and you can select
multiple files from your desktop and drag them into Content Server.
If you license OpenText Enterprise Connect, you have the ability to open and edit documents
directly from desktop applications such as Microsoft Office and Adobe. Using these, you can
edit offline and sync whenever you go online. It offers a Windows thick client that allows for
drag and drop, and it works reasonably well in Outlook (where it occupies a lot of screen real
estate). However, it remains quite kludgey in Word and Excel.
Document search used to be a strength of this vendor, but a lack of R&D over the past decade
has made this an area of comparative weakness. On the plus side, you can obtain faceted
results, but the system over-relies on an underlying SQL store, leading to chronic performance
issues among the customer base. Test carefully.
OpenText had been an earlier leader in some of the document-centric collaboration efforts, but
the company has since ceded most collaboration to Microsoft. In many cases, the offerings
were technologies in search of business problems and the attempts to be an entire knowledge
center within an organization were largely proven to be overly ambitious.
However, OpenText deserves some credit for learning from its social experiments; today some
of these features have seeped into the Content Server environment, providing some
collaborative services to ECM and BPM operations without forcing users into an environment
dont really want to use. The new features are more subtle and the result is a more natural work
process collaboration than OpenText has ever had before. It wont replace pure collaboration
tools, but it might help your document management efforts.

OpenText has a concept of
project workspaces where
you organize documents,
rate them, comment about
them, and manage
assignments. Typically,
these assignments are
event and task based; i.e.,
they have a start and end
date, have a set of tasks,
associated users, and
documents (example: a
legal team that works
together to support an
investigation). You create
a team, assign tasks to
them, and go through the
whole process. However,
this is more case
management than it is
broader collaboration,
which youd have to
Figure 78. There are task- and assignment-based
license as a separate
collaboration options.
module (OpenText
Extended Collaboration) or look elsewhere. OpenText Extended Collaboration adds support
for polls, forums, blogs, wikis, chat, event calendars, and other such features. However, it has
not had great traction in the marketplace.
Records management is a mature function within the OpenText product set. OpenText moved
into the records management market when it bought PSSoftware (iRIMS) in 1999 and
incorporated its iRIMS software into its Livelink ECM product as a module. OpenText
Records Management (the rebranded Livelink ECM Records Management) is the primary
records management alternative offered by OpenText. The current product has certifications
for certifications such as DoD 5015.2, US FDA 21 CFR Part 11, SEC Rule 17a, VERS, and
Section 508.
OpenText RM is a foundational element of the Enterprise Library and it embeds basic RM
capabilities in the OpenText Enterprise Server, enabling lifecycle management of electronic
records within OpenText ECM Suite as well as electronic records created outside of OpenText
ECM Suite. Folder-based retention is very straightforward and more natural than SharePoint is
to an RM specialist. Helpfully, you can track a variety of activities, including auditing whether
someone did or didnt view a particular document.
Figure 79. Records management interface in Content Server.

OpenTexts ECM Suite works on the concept of one logical Enterprise repository or virtual
repository for document and records management, and the RM module ensures that your
corporate records management program is applied to all corporate records while content is
created and managed. OpenText has made progress in the records management integration into
other systems to integrate emails and other content (such as Content from SharePoint or SAP)
into the records management process without changing the user experience. For an ECM
platform, Content Suite is particularly good at email archiving.
Beyond OpenText RM, OpenText sells a few other RM tools of note. When OpenText
acquired Hummingbird, it also gained a variety of records management pieces that were in the
process of being consolidated into the broader OpenText ECM Suite family. Most notable
among these was LegalKEY, a dedicated module for the legal sector that provides RM
capabilities across documents and email, along with strong search to find specific records and
associated information. LegalKEY is only sold to law firms and has been rebranded as
OpenText RM, LegalKEY Edition. Likewise, OpenText offers other niche RM solutions that
are targeted at very specific markets like DOMEA for companies operating under German
regulations and R/KYV for UK government agencies.
OpenText also offers an optional auto-classification tool to its records management tool set.
This is based on technology from the 2010 acquisition of Nstein and it is the first formal
integration between OpenText legacy products and this newly purchased semantic technology
provider. OTAC allows records managers to use existing file plans and, via an external
application, train exemplar documents against each node within the plan. Once applied, this
is designed to allow documents to be correctly classified within the file plan without user
intervention. Note that today, this technology is primarily used against OpenTexts email
archive and has had limited application to document-based records.
OpenText has communicated very specific scenarios where customers should still consider the
otherwise legacy eDOCS solution for records management. You should only choose this
option if you already manage documents in the eDOCS DM repository and have no plans to
use the Content Server repository or OpenTexts archiving capabilities. eDOCS is not cuttingedge technology and (at best) is only used for smaller departmental implementations. Thus,

you should probably not consider eDOCS for new projects. OpenTexts layoff of a large
number of eDOCS management and sales staff in early 2014 reflects the caution required.
OpenText has also developed an RM solution for the public sector with SAP, which has been
DoD 5015.02 certified for use with SAP (separate from the standalone 5015.02 certification).
In addition, OpenText sells a dedicated RM and archiving solution for SAP that the company
claims is the only certified and dedicated solution for the SAP environment.
OpenText Content Server has built-in workflow capabilities. A new visual workflow builder
replaces the old applet-based workflow designer. It uses a BPMN 2.0-based look and feel for
symbols. OpenText offers an additional module called OpenText Extended Workflow that
adds advanced features. However, OpenText does not make it clear what is available by
default and what is available as part of Extended Workflow. In both cases, you have no access
to a workflow dashboard, unless you code using the optional WebReports module.
Figure 80. The new workflow designer does not depend on applets.
If you need full-fledged BPM capabilities, you need to consider Process Suite, OpenTexts
BPM set of offerings. Process Suites key product is OpenText Cordys, which provides BPM
and case management capabilities.
Because this is OpenText, youll find more than one BPM offering; they offer OpenText
MBPM (formerly Metastorm BPM) and OpenText Process360 for SharePoint.
OpenText Process360 is an integration point between Process Suite and Microsoft SharePoint
to facilitate offline processing. In fact, OpenText products can be exposed through SharePoint,
and SharePoint content can be used as part of the process, effectively providing BPM
capabilities within a SharePoint environment.
On the plus side, OpenText has combined a lot of functionality from its BPM acquisitions to
create a broad array of industry-specific solutions that you often have to build from scratch in
other platforms.

However, as elsewhere with OpenText, you may struggle to distinguish among its separate
product lines as the company goes through a process of rapid consolidation especially for
these vertical applications. Among the partner ecosystem, there is a lot of confusion about
what tools in which they should invest their efforts; for example, OpenTexts Contracts
Management application runs off its BPM suite and not its ECM suite.
Process Suite provides standard workflow capabilities to map both human- and data-centric
processes. It has good capabilities for managing parallel and sub-processes, and provides
standard audit, analysis, and reporting capabilities.
More so than most ECM vendors, OpenText uses the Process Suite as an integration tool to
manage processes among ERP, CRM, and other business data systems, and it offers multiple
pre-configured interfaces into common business applications. Process Suite usually works in
conjunction with imaging and capture processes for tasks such as accounts management, and it
integrates into SAP so that you can view and manage SAP invoice processes that utilize
captured content.
Extended Workflow, in contrast, is a forms-centric workflow system. Extended Workflow also
has a decent modeling interface, albeit somewhat technical and once again, there is no Visio
integration for the business analyst.
Though more limited in capabilities than Process Suite, the forms approach works well for
many document-driven processes, providing notifications to users as tasks are assigned with
good reporting and support for electronic signatures. Of particular note is the focus on XML
for the creation of electronic forms with the use of drag-and-drop form objects and preconfigured tasks to add calculations, database field lookups, and field pre-population.
In terms of case management, OpenText again has multiple offerings: OpenText Cordys and
OpenText Case 360 based on Cordys and Global 360 acquisitions respectively. OpenTexts
strategy for case management is not completely clear; the vendor continues to try to digest two
significant companies. Today, the tangible efforts have been new industry-specific case
management packages. While these solutions represent a decent start, they still only leverage a
fraction of the capabilities from the companies OpenText has acquired.
What we do know is that the former Global 360 product suite provides BPM (Business
Process Management), case management functionality, and technology that integrate deeply
with SharePoint. Essentially, Global 360 provided integrated applications that enhance (and
essentially replace) the workflow functionality with much more extensive and powerful BPM
capabilities. In practice, this allows you to build complex, case-centric business applications
using the SharePoint platform as a foundation. Best known in banking and insurance, the firm
also provides in-depth expertise for public sector organizations building citizen-driven, selfservice applications.
What distinguishes this particular offering is that it is essentially a very usable applicationbuilding toolkit designed to understand transactional processes. For example, a business
analyst could build a sophisticated invoice dispute management application with only limited
use of IT resources. Although the product isnt quite as simple to use as the marketing might
suggest, it is nonetheless one of the better SharePoint add-ons we have seen, and lifts typical
SharePoint usage to the sophistication level of EMC Documentum or IBM FileNet.
Formerly known as eiStream, Global 360 was around for many years and emerged from a
number of merged and acquired firms including Kodak, Keyfile, and Identitech. As a result,
Global 360 actually had a large portfolio of products and services, and many are not

SharePoint-centric. Many of these products were direct competitors to OpenText and users of
these products should expect to be offered migration deals. In any case, long-term support for
products other than Global 360s BPM tools should be assumed to be at their effective end of
life.
OpenText has created entire vertical applications around case management using these tools.
Ranging from health care to accounts payable, these specialized case management
applications can reduce the time to deploy and, in some features, provide good benefits that
are not usually available in generic offerings from other vendors. One note of caution: Other
vendors have tried these vertical product offerings and had difficulty coming up with a onesize-fits-all model. The result has been products that do not get long-term upgrades or have
forced rigid process changes in order to fit the software. OpenText has done some good work
in this area and made a large corporate commitment but buyers should remain cautious.
OpenText Imaging provides a solution for capturing documents from scanners, faxes, and
other sources. It is integrated with other OpenText components such as Content Server,
Workflow, and Archive Server.
It has the following components:
Enterprise Scan: This is essentially an integration with Kofax Capture. This

Windows application enables users to capture black and white and color documents
from scanners via ISIS or VRS, from fax via Microsoft Exchange or Lotus Notes,
and from external file systems. For batch import, OpenText offers a batch import
interface called Document Pipeline that can ingest more than 20,000 documents
per hour. It can generate documents in TIFF, PDF, Searchable PDF, and PDF/A
formats. It also integrates with SAP ArchiveLink allowing metadata exchange
across SAP and Content Server.
Capture Center: OpenText Capture Center (OCC), which was released in 2010, is
useful for classification and extraction of input data using techniques based on
Optical Character Recognition (OCR), Intelligent Character Recognition (ICR),
and Intelligent Document Recognition (IDR).
OpenText Imaging DesktopLink, ExchangeLink, and NotesLink: This set of

components has integrated imaging with Office software, Exchange Server,
Outlook, and Lotus email.
Image Viewers: OpenText provides a web viewer, a Java viewer, and a Windows
viewer for viewing scanned documents. Using these viewers, you can scroll,
rotate, zoom, add notes, add annotations, and perform searches.
If you have AS/400-based systems, you have another option: OpenText ECM for Production
Imaging (rebranded now to OpenText Document & Report Management for IBM AS/400
iSeries), which was acquired in 2003 when OpenText bought Gauss. It is a well-proven
document imaging system that began supporting mainframe systems driving accounts payable
and similar processes. The product is designed to handle very high volumes of imaging
throughput, and has been proven to support hundreds of scanners and millions of scans per
day.

All documents (including images) are stored in a common repository. Metadata for the images
is stored in a repository and/or in a transactional system like Oracle ERP. The repository is
capable of ingesting more than 2 million documents per day in a clustered setup.
The common repository has its own cache server that helps the performance of image
retrieval. There is also a pre-fetching option that allows you to determine what images are
needed within an application and then pre-fetches them to the cache server. This differs from
competing solutions in its support for automatic metatagging of captured content, which
when combined with a BPM solution can drive fast search and recovery. Like other Gauss
products, it was cutting edge almost 10 years ago, but now it feels dated (especially the user
screens) despite an upgrade to the web clients a few years back.
The module provides a wide variety of clean-up and processing capabilities, including
integrated de-speckle, de-skew, and line removal capabilities, and just like record
management it supports captured content annotation through the use of sticky notes, black
out, and rubber stamping.
eForms
eForms are not currently an area of strength for OpenText. However, this could improve in
time by leveraging the Forms capability in the Global 360 product. eForms capabilities are
currently provided through Transactional Content Management (TCM), which is part of the
data capture offering from OpenText.
Savvy customers take the effort to integrate third-party forms services.
Mobile Access
OpenText provides native mobile apps for the major smartphone platforms. However, it is part
of OpenText Everywhere a separate product that youll need to license separately.
OpenText Everywhere provides a layer over your default OpenText web interface which is
not at all mobile friendly to create a decent mobile web interface. Thus, youll pay extra for
something most vendors offer for free, and you wont find this area a strength.
OpenText offers a separate product called OpenText Tempo Box. It is very similar to other
SaaS-based services such as Box.
Its a relatively new offering, so the user interface looks more modern and less cluttered than
other OpenText DM tools. When you log in, youll see a list of files and folders. For each
folder, you can share it, rename it, copy to another place, move it, view history, or delete it.
Figure 81. OpenText Tempo's file sharing interface.

You add collaborators at a folder level. Everyone you add as collaborator to a specific folder
receives access to that folder. You can only share folders but not individual files, and the
permissions for sharing are limited at this point, although you can have different users with
different permissions within the same folder.
Figure 82. There are a very limited set of permissions.

OpenText TempoBox provides the ability to synchronize documents across your desktop and
mobile devices; however, youll find several limitations. The mobile clients are available for
iPad, iPhone, Android, and BlackBerry, but these are separate clients than OpenText
Everywhere clients that youd use for Content Server. Finally, you can sync only one specific

folder; everything you want to sync has to be moved to that folder and creates many duplicate
files on your desktop.
Technology
Technical Services
Architecture
Dont look for a multi-layer cake diagram with

this vendor. Theres no unified architecture
here. OpenText promotes a solutions
architecture rather than a technical or an
infrastructural architecture.
Architecture
Cloud Services
Security
2
1
2
2
2
2
To be sure, OpenText has made noises around

unifying OpenTexts Content Suite, which works on the concept of one repository for DM and
RM. At the base lies Enterprise Library, which provides common shared services and
resources that range from so-called basic content services through to broader ECM content
services such as DAM and BPM. In other words, this base level is what would normally
constitute an entire ECM architecture for another vendor.
Where OpenText differs is by clearly differentiating and structuring on top of this base layer
first with so-called Solutions that consists of ten key technical management configurations:
Case, Risk, Configuration, Project, ERP, Brand, Training, Product Data, CRM, and SCM.
From these two shared layers, a third layer is extracted that focuses down to a specific solution
such as: ISO 9000, inventory, litigation, policy administration, contract management, and so
forth, totaling around 120 of these specific task- or industry-specific solutions.
One element of note in the overall architecture is OpenTexts Intelligent Storage Management,
a facility that enables advanced archive and storage management services. Intelligent Storage
Management is a feature of Enterprise Library through the Archive Server and is available as
part of the Content Suite bundle. This provides a virtualized layer for any application using the
ECM suite, allowing you to use the same metadata in the ECM system for storage decisions.
This facility frees you of storage vendor dependencies and allows for a truly heterogeneous
storage environment. It includes compression, single instancing, replication, encryption,
digital timestamps, and tiered storage migration as standard. Overall, its an impressive
differentiator in larger deals and deployments. This is especially true in environments where
multiple storage vendors are used. It is very different from its competition at IBM and EMC,
which often sell ECM to support the standardization of its own storage technology platforms.
For customers open to single-vendor storage solutions, the advanced capabilities (and price
bundling) of IBM and EMC may result in little consideration for OpenText. However for most
organizations, OpenTexts trade-off for broad environment support could outweigh the
benefits of proprietary performance gains.
OpenText ECM Suite scales for enterprise-wide applications by implementing a cluster of
servers at each tier of the architecture. The webserver tier can be scaled using multiple servers
and/or processes under a hardware or software load balancer. You scale the application server
tier using multiple servers under a hardware or software load balancer, and the repository tier
can also be scaled using multiple servers according to the scaling strategies of the database
vendor, plus file store scaling via SAN or NAS devices.

A new sub-system called Transport System has been introduced in version 10.5, which moves
code and configurations through different systems (dev, test, staging, acceptance, production,
or whatever). This is a common feature in developer-intensive WCM systems, but less
common in document management systems. However, this is very new; make sure to test this
well. (Its noteworthy that the subsequent quarterly releases have focused on fixes here.) This
aspect has always been tricky in WCM systems and the challenges here may be even more
pronounced due to large file types.
If you have licensed Enterprise Connect, you can extend its plugin-style architecture for
content-enabled applications through a UI that leverages single sign-on technology. Enterprise
Connect has pre-built plugins available to access and interact with content stored in OpenText
content repositories, SAP applications, and SharePoint Server repositories. It also has a
wizard-driven, browser-based interface that enables information workers to create business
views of enterprise content. Custom views are centrally stored and cached so that they can be
assigned to users in specific roles across the enterprise. Enterprise Connect also has an SDK
that supports .NET and C++ base classes, as well as source documentation, source codes, and
a variety of tools that are included with the SDK to help you develop custom solutions and
plugins for Enterprise Connect.
OpenText touts its Doorways capability for interoperability to present information from
other repositories, such as Documentum, FileNet, SharePoint, and others into the OpenText
UI. Doorways is an interface that uses an OEM of the Venice Bridge connectors content
integration product originally developed by Venetica, and acquired by IBM in 2005. In
OpenTexts federated approach, information can be copied into, referenced in place, or pointed
to by the OpenText repository to establish this link.
As previously mentioned, OpenText has a history of integration with Microsoft SharePoint. In
fact, there are two main areas of interest here:
Storage Services for SharePoint: This allows SharePoint content to be stored within
OpenText using the External BLOB Storage mechanism of SharePoint. This is
particularly useful for large files where SQL Server is not an optimum storage option.
Content Lifecycle Management (CLM): This enables you to use SharePoint as your
front-end while managing all content (including SharePoint sites) within OpenText.
Typically, developers use the ECM SDK as a development environment for extending and
customizing the OpenText ECM suite components. The ECM SDK also exposes an API for
accessing ECM content and functionality. The API can be used to integrate ECM with content
and functions from other systems. Starting with version 10.5, there is a new set of REST APIs
that provide additional integration options. Until now, there was only a Web Services API, so
this is an important addition.
Figure 83. The new IDE is based on Eclipse.

As with Oracle, youll find a proprietary scripting language under the covers, OScript.
Fortunately, developers can build and manage OScript applications using the familiar Eclipse
IDE, rather than using the old proprietary builder tool.
The vendor ships a Content Suite Widget Framework, which enables you to create HTML5
widgets using REST APIs (introduced in 10.5) off Content Server. The widget framework is
an optional add-on, and it surfaces Content Server content into other systems such as
SharePoint, SAP, or Oracle. You use a combination of HTML and JavaScript and paste it
wherever you want Content Server content to display. The code makes asynchronous calls and
embeds the result in your web pages.
OpenText provides an admin interface for typical admin and maintenance activities. A major
improvement in version 10.5 is the installation of patches across multiple instances; you dont
need to install a patch across individual instances. Now you can apply a patch at a cluster level
and the system automatically deploys it to other nodes within the cluster. The system includes
pre-requisites and dependencies. In theory, this automation minimizes errors and improves
administrator efficiency; in practice, some early experiences have been a bit buggy.
OpenText acquired a company that provided reporting capabilities that many OpenText
customers used. Consequently, this tool called WebReports is now optionally available as part
of Content Suite. Using this tool, you can now create admin and management reports based on
external databases and use advanced reporting capabilities.
Cloud Services
OpenText provides managed hosting services for various products, so OpenText can host and
manage your setup from its data center.
Some of its products such as OpenText Tempo Box and OpenText Tempo Social are cloudbased SaaS services.

Security
The ECM Suite supports authentication natively and through integration with any LDAPcompliant service including web servers, Windows domain authentication, and specialized
authentication services like Oracle Access Manager, Netegrity Siteminder, and Tivoli Access
Manager. All access to data within the suite is brokered through pre-approved channels of
trusted applications (like SharePoint Server, Exchange, & SAP), and utilizes SSL (HTTP) via
the web and/or J2EE application servers.
Vendor Intangibles
From a business perspective, OpenText has a
strategy of growing an applications-oriented set
of solutions and moving away from providing
basic content services. These solutions focus
primarily in two key areas:
Regulated industries
Intangibles
Support & Community
Strategy & Roadmap
2
1
2
1
2
ERP integration
OpenText offers approximately 120 industry-specific solutions and intended to build many
more. Executing on this strategy may not be an easy task; although OpenText has done well
building very solid relationships with Microsoft, Oracle, and SAP, the company has also
struggled with its own legacy of multiple acquisitions and overlapping technology offerings.
The company is obviously loathed to cull products that bring in consistent revenues; as a
result, you may find that OpenText is a confusing and complicated firm to navigate.
Potential buyers are often introduced to OpenText via an association with SAP, since
OpenText is SAPs preferred supplier for archiving and document management technologies.
Other indirect routes may be through Oracle or Microsoft, which both have strong
relationships with OpenText. However, the Oracle relationship does not include the group
within Oracle that provides Oracle Content Manager a direct and capable competitor to
OpenTexts ECM offerings.
OpenText is unusual in that its channel is focused on three key partners Oracle, Microsoft,
and SAP. In terms of sales, currently SAP is clearly the dominant funnel of work, but co-sale
agreements exist with Oracle and this may grow over time. The Microsoft channel is also
important, but it is more complex to navigate. Every vendor claims to have a strategic
relationship with Microsoft, but OpenText has more years of working at higher levels with
Microsoft than any other vendor.
OpenText was often dismissive of potential integrator and consultancy channels; as a result,
you may have comparatively fewer and smaller services firms to work with than you would
with other ECM suite vendors. To be fair, as is common with more out-of-the-box
applications, OpenText tools tend to have less attraction for major system integrators that
excel at fashioning custom projects from toolkits and platforms. Nevertheless, OpenText has
traditionally pushed work toward its own services group in favor of any other services
organization. The 2010 acquisition of Burntsand (a Canadian-based services company that
offered SharePoint and Documentum services) further extended this approach. Consequently,
OpenText skills are in short supply, and larger SIs and consultancies often steer clients away
from OpenText in major deals due to a lack of resources and its ability to gain revenues with
other products.

In recent years, the firm has tried to make amends and build some strong alliances, albeit with
firms with long-established relationships with OpenTexts competitors. Most notable are:
Accenture Provides archiving services for SAP
Deloitte Provides compliance and the risk side of things
IBM Global Services Provides specific deals within the energy sector
Atos Origin Serves Europe
These are all relatively new, so you will need to check that the depth of experience in
OpenText technologies is present in the specific technology team offered to you by SIs and
consultancies. As OpenText suites age, they present as anachronistically proprietary, and you
may find experienced developers in short supply.
You may find some geographical differences here. In some areas (for example the UK), the
company maintains a large set of experienced consultants that work for OpenText and
implement their own projects, while in other regions (e.g., Switzerland and the US), OpenText
has been more open to using partners for implementations.
Historically the company has been very poor at fostering user communities, but is beginning to
feel its way forward here. OpenText recently launched a customer community called
OpenText Community with the goal of promoting collaboration between OpenText users and
the OpenText staff. As part of OpenText Online, the company also included a wiki to
communicate the overall product roadmap with its customers. This is obviously a welcome
development, but be aware that communities take time to mature and flourish.
The key thing with OpenText is to check if they already have a pre-configured (industryspecific) module that may meet your needs; dont assume that you will have to build your own
solution. In particular, OpenText has deep domain expertise in pharmaceuticals, the
government, and legal sectors (via Hummingbird). The company seems to understand these
industries. One pharmaceutical executive shared that he doesnt consider OpenText to be an
ECM vendor, but more as a pharmaceutical specialist.
OpenText by any measure is a top-three firm in the ECM market. It is now the largest
independent software company remaining in the ECM space. However, OpenText persists in
the marketplace because of its financial engineering around acquisitions; there is enormous
pressure to maintain revenue growth. In this case, OpenText will need to acquire still more
vendors in order to migrate the installed base and gain organic and existing revenue continues.
As such, older products across the OpenText portfolio will continue to fade away. Be wary of
selecting some of OpenTexts niche technologies, since these may be eclipsed by other
acquisitions, but rest assured that the core ECM Suite products are comparatively strong and
represent a solid and safe choice for virtually any organization.
The future of OpenText probably doesnt lie as an independent software company. EMC, IBM,
and Oracle have all proven that matching core infrastructures (such as databases and storage)
can become a strategic fit for ECM companies, but now OpenText is too large for all but a
handful of companies to purchase. SAP remains the best bet and Microsoft is a possibility, but
both have already passed on previous opportunities to purchase OpenText. Thus in the
immediate future, OpenText is likely to remain the top independent company in the industry. If
a firm did acquire OpenText, they would certainly keep the core ECM platform, but
everything else could be at risk.

Licensing
OpenText ECM licensing runs on a per-named user model. For a monthly fee, it is also offered
as a hosted service. Look for more aggressive hosting offerings (thanks to the EasyLink
acquisition in May 2012, which was largely designed to provide a platform for OpenText to
move to more cloud and SaaS-based offerings).
The complicated and inevitably very frustrating aspect here is OpenTexts tendency to
push nearly all significant innovation into separate products that (with the exception of
TempoBox) you have to buy and license. Want a modern, mobile-friends UI? Want to see
image thumbnails? Want some basic repository reporting? Want to wire forms into workflow?
Thatll cost extra.
Conclusion
OpenText Content Suite constitutes a very broad offering that can fit well enough into many
different scenarios and industries. However, it is probably a best fit for Regulatory
Compliance and Document Management in regulated sectors. There are also some good
Imaging and Forms Processing capabilities, as well as custom applications for things like
Correspondence Management in the public sector.
OpenText Content Suite brings a broad array of capabilities to the table here. However, youll
want to consider who will perform the systems integration and consulting work before you
purchase the ECM system. OpenText will likely push its own services arm, but if you already
work with local or offshore integrators for IT development support, you need to assess
carefully whether they have the necessary skills to support an OpenText ECM implementation.
You should also recognize that your company will have to invest in training for IT people, and
that these limited skills will make your IT talent become continuous targets for recruiters
particularly in key industries.
At the same time, OpenText is perpetually struggling to digest a huge amount of acquisition
activity that has left it with a plethora of technology modules. Because of the unresolved
duplication among many acquired products, buyers must decide what to implement among a
plethora of choices. If you make the wrong choice by picking a product that OpenText
ultimately phases out, you will have to migrate to something else, with concomitant costs for
retraining and data conversion. Therefore, you need to navigate the OpenText ECM portfolio
with caution and get clear guarantees regarding future support and development for the
elements you buy.
Just remain skeptical about promised future integration plans. OpenText traditionally
outperforms its competition when it comes to snazzy roadmap diagrams. However, the
company has tended to under-perform when it came to technical coherence for IT teams that
were stuck with actually making the systems work together.
Said one RSG subscriber (speaking for many others), OpenText does a lot of different things,
but does them poorly. As a project leader, dont over-promise when implementing a platform
that could have diverse, overlapping, and separately licensed pieces, where its most common
attribute is an outdated user experience.
The fact that these products remain outdated may not affect existing customers if the products
continue to perform; there is a lot of value in knowing that a product works. However, new
customers should test carefully before taking the leap.
www.oracle.com
Vendor at a Glance
Specsheet
Oracle WebCenter Content Summary
Geography
Global
Whats New
Completely new web user interface

Re-architected capture module
Integration with SharePoint and Enterprise Manager
Strengths
Weaknesses
Integration with the rest of the WebCenter suite is not as seamless as

Oracle would like you to believe
You likely will have to employ proprietary Idoc scripting, forcing your
developers to learn a near-dead language
Transition between two interfaces could get confusing and clunky
Limited COLD/ERM functionality
Lack of collaboration features within the native package
Comparatively pricey for what you get
New mobile interfaces lack customization capabilities
Tendency to force you to use Oracle infrastructure underneath
Potential Fit
Information Governance, High-Volume Imaging, Enterprise Content

Platform
Unlikely Fit
Document-Centric Collaboration, Cloud File Sharing and Sync
Compare to
EMC, Alfresco, IBM
Operating System
Windows, Solaris, RH Linux, Zseries Linux, HP-UX, IBM AIX
Repository
BLOB-based objects are stored in Oracle database. Relational database

for metadata persistence. SQL Server, IBM DB2, Oracle, Sybase. A file
system can be used as the repository or combination of both
App Platform
Oracle WebLogic Server, and some modules are certified on WebSphere
Licensing
Full licensing is US$172,500 per processor or US$115,000 per processor

when excluding WebCenter Imaging and Advanced RM (note that a
processor in Oracle license terms does not necessarily mean a CPU)
Ownership
Public (NASDAQ: ORCL)
Good BPM functionality

Well-regarded compliance application
Broad internationalization of the product set
Abundance of sample code, APIs, and documentation make this a
comparatively developer-friendly platform
Free download available for development, testing, and prototyping

Summary
Oracle WebCenter Content provides a
broad set of services, ranging from
document management, imaging and
process management, to ECM capabilities
of search, records management and digital
asset management. Overall, this offering
is fairly solid and competitive. Its
distinction is that it is positioned
primarily as set of services within the
overall Oracle WebCenter stack, rather
than as a standalone product.
Scenario Fits
High-Volume Imaging
2
1
2
0
3
3
1
To be clear, these different ECM services represent distinct line items on the Oracle price list,
but Oracle is trying to sell the stack together in many cases. ECM at Oracle is infrastructure;
this is very different from most comparable document management vendors that position it as
an application. Oracle has a different perspective, and its approach is similar to that at EMC;
many people at EMC see ECM as an application layer on top of storage devices.
Similarly, Oracle often comes across as overly complex, technical, and over engineered for
many ECM scenarios, with its sales approach often lacking both empathy and understanding
of buyers business requirements. It has taken quite a different approach than OpenText, a
vendor very focused on specific, packaged applications.
Oracles real strength lies in its openness and ability to integrate in a wide variety of scenarios.
Introduction
Since acquiring Stellent in 2006, Oracle
has gained visibility in the industry and
now regularly competes in larger deals
against well-established vendors. Its
not just a case of Oracle acquiring
technology; indeed a lot of new work
has gone into the product range, and
although some elements of the Stellent
acquisition remain in place, they have
mostly been redeveloped and
repositioned into the overall Oracle
WebCenter stack.
Figure 84. Different platforms within the

WebCenter brand umbrella. Source: Oracle.
In last few years, Oracle has grown

both product management and
development teams for WebCenter
Content including hiring key
personnel from competitor EMC. It
also reorganized and brought the BPM
under WebCenter Content group.

Indeed, Oracle WebCenter is the broader rebranding of a variety of mostly acquired products
under one nominal umbrella. In terms of overall WebCenter strategy, Oracle has undergone
some shift. It has dropped Oracle Social, and now WebCenter has three key components
Sites (former FatWire offering for WCM), Portal (homegrown portal and collaboration
services), and Content (ECM services originally from Stellent/Optika). Oracle says this is
because Oracle Social is not a standalone offering but customers will see components of it
embedded in other pieces.
Today, Oracle has built a highly scalable platform that leverages the Oracle 11g database and
the broader Oracle stack, including Identity and Security services, Enterprise Manager, and
BPM Suite. However, Oracle has created few meaningful pre-packaged vertical solutions
where the real money lies for firms like IBM and OpenText. Oracle is most comfortable as an
infrastructure and tends to be sold into Oracle shops within IT departments. Oracle itself
does not agree with our assessment, and says they are quickly moving away from ECM as an
infrastructure approach toward more ECM solutions.
The latest release is 11.1.1.8 and is focused on three key areas:
Improving the user experience
Enhanced imaging and capture
Integrations with SharePoint, WebCenter Sites, and Enterprise Manager
There are new iOS and Android mobile apps, as well as improvements to WebCenter Forms
recognition.
Functionality
Functional Services
Document Management
Document Management
2
1
3
2
1
3
2
0
Oracle WebCenter Contents underlying

RM and Archiving
repository is called Content Server, which is
BPM and Workflow
where you store all of your content. Your
eForms
content (mostly documents, but also other types
of files) can have multiple versions and
different renditions. As with most other tools,
Mobile Access
you can add metadata to your documents to
File Sync & Offline
support additional properties. Content Server
organizes these documents into a folder
structure called a Library. You can have multiple Libraries, each with its own folders and subfolders.
Oracle WebCenter Content now offers two user interfaces for accessing your content in
Content Server: the original interface, now called native interface an old but powerful
interface; and a new, more modern interface. Oracle recommends the new interface for most
document management-related tasks, but you will need to use the old interface to manage
media assets (images, audio, and video), do records management, or handle other non-Office
file types.
Figure 85. The new web interface is more modern, but less customizable.
The new web interface is a single page application (SPA) for accessing your content. An SPA
has many advantages in terms of better user experience, but it can have challenges related to
search engine indexing. It can also break down your default browser behavior (such as a back
button). This is an area to test well. In addition, this is really a first release of new user
interface, and you will most certainly face challenges.
Figure 86. You can search in multiple ways.

The new interface is more modern and slick. It has drag-and-drop functionality to upload
content; you can browse libraries, search content, preview documents, upload with drag and
drop, and integrate with TWAIN-based scanners. Oracle WebCenter Content provides out-ofthe-box major and minor revision controls. There are some automatic metadata extraction
capabilities in WebCenter, and although its not as extensive or powerful as some of its
competitors, this is a nice feature set that is somewhat hidden or unappreciated in the current
marketing literature. Perhaps more importantly, the product enables you to traverse the
repository according to classification (rather than folders), which is handy in metadata-rich
environments.

Oracle WebCenter Content has very limited compound document capabilities and attempts to
fulfill this need via the use of XML or grouping multiple files in a workflow. The process
works by logically linking documents into a folder. What it does have is a feature (called
Content Folios), which deals in a basic (but quite effective) way with compound documents
it is more akin to case management. A template mechanism is provided that enables users to
define a grouping, e.g., a legal case or product management folder, which manages all added
documents and files throughout their lifecycle. It also creates renditions of the grouping into
something persistent, such as a zip file or a merged PDF. The merged files can look like
compound documents for some applications, but this is not the same as component
management. Bear in mind that to use this feature, you must use the legacy interface.
You can access content directly from your desktop via integration with Windows Explorer,
Microsoft Office, or Microsoft Outlook. Thus, you can do things like automatically checkingin a document after emailing. However, this is only for Windows users and your colleagues
using Mac will not have this integration.
The company has localized the user interface into 27 languages: English, French, Spanish,
Portuguese, German, Italian, Japanese, Korean, Chinese, Simplified Chinese, Traditional
Chinese, Dutch, Thai, Arabic, Czech, Danish, Finnish, Greek, Hebrew, Hungarian,
Norwegian, Polish, Romanian, Russian, Slovak, Swedish, and Turkish.
In general, the story around document-oriented collaboration is very weak. Oracle offers only
basic document-centric collaboration facilities, such as tagging, forums, and folder sharing.
Although this may be enough for some, they fall short of many of their competitors offerings,
particularly in the area of broader project-oriented collaboration.
Figure 87. Very limited collaboration using

Libraries.
You can create personal folders and share

them with other users to share files. Users
can then follow changes through the
subscriptions feature, send links to others
to view, download the files, and share
saved searches to this folder for others to
use. This is not a particularly strong
module and many customers find that the
basic collaboration facilities in the other
products meet their needs. Oracle will tend
to push other Oracle products and possibly
the Portal Server (for features such as
wikis and blogs), while some customers
will just use SharePoint for their
collaboration needs and still use Oracle
content as the repository of record.
On the roadmap, however, is a new document service in the cloud. Using this, you will be able
to share files and collaborate with external users. This is similar to other cloud-based file
sharing and sync services like Box; thus, it is mainly suited for lightweight collaboration
scenarios.

Stellent had made substantial investments in its Records Management module and used to
boast proudly that it was built natively by their own team, not acquired and bolted on later. Not
surprisingly, the RM product has a strong following among traditional Stellent customer bases
in local government and enterprise departments. This product was renamed Oracle Universal
Records Management (URM) and is now a module within Oracle WebCenter Content. It is
DoD-5015.2 v3 certified, and supports both physical and electronic records via centralized and
federated RM configurations. Remember that advanced records management (for DoD-5015.2
v3 or custom RM deployment) is only included with a WebCenter Content license, not a
WebCenter Universal Content Management license.
Oracle WebCenter Content understands both the distinction between and the intersection of
Records Management and Retention Management (RRM) two areas that are frequently
confused (see Part 4 ECM & Cloud File Sharing Technology Dissected on page 22). They
have clarified that distinction, yet integrated the crossover requirements to buyers in a very
practical way. It is DoD-5015.2 compliant as a solution, for both Windows and UNIX.
Where it really excels is in providing a federated approach to records management (e.g., it
ships with a set of pre-built adapters, including WebCenter, FileNet, SharePoint, Symantec
Enterprise Vault, EMC/Documentum, File Systems, and the Oracle Imaging and Process
Management module). Theoretically, this could be extended out with further development,
since they provide generic .NET and Java adapters. The key difference in its approach is that it
provides federated RM with an in-place model. Hence, end users can work with content inplace and stored in other repositories. Additionally, it integrates with SES (Secure Enterprise
Search) for federated search, and legal holds functionality. In sum, Oracle WebCenter Content
provides comparatively deeper RM integration.
Do remember that advanced RM capabilities are not part of the default WebCenter Content
package. If you need DoD 5015, email management, and other customizations, you will have
to pay additional licensing fees.
The Oracle WebCenter Content platform has its own basic workflow services. As with most
other document management vendors, it provides routing and basic business rules
functionality that is reasonably robust, if not feature rich out of the box. This is a simple,
forms-based product feature that end users can use to create rules for content and content
types. The forms-based approach is a good one for most end users, but the UI for this
particular feature needs a refresh. For example, the work queue is a bit thin for approvers since
it does not make provisions for displaying comments, urgency, and other information that
might be part of a particular content item in development. On the plus side, contributors can
subscribe to individual pieces of content, and are alerted whenever those objects are
updated.
For more complex (and perhaps content-independent) business process management (BPM),
Oracle now embeds Oracle BPM Suite Workflow Engine as part of Oracle WebCenter
Content. In fact, organizationally, Oracles BPM group is now part of the same team as Oracle
WebCenter Content and there will likely be improved integration going forward.

Oracle has made some major changes to its capture and imaging offerings. Specifically, the
company has deprecated its erstwhile IPM (Imaging and Process Management) solution that
was based on Stellent and Optika, in favor of several new modules.
The three key new modules are Capture, Imaging, and Forms Recognition. Oracle is asking all
existing customers to migrate to these new products/modules. As the names suggest, Capture
is for scanning images, automated metadata, and other scanning-related features. Imaging is
for managing images (scanned via capture), automation, annotations, and routing. The last
module, Forms Recognition, is for data capture from scanned images.
Figure 88. The new web-based Capture interface.

The Capture architecture has now been ported to Java, and it is all completely rewritten.
The Capture interface itself is a web-based interface for scanning and indexing. A web-based
interface for scanning has many advantages, such as cross-browser support, easy deployment,
and manageability. However, if work in an environment where the key functionality is
scanning, not having a dedicated, desktop client could be an issue.
Oracle says they have also made improvements to data recognition and extraction capabilities.
Theres better support for many languages, and accuracy has improved. Test this for your own
language.
Finally, remember that WebCenter Imaging requires additional licensing, which affects your
overall costs.
eForms
Oracle WebCenter Content has no specific features for eForms.

Mobile Access
Oracle provides native mobile apps for Apple iOS and Android. If you have users on other
devices, you will have to stick to web access, which is a difficult was to work with a contentcentric application. Using these apps, you can create, upload, edit, preview, and download
files.
Figure 89. Theres decent uniformity across web and mobile user interfaces.
Youll find impressive consistency between the web user interface and the mobile app
interface.
On the roadmap is a new document service in the cloud. The service will let you browse files,
do version management, share links, and sync them across desktop and mobile devices. Oracle
says you will also be able to delegate quotas, assign sharing rights, restrict files based on filetypes, and access usage reports.
This forthcoming service is Oracle's belated response to the likes of EMC and OpenText that
already provide cloud-based file sharing and sync services. Oracle's offering wants to mimic
services such as Dropbox and Box in terms of capabilities for lightweight collaboration, file
sharing, sync, and offline features.
For Oracle's WebCenter Content customers, providing additional sync and sharing service
along with Oracle's enterprise security and administrative controls could be a useful
supplement. However, it will take some time for this new service to mature. This service is
delivered as a standalone, so you can subscribe to it whether or not you have Oracle
WebCenter Content.
Figure 90. Cloud-based file sharing and sync services are expected in
2015.
Technology
Architecture
The core Oracle WebCenter Content
repository comes in four parts:
The content vault, which is a native part
of the 11g database
Technical Services
Architecture
Cloud Services
Security
3
3
3
3
1
2
A relational database to manage

metadata and the system itself. 11g
supports Oracle, IBM DB2, and MS SQL Server. In earlier versions, it supported other
databases as well. If you are upgrading, make sure to check whether your database is
still supported
An index of content and metadata that enables search without touching the first two
pieces
An optional consumption repository that stores approved content (e.g., for web visitor
access)
Oracle WebCenter Content can store content in the database or on a file system. The File Store
Provider enables you to write rules governing what content goes on disk or in a database, and
where it is written on the disk. With the 11g release, the Sun Storage Archive Manager (SAM)
can also be used in conjunction with storing files on the file server, providing tiered-storage
management.
The companys foundation module is Content Server. It runs underneath the separate
collaboration, imaging and process management, records management, digital asset

management, and web content management modules, providing what for this tier of
vendors is an integrated set of core services, such as search, workflow, and versioning.
Content Server runs on a Java EE application server.
Oracle WebCenter Content runs on a comparatively broad set of operating systems, including
Linux and HP-UX, in addition to Solaris and Windows. Support for Oracles WebLogic
Server is preferred, but IBMs WebSphere is also supported, as are JBoss and Tomcat.
The File Store Provider is a general abstraction layer between Content Server and the files it
manages. The File Store Provider can be used to control how files are put down on disk, and it
optionally enables the Content Server to store files directly to a database.
For buyers requiring extreme scalability, the 11g release now leverages either the Oracle
Database 11g (including RAC), or Oracle Exadata 2 (formerly Sun Exadata). Exalogic and
Oracles SuperCluster are also supported.
Of all the vendors reviewed in this report, Oracle is the one that champions standards the
loudest. As such, it comes as no surprise that WebCenter (when running in the full Oracle
stack) supports SAML, XACML, and JSR 170. In addition, the product provides you with a
WSDL generator that has many pre-configured WSDLs, and the ability to configure and
produce custom WSDLs. Oracle supports REST interfaces with familiar Web Services
approaches, including a JSON (JavaScript Object Notation) interface for AJAX client
development.
Overall, Oracle has a very strong story as an enterprise content layer provider despite the
work still to be done integrating the acquired technologies. Due in part to its lack of a legacy in
the document management space, Oracle has the luxury of defining a fresh Web Services
approach that plays into the broader enterprise architecture story of Fusion.
Oracle WebCenter Content comes pre-integrated with many other products from Fusion
Middleware, Oracle Applications such as PeopleSoft, JD Edwards, and Siebel, as well as
WebCenter products Portal and Sites. However, test these integrations well for your specific
scenarios. Many customers have told us that Oracle WebCenter Content is not as well
integrated with Sites as Oracle would have you believe; of course, Oracle disagrees. Test this
well if this is a key requirement.
Theoretically, integration should be a strong point for any Oracle product; in reality, it is not.
This is partly because the original Stellent product typically ran in departmental, standalone
scenarios. Additionally, Oracle is viewed as a big competitor to many of its potential partners,
and competitors prefer to sell their own technology.
Oracle has no particularly strong resources for managing disparate content silos (unlike IBM
or OpenText), although it did finally release support for CMIS in a recent version of Oracle
WebCenter Content. The exception is for content stored directly in an ECM repository for a
wide array of products including repositories like Lotus Notes. It doesnt integrate natively at
the database level or in other generic, unstructured content layers. What Oracle does provide is
a rich set of APIs and a dizzying array of object support (including Java API, Java EE, and JSP
tag libraries; SOAP, JSON objects, .NET, and more). If it doesnt exist within Oracle today,
you can build it with enough time, money and painkillers.

The recent release features integration with Microsoft SharePoint using Remote BLOB
Storage (RBS, which uses SharePoint as the user interface and stores SharePoint content in
Oracle WebCenter Content.
Like most of its competitors, Oracle offers a variety of APIs, including Java, JSP, COM, and
.NET, although some flavors are more robust than others are. Like few of its competitors these
days, Oracle employs its own scripting language, Idoc Script, which is VB-like. Developers
should note that it overlaps only a small fraction of VB functions (even though the Idoc Script
API itself is quite large). You use Idoc Script not just to manipulate input screens, but content
output templates, including dynamic web pages. Compared to some competitors, however, it is
somewhat easier to make modifications and changes to the application that wont be
overwritten in future upgrades.
Because Idoc Script is a proprietary language, experienced developers are scarce; stick with
Java wherever possible. Note that remote development is common just because there are so
few experienced developers.
For heavier-duty integration, youll want to turn to the Content Integration Suite, which comes
with its own SDK, and includes documentation and sample code to extend the Content Server
command layer.
There is an admin interface (called the Administration Tray) for carrying out admin activities
such as populating content, configuring records and retention management, creating and
managing workflows, creating custom metadata, carrying out diagnostics, and so forth.
Currently, the admin interface still uses the legacy web user interface (or the native interface).
Even if you are using the newly released version for content management, for admin and
configuration activities, you will need to use the old interface.
Cloud Services
Oracle is a big proponent of the cloud, but for Oracle WebCenter Content, Oracles cloud
services refer to providing managed hosting for your Oracle WebCenter Content setup. Oracle
WebCenter Content can be installed on your own private cloud infrastructure in a virtualized
environment, but it cant be used as a multitenant, SaaS-based service.
Security
There is document-level security based on assignment by security group, with read, write,
delete, and admin permissions. Although Oracle WebCenter Content maintains its own role
directory in its server, it also integrates with LDAP, and can be managed at both group and
user levels. Oracle also supports ACLs and rule-based security.

Vendor Intangibles
Intangibles
Oracle is one of the most recognizable software
3
firms in the world; it is as well known for its
Channel
Partner
Services
enterprise-class database system, as it is for its
2
Support & Community
flamboyant billionaire leader, Larry Ellison. No
2
company reflects its leader as clearly as Oracle.
Strategy & Roadmap
2
The workforce is drawn from highly motivated,
3
intelligent individuals, and failure is unacceptable
(which extends to the salespeople on your
doorstep). Oracle is very aggressive in all opportunities and in negotiating any potential deals.
Expect to spend extra time and effort defending your interests.
Whether you deal with an Oracle sales person or one of the global SIs that resell Oracle
software, the key thing is to ensure that any pre-sales work is undertaken by somebody within
the organization that thoroughly understands document management not someone that
thinks that Oracle has one of these on the price list. Gaining access to the very small number
of people inside Oracle who really understand the product may turn out to be more difficult
than it is to install the basic software. Oracle says they have grown the WebCenter team
significantly, and if you have trouble finding a WebCenter Content expert at Oracle, you
should ask specifically for your WebCenter rep or WebCenter Content support team.
Oracle is, to a large degree, a one-stop shop, but it is also a large enough firm to work well
with many of its rivals. As such, there is good integration with IBM and Microsoft products,
while there is obvious tension with SAP. Though direct rivals in the business application
world, at the infrastructure level, many SAP deployments run on Oracle stacks. WebCenter
has partner integrations with SAP and Great Plains, and it has out-of-the-box integrations with
Oracle applications. Oracle also offers MS Office and desktop integrations, Web Parts for
SharePoint, and records management adapters for other systems such as EMC Documentum,
IBM FileNet, and more.
The partner community supporting WebCenter Content is robust and includes a significant
number of specialty boutique partners as well as larger partners.
In general, Oracle has a knowledgeable and supportive technical workforce. The Oracle
Consulting WebCenter team has approximately 30 North American resources that are
knowledgeable in WebCenter Content and WebCenter Imaging. These people focus on
helping customers get started with implementation and/or help them get back on track should
an implementation start to go awry. After initial hand holding however, they turn to partners or
end clients to complete implementation activities.
Where Oracle lags is its product mind-set, rather than having a services mind-set. Thus,
the products are functionally rich but usability often lags. Additionally, while the support team
can help with most issues, they rarely provide hand holding or training for customers using
Oracle tools on a daily basis.
Both partners and customers will find the Oracle Technology Network (OTN) at
otn.oracle.com to be a highly valuable resource, with documentation and forums. Oracle is
known for its annual OpenWorld conference, and although the conference is mainly a large
sales and marketing event, it is a good opportunity to attend sessions on Oracle WebCenter.
Oracle usually hosts additional sessions on its roadmap with relevant case studies.

On the roadmap, is a new cloud-based file sharing and sync service similar to Dropbox and
Box. This new service is Oracle's belated response to the likes of EMC and OpenText, which
already provide cloud-based file sharing and sync services. Oracle's offering seems to mimic
services such as Dropbox and Box in terms of capabilities for lightweight collaboration, file
sharing, sync, and offline features. Oracle plans to bring in more support for hybrid cloud
deployments in the future.
Oracle is one of the most viable and stable software companies in the world. It is cash rich and
there is little chance of it falling off the map; it is secure enough to sail through tough periods
over a long stretch. To the extent that Oracle experiences instability, it is when it acquires other
companies that overlap occurs with its existing product set. We predict more (smaller) tactical
acquisitions in the future.
Licensing
Pricing for the full WebCenter Content is $172,500 per processor (which is not the same as
CPU in Oracle license terms), plus maintenance and support (per processor). The full
WebCenter Content licensing includes Document Management, Web Content Management
(WCM), Digital Asset Management (DAM),
Records Management, WebCenter Imaging, WebCenter Content Conversion, and Java SE,
with restricted use of BPM Suite, BPEL Process Manager, WebLogic Server EE, and Secure
Enterprise Search. You can also choose to purchase the products individually; WebCenter
Universal Content Management (excludes WebCenter Imaging and Advance RM) per
processor is $115,000 and $2,300 per named user, and WebCenter Imaging per processor is
$92,000 and $1,840 per named user. Discounts are common in competitive situations.
You can download WebCenter Content from Oracle Technology Network at no charge for
developing, testing, and prototyping.
Conclusion
Oracle Content is very distinctive; it has definite strengths and is clearly differentiated in the
market. Oracle is primarily an IT infrastructure company; secondly, it is a business
applications vendor. Document management is a discipline in its own right and often struggles
to find its place within this massive organization. This is good technology overall, but it can be
unnecessarily difficult to use, and the Oracle staff often overcomplicates simple concepts.
Furthermore, from an ECM perspective, Oracle sometimes appears to be driven by technology
rather than by business needs. Web content management, records management, imaging, and
collaboration have at times fallen victim here, quickly falling off the map if success is not
immediate. This is in stark contrast to the broader organization, which has a well-earned
reputation for steely focus and determination.
Currently, the best areas for Oracle Content are in Information Governance and Enterprise
Content Platform. Additionally, the many features and the ability to cluster and scale on the
Oracle stack could make it a good choice for High-Volume Imaging.
In terms of industry orientation, Oracle sells across a wide range of verticals, although it says
its key industry focus verticals are public sector, health care, and life sciences.
Our advice is to consider WebCenter as a direct competitor to the likes of IBM FileNet,
OpenText, and EMC Documentum. Pay as much attention (if not more) to your selection of

the people implementing the system as you do selecting the technology. If you are an existing,
large Oracle customer, dont be surprised if Oracle has already bundled the software in your
license agreement. Then you will face real soul searching as you look into the (scarce)
professional services available in the market to install and support the product.
If you are currently considering adding the WebCenter to a shortlist of potential suppliers, the
most important thing to consider is whether you already leverage the Oracle Fusion
Middleware stack, or utilize the Oracle Applications. The WebCenter is more about adding to
and filling out gaps in the Oracle one-stop shop than it is a standalone product.
Document Management Products

Surveyed:
EVER TEAM: EverSuite
Hyland: OnBase 13
M-Files Inc.: M-Files
SpringCM: Content Cloud Services
Document management products occupy a space between enterprise-scale offerings and
capture vendors. This market is shifting at the moment. Some vendors are thriving while
others are trying to come up with a strategy to coexist with Microsoft, or figure out how to
compete with the enterprise-scale competition.
To be sure, each of these products can point to some enterprise-scale installations, though in
general, their offerings tend to be a little more specialized and focused on a particular
departmental or business process need.
Their average price points tend to be more palatable than the larger ECM Platform vendors,
but their architectures can nonetheless support reasonably scalable projects. Note, however,
that these products are typically not as out of the box as the niche offerings at a tier below.
As in the case of ECM Platform vendors, plan on integration costs ranging from two to three
times your licensing cost.
Typically, the implementation partners found at this tier are a bit smaller as well, although
thats not a bad thing. Many of these players can boast some kind of relationship with major
implementation partners. However, it will not typically be as deep and meaningful as those
with the ECM Platform vendors due to the limited revenue that smaller vendors can drive to a
partner.
At this tier, we tend to see smaller companies, usually under 300 employees, and commonly in
private ownership. Such lack of scale can restrict the firms ability to support customers in
non-core industries or geographies.
Hyland: OnBase
Geography
Europe and the Middle East
Mainly North America
Whats New
EverSuite Content Analytics for media and social content monitoring
A redesigned business rules engine
Redesigned administration interface
Deeper integration with AnyDoc Software, which was acquired in 2013
Support for 64-bit architectures at the database, application server, and

client interface layers
Strengths
Services-oriented approach to document management
Very broad and deep imaging capabilities
Comprehensive offering, especially for mid-sized customers
Extensive COLD/ERM functionality typically not seen at this tier
Offers email management and COLD solutions
You can use Outlook as a full-fledged DM client
Emphasis on case management and rules-based routing makes it well

suited to professional services firms and others with repeatable projects
Comprehensive, rules-based BPM
Variety of solutions for specific processes with industry verticals
Strong reseller channel creating specific solutions
Strong and growing footprint in health care

Very file-centric and wont deal with component content scenarios
Small company size may limit the ability to support you going forward
Limited geographic reach outside of EMEA
Limited collaboration and collaborative DM capabilities
Two different products (SharePoint and non-SharePoint) may strain the

company going forward
No digital asset management
HP/Autonomy IDOL for search may prove too complex for some
Collaboration capabilities are rather limited
Records Management is not DoD certified, which could affect US customers
Windows-only architecture makes it less suitable for organizations with a

more heterogeneous technology landscape
A bit pricey for what it does
Web Services emphasize SOAP over RESTful approaches
Community around the offering feels light, perhaps because the company
traditionally emphasized its own professional services, rather than its
channel partners
Comparatively less presence outside North America
Records Management is not DoD certified
Requires separate configuration tools for conventional workflows versus

case management
Complete solution may require licensing a confusing array of modules
Potential Fit
Process and Case Management, High-Volume Imaging
Unlikely Fit
Compare to
Nuxeo, Hyland, Alfresco, M-Files
OpenText, Oracle, IBM
Operating
System
Linux, Windows Servers, AIX
Microsoft Windows
Repository
Proprietary repository. Supports Oracle DB, Microsoft SQL Server, IBM DB2,
MySQL, PostgreSQL
File System plus relational database (SQL Server or Oracle)
Specsheet Summary: Document Management Products
Weaknesses
Hyland: OnBase
App Platform
Tomcat, IBM WebSphere, Oracle WebLogic, Red Hat JBoss, SharePoint
.NET (also uses native App Server Hyland Services)
Licensing
Based on a per service/per processor basis: specific solutions sold on a named

user model. Budget around $250K for a basic startup license fee
Licensing is by individual module and the number of concurrent users; budget a

deal size of ~$300 K+ for a single-department installation
Ownership
Privately held
Privately held
M-Files
SpringCM
Geography
Mainly Europe and North America
Mainly North America and Europe
Whats New
Revamped user interfaces
Ability to share documents with non-SpringCM users
Redesigned metadata entry interface
Side-by-side comparison of Word documents
Enhanced integration with Salesforce
Strengths
Weaknesses
Quick to set up for basic setup
Requires little or no IT resources for basic setup
Enables rapid deployment
Good integration with Microsoft-oriented environments
Relatively more user friendly compared to most other tools
Flexible metadata-based navigation is useful for complex, taxonomyoriented scenarios
Unusually good Salesforce integration
Above-average file sharing and sync services
Functional case management capabilities, with a refreshing emphasis on

specific applications
Cloud / SaaS-based model may not work for enterprises with sophisticated
security and integration requirements
Weak collaboration capabilities
No digital asset management or web content management functionality
Records management is not certified against common standards
Windows architecture makes it less suitable for more heterogeneous

enterprise scenarios
Not a good match for non-American enterprises: UI is English only, and data
centers are only located in the US
Relatively weak collaboration capabilities
Not a very extensible platform; like most SaaS offerings, you have to use the
product more or less as-is
Surprising lack of customer community and poor documentation means

reduced opportunities for problem solving
Potential Fit
Document Lifecycle Management, Cloud File Sharing and Sync
Unlikely Fit
Document-Centric Collaboration, Enterprise Content Platform
Compare to
SpringCM, Box, Microsoft, Alfresco
Alfresco, Box, SharePoint
(Continued)
M-Files
SpringCM
Operating
System
Windows
N/A (Supports IE, Firefox, and Safari browsers)
Repository
Built-in (Firebird SQL) or MS SQL
N/A (cloud)
App Platform
Microsoft
N/A (cloud)
Licensing
Based on number of users: starting price is $15K for 50 named user licenses
Monthly/yearly service subscription, the enterprise edition starts at US$39 per

user per month
Ownership
Privately held, VC funded
(Continued)
Usage Scenarios Summary: Document Management Products

High-Volume Imaging
SpringCM
M-Files
Hyland
Usage
EverSuite
Usage Scenarios Summary: Document Management Products
2
2
3
1
2
1
1
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2
4
1
3
2
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1
2
2
2
3
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0
1
2
2
Key
Ratings Summary: Document Management Products
Hyland
M-Files
SpringCM
Ratings
EverSuite
Ratings Summary: Document Management Products
2
2
2
3
0
2
2
1
2
1
2
3
2
3
3
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3
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2
0
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2
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3
3
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2
3
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2
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2
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1
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4
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2
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1
2
2
2
3
2
Functionality
Document Management
RM and Archiving
BPM and Workflow
eForms
Mobile Access
File Sync & Offline
Technology
Architecture
Cloud Services
Security
Vendor Intangibles
Support & Community
Strategy & Roadmap
Key
www.ever-team.com
Vendor at a Glance
Specsheet
EVER TEAM: EverSuite Summary
Geography
Europe and the Middle East
Whats New
EverSuite Content Analytics for media and social content monitoring

Redesigned administration interface
Strengths
Weaknesses
Small company size may limit the ability to support you going forward
Limited geographic reach outside of EMEA
Two different products (SharePoint and non-SharePoint) may strain the
company going forward
Collaboration capabilities are rather limited
Records Management is not DoD certified, which could affect US
customers
A bit pricey for what it does
Community around the offering feels light, perhaps because the
company traditionally emphasized its own professional services, rather
than its channel partners
Potential Fit
Unlikely Fit
Compare to
Nuxeo, Hyland, Alfresco, M-Files
Operating System
Linux, Windows Servers, AIX
Repository
Proprietary repository. Supports Oracle DB, Microsoft SQL Server, IBM

DB2, MySQL, PostgreSQL
App Platform
Tomcat, IBM WebSphere, Oracle WebLogic, Red Hat JBoss, SharePoint
Licensing
Based on a per service/per processor basis: specific solutions sold on a

named user model. Budget around $250K for a basic startup license fee
Ownership
Privately held
Services-oriented approach to document management

Comprehensive offering, especially for mid-sized customers
Offers email management and COLD solutions
Emphasis on case management and rules-based routing makes it well
suited to professional services firms and others with repeatable projects

Summary
Scenario Fits
EverSuite is a European solution for

content management with modules for
document management, case
management, records management, and
content analytics. Based and developed in
France, the platform also embeds other
regionally developed technologies (e.g.,
for archiving). The company is small, but
claims to be growing, while moving into
the Middle East and North America (the
company only recently expanded into the US).

High-Volume Imaging
2
2
3
1
2
2
1
EVER TEAMs ECM offering is called EverSuite and (rather uniquely) is available for J2EE
and Microsoft SharePoint environments. The two products have a different look and feel, but
can share information. Having two versions of the product probably saps R&D, and EverSuite
is not known for being particularly innovative, though most customers consider it quite stable.
EverSuite is sold as either a platform or a set of horizontal products, all running atop one
repository. The platform is based on a set of services and connectors that you can customize to
build a specific document management application.
Introduction
Founded in 1990, EVER TEAM is a well-established document management vendor, but
outside of its home markets of France, Spain, and the Middle East, the solution remains little
known. The firm now boasts approximately 1,500 customers across a number of sectors.
EVER TEAM is particularly strong in Finance, followed by Energy, and Public Sector/
Government. Employing around 300 with revenues of approximately US$48 million in 2013,
EVER TEAM is smaller than its major competitors.
The key is to understand that EVER TEAM offers two products:
EverSuite J2EE
EverSuite for SharePoint.
The products work similarly but have very different architectures. EverSuite J2EE is naturally,
based on Java, but the other is built around SharePoint and preserves the look and feel of
SharePoint. EVER TEAM allows organizations to mix and match licenses, but this is an
unlikely scenario since the user interfaces are not the same.
EverSuite can be broken into the following core modules (available separately):
EverSuite Content Management For document management
EverSuite Case Management Adds capabilities of BPM and workflows using a case
management paradigm
EverSuite Compliance For archival and records management
EverSuite Content Analytics For content analytics related to both internal and
external data
EverSuite Capture For imaging and scanning

There are many (more than 30) optional modules, including:
EverSuite Collaboration Space For lightweight collaboration
EverSuite Desktop Integration For accessing EverSuite from Windows Explorer
EverSuite Outlook Integration
Mobile apps For iOS & Android
EverSuite CAD Integration
The current version of EverSuite 5.1 was released in Q1 2014. This version offers content
analytics, enabling you to monitor case management activities and monitor external social
sites. The admin interface has been redesigned with various improvements to the user
interface.
Functionality
Functional Services
Document Management
Document Management
EverSuite is a web application, meaning you

access it from a web browser. Most browsers
are supported.
RM and Archiving
BPM and Workflow
2
2
2
3
0
2
2
1
eForms
When you log in, you see a customizable
dashboard as your home page. This can be
Mobile Access
customized on a user or a role basis. The left
File Sync & Offline
side has a navigation panel that links to your
tasks, cases, repositories, search, and some
other functionalities. The dashboard consists of
widgets for analytics, recent events, and a list of tasks. You can remove these widgets, add
some others, and customize the home page. This is similar to a portal page with widgets for
different functionalities.
EverSuite Content Management offers rules-driven content management that stretches from
capture to archiving. At the core lies a web-based document management module (DMS) that
provides traditional document management capabilities. This module supports basic capture
functionality, along with fairly extensible versioning, renditioning, and categorization abilities.
For advanced natural language search, EverSuite acquired Lingway from a French search
solution company. This is now part of the overall solution.
The key strength here is the ability to file documents using file plans and rules automatically,
and you can dynamically create filing plans based on metadata. It can be used, for example, to
enforce compliance or local regulatory demands.
Figure 91. The customizable dashboard displays when you log in.
Document management is a core feature and is required by all other modules. EverSuite
provides all standard features; however, its core focus is not document management per se, but
rather case management. As a result, some of the advanced document management features
such as support for compound documents are missing.
Collaborative activity is organized around Spaces. Again, this is a more project-oriented
system, so a Space has a lifecycle with a start date and end date. A Space consists of users
and documents, as well as a built-in messaging/chat service. For example, you can create a
Space for an event such as board meeting.
When you create a Space, you can add wikis, blogs, tasks, and a database. Remember though,
these are lightweight in terms of functionality and may not be sufficient for your needs. If not,
consider specialized tools. EVER TEAM says its tools mostly integrate with external
collaboration systems such as Yammer, SharePoint, and Ciscos WebEx, but not with many
other tools such as Jive or IBM.
Figure 92. Lightweight collaboration in EverSuite.

EverSuite offers a separate module for integration with Microsoft Outlook, enabling users to
browse document repositories directly from within Outlook. Many content services also can
be accessed from within Outlook, so there is no need to log in to the web interface. However,
no such integration is available if you use other clients such as Apple mail. In addition,
remember that the Outlook module like others brings additional licensing cost
implications.
Figure 93. Integration with Outlook is handy.

Notably, EverSuite offers email management, enabling you to archive email in its repository.
Just like your documents, you can categorize email using rules. However, this is only available
for Exchange Server.
EVER TEAM has some decent imaging functionality: good compression, on-the-fly
conversion to TIFF, and acceptable caching capabilities. In addition, it can support distributed
scanning environments. Though probably not suitable for the very highest volume
environments (millions of documents per day), it will more than suffice for many firms needs.
EverSuite Capture offers Pipeline Designer, which can do multiple content transformation
steps while importing content from scanners. Scanning supports TWAIN and ISIS standards
and supports automatic character recognition.
Basic workflows come out of the box, applying things like automatic routing of documents
using rules and metadata. You optionally can license Advanced Content Services, which is
an add-on module that adds a rules engine that can automatically route content as well as
organize it based on different categories.
To create more complex workflows, you use a web-based workflow designer, which can drag
and drop components and create complex workflows that have parallel tasks and multiple
steps. The workflows are stored as BPMN-compliant XML files. The company seems to have
paid good attention to developing workflow capabilities that arent normally found in this
class of product.
Figure 94. You can create workflows using the web-based designer.
It also offers case management capabilities. The folders can be configured to file documents
based on user access, metadata, or process-triggered rules.
Figure 95. The case management interface.

By clicking on Cases in the left-hand panel, you can see a list of all open cases. You can filter
cases based on dates, description, location, and other parameters. Like other functionalities, this is
just another widget that you can configure or customize based on your needs. You can create,
manage, and send emails directly from the case interface, which is very helpful.
When you click on a case, you can see the associated documents as well as metadata and
action items. EVER TEAM says that many users use two monitors for case managers: one for

documents, and one for metadata or action items. The idea is to collect all of the information
about a case on the same screen to help case managers make decisions. EVER TEAM can
query data from Twitter, LinkedIn, and Facebook if those account names have been captured
in a users profile.
Figure 96. You can click on a case to view its associated processes.
EverSuites strength is case management. You use the web-based admin interface to setup a
case and a workflow, which you can monitor using a predefined set of KPIs. Case
management integrates well with the rest of EverSuites modules for document management,
capture, workflows, and rules. EverSuite also provides ready-to-use case management
applications for many use cases such as correspondence management, loans, claims
processing, account opening, loan processing, and so forth.
Case management is EverSuites key focus. When you log in, you dont see a list of folders
and files; instead, you view cases.
The EverSuite Compliance module provides retention and archiving capabilities more than
detailed records management functions, although it supports physical and electronic archives.
If you need specialized RM functionality, you may find it somewhat lacking, as it has limited
file plan management. Nevertheless, it has probably more than enough functionality for most
general enterprise needs, and does comply with ISO 14641-1. Its archiving ability provides
advanced archiving functionality for compliance scenarios.
Figure 97. The records management and archival interface.

One of the stronger modules in the Suite is the COLD option, which supports almost any print
stream option you might want (for example, AS400, PCL5, AFP, and more). Unfortunately, it
natively outputs PDF-formatted documents, which may be limiting for you in an era where
there are as many output mediums as input. (To be fair, other leading ECM platforms use this
same approach to simplify COLD functionality.) However, EVER TEAM finds a lot of
traction for PDF documents particularly in the HR and Payroll archiving sectors where this
is emerging as the most popular (near standard) output format.
Somewhat unusually, the Suite also provides email management capabilities, which is a clear
differentiator for the firm and something not typically seen for these mid-tier products. It
offers both manual and automatic email transfer (complete with a digital signature capability)
to a secure repository, while indexing the incoming mail into a logical structure at the same
time.
Mobile Access
EverSuite provides native apps for iPad, iPhone, and Android devices. These apps use
EverSuite REST APIs to access functionality via mobile devices.

Figure 98. There
are mobile apps for
Android and iOS
devices.
The web interface is responsive via mobile devices; however, you must test the responsiveness
with respect to your functionality since its rather tricky to carry out document management
functionality on a small screen without using a purpose-built app. EVER TEAM doesnt
recommend that you do that, however, so think of this as just another alternative if you dont
have access to native apps or you have a specific purpose (e.g., disability assistance).
EverSuite integrates with Windows Explorer via desktop and EverSuite as another drive, so that
you can access content directly without logging in to the web interface. You also can access
documents via mobile apps. However, this is not a sync and share tool like Dropbox or Box. If you
need advanced capabilities for file syncing across multiple devices or the ability to work offline, you
will need to look elsewhere.
Technology
Technical Services
Architecture
EVER TEAM provides two platforms based on

very different technology. The first is its main
product, a J2EE SOA-based architecture; the
second is a lighter .NET-oriented solution
leveraging Microsoft SharePoint.
Architecture
Cloud Services
Security
2
2
3
2
2
2
The non-SharePoint product can be purchased

in an open source infrastructure bundle made up of Tomcat, MySQL, and Linux. This option is
particularly popular within the European public sector.

EverSuite J2EE runs on a servlet-based platform composed of a bundle of components that
can run as individual services. The bulk of the offering runs on a single code base, although
EVER TEAM embeds a variety of OEMd modules as well. Each service has its own API.
There are broader Web Services and Java APIs available, as well as REST-based integration
through URL calls. The repository is accessible through JSR170, WebDAV, and CMIS, and
supports Oracle DB, Microsoft SQL Server, IBM DB2, MySQL, and PostgreSQL databases.
EverSuite J2EE: Technical Architecture

User Environment
Web Browsers
Internet Explorer, Mozilla
Applications
Office, Outlook, Windows
Mobile Devices
Web Server : IIS, Apache
Application Server
J2EE Application Server:
EverSuite Solutions
Interop Layer
ES - SDI
ES - XES
ES-SCU
ES-OSS
ES-MSS
ES-LMS
ES-OMS
ES-MMS
ES-DCS
ES-RAS
ES-RLS
ES-ACP
ES-DFS
ES-AVS
ES-NAT
ES-CTS
ES-ADS
ES-SPL
ES-PKI
ES-HDS
ES-SIS
ES-OSS
ES-RCG
ES-AIS
EverSuite Services
CMIS
JDBC
JMS
ERP
Databases
PKI
Spools
IMAP
E-Mail
SOAP
LDAP
Identity
Management
Repositories
Storage & Archiving:
OS
Figure 99. Ever Suites J2EE-based architecture.

Like most platform-oriented systems, EverSuite applies a wide range of interoperability
standards, such as CMIS, WebDAV, JDBC, JMS, SOAP, and LDAP. As such, it can access
many common information repositories. LDAP integration is supported and can be in realtime, though some data copying is recommended to boost performance. SAML is supported,
but, like most other document management vendors, XACML is not. BPEL is not a supported
standard for workflow.
The client layer runs in a browser. Your developers create templates using XSL, JSP,
FreeMarker, and Velocity. AJAX is supported at the UI level, and there are JSON hooks for
building custom AJAX UIs.
This approach gives EVER TEAM flexibility to integrate to various other platforms at the
client level. Systems can integrate at the server, client, or both. The server-level integration
can often provide better performance, but the client side is usually less expensive and can be
deployed faster. EVER TEAMs SAP integration, for example, is performed completely at the
client, which means that no expensive SAP programmers are needed for configuration or
deployment.
EVER TEAM integrates with a large array of hardware storage environments, including

Optical Storage, UDO, Centera, Dell, and Hitachi HCP reducing the potential for vendor
lock-in.
In addition, the architecture has been designed to support distributed and federated
deployments. This is enhanced by the smart use of local caching. Overall, these are features
you might expect to see in better-known, global document management systems.
EverSuite for SharePoint runs completely on top of the SharePoint stack, and is tightly
integrated into the Microsoft stack, while still providing Web Services and REST
interoperability with other tools. Customers can mix and match under the software license and
can change platforms at any time. This is a significant advantage for companies that may need
a robust solution now but might consider a SharePoint migration in the future.
EVER TEAM offers a dedicated integration to ERP platforms including Microsofts Dynamic
NAV, SAP, Sage, and Infor.
The admin is a separate web interface from the user application. You can configure security,
manage users and roles, configure applications, configure case management, and create
workflows from the admin interface.
Figure 100. The admin is in a separate interface.

EverSuite provides content analytics that analyzes content and data from internal and external
sources. You can analyze emails, content stored in EverSuite, databases, websites, blogs, and
some social networks. EverSuite does semantic analysis and provides widgets for viewing
analytics KPIs. This is a rather unique feature, but because it is not a full-fledged analytics
product, you should look elsewhere if you need more sophisticated social media analytics. In
addition, remember that all dashboards and analytics widgets require customization for
specific needs; carefully think through your reporting model in advance.
Figure 101. The content analytics dashboard. (Source: Ever Suite.)

Cloud Services
EverSuite is mostly deployed on-premise, but EVER TEAM says it provides a clouddeployable version of the products, which are deployable on AWS, Rackspace, and
Microsofts Azure.
Some of EVER TEAMs partners have taken the core product and offered it as a Software-asa-Service (SaaS)/cloud offering. Unlike its larger competitors, EverSuite has the flexibility to
adjust its pricing to a monthly fee instead of a standard license. The company claims to be
developing hybrid models for cloud and installed software and is rounding out its cloud
offerings to support mobile devices.
Your developers will use Eclipse as the IDE for any development, which is useful since
Eclipse is a popular development environment and your developers are probably already
familiar with it. The user interface uses standard web technologies such as HTML5, CML/
XSL, CSS3, and JavaScript and thus can be customized if your developers are familiar with
them. For templates, EverSuite supports FreeMarker, XSL, and GWT templates along with its
own JQuery-based library. Depending on whether you have licensed the J2EE or the
SharePoint version, the underlying language will be Java or C#/.NET based.
Security
For identity management, you can authenticate against EverSuites own repository or against
LDAP and Active Directory. You can also authenticate against multiple systems
simultaneously, taking advantage of the LDAP organization structure in your workflows and
load-balance against multiple LDAP systems. You also can delegate to many external Single
Sign-on systems. However, if you intend to do that, make sure you test against the specific
SSO and IM systems.

Users in EverSuite are grouped into Roles. A Role can define what a user is in context of the
application (e.g., a reader or reviewer), or it can be mapped by the organization structure (e.g.,
HR manager, or branch manager). You then apply permissions or rights on the users or roles,
following a standard way to implement user rights management.
Vendor Intangibles
EVER TEAM offers an in-premise and a
managed hosting model for licensing. EVER
TEAM does not disclose its licensing prices.
However, budget for a starting cost of about
$250K for software costs and $120K for the
implementation. Additional modules cost
anywhere between $10$50K. Remember, ECM
implementations are expensive; consider these
numbers only as starting prices.
Intangibles
Support & Community
Strategy & Roadmap
2
2
1
2
2
The majority of EVER TEAMs customer base lies in Financial Services, Engineering, and
Utilities; however, in the Middle East, the focus is on Government.
EVER TEAM has a professional services division that accounts for about 30% of its total
employees. In fact, EVER TEAM has its own project management methodology called SPMS
(Simple Project Management for Success) and uses that as a basis for its project
implementations.
Unlike some competitors, EVER TEAM is focused on building a robust services channel and
has increased the amount of services its partners receive. Konica Minolta is its largest channel
partner and covers 26 countries in Western Europe. The company also has relationships with
several key continental consultants and integrators such as Capgemini, Steria, CGI, Sword,
BT, Getronics, ATOS Origin, Sopra, and Thales IS.
EVER TEAM does not have a big community and theres no documentation publicly
available, but there are user group meetings in Paris for EverSuite.
The next release of EverSuite is due in 2015 and EVER TEAM follows an 18-month release
cycle for major releases. That release will offer better capabilities for file sync and offline
work, better content analytics, and some other additions.
Conclusion
For now, EVER TEAM can only be recommended for areas in Europe (particularly France,
Spain, and Germany), and the Middle East, because support outside of these regions is
minimal. Its records management certifications are focused on European certifications.
EverSuite has little to offer in terms of collaboration. Thus, it may not be suitable for general
collaboration oriented capabilities or DoD-certified records management.
EVER TEAM has built some strong industry solutions over the past year or so in energy,
private equity, insurance, government, museums, and libraries. In these sectors, it might make
a good counterbalance in any shortlist against larger, more generic vendors such as OpenText
or Documentum, and it might also make sense as a Java development platform upon which to
build custom document management applications.

Thus, prospective document management buyers in France, Germany, Spain, the UK, and the
Middle East may consider EVER TEAM as a core platform, balancing any functional
limitations against local support and understanding.
Hyland: OnBase 13
Hyland: OnBase 13
www.onbase.com
Vendor at a Glance
Specsheet
Hyland OnBase Version 13 Summary
Geography
Mainly North America
Whats New
A redesigned business rules engine

Deeper integration with AnyDoc Software, which was acquired in 2013
Support for 64-bit architectures at the database, application server, and
client interface layers
Strengths
Very broad and deep imaging capabilities

Extensive COLD/ERM functionality typically not seen at this tier
You can use Outlook as a full-fledged DM client
Comprehensive, rules-based BPM
Variety of solutions for specific processes with industry verticals
Strong reseller channel creating specific solutions
Strong and growing footprint in health care
Weaknesses
Very file-centric and wont deal with component content scenarios

Limited collaboration and collaborative DM capabilities
No digital asset management
HP/Autonomy IDOL for search may prove too complex for some
Windows-only architecture makes it less suitable for organizations with
a more heterogeneous technology landscape
Web Services emphasize SOAP over RESTful approaches
Comparatively less presence outside North America
Records Management is not DoD certified
Requires separate configuration tools for conventional workflows
versus case management
Complete solution may require licensing a confusing array of modules
Potential Fit
Process and Case Management, High-Volume Imaging
Unlikely Fit
Compare to
OpenText, Oracle, IBM
Operating System
Microsoft Windows
Repository
File System plus relational database (SQL Server or Oracle)
App Platform
.NET (also uses native App Server Hyland Services)
Licensing
Licensing is by individual module and the number of concurrent users;

budget a deal size of ~$300 K+ for a single-department installation
Ownership
Privately held
Hyland: OnBase 13
Summary
Scenario Fits
Hyland is known for its strength in

1
imaging and capture, and its focus on
1
developing industry- and process-specific
3
modules for health care providers,
2
insurance carriers, state and local
High-Volume
Imaging
4
government, higher education, and midInformation
Governance
2
tier banking. Although Hyland would
undoubtedly like to play in the seven1
figure deal market alongside EMC,
OpenText, and IBM, the mid-market has
provided more room for expansion, and in its chosen sectors, Hyland often makes a good fit.
Hyland brings mature offerings in the areas of Imaging, COLD/ERM, and rules-driven BPM.
It is not a suitable environment for collaboratively managing Office files, or for component
content use-cases. In fairness, Hyland makes no claims here and readily defers to SharePoint
for things like collaboration. In fact, Hyland tries to position OnBase to coexist with
SharePoint and for organizations that want to use SharePoint, Hyland positions OnBase to fill
gaps in SharePoints functionality.
Hyland is a conservative supplier with limited support outside core vertical sectors, horizontal
functionality, and current geographic reach. It wants to serve as a middle ground between
point solutions (such as basic document management) and uber-development platforms that
require a lot of customization. Youll find an emphasis on menu-driven configurations, rather
than development-oriented extensions.
Thus, Hyland is neither Baby Bear nor Papa Bear, but under the right circumstances, it could
make a good Mama Bear choice for you. Youll be trading off some of the turbulence among
the flashier cloud vendors and constantly acquiring mega-suite vendors, in exchange for a
somewhat old-school vendor in both approach and orientation.
Introduction
Traditionally a North American-focused company, Hyland now has started to expand
overseas. While most of its 1,700 employees remain based in the US, it has started to have
some presence in Sao Polo, Tokyo, Australia, and the UK.
Hyland is something of an oddity in the document management world: A privately held midsized firm that has stuck firmly and successfully to its roots. In contrast to other document
management vendors that add ever-broader technology elements to their suites, Hyland has
focused on developing solutions for process- and imaging-centric document management. In
fact, it focuses on building solutions for specific processes within industry verticals.
As it grew, the company made several small but targeted customer-base acquisitions, including
Liberty Information Systems (2008), health care specialists Valco Data Systems (2009),
eWebHealth (2010), and CSC Group (2010), and higher-ed-focused Hershey Systems (2010).
In 2007, Thoma Bravo agreed to acquire 58 percent of Hyland for $265 million, which
recapitalized the firm and then allowed employees to buy back 42 percent of the firm,
providing some expansion cash. Since the acquisition, employees bought back another 7
percent, taking the TCB holding to 51 percent at one point an unusual but credible
arrangement. Since then Thoma Bravo has helped Hyland make several acquisitions, most of
Hyland: OnBase 13
which were to acquire competitive products to secure customer bases in targeted vertical
markets like health care and higher education.
For example, Hyland acquired AnyDoc Software for data capture and Sire Technologies for its
municipal Agenda and Minutes Management application. Hyland says they will likely
pursue similar product acquisitions for intelligent capture. Hyland says the idea is to extend
the OnBase platform around the edges, rather than assemble a portfolio of standalone products
from adjacent software markets a strategy employed by the likes of OpenText.
For customers, these are mostly positive signs that point to long-term vendor viability and
support, but the many acquisitions do pose challenges for Hyland to absorb in terms of product
consolidation and support.
The latest version, OnBase 13, was released in 2013 and features improvements to its mobile
capabilities: a redesigned business rules engine, support for 64-bit architectures at the
database, application server and client interface layers, and deeper integration with AnyDocs
data capture suite that Hyland acquired in 2013.
Functionality
Functional Services
Document Management
Document Management
2
1
2
3
2
3
3
2
The key interface in OnBase is a desktop client

RM and Archiving
called Unity. It mimics Microsoft Office, with
BPM and Workflow
tabs on the top for different functionalities and
eForms
a two-panel view for your work. You can run
custom queries to retrieve documents based on
search criteria such as document types, date
Mobile Access
range, keywords, textual information appended
File Sync & Offline
as notes to documents, or text in the documents.
The retrieved documents are listed in the right
panel and when you click on a document, it opens in a document viewer, which is part of the
client.
You can retrieve documents by what is called a cross-reference. A cross-reference is a way to
align documents into collections via relationships; when you click on cross-referenced
documents, you get a list of all related documents.
From the document listing, you can view keywords, cross-references, discussions, revisions
and renditions, history, and properties. You can send documents to a Briefcase and add
annotations.
OnBase manages files in their native formats and will allow you to access and manipulate
those files in their native applications (e.g., MS Office apps, streaming audio, or video apps),
or via a viewer (e.g., CAD files or complex diagnostic medical images). It also supports
parent-child relationships of compound CAD files.
OnBase handles Word-based templates that support document composition for automated
correspondence management.
Hyland: OnBase 13
Figure 102. Unity Client, OnBase's key interface, mimics the Microsoft Office look and
feel.
OnBase library services supports revisions (drafts) and the ability to publish major and minor
versions of MS Office files, which is handy for straightforward contract management
scenarios. Like other more advanced (and costly) DM suppliers, OnBase also has a notion of
smart folders that can apply rules and inheritance to the files you place in them. Folders can
contain other folders and sections can contain other sections. For example, documents dropped
into a folder will automatically inherit the keyword structure of the folder.
You can also employ what the company calls Folder Templates to develop more structure to
folders, which you would likely need in most case management scenarios. Specifically,
templates create a placeholder for each document and inform the user of missing files. This
mimics the practice of placing hold notes in physical folders when documents are out on
circulation.
There are a few key points to remember. This client remains Windows-only, so Mac users will
be shunted to a less-appealing, Java-based client, or an even thinner (in every respect) HTML
client thats geared toward partners and remote employees. In fact, OnBase customers have
confirmed that not all functionality is available in each client, as if completely separate groups
at Hyland had built each one.
On the plus side, youll find very nice Microsoft Outlook integration, extending document
services to the environment where many people work. It opens up the OnBase work area
within Outlook, including workflows and documents. As a result, Outlook becomes a firstclass OnBase client from which you can review attachments, participate in a workflow, and
then approve or reject items. Just remember this is also Windows-only; Mac users dont have
the same functionality.
Hyland: OnBase 13
Figure 103. OnBase integrates with Outlook.

Like most ECM vendors, usability is not a strong suit for Hyland. Some user interfaces/clients
are outdated and functionality across different clients is not uniform. Hyland has been making
improvements to its OnBase Unity desktop client, but aside from the nifty Outlook module,
progress has been slow. Mobile applications and consumer-facing file sharing systems have
given enterprise end users a taste of the enterprise software, which comes closer to the
experience of consumer applications. Increasingly, knowledge workers expect a UI that is
tailored to their role; Hyland still has work to do.
Nevertheless, OnBase is primarily a back-office system that drives and manages processes
between applications. Rarely would you employ the out-of-the-box UI as-is; budget for ample
customization.
Finally, note that many of the features described above such as collaboration and library
services around revisioning require you to license separate modules for an additional cost.
Ultimately, Hylands document management approach adheres closely to paper-centric
administration and filing processes, allowing you to manage hard copy and electronic
documents in the same logical and procedural manner. For the kind of environments that
Hyland targets (e.g., health care) this is a very useful approach that simplifies the learning
curve and assists in bringing consistency to paper and electronic documents living alongside
each other in the working environment. However, dont confuse OnBase with offerings like
SharePoint or SpringCM if you need richer collaboration around Office-based documents.
OnBase allows you to associate discussions with a document. This allows your users to
comment and discuss a specific document using a threaded discussion board. Synchronous
collaboration is provided through integration with Citrix GoToMeeting.
Hyland: OnBase 13
Unlike many other document management products, OnBase does not provide documentcentric collaboration features beyond discussions. Hyland says it has no plans to get into that
space.
The OnBase Records Management solution features folder-centric records management
modules that manage an organizations records on a document or folder level and supports
physical records.
OnBase Records Management Retention plans are assigned to Records
Management folder types. There are four basic states for a retention plan: Open, Closed,
Cutoff, and Permanent. Event Sets are assigned to Records Management folder types.
Folders have hold capabilities, and multiple holds may be placed on the same record.
OnBase Physical Records Management The management of physical records is
based on the same architecture as the management of electronic records (document
type, keywords, geographic location, and shelf number etc.).
Document Retention The Document Retention module allows for the automatic
destruction and removal of qualified documents that have exceeded their retention
period and have not been marked for exclusion from the retention schedule. The
Document Retention Processor can be configured with the following two retention
types:
- Static Retention Static retention purges documents when the user-specified time
interval has elapsed. Only a purging type Document Retention Processor needs to
be run to destroy the documents when the associated time interval has elapsed. It is
configured for document types or document type groups that will most likely
maintain a static retention period. The retention period is typically either the
creation date of a document or the document date.
- Dynamic Retention To remove documents that are associated with a dynamic
retention type, an evaluation type Document Retention Processor must be run to
process the documents, followed by a purging type Document Retention Processor
that actually destroys the documents. Dynamic retention allows the date of deletion
to be determined based on a custom OnBase Workflow, VBScript, or external
action taken in a line of business application. Dynamic Retention can delete
documents when:
A new document enters the system
Another document is deleted
A certain amount of time elapses
A manual evaluation of the document
Hyland: OnBase 13
Figure 104. The records management interface is functional, but the tabs approach may
not suit everyone.
As with Hylands document management capabilities, from an RM perspective OnBase also
attempts to mimic normal and well-established paper-based systems. At the same time,
automation is added where appropriate (for example, retention management) to take on bulk
tasks that most administrative workers cannot (or will not) do.
Overall, the document and records management approach of OnBase explicitly targets office
environments that are and will likely remain heavily dependent on associated paper
documents and forms, providing parallel and very similar filing and administrative functions
to the end user.
OnBase no longer supports DoD standards for records management, citing the fact that
certification is expensive and not very useful. If you are a federal government agency or
require DoD certification for some reason, this could be a deal breaker.
OnBase Workflow is the name of the products embedded process engine. It is a native and
integrated component of the OnBase Suite.
Hyland: OnBase 13
Other components aside from Workflow provide adjacent services. These are:
Business Process Modeling
Business Rules Engine
WorkView | Case Manager
In theory, you have several choices; in practice however, the different systems dont
interoperate very well, and customers report it can become confusing to figure out which one
to use for which use cases. As a practical matter, dont over-license what you may not need.
Lets look at each.
OnBase Workflow
The basic rules and roles-based process engine is best suited to support content-driven
operational and administrative processes. Interestingly, this is embedded in the basic suite
offering, not decoupled (as in many other vendor offerings). This has some advantages, in that
it is fully integrated with the rest of the OnBase modules, so it can support such things as
document composition in Word, and link activity to predefined approval workflows. Another
example might be workflow-driven retention management, or rules-based records
management. Tight integration with Microsoft Office permits workflow-driven processes
directly within the applications.
A relatively new Workflow Studio features a GUI workflow designer. A Workflow Doctor
tool can help analyze workflows and identify potential problems. It doesnt rise to the level of
the high-end BPM tools, but it certainly is a plus. Combined with Unity Forms (a basic forms
design tool), you can deploy workflows and case management scenarios more quickly. All of
the technology is homegrown (in very sharp contrast to high-end competitors that have bought
the technology).
In summary, OnBase Workflow is a document-centric tool that is typically configured via
rules but can be extended further via VB Script, Web Services, or one of the packaged
APIs.
Business Rules Engine and Process Modeling
The Business Rules Engine is designed to allow business managers to change rules quickly
within predefined parameters. Any object can be routed through the rules engine (not just
documents), and you can perform basic simulations.
Where things become somewhat disappointing is in the process modelers look and feel. As is
common with many ECM vendors, it feels a little clunky, but it is functional and does the job.
Hyland: OnBase 13
Figure 105. The OnBase Workflow configuration provides a logical, but dated interface.
Where OnBase differs from others in this space is in search and retrieval, where it OEMs HPs
long-standing (but now ill-starred) IDOL technology. This is a real bummer for you, since
IDOL is particularly tricky to configure and maintain. In addition, the technology tends to
assume that IDOL itself knows best, rather than the operator. Perhaps Hyland could not find
anything better in the Windows ecosystem. At a time when most other vendors are turning to
the rich Apache Lucene ecosystem of search services, Hyland remains stuck with few choices.
WorkView | Case Manager
Hylands WorkView | Case Manager now serves as the user interface for process and case
management applications. You employ it in lieu of Hyland Workflow and eForms when a
process is driven by ad hoc tasks and human judgment. In contrast, Workflow is optimized for
highly repeatable and predictable processes. Think of WorkView | Case Manager as an
application framework that manages business objects with many-to-many relationships with
data in other business objects.
To be clear, many people have used OnBase to build case management solutions, and Hyland
offers some industry-specific solutions. In many cases, OnBase is merely a part of the overall
case management solution and users arent even aware they are using a generic product. That
is a good thing.
Hyland has sometimes misunderstood that cost savings for imaging and case management
occurs when employees actually use the systems not when the system is installed. For
Hyland: OnBase 13
years, Hyland touted that the software could be installed and didnt place as much emphasis on
how easily the software could be used. Hyland still suffers from this technologist-first
approach sometimes, but as case management services become increasingly similar among
various products, there are some real differences in how much it costs to install and administer.
OnBase offers multiple options for imaging ranging from low- to high-volume requirements,
as well as distributed and centralized scanning environments. These are:
Disconnected Scanning Providing distributed capture and scanning, but for use
without connection to the core OnBase system. It supports advanced document
processing features such as de-skew, de-speckle, and barcode recognition. It supports
Kofax, ISIS, and TWAIN scanning.
Desktop Document Imaging Scans paper documents using only TWAIN-compatible
scanners
Web Scanning Low-volume capture via the OnBase Web Client, which is also
TWAIN based
Front-Office Scanning Distributed scanning from non-OnBase workstations and a
departmental scanning console station. Indexed data and scanned files are uploaded
across the web when a connection is available to an OnBase Application Server for
archiving.
OnBase supports template-based OCR and can do automated and unattended indexing of
scanned documents. However, template-based OCR is not a good idea if you have thousands
of suppliers with different invoice formats or when your organization frequently changes
formats or suppliers. Hyland acquired AnyDoc Software to address these scenarios, which can
automatically extract relevant content without the need to create templates in advance.
AnyDoc also has some specific offerings for processing invoices, claims processing,
identifying patient records, mortgage processing, and so forth.
Finally, OnBase offers integration with other third-party data capture software such as Kofax,
IBM Datacap, EMC Captiva, Lexmarks Brainware Distiller, KTM, and Readsoft Invoices.
eForms
Like some competitors (EMC for example), OnBase eForms is not the most elegant tool, for
forms designers or end users. It provides standard functionality, but lacks the ability to mimic/
replicate paper-based forms, rendering all forms in a standard, Windows-style format.
Mobile Access
Mobile has been a major emphasis for Hyland in its last two releases. New features include a
mobile dashboard, mobile-optimized search, and native apps. OnBase supports iPad, iPhone,
Android, BlackBerry, and Windows devices. You can take photos and upload them to OnBase.
You can also sign documents using a touch interface. Most functionality is similar across all
supported devices except for charts and reports that are only available on the iPad.
Hyland: OnBase 13
Figure 106. The OnBase iPad app.

There are good capabilities for working offline using the Unity Briefcase, a nifty module
that requires separate licensing. Briefcase allows for long-term checkout and subsequent
reconciliation of modified documents. Persistent document checkout benefits users that need
to work on documents stored within OnBase from a disconnected local machine. This is
particularly useful in case-driven transactional requirements, where simple check-out will not
suffice for long-term document usage needs. Briefcase also allows you to work on checkedout documents in offline mode and synchronize it later. However, there is no ability to sync
files across multiple mobile devices and computers, akin to the way cloud-based file sharing
and sync services work (e.g., Dropbox).
Additional Capabilities
OnBase can boast exceptionally broad COLD/ERM capabilities, which is potentially
important to some buyers. With few exceptions (OpenText and IBM, for example), most ECM
Suite vendors do not invest in this area particularly not in the mid-market, where Hyland
often competes.
The basic OnBase COLD/ERM module offers standard capabilities. It automatically
identifies, compresses, indexes, and stores reports and statements. The COLD processor
identifies reports or statements contained in large, text-based print files, archiving each
document into OnBase with keywords that are automatically extracted from the document text
to facilitate direct access to a specific document.
In addition, OnBase sells a variety of filtering modules: the Printer Control Language (PCL)
Filter, the Advanced Function Printing (AFP) Filter, the Dynamic Job Descriptor Entry
(DJDE), and PDF. Filter modules process and store data streams produced in Hewlett-
Hyland: OnBase 13
Packards PCL, IBMs AFP, and Xerox Corporations DJDE protocols, enabling data and the
documents to remain in their native format and retain their original formatting.
OnBase sells several related ERM products.
OnBase Image Statements creates compound statements by taking primary documents (e.g.,
invoices) and matching them to supporting secondary documents (e.g., signed receipts) for
rendering. Thus, Image Statements provides structured management functions of secondary
and associated documents that you can publish to customers, automating some of the tedious
manual collation that is normally required.
OnBase Document Distribution can distribute the statements in TIFF, RTF, or PDF formats for
emails and web postings.
The Print Distribution module allows licensees to schedule print services from a central
processing site for distribution across a Wide Area Network (WAN).
Overall, Hylands ERM features represent relatively affordable but comprehensive ingestion
and output of electronic form information, which is often a key requirement for Hyland
customers.
The last two versions have begun to address long-standing performance issues, along with
additional niceties. Improvements to the viewer allow for dynamic resolution changes based
on the speed of the client, which is helpful for mobile users. The Gateway Caching Server
further improves performance by caching local objects. The database is still centralized (a plus
for consistency) but the local objects can be optimized for performance.
Technology
Technical Services
Architecture
The OnBase system is based on .NET, using

three-tier architecture:
At the base, the repository: file system

plus database (for metadata)

Architecture
Cloud Services
Security
2
2
2
2
3
2
A services and API layer that is .NETcentric, with a SOAP interface

A presentation and delivery tier that is an ASP.NET webserver; however, most
employees will want to use Hylands thick client
The OnBase system was designed to be deployed as a distributed computing architecture. For
stations providing high-speed image capture, OnBase provides a multi-threaded caching
solution that claims to store images at speeds of more than 1 million images per hour. Hyland
claims that a single instance of OnBase can scale to hold more than 2.3 billion objects in the
content repository, but we have not actually witnessed this in the field.
OnBase supports high availability using the database replication capabilities of Microsoft SQL
Server and Oracle. In addition, the application natively supports the replication of data objects
using its disk group technology. Disk groups allow for one-to-many retention
methodologies, including multiple offline copies. OnBase will replicate the data to these disk
groups, which can be geographically distributed.
Hyland: OnBase 13
Disk groups consist of volumes, which are logical storage containers configured by
administrators. Volumes consolidate data into discrete units. When documents are processed
into the system, they are stored in the current volume of the disk group to which the document
type or input process is assigned. Different volumes allow OnBase to create blocks of data that
can be easily moved near-line, off-line, and back. When a volume reaches its designated size,
it is closed. Therefore, youll want to set volume sizes reflective of the media type of the
backup/off-line copies.
Disk Groups can be distributed across multiple servers and enables OnBase to categorize,
track, and perform maintenance functions on the data without physically relocating the files.
Whats the impact of all this? In widely distributed environments that ingest large volumes of
incoming forms and scanned document captures, the ability to configure the local storage to
such a finite degree within the application is a notable feature particularly since most of
Hylands deployments entail multiple scanner locations, with highly unpredictable volume
rates, and very limited localized administrative support available. Managing the replication
and storage of the captured data remotely is important, and the Disk Group approach OnBase
does this reasonably well.
The OnBase desktop application will connect to multiple repositories and allow Explorer
access to multiple repositories from one interface. However, dont underestimate the longterm maintenance costs for thick clients.
At the security and identity level, OnBase integrates out of the box with LDAP and Active
Directory Servers, and has a single sign-on structure to support its distributed architecture.
This provides single sign-on, but there is no current support for SAML or XACML.
OnBase offers native integrations with SAP, Oracle eBusiness, and Lawson, along with a wide
range of integrations via small VARs into industry-specific applications, such as accounting.
Of particular note is the long-time and deep integration with Epic.
There are various levels of integration with Microsoft Office SharePoint Server. Two of the
integrations (Web Parts and Archive Services) support Windows SharePoint Services (WSS),
and the third is an integration for Microsoft Search that supports Microsoft Search Server and
SharePoint Server. There are a variety of Web Parts currently available, ranging from
Customer Query to Workflow Dashboard, thereby making Hyland one of the more
comprehensive ECM vendors in SharePoint Server integration and support.
From an administrative perspective, configuration seems mostly a point-and-click process. We
say, seems because although customers have confirmed as much to us, we stress that youll
want to try it against your particular business applications. A Windows-based target program
can be a line-of-business application such as an ERP, HRM, or CRM system. It has been used
successfully on a wide range of applications including Microsoft Visio, Lawson, Guidewire,
Cerner, and AutoCAD.
Taking this approach a bit further, Hyland also offers a separate product called Host Enabler,
recognizing that in many environments, customers have a common networked host system in
use that remains separate from an ECM application.
The Host Enabler allows a user to access a host application through the OnBase system. The
native Host Enabler allows you to connect to systems capable of emulating VT-100,
Hyland: OnBase 13
VT-220, and ANSI systems. Host Enabler can also access IBM host systems with third-party
emulation packages.
Hyland provides an SDK for development support that includes COM and .NET API class
library documentation, sample scripts, ActiveX component APIs, and a scripting environment.
A high-level XML query interface is available for URL-based integrations.
Hyland now supports the Web Services Remote Portlet (WSRP) V 1.0 standard. While the
product set is Microsoft-centric, you can expose OnBase components in Java-based portal
environments like Oracle WebCenter Portal and IBM WebSphere. Of course, WSRP has
somewhat of a checkered history, and you should not assume that connecting any portal (even
Microsoft SharePoint) to a Hyland back-end will be a trivial task. REST is not currently
supported, and oddly, Hyland seems to have no plans to support it in the future. In short, this
platform is not ideal for embedding other web applications.
WSDLs are provided out of the box for core functionality such as archival, metadata retrieval
and update, and so forth. However, although a Web Services approach is supported, it is more
at the application level than it is granular in nature.
Hyland provides an extensive SDK that includes full .NET and a Java API class library
documentation, sample scripts, and ActiveX component APIs with a scripting environment.
OnBase provides basic admin and management features such as managing users and groups,
creating workflows, business activity monitoring, and reports via a user-customizable
dashboard.
Cloud Services
Hyland provides managed hosting to its customers; you can host OnBase on your own or have
Hyland host it for you from one or more of their six data centers. Hyland says 550 of its
customers currently run from the cloud.
Consider this a managed hosting and not a SaaS-based service like SpringCM. It is an
alternative deployment model. You can pay monthly hosting fees in addition to one-time
licensing and annual maintenance costs. Alternatively like a typical SaaS licensing model
you can pay software usage fees on a subscription basis.
Security
OnBase supports access control via users and groups. It also supports single sign-on and
content encryption.
Hyland: OnBase 13
Vendor Intangibles
Intangibles
Hyland currently sells mainly in North America,
2
although the company is forever targeting
Channel
Partner
Services
international growth as a key priority. In terms of
4
Support & Community
technology, dont expect Hyland to morph into an
2
all-in-one ECM Suite vendor. The company
Strategy & Roadmap
3
seems to stay focused on imaging and basic file
2
management, with an emphasis on industryspecific applications, particularly in insurance,
banking, broader financial services, and health care. Contrast this approach to OpenText,
which is attempting to build similar applications itself. There is a case to be made for both
approaches; larger buyers will likely value OpenTexts strategy, while mid-sized or more onedimensional companies will almost surely see a better long-term fit with Hyland.
Hyland has its own dedicated services arm, and sells directly to customers. At the same time,
the company has built a large channel of VARs in differing verticals to sell and service
OnBase. Unlike other ECM Suite vendors, Hyland does not really have deep relationships
with major SIs and consultancies, focusing instead on smaller specialists and VARs that have
traditionally dominated the imaging space, particularly in the mid-market. In the US, there are
about twenty (20) VARs of any reasonable size and only about half of all its deals get inked
directly by Hyland itself.
A key partner of Hyland is Epic Systems (health care), a prominent player in this sector, and
this particular partnership clearly delivers a notable portion of Hylands revenue. Hyland also
has ISV partner status with SAP, Oracle, Fujitsu, Microsoft, and ESRI. However, the depth of
these is no greater than any other vendor (with the exception of the Epic integrations) and
serves more as a checkpoint than adding real value to the Hyland offerings. As with many
other ECM firms where SharePoint integration is of key importance, Hyland has a long history
of working with Microsoft. The competitive landscape of working with and against Microsoft
is a tough one; Hyland recently has been somewhat overshadowed by firms such as
KnowledgeLake and Global 360 in this regard.
Hyland is both stable and viable as a business; it is well funded, has a very solid customer
base, and approximate revenues in 2012 were US$236 M. However, it is going through a
period of considerable change with its string of small acquisitions, which is a turbulent and
difficult process for companies of any size. The acquisition spree looks set to continue, and
how this will play out in the long term remains to be seen. Rumors spread in late 2013 that the
companys private equity owners might be looking for an exit amid potentially flattening
revenues from the core product (much like OpenText, which could use its stock as acquisition
currency to keep swimming in new waters).
Its difficult to assess such rumors, but Hylands significant growth from 20092012 has
changed the company from what was essentially a family-run, old-school firm into a more
diversified vendor that may require more modern software development and go-to-market
capabilities to succeed in the long run. As a customer, if you prefer old reliable over fast
innovator, Hyland still represents a good cultural fit.
Hyland: OnBase 13
Licensing
OnBase is licensed per module, and per user. User licenses can be named, per workstation or
concurrent. Named user refers to a single named user logged into one workstation at a time. A
workstation license is assigned to a specific workstation and allows any user to have a single
login session to OnBase from that workstation and concurrent user licenses are floating
licenses. Hyland says a ratio of 4 end-users per concurrent license is typical in many deals.
Client licenses range from $600 to $1,200, and server-based modules range from $500 to
$50K. According to Hyland, the most common deal size for a single department, on-premises
deal is $150K for perpetual licenses. However, you will typically need professional services
from Hyland, so budget around $300K for a single-department installation.
Remember that Hyland unbundles much of the product's ECM/BPM component application
functionality (e.g., imaging, template-based data capture, workflow, records management,
case handling, eForms, library services, COLD/ERM, etc.) into separately licensed modules.
Thus, the above cost is a starting price; carefully account for all the modules you require.
Conclusion
OnBase is best suited to document heavy, process-centric environments. Most (if not all) deals
involve High-Volume Imaging and a large amount will involve Forms Processing and
Workflow. Particularly in its chosen verticals of mid-tier finance, government, and health care,
Hyland makes for an obvious shortlist candidate.
In general, Hyland does not present a suitable choice in complex document environments such
as Engineering or Life Sciences, and it is not a real alternative to Share Point, IBM, or
emerging cloud services for collaborative document management.
Hylands technology particularly around Imaging and ERM/COLD often equals or even
surpasses comparative offerings from larger competitors, yet it comes in at a much lower price
point. However, there are caveats. Hyland does not have the scale to support customers outside
of their key focus areas effectively. Thus (as with any smaller software supplier), you need to
ensure that you have adequate support if not from Hyland directly, from a local VAR. Here,
larger enterprise customers may find it difficult to receive support from their normal stable of
major systems integrators to support a Hyland implementation, since larger SIs typically have
tied their fortunes to more lucrative (read: more costly) offerings by firms like EMC or IBM.
Moderately complex case management applications and transaction-oriented applications can
be a good fit for Hyland. The COLD features are impressive and match up well with even
enterprise-class vendors. Users migrating to Windows 8 will be pleased with the user
interface, although users not currently planning to move to Windows 8 may find the
experience unrecognizable. Overall, Hylands OnBase platform will work well for mediumsized organizations with common business and technology needs.
If you prefer steady-as-she-goes software suppliers, so much the better.
www.m-files.com
Vendor at a Glance
Specsheet
M-Files Inc.: M-Files Summary
Geography
Mainly Europe and North America
Whats New
Revamped user interfaces

Redesigned metadata entry interface
Strengths
Quick to set up for basic setup

Good integration with Microsoft-oriented environments
Flexible metadata-based navigation is useful for complex, taxonomyoriented scenarios
Weaknesses
Weak collaboration capabilities

No digital asset management or web content management functionality
Records management is not certified against common standards
Windows architecture makes it less suitable for more heterogeneous
enterprise scenarios
Potential Fit
Unlikely Fit
Compare to
SpringCM, Box, Microsoft, Alfresco
Operating System
Windows
Repository
Built-in (Firebird SQL) or MS SQL
App Platform
Microsoft
Licensing
Based on number of users: starting price is $15K for 50 named user

licenses
Ownership
Summary
M-Files is a Finnish company that
employs about 220 people and is
headquartered in Tampere, Finland. It also
has North American headquarters Dallas,
TX. The company is small but says it is
growing at a fast pace with customers in
more 100 countries.
Scenario Fits
High-Volume Imaging
1
3
2
1
1
0
1
M-Files DMS is a Windows-centric

document management system. It offers
clients for mobile devices and a web
interface, but the server can only be installed on Windows. M-Files sweet spot seems to be

relatively small implementations (with up to 50 users) and while it is suitable for most
verticals, 35% of its customers are in the manufacturing domain.
M-Files is more of a product and less of a platform; in that sense, it lies somewhere between
the simple cloud-based file-sharing and sync tools and more sophisticated and complex
document management tools.
Introduction
M-Files was founded in Finland as Motive Systems and changed its name to M-Files in 2011.
The company combined its own document management needs with the experience it had with
Windows-based development to create M-Files 1.0, the first version of the company's
document management solution (DMS) in 2005.
The key components of M-Files DMS are:
A Windows-based server component that runs as a Windows service
A database embedded or external
Clients Windows, browser-based, and mobile apps
The core software provides features basic for document management. There are optional
modules for features such as OCR, reporting, and e-signing, as well as plugins for integration
with SAP, Salesforce, and other tools.
The current version is M-Files 10.2 and was released in September 2014. The latest release
features redesigned user interfaces for all of the platforms (Windows, Web, and Mobile), a
new interface for metadata entry, and various other improvements.
Functionality
Functional Services
Document Management
Document Management
There are three ways to work with M-Files:
Windows client The preferred and most

feature-rich way to work with M-Files
Web client If you are a Mac user or
dont have a Windows client installed
Dedicated Apps on the mobile and tablet
RM and Archiving
BPM and Workflow
eForms
Mobile Access
File Sync & Offline
3
1
1
2
0
2
2
1
M-Files is slightly different from most other

document management tools in that it does not
use the typical folders paradigm found in most document handling tools. When you log in, you
wont see a list of folders as you would in most other tools. Thats refreshing.
Every document resides in what M-Files calls a document vault. The documents in the vault
are classified based on metadata, which classifies a document based on document type,
customer, date, permissions, and other properties. You can get to a specific document via
search or via metadata-based navigation. This is great for a document that can be saved in
multiple locations. For example, consider an RFP response for a specific client, created by a
specific consultant. You could save it in one or more folders named according to consultant,

client, project type, and proposal stage. M-Files will do that without actually duplicating the
document.
While this is a great way to have placeless content, it requires a lot of discipline in terms of
adding metadata at the time of content submission. Having too many metadata fields will
make it difficult for users to enter all of the data, particularly when using small-screen mobile
devices. While you can automate metadata capture, you need to ensure that the accuracy of
your metadata capture is sufficient for your requirements.
Since documents are organized by metadata and not by a fixed folder structure, you create
what are known as Dynamic Views to filter documents based on different metadata fields.
Thus, you could create dynamic views to find documents based on document type, customer
name, date fields, document expiration dates, or any combination of different metadata fields.
Figure 107. M-Files supports annotations and redlining.

When you log in, the default view is a three-panel view. The left panel is a task pane that
displays different menu items. The task pane is context sensitive and displays different items
depending on what youre trying to do. The middle panel consists of a number of Dynamic
Views, or saved searches that show you different documents based on clients, your personal
documents, and other criteria. There are My Views that you personalize, Common Views
that are visible to everyone, and a few other types of views. When you click on a document in
the central pane, it expands the menu on the left panel that displays actions you can carry out
on that document. You can check history, click on properties, check-in, participate in
workflows, and so forth. The right panel shows a detailed view of those properties. The
preview panel allows you to preview most file types (e.g., CAD files) within the pane without
the need to open them in a specific application. However, this is a Windows-specific feature;
M-Files says it plans to release a Web Access preview pane soon.
Figure 108. The

metadata entry
screen.
M-Files displays as another drive (called M: drive) on your Windows computer that you can
access from Windows Explorer. It is also integrated with MS Office and MS Outlook, and you
can save to the M: drive directly from these applications. When you save directly from MS
Office applications, a properties menu pops up that enables you to input metadata information
for that document. Metadata fields can be auto-populated.
Another useful feature is document templates, and there are document templates for creating
new documents. When you use a template, it automatically maps metadata fields to template
headers. For example, it can automatically pick up title, author name, and other fields from the
template.
Figure 109. The search interface allows advanced search.

If you are unable to find your document based on metadata navigation, you can use the search
functionality. M-Files Search works on metadata as well as full text of the document. Theres
Boolean search and you can use operators to search for multiple words next to each other. MFiles uses a relevance score to filter the search results, but there is no out-of-the-box way to
modify how this relevance score is calculated.

You can have hot folders to monitor specific folders and take an action based on a trigger.
For example, you can monitor a folder for incoming invoices, scan (OCR) and pick up
properties, assign metadata, and then move to a different folder via a workflow.
Collaboration is done via file sharing, workflows, and access permissions.
You typically share a document by right clicking and then sending it to your colleagues via
email, as a hyperlink or via OneDrive. Colleagues can then view that document, comment on
it, and annotate it.
Figure 110. Collaboration is limited to sharing files.

Another collaboration feature is co-authoring. A user can check out a document for coauthoring and then share it with colleagues via Microsoft OneDrive. Colleagues receive an
email with a link to the document on OneDrive, which they can open and edit it using
OneDrives Web App for Microsoft Office applications or using their desktop or mobile
applications. Once the collaboration is completed, the first user who initiated co-authoring can
check the document back in to M-Files.
Figure 111. You can co-author and work with colleagues.

The peculiar thing here is that the co-authoring is happening outside of M-Files, on Microsoft
OneDrive. Remember that the file is actually uploaded to OneDrive and it is no longer in MFiles. This might have potential implications in records management and other regulated
scenarios.
There are no other collaboration features in M-Files. If you need features such as team spaces
with shared calendars or even wikis, you will have to look elsewhere.
In M-Files, you typically use a workflow to publish a record, remove its editing rights, and
convert it to a PDF for long term archival. You can use metadata properties to automate
permissions, and implement access control policies for different documents.
Figure 112. You can use workflows to archive or delete documents based on their
metadata attributes. In this example, agreements that are older than 10 years are
archived automatically.
However, remember that this is not a full-fledged records management system. Instead, it is
more like using document management to implement basic records management. M-Files is
not certified with common standards such as DoD and Moreq2. If you need these
certifications, you should look elsewhere.
M-Files provides a workflow engine to model your business processes. A workflow consists
of a number of states (e.g., approved and rejected), and each state has associated users
with specific permissions (e.g., the ability approve an invoice). You create new workflows
using the admin console. Essentially, you create a workflow using the admin console, create
different states, add permissions and users, and configure state-transitions and other aspects
all using a series of pop-up menus.
Figure 113. Workflows can be created from the admin.

The advantage of this approach is that you can create simple and complex workflows. Unlike
many other tools in this report, however, there is no visual way to draw a workflow and then
codify it. M-Files says support for importing directly from Visio is planned for a future
release.
M-Files provides support for TWAIN and Windows Image Acquisition (WIA) compliant
scanners. You can use any scanner that supports one of these and add documents to M-Files.
You can enable the optional OCR module (for an additional license fee) for text recognition
and to create searchable PDF images.
The M-Files mobile app enables you to scan documents (e.g., receipts) by taking a picture with
a smartphone.
eForms
There is nothing specific for eForms in M-Files.
Mobile Access
M-Files has native mobile apps for phones and tablets (iPhone, iPad, Android, and Windows),
which are free downloads from their respective app stores. With these apps, you can view
documents, take part in workflows, and scan directly using the phones camera. The M-Files
web interface is responsive, so you can access it via the web interface if you dont want to use
mobile apps.

If you are using the web interface however, not all
features (e.g., the ability to use the phone camera) will
be available. In addition, unlike many other tools, MFiles provides no way to wipe off documents from
mobile devices when employees depart or when a
device is stolen. M-Files says it recommends using
MDM software for those sort of capabilities. It
provides no other mobile-specific controls and features
beyond the basics.
You can access all of your files from your desktop and
mobile devices. M-Files is not a sync tool like
Figure 114. The mobile interface. Dropbox, but it does support the ability to work offline.
You can mark a file or even a class for offline
availability, and M-Files automatically will enable you to work in offline mode for all
documents belonging to that class. When you get online, M-Files synchronizes files back to
the server.
Technology
Technical Services
Architecture
M-Files has a Windows-centric architecture.

The server component supports Windows
Server 2003 SP2 and later, although Windows
Server 2008 R2 or 2012 is recommended. For
the Windows client, Windows Vista, Windows
7, and Windows 8 / 8.1 are supported.
Architecture
Cloud Services
Security
2
1
2
2
1
1
The server component runs as a Windows service on a Windows machine. The server stores
and handles all of the information (e.g., documents, objects, and users), manages access
control, and communicates with other applications (including clients). You access the server
via different clients (Windows clients, web browsers, or mobile apps).
All of the data is stored in Firebird SQL Server, which comes embedded with M-Files. You
can alternatively use MS SQL Server. Firebird is good for quick setup because it is embedded
and ready out of the box. However, you cant use Firebird to store external data or for use with
applications. In these cases, or when you have even a slightly more complex implementation
that needs bigger repositories, you will want to use MS SQL Server. M-Files recommends MS
SQL Server 2008R2 or later, but supports all editions including the free Express edition.
The cloud version of M-Files M-Files Cloud Vault is hosted in Microsoft Azure.
The M-Files web application is based on the Microsoft .NET framework and runs on M-Files
Server. It runs inside Microsoft IIS web server and is required if you use a web browser to
access M-Files.
The key elements of M-Files are object types (a document is an object type). Each object type
is further divided into Class Groups, Classes, and Properties. Just think of these as different

ways to break down and group same-type objects. For example, a Document Object Type,
Sales could be a Class Group and Sales could have RFP, Proposal, Sales Collateral,
Master Sales Agreement, SLAs, etc. as Classes, and then different metadata such as name
and creation date as Properties. This displays in a Folder structure similar to most other tools,
but the documents themselves are placeless and can display in more than one place depending
on the metadata.
Integration
M-Files provides integrations with many Microsoft tools including Office, SharePoint, and
Dynamics. Aside from these, it provides integration with SAP, Salesforce, and other enterprise
applications. However, these integrations have additional costs for integration plugins that cost
from anywhere from free to about $10K. In any case, integrations are always tricky; pay close
attention to the specific applications you want to integrate with M-Files.
M-Files is not targeted to be an application development platform. The focus is on
customizations and quicker implementation. M-Files however does provide a number of
ActiveX APIs: a client API, a server API, a Web Service API, and a UI Extensibility
Framework. Using this collection of different APIs and libraries you can create custom clients
or integrate with external applications. On a Windows environment, you typically use Visual
Studio to create your applications.
M-Files Server Administrator is a Windows-based client. It is actually an MMC snap-in,
something familiar to Windows administrators. You use this to create objects, users, groups,
metadata structure, workflows, and to view reports.
Figure 115. The admin console is an MMC-based snap-in.

You can connect with mail sources, configure workflows, and scan folder locations from
within this admin console.
For reporting, you will need to license M-Files Reporting separately (again, for an additional
cost). M-Files Reporting uses Microsoft SQL Servers reporting services and provides reports
and charts.
Cloud Services
M-Files provides a cloud-based version of the software. M-Files hosts this on the Microsoft
Azure cloud platform and manages it for you. Think of it as a managed hosting service rather
than a SaaS service meaning that the hosted version is dedicated to you (unlike SpringCM
or public-cloud based file sync and sharing services like Box). However, unlike some other
tools, cloud-based and in-premise versions of M-Files are identical and can be integrated with
other applications. M-Files also offers some capabilities here in terms of hybrid
deployments. For example, you can configure M-Files repositories in a cloud instance as well
as on-premise, and then configure dynamic replication rules (and workflows) to specify the
storage location for the data. In fact, you can decide whether a document is stored in-premise
or on the cloud based on properties such as document type, project, or customer.
Security
In M-Files, you set permissions on objects or classes. You also can set permissions at the
document level and assign those permissions to individual users or groups of users.

Vendor Intangibles
Licensing
The M-Files licensing model is based on the
number of users named, concurrent, and readonly. For 50 named user licenses, look at a
starting price of $15K. There are optional free and
fee-based modules. Fee-based optional modules
range from $2K to $10K per module.
Intangibles
Support & Community
Strategy & Roadmap
2
1
2
2
1
M-Files is a relatively small company. It has about 220 employees, with almost 25% in
professional services and 30% in sales and marketing. It is venture-funded, and has raised
about $8 M so far. As with most firms of this nature, there is always a risk of acquisition.
Some of its channel partners are Marco, Inc., StreamDesign, EBC Group, and Dantuma.
Unlike many other vendors in this report, M-Files has no big, global-system integrators for
partners. However, it has its own professional services organization to help with client
implementations.
M-Files has a community-based knowledgebase at community.m-files.com. It is publicly
available and has about 100K members. In addition, there are user group meetings that are
held in Finland. M-Files says it plans to organize similar meetings in other parts of the world.
The next version of M-Files is due in the spring of 2015. On the roadmap is support for more
enterprise features such as support for larger repositories, more concurrent users, new data
encryption mechanisms, and so forth.
Conclusion
Although M-Files provides a browser-based interface, it is a Windows-only platform on the
server side. This makes it suitable for companies that are predominantly Windows based and
dont require a more heterogeneous environment.
M-Files focuses on extending the platform based on customizations as opposed to
development. Consider M-Files if your requirements are not too complex and can be met with
out-of-the-box features with few configuration-based customizations. It is particularly useful
when you quickly want to deploy a document management system that provides more
facilities than a typical cloud-based file sharing system and is less complex and sophisticated
than some other ECM platforms in this report.
However, if your requirements are more sophisticated (e.g., you need support for compound
documents), or you need integration with many non-Microsoft enterprise applications or want
to support a very large number of users, look elsewhere. It is also not a suitable platform if you
need collaboration beyond the basics, or need a certified records management system.
www.springcm.com
Vendor at a Glance
Specsheet
SpringCM: Content Cloud Services Summary
Geography
Mainly North America and Europe
Whats New
Ability to share documents with non-SpringCM users

Side-by-side comparison of Word documents
Enhanced integration with Salesforce
Strengths
Weaknesses
Cloud / SaaS-based model may not work for enterprises with

sophisticated security and integration requirements
Not a good match for non-American enterprises: UI is English only, and
data centers are only located in the US
Relatively weak collaboration capabilities
Not a very extensible platform; like most SaaS offerings, you have to
use the product more or less as-is
Surprising lack of customer community and poor documentation means
reduced opportunities for problem solving
Potential Fit
Unlikely Fit
Document-Centric Collaboration, Enterprise Content Platform
Compare to
Alfresco, Box, SharePoint
Operating System
N/A (Supports IE, Firefox, and Safari browsers)
Repository
N/A (cloud)
App Platform
N/A (cloud)
Licensing
Monthly/yearly service subscription, the enterprise edition starts at US$39

per user per month
Ownership
Requires little or no IT resources for basic setup

Relatively more user friendly compared to most other tools
Unusually good Salesforce integration
Above-average file sharing and sync services
Functional case management capabilities, with a refreshing emphasis
on specific applications

Summary
Scenario Fits
SpringCM is a 100-person company

1
located in Chicago, which rightfully can
3
be called a pioneer in cloud-based content
2
management; if the idea of having
3
someone else host and maintain your
High-Volume
Imaging
1
solution appeals to you, then youll
Information
Governance
1
definitely want this company on your
radar. From the standpoint of features and
1
functions, it is a highly credible
alternative for organizations of any size
that need to perform a variety of content-oriented tasks, particularly those in standard areas of
case management.
The tricky part is remembering that youre buying an application to manage your content, not
a new style of infrastructure. Its so easy to become distracted by the hype and promise of the
cloud that you may lose focus on why youre looking into ECM in the first place. This isnt
SpringCMs fault, but company reps can become so enamored with what the firm created, that
even they get caught up in the benefits of the cloud, forgetting to sell the benefits of the
solution. Be sure to keep your needs-analysis ducks solidly in a row as you engage in
conversation. Youll find some nicely productized applications here, but this is not an
extensible platform, so do your diligence to make sure theyll work for you.
Introduction
SpringCM bills itself as the cloud vendor that has focused on the delivery of commercialgrade ECM, meaning that it has breadth and depth in product, security, monitoring, and
integration. Once you factor out all of the adjectives, youre still left with a very capable ECM
solution and the knowledge that the company has been around long enough (since 2005) to put
the usual concerns about vendor viability and stability largely to rest.
SpringCMs focus is on customers in the enterprise and SMB spaces, a labeling that may be
too encompassing to be effectively practical, but speaks to the products cloud-given ability to
serve organizations large and small. Primary application areas include those involving
interaction and process, what SpringCM calls teams, tasks, and content, and the document
lens is definitely the one youll want to use when viewing the companys offerings.
Functionality
Functional Services
Document Management
Document Management
You access SpringCM via the web interface,

which looks like a standard file/folder
navigation experience.
You can readily upload documents (multi-select

is available). SpringCM uses acceleration
technologies for speed, but this could be an area
to test if you have large files. You can also drag
and drop files instead of uploading.
eForms
RM and Archiving
BPM and Workflow
Mobile Access
File Sync & Offline
2
1
2
3
2
2
3
3

Alternatively, you can email files to a folder, and FTP and WebDAV are supported for
uploading files.
Figure 116. The web interface is non-cluttered and easy to use.

Once you have content in, you can edit it (however, you need to install a plugin for editing),
and the system automatically checks it out and opens it in the native application (like
Microsoft Word). You make changes and can save it back to SpringCM as a new version,
which is remarkably seamless. You can then view document history and see different versions.
The problem is that every time you click Save, it creates a new version, which can lead to
redundancy. However, SpringCM disagrees this is a problem and in fact claims that customers
love this. Determine if this would be a problem for you by testing with end users.
You can compare different versions by selecting two versions to compare. The system creates
a third document that shows those changes, resulting in another version in the system. The
resulting version shows different changes in different colors, like Microsoft Word shows trackchanges. You can edit this version and accept or reject changes. Currently, only Word
documents are supported for version compare, but Excel, PDF, and PowerPoint are on the
roadmap.
A unique feature is the capability to merge documents. If you have a cover page template and
you select it with an RFP document, the system will merge both of them into a single PDF. The
resulting document is PDF, which can no longer be edited.
Consistent with the tenor of all of its offerings, SpringCMs document management
capabilities are generally solid and feature the usual suspects of functionality, including
version control; check-in and checkout; viewing, mark-up, and annotation; and the
maintenance of audit trails showing all activities on each document.
Search is also a fundamental part of the offering and uses relevancy scores that sort documents
and content in the search results. The hit count (another key indicator of document relevancy)
displays how many times the search term actually appears in the content of the document
listed. In-house SpringCM administrators can adjust the search algorithm based on what is
important to them by increasing or decreasing the weight assigned to different search elements
such as content, title, attributes, and keywords.
Advanced Search allows users to base their search on more granular criteria (specific folders,
dates, attributes, etc.), returning what it determines are the best matches. Cross-System Search

further permits the inclusion of criteria stored in other systems (like ERP or CRM).
Additionally, Saved Searches can be created to meet the needs of specific user constituencies.
Usability is one of SpringCMs strong suits, although theres nothing terribly remarkable or
unique about the overall experience. However, this may be the source of its strength; user
landing pages and admin configuration screens look and behave like standard portal interfaces,
and the familiarity this provides is comfortable even to the newest users on the scene.
All of SpringCMs interfaces are in English, and the company focuses primarily on North
America and Europe. However, the web-based nature of the offering renders it suitable for use
by organizations the world over, and the company reports it is accessed from 102 countries.
However, unlike big vendors in this report, SpringCM has not invested in localization.
Document collaboration is provided mainly via shared folders, annotation, and workflow. You
can also share individual files with other users or with non-system users via links.
SpringCMs
collaboration services
remain quite basic. There
are neither shared
workspaces nor advanced
collaboration features. If
you need collaboration
beyond simple file
sharing, you will need to
look elsewhere.
SpringCM disagrees
here, and says you can
mimic workspace
functionality via folders
and by restricting access
for specific users.
However, there are no
Figure 117. You can share files and folders via links.
capabilities for projector team-oriented
collaboration, such as virtual team spaces, blogs, wikis, and so forth.
Records management is definitely on the SpringCM functional spectrum, but like many (if not
most) systems of its ilk, it may not be deep enough to satisfy professional records managers.
(For example, it is not DoD 5015.2 certified.) Still, its records functionality goes well beyond
that provided by many ECM vendors, so youll have to gauge its efficacy for your own
scenario.
Among its talents are its abilities to define retention schedules (including those based on
record classification); support legal holds; records declarations and destruction workflows;
search records based upon discovery criteria; classify each document with discovery-specific
metadata; and consolidate emails, electronic documents, and scanned images in a single

searchable repository the last of which may not be a good thing, depending upon your
needs.
Consistent with SpringCMs ease-of-use mentality is its inclusion of role-based administrative
models that can be configured to meet specific requirements. These roles include: Records
Manager, Records Administrator, Record Viewer, and Legal Hold Administrator.
As a cloud platform, SpringCM takes care of the actual hows, but the invisibility of the
cloud sometimes sets potential traps. For instance, every time a native format file is stored to
the SpringCM repository, a PDF version is automatically generated, along with GIFs of each
page. The logic behind this is sound, as it facilitates content delivery to screens of varying
resolution and print. These renditions are subject to the same permissions applied to the native
file, but the possible trouble arises because the associated PDF and GIFs arent purged when
new versions are created. Although the storage load is SpringCMs concern, the records
management overtones fall squarely on the shoulders of the customer because governance and
ediscovery actions are applicable to all of the stored content (including each saved image), not
just the official document in play. SpringCM claims this is irrelevant, since they dont sell it
as an RM solution. However, it could be relevant for you if you need these capabilities; keep
this in mind while evaluating.
This neednt be a deal-killer, but it should be factored into your thinking namely because
conversations with the company suggest that these ramifications may not be fully understood.
As always, the onus is on you to ensure the solution you pick works best for you; caveat
emptor.
SpringCMs document centricity is especially evident in its approach to workflow.
Functionally, its entry in the process sweepstakes isnt particularly ground-breaking, but it is
relatively complete, and of course, it runs in the cloud.
Fundamentally, SpringCMs workflow offers three options:
SmartRules Facilitates the definition of standardized processes in order to eliminate
repetitive tasks. Essentially a library of action triggers, they can kick off tasks like
Notify Web Service, Start Workflow, Send Email, or Assign Task, and can kick in when
a document is added, scheduled for an activity, assigned attributes, or other actions.
Dynamic Case Management For guided processes, this permits configuration with a
checklist, which takes much of the complexity out of deciding the order of process
execution and adding new steps as necessary. Developed with the business user in mind,
it allows the embedding of business logic to help ensure that corporate best practices are
followed and policies are enforced.
Traditional workflow designer and engine Also available for developing scripted,
content-based solutions. Workflows built this way can be initiated in a number of ways,
including filling and submitting an eForm, adding a document to a folder, and selecting
a document action. As in most similar systems, all users have a workflow inbox that
they can monitor and act on any item awaiting action. Managers can also view and
monitor the workflow inboxes of the members of their team, via the Managed Users
node on the tree. Workflow designer is a web-based, Visio-like interface, which can

create arbitrary workflows. You can define swimlanes, add tasks, associate users, and
interconnect them.
Figure 118. Smart Rules allow you to create rules for automation.
These options all of which were developed by SpringCM itself and built on the Windows
Workflow Foundation can also be used together, meaning that workflow can be initiated via
a task in Dynamic Case Management or a workflow could create a case or update tasks within
a case. The interfaces are straightforward, but some exposure or full training probably is a
good idea before embarking fully down the implementation path.
As previously noted, SpringCMs offerings recently were coated with case management
paint by the companys own admission as an alternative to the term workflow, which still is
not a bad way to think about the offerings basic workings. The most interesting feature of the
companys Dynamic Case Management product is the checklist metaphor it uses for
configuration. The goal is to provide a guided vs. scripted experience for designers and users
with its simplified but comprehensive interface, without needing participation from IT.
Figure 119. SpringCM's Visio-type process designer.

Starter information in the case management environment often comes from an outside
application like HR or accounting, and that information can be used to trigger a given
document process. To SpringCMs credit, this communication is bidirectional, i.e., SpringCM
can work with these external systems as well. For example, it can build a workflow that can
create a new account within Salesforce.com for a newly hired sales rep.
SpringCM recognizes that most document processes involve paper at some point, and it
includes a number of ways to capture the information contained thereon. Among these are:
Uploading directly from high-volume scanners and MFPs
Scanning directly into SpringCM from any TWAIN-based scanner, naming and
categorizing documents as they are scanned, and uploading them into specified
Working with a scanning service bureau to input documents directly into SpringCM
Other means of capture include:
Uploading electronic documents directly from MS Office Applications, Windows
Explorer, browsers, and in bulk via FTP
Routing electronically signed documents to appropriate locations
Assigning email addresses and fax numbers to a SpringCM folder for automatic capture
Integrating a Web Services layer with ERP and CRM systems to create one functional
solution
Uploading and migrating documents in bulk with FTP or SFTP
Printing to SpringCM

When content is uploaded into SpringCM, it is automatically OCRd, a PDF rendition is
created, and a lightweight view with thumbnails is created. (The OCR engine is licensed from
ABBYY Software, one of the best available.) As noted in Document Management above, this
may or may not have ramifications on your ability to achieve or maintain records management
compliance; be sure to consider this carefully.
The interfaces associated with all of this are very clean, and configuration sometimes can be
accomplished with even a single click (e.g., for provisioning fax and inbound email capture).
Proper permissioning is, of course, necessary.
eForms
SpringCMs electronic forms capability is strong if unremarkable a statement that may well
characterize most variations on the theme. It is primarily centered on simpler forms of HTML,
and runs from initial receipt, through data extraction/database input, into workflow, and
through to storage and integration with other enterprise systems. You use these to create forms
to collect information from users and use them for decision points in the workflow. You create
forms for use cases like leave requests, which includes data entry by an employee and an
approval process.
The company will tell you that forms can be submitted and received in any format (HTML,
XML, PDF, .doc, .xls, .tiff, etc.) from any system or device, including web pages, email, fax,
scan from paper, and mobile devices. This is great news and not a false statement but it may
be a bit misleading since additional services will be required to make this happen.
Mobile Access
SpringCM provides native mobile apps for iPad, iPhone, and Android devices. The mobile
clients are reasonably feature-rich; you can create/edit/delete files and folders, update status
and due dates of documents, review versions, share documents with others, and search the
repository. You also can kick-off and participate in workflows.
While SpringCM says round-trip editing is supported on mobile devices, you should test
carefully here. Checking out on mobile devices, editing documents, and checking them back in
is never as seamless as it is on a desktop.
SpringCM encrypts content stored on mobile devices and can erase content if required in case
an employee leaves the organization.
SpringCM provides sync functionality for syncing content to desktop devices. Similar to most
cloud-based file sharing and sync services, you download a desktop client that then syncs
content on SpringCM with folders on your desktop. There are additional mobile clients
(described above), and an administrator can customize sync behavior by creating exclude and
include rules for specific folders. Overall, syncing is an area that is stronger than most other
in-premise document management tools.

Technology
Technical Services
Architecture
SpringCM on the back-end is about as

Microsoft-centric as any architecture can be.
Built on
Architecture
Cloud Services
2
2
2
2
3
2
.NET, it runs on Microsoft IIS servers and

Security
SQL Server databases. The platform was
specifically created along SOA (Services
Oriented Architecture) lines (which is not always the case in cloud circles, especially in the
earlier days), and the complete service (not just the data center) has been certified SAS 70
compliant. However, this may be insignificant to you, given that its a cloud-based solution,
which requires no hands-on maintenance or support.
Integration
Standard connectors are available for SharePoint, Salesforce.com, SAP, Oracle, SSO, and
Active Directory (via SAML 2), and integrations are available with enterprise security
frameworks such as MS Active Directory and other LDAP or X.500 directory systems for
individual and role-based access controls.
Recently, the company has focused heavily on its integration with Salesforce. Users can start
their work or processes in Salesforce and stay in Salesforce without having to move over to
SpringCM. SpringCM also can dynamically serve content inside Salesforce based on context,
e.g., contract management.
Application development in a cloud context is a bit different from on-premises solutions, a
reflection of the fact that cloud offerings are intended to be the purview of the vendor and not
the customer. This doesnt mean that it cant be accomplished; only that it has to be
accomplished by leveraging the points of integration provided.
At one point, the company had a vision for a kind of third-party app and solution center where
you could purchase add-on modules, but it never materialized.
You manage your SpringCM instance from Preferences via the same end-user interface that
regular users use. This interface allows you to create attributes (or metadata fields), change
branding, manage mobile devices, manage users and groups, create rules, and configure
security. You can set sync preferences to include or exclude specific folders. Theres a
dashboard for basic reports and views to see whats going on in terms workflow and document
activities.
Figure 120. SpringCM's admin console can be accessed via Preferences.

Cloud Services
SpringCM is a SaaS-based service, which it provides from its three data centers in Chicago,
Las Vegas, and Washington D.C. SpringCM is rather unique in this marketplace since it is the
only pure-play, SaaS-based service delivered over a public cloud. It uses Akamai for
acceleration, but if you are based outside of the US, test performance extensively
particularly if you handle large files.
Being a pure-cloud service has many implications and you should review Cloud Services on
page 65 for further details.
Security
Security adheres to Control Objectives for Information and Related Technology (COBIT) and
IT Infrastructure Library (ITIL) standards-driven security design. Additionally, the service is
managed by Certified Information Systems Security Professionals, is audited quarterly and
annually, and receives recurring automated source code analysis. Techniques supported
include strong passwords, access control, audit trails, and data encryption to ensure a high
level of security at the application level; document access settings by user roles, groups, or
individuals, and the safeguard that key documents are never deleted.
You define users, roles, and access rights for specific folders. This security then is propagated
to sub-folders and files within those folders. You can explicitly override this behavior, and
different access rights are: no access, view, view & create, view & edit, view, edit &
delete, and view, edit, delete & set access.
SpringCM supports SAML (for Single Sign-ON) as well as device security (encryption, and
remote device wipe-off).

In terms of mobile security, SpringCM offers some mobile device management capabilities
such as wiping content off the device remotely. This is useful when a device is lost or an
employee leaves the organization.
Vendor Intangibles
Intangibles
SpringCM is a small company of about 100
2
employees, most of them in Chicago. Of the total
Channel
Partner
Services
350 or so customers, 90% are in North America.
2
Support & Community
There are just 17 people in their professional
2
services team and 5 in their support team.
Strategy & Roadmap
3
Customers highly rate their support services and
2
responsiveness, but if you are based outside North
America, remember that they could be stretched
in terms of support. SpringCM says they are investing substantially in both their services and
support teams.
The company provides education and training through its SpringCM-U courses, which range
from fundamentals, to advanced tips and techniques, with a series of support mechanisms that
include live telephone support, email, and online inquiry.
SpringCM says it focuses on three areas in terms of working with partners. These are:
1. Embedding SpringCM in transactional cloud apps such as Salesforce.com to solve
content challenges associated with key processes
2. Working with systems integrators who focus on delivering cloud apps; in 2012, new
SI partners included Delivered Integration (deployed SpringCM for CallOne) and
Sakonent (deployed Life & Speciality Ventures, a Blue Cross Blue Shield joint
venture)
3. Combining SpringCM with other cloud apps to solve a specific process, such as
Adobe EchoSign for eSignature in customer, employee and partner documents
SpringCM has no formal user communities or user conferences. Theres a set of tutorials when
you log in and an article library. SpringCM says it plans to have a developer community site
and a customer community site in 2014. The documentation leaves much to be desired, and
one customer pointed out the lack of documentation as a big weakness.
A big differentiator for SpringCM is its ability to clone all or parts of a pre-configured instance
of the platform. This makes it attractive for partners to use the SpringCM platform as a base
for industry-specific, point solutions.
On the corporate side, the company is working with some notable names on the software,
hardware, and platform fronts:
Software: Kodak (Document Imaging Products), Salesforce.com
Hardware: Canon, Fujitsu, Ricoh, Toshiba
Platform: Clickability, Intacct, Microsoft, Salesforce.com
For sales, its partner network includes resellers and VARs, systems integrators, consulting
companies, business process outsourcers, and software ISVs.

SpringCM is privately held (recently venture funded), and thus is not inclined to release public
statements concerning its financial viability. It did say, however, that use of its solution (as
measured in the number of transactions/document accesses processed) is doubling every
quarter, and deal sizes are increasing dramatically.
Cloud computing is still viewed with suspicion by many who may be nervous about hosting
any portion of their information and/or business processes outside their own firewalls, or may
simply find the packaged nature of SpringCMs offerings to be relatively simple compared to
the more complex and platform-like nature of competing products. This shouldnt noticeably
dull the companys promise; however, as the world continues to embrace cloud offerings from
major providers like Microsoft and Apple, with no sign of stopping.
On the roadmap are a new web client user interface, real-time collaboration, better scanning
features, and an enhanced interface for Salesforce integration.
Licensing
Standard pricing for SpringCM is per-user, per-month, and ranges from $18 to $39. This fee
covers everything in terms of software, server, and storage care-and-feeding (maintenance,
upgrades, etc.), another key component of cloud computings value proposition. SpringCM
says the median subscription cost is around $25K per year; on average, customers sign a 23
year deal.
Conclusion
The cloud service model makes SpringCM an attractive option for organizations of many
sizes, from departments and companies without much budget to larger enterprises wanting to
get out from under the yoke of content infrastructure management. Its ability to encompass
external users renders it well suited for when processes cross operational or corporate
boundaries, particularly if those processes are part of case management.
SpringCM is likeable for its usability and competence in a number of arenas: document and
records management, case management, eForms, workflow, and more. One example of a good
SpringCM use case is employee on/offboarding, a function that involves HR, IT, and payroll,
and is driven by non-technical staffers who appreciate the solutions relative simplicity and
comprehensiveness.
However, if your organization has deep needs for customization in any or all of these areas, or
has requirements that range beyond document-centric processes, you will need to go a
different route. Likewise, if you cannot host your documents in North America, or require a
user interface in a language other than English.
We urge reviewing your organizations needs first and roll in the cloud considerations later.
This may take some focused concentration, since SpringCMs enthusiasm for the subject
and its very nice leveraging of the multitenant model may prove to be an occasional
distraction. Its up to you to ensure that your conversation remains on track, and the solutions
functions are properly matched to your requirements.
Cloud File Sharing and Sync Vendors

Surveyed:
Accellion: kiteworks
Box: Box
Citrix: ShareFile
EMC: Syncplicity
Oxygen Cloud: Oxygen
Workshare: Workshare Platform
Cloud-based File Sharing and Sync (CFS) tools are emerging as a new category of
tools that provides a subset of document management capabilities. For many simpler
scenarios, these tools are better suited than full-service ECM tools.
CFS tools provide lightweight document management, collaboration, file sharing,
sync, and offline capabilities. These are usually available as software-as-a-service
using public cloud infrastructure, but in many cases, you can often deploy on a private
cloud as well.
Box
Citrix
Geography
Mostly US
North America and Europe
Global
Strengths
Can be deployed in public, private, and hybrid

environments, thereby offering more architectural
flexibility
More feature-complete than many other tools in

this report
Integrates with some other Citrix products for

virtualization and cloud services
Integrates with corporate Active Directory or LDAP
Ability to assign tasks to other users makes it

suitable for simple workflow-based use cases
Web user interface is cleaner and faster than

most other tools
Exhaustive set of admin controls will appeal to

regulated enterprises
Ability to lock files prevents accidental and

unnecessary edits
Very flexible end-user permissioning

mechanism for sharing folders
Strong reporting capabilities a rarity in this

segment
Abundance of admin controls makes it suitable

for enterprise management
Integrates with SharePoint and Documentum
Provides a comparatively large number of

partnerships and integrations with third-party
tools that use Box as a repository
Advanced sync options including the ability to

sync any folder on your desktop a
convenient way to drive adoption
A breadth of admin controls and the ability to

delegate makes it better suited for larger
enterprises
Weaknesses
Business Edition has an individual file size

maximum of 2 GBs, which may not suffice for some
scenarios
File sharing and collaboration are quite basic
No option to use private storage you must

depend on the cloud
Dearth of collaboration features beyond basic

sharing
Collaboration capabilities are limited to basic file

sharing
Offer is limited to a public cloud deployment and

US-based data centers
Absence of basic content management

features reduces value in project-oriented
scenarios
No content management capabilities
Relatively more complex to deploy, and requires IT

resources
Wide array of features makes it overkill for many

simpler scenarios or departmental
implementations
Weak versioning makes it less suited for

regulated or brisk editorial environments.
Interface employs Java applets, which adds

administrative overhead
Adobe AIR-based desktop client is finicky and

adds unnecessary administrative overhead
Other usability shortcomings may reduce adoption

and drive users to other solutions
User permissions and admin controls do not

offer the level of granularity that would be ideal
for the enterprise use cases that Box targets
Poorly documented even by low industry

standards
Offers the least amount of storage and

throughput at any price point
For sync, you must move files to a specific folder

on your desktop, making it less user friendly
Limits file sizes to 2 GB (5 GB uploads for

enterprise accounts)
Potential Fit
Cloud File Sharing and Sync, Document Lifecycle

Management
Unlikely Fit
Most other Document Management-oriented scenarios
Most other Document Management-oriented

scenarios

scenarios
Compare to
Oxygen, Box, EMC, Citrix, Workshare
Oxygen, Accellion, EMC, Citrix, Workshare
Oxygen, Workshare, Box, EMC, Accellion
Deployment
Model
Public, private, and hybrid cloud
Public cloud
Cloud File Sharing & Sync-Oriented: Specsheet Summary
Accellion
Cloud File Sharing & Sync-Oriented: Specsheet Summary
Specsheet
Specsheet
(Continued)
Accellion
Box
Citrix
Licensing
Business Edition starts at $15 per user per month
Business Edition starts at $15 per user per month;

Enterprise Edition starts at $35 per user per month
Basic Edition starts at $30 per month for 2 users,

but most enterprises will want the Corporate
Edition (or higher), which starts at $100/month for
20 users
Ownership
Public (NASDAQ:CTXS)
Specsheet
EMC Syncplicity
Oxygen
Workshare
Geography
Mostly US
Mostly US
Mostly UK
Strengths
The ability to designate any folder for

synchronization allows you to work with files in
their existing location (more user friendly)
Allows you to use on-premise storage as well

as combine multiple storage alternatives
Centralized policy management allows you to

create advanced rules for retention
Integrates with corporate Active Directory or

LDAP
Good file sharing and collaboration capabilities,

with a fairly unique emphasis on collaborative
editing
Strong focus on security: encrypts files on

storage, end-points (e.g., iPad), as well as
during data transfer
Allows you to view and comment on the same files

simultaneously
Mobile interface runs as a web app, which easily

supports a wide variety of devices
Tagged commenting allows you to comment on

specific areas of a page, which is useful when
discussing or annotating files
Offers multiple deployment models (cloud, hybrid,

on-premise)
Weaknesses
Ability to remotely wipe information from mobile

devices or desktop makes the system more
secure
EMC is a financially very viable owner
Ability to edit MS Office documents from within

mobile apps
Content management features are almost nonexistent
Sync and offline behavior is different from other

tools, which can be tricky to understand
Lack of any published SDK or APIs make it weak in

terms integration capabilities
File sharing and collaboration are very weak
Permissions are very limited
Collaboration capabilities are limited to basic

file sharing
Without a native mobile client, file-sharing

experience becomes limited for users on the go
Reporting and auditing features are not as

strong as its competitors are
Very limited set of user permissions may

reduce value in larger enterprises
Need to be connected to the network for most work,

which may reduce adoption
Reporting capabilities are very rudimentary
Content management is rather weak
No capabilities for compliance and auditing
Reporting capabilities are rudimentary
Missing capabilities for compliance/records/audit,

which makes it less suited for larger enterprises
Security controls are not very granular, and you

cannot employ your enterprise credentials for
authentication and authorization
Potential Fit
Document Lifecycle Management, Cloud File

Sharing and Sync
Team Collaboration
Unlikely Fit

scenarios

scenarios
Mobile Sharing & Sync
Compare to
Oxygen, OpenText, Box, Accellion, Citrix
Box, Workshare, EMC, Accellion, Citrix
Glasscubes, Huddle
Delivery
Model
Public cloud
Public cloud with the option to add on-premise

storage
Public cloud, private cloud hosted by SkyDox, onpremise install
Licensing
Business edition starts at $45 per month for 3 users
Starts at about $50 per month for 5 users. Also

offers a perpetual license and other options.
$15 to $25 per user per month, depending on edition
Specsheet
EMC Syncplicity
Oxygen
Workshare
Ownership
Public (NYSE:EMC)
Privately held
Accellion
Box
Citrix
EMC
Oxygen
Workshare
Scenario Summary: Cloud File Sharing & Sync-Oriented Vendors
High-Volume Imaging
Scenario Fits
Key
4
3
2
1
0
Product or vendor consistently masters this scenario or industry, but you should test
Product designed to fit this scenario or industry, but you should test
Product could fit this scenario or industry
Product might fit this scenario or industry, but may require more customization
Product very unlikely to fit this scenario or industry in any meaningful way
Box
Citrix
EMC
Oxygen
Workshare
Functional Business Services
Accellion
Ratings Summary: Cloud File Sharing & Sync-Oriented Vendors
2
1
3
3
2
3
2
2
1
1
3
3
2
1
3
3
1
1
3
3
2
2
3
2
2
2
3
2
3
3
3
3
2
2
2
2
2
2
3
2
3
3
2
2
3
2
2
3
2
2
3
3
3
3
2
1
1
2
1
2
1
1
1
2
1
3
2
3
2
2
2
2
1
2
2
3
3
2
2
3
1
1
1
2
1
2
1
2
2
2
Functional Services
Document Management
Mobile Access
File Sync & Offline
Technical Services
Architecture
Cloud Services
Security
Intangibles
Support & Community
Strategy & Roadmap
Key
4
3
2
1
0
Product or vendor consistently masters this feature

Product does not offer this feature
accellion.com/
Vendor at a Glance
Specsheet
Accellion: kiteworks Summary
Geography
Mostly US
Strengths
Can be deployed in public, private, and hybrid environments, thereby

offering more architectural flexibility
Exhaustive set of admin controls will appeal to regulated enterprises
Strong reporting capabilities a rarity in this segment
Integrates with SharePoint and Documentum
Weaknesses
Business Edition has an individual file size maximum of 2 GBs, which

may not suffice for some scenarios
Collaboration capabilities are limited to basic file sharing
No content management capabilities
Relatively more complex to deploy, and requires IT resources
Interface employs Java applets, which adds administrative overhead
Other usability shortcomings may reduce adoption and drive users to
other solutions
Potential Fit
Unlikely Fit
Compare to
Oxygen, Box, EMC, Citrix, Workshare
Deployment Model
Licensing
Business Edition starts at $15 per user per month
Ownership
Summary
Scenario Fits
Accellion is headquartered in Palo

0
Alto, CA, with a sales office in
3
Europe. Its technology and
0
engineering office is based in
3
Singapore. With an estimated 150
High-Volume Imaging
0
employees, it is one of the larger
0
companies featured in this report. It
2
was founded in 1999 and started as a
provider of backup technology. In
fact, Accellion initially released an on-premise solution, followed by its cloud-based
offering in 2011.
Accellion differs from other tools in this report in that it has a distinct, purpose-built
admin interface which is quite different from the typical end-user web interface.
This is useful and more suitable for enterprises that focus on security, management,
and/or governance.
Background
Accellion provides multiple deployment options that provide capabilities for file and
folder sharing, basic collaboration, and sync and offline features.
The key components of Accellion are:
A cloud-based file sharing application
An admin application
A file-syncing application
Desktop clients for Mac and Windows
A mobile client for iOS, BlackBerry, and Android
Connectors for various email clients and document management systems
Analysis
You can access your account via a web

interface, via dedicated desktop, or from
mobile clients. Accellion provides clients
for Mac, Windows, iPhone, iPad, and
Android.
Functional Services
Document Management
Mobile Access
File Sync & Offline
2
1
3
3
When you log in to the interface, there are

two views: an activity view that shows you
the activity stream, and a file view that shows you a list of folders and files. You can
view the file listing when you click a folder. For each file, you can add comments, see
its sharable link, or upload a new version. You can also select one or more files to
download, delete, or send to others.
Figure 121. Activity view within kiteworks.
You can share files and folders and carry out basic collaboration using tasks and very
simple workflows. There are no further capabilities for collaboration.
Aside from the ability to store multiple versions, Accellion does not provide any
features for content management. You can view previous versions and promote older
versions to be current versions. All of the versions are preserved, and theres no limit
on how many versions are available. Additionally, there is only basic search.
For mobile access, Accellion provides
dedicated downloadable apps for iPhone,
iPad, and Android. The mobile app looks
the same as the web interface. You can view
a folder or file, as well as share them with
others. When you share a folder, you can
also assign permissions: contributor,
uploader, viewer, and manager (same as
those available in the web interface).
Technical Services
Architecture
Cloud Services
Security
2
2
3
2
3
3
Accellion provides file sync via its enterprise sync application. It integrates with your
desktop file managers and creates a folder on your local desktop that synchronizes
with your folders and files. You can do all the operations that you are able to do with
other files on your desktop. In addition, this is useful for creating folders From your
web interface, you can designate folders that should be synced, which is useful for
many use cases where you dont want to sync everything. Some other advanced sync
capabilities include scheduling, pausing, and resuming sync.
As for offline work, all files can be synced with your desktop, which enables you to
work offline. On mobile devices, you can download files and later view them even
if you are offline. You will need to set up a PIN for security.
Accellion provides public, private, and hybrid cloud deployments. Its public cloud is
based on Amazon EC2. For private clouds, it offers virtual environment-based
solutions with VMware, Citrix, and Microsoft. The hybrid option enables you to mix
and match these for security and other requirements.
Accellion provides an exhaustive range of admin controls. As an administrator, you
can add new users and assign privileges to them. You can also manage policies for
workspaces, assign users and groups to those workspaces, configure properties related
to mobile devices (such as remote wiping), manage sync options, and integrate with
LDAP or Active Directory. In addition, you can set file and workspace retention
policies. Finally, you can change branding elements and create a completely different
theme.
Accellion integrates with LDAP or Active Directory via single-on through SAML
(Secure Assertion Markup Language). This is a useful feature if you want to use your
existing user store. The data centers are all SAS 70 type II compliant (they are
Amazons). The files are encrypted in transit and at rest. You can setup password
policies related to password strength or password reuse. As previously mentioned,
Accellion supports SAML; you can integrate with Active Directory and LDAP.
In addition, Accellion integrates with EMC Documentum, SharePoint, MS Outlook,
Lotus Notes, and MS Office Communicator. However, some of these will require you
to license separately; make sure you know what is included in your package.
Additionally, some of these have file size limitations (e.g., Outlooks maximum file
size is 2 GBs).
Vendor Intangibles
Intangibles
Pricing is based on a monthly subscription.

1
Accellion offers Business, Enterprise and
1
Enterprise Connect editions. The Business
Support & Community
1
Edition is for the public cloud and has a file
Strategy & Roadmap
2
size limit of 2 GB per file, and 1,000 GBs
1
storage. It starts at $15 per user per month for
5 to 500 users. Enterprise Connect has private and hybrid cloud options and adds
unlimited file size, LDAP integration, and integration with other plugins such as
SharePoint, and Documentum.
Accellion partners with a few mobile device management (MDM) platform vendors to
provide capabilities related to device management and securing content on those
devices. It also has partnerships with technology service providers such as Amazon,
Symantec, and VMware.
Similar to Oxygen Cloud, Accellion can be complex to implement, especially when
you use it in a private cloud or want to integrate with your corporate LDAP.
Accellion has a self-service portal with documentation and user guides. There is an
online knowledgebase, as well as an online ticketing site where you can raise support
issues. You can also email or call for support.
Accellion has about 150 employees, making it one of the larger companies in this
report. Founded in 1999, it started as a provider of backup technology. Its initial
release was an on-premise solution, followed by its cloud-based offering in 2011. It is
VC funded, and to date has raised close to $12 M.
Conclusion
Accellions exhaustive admin controls that are focused on security and compliance,
combined with its multiple deployment options differentiate it from other tools in this
report. It is a complex offering and its features make it a preferable offering for use in
complex scenarios within large enterprises. However, you will need dedicated IT
resources to manage the implementation.
Accellion is suitable for file sharing or sync if you need finer control on policies and
sophisticated administration capabilities. However, it is not suitable for simple use
cases (that do not require a high administrative overhead), or scenarios that require
more sophisticated collaboration and content management features.
Box: Box
Box: Box
box.com/
Vendor at a Glance
Specsheet
Box Summary
Geography
North America and Europe
Whats New
Successful company IPO in January 2015
Strengths
Weaknesses
No option to use private storage you must depend on the cloud

Limited to a public cloud deployment and US-based data centers,
potentially reducing usefulness outside of North America
Wide array of features makes it overkill for many simpler (e.g., sync
and share) scenarios or departmental implementations
User permissions and admin controls do not offer the level of
granularity that would be ideal for the enterprise use cases that Box
targets
For sync, you must move files to a specific folder on your desktop,
making it less user friendly
Complex pricing plans vary depending on the number of users and
features
Potential Fit
Cloud File Sharing and Sync, Basic Document Lifecycle Management
Unlikely Fit
Enterprise Content Platform, High-Volume Imaging, Information

Governance
Compare to
Oxygen, Accellion, EMC, Citrix, Workshare
Deployment Model
Public cloud
Licensing
Business Edition starts at $15 per user per month; Enterprise Edition is
variable and negotiable based on the number of users, use case, and
deployments plans
Ownership
Public (NYSE: Box); 1,000+ employees
More feature-complete than many other tools in this category

New capabilities to create simple workflows and policies
Ability to lock files prevents accidental and unnecessary edits
Abundance of admin controls makes it suitable for enterprise
management
Provides a comparatively large number of partnerships and
integrations with third-party tools that use Box as a repository
Box: Box
Summary
Dylan Smith and Aaron Levie founded
Box in 2005 and offered its cloud-based
file sharing service in 2006. Box is
possibly the most comprehensive product
in this category, with features for file
sharing, collaboration, content
management, mobile, and offline syncing.
However, while Box is more feature
complete, not all features are necessarily
best in class.
Scenario Fits
High-Volume Imaging
0
2
0
3
0
0
2
In fact, while Box will point you to its extensive feature list, many customers that want file
sharing and sync services actually find its breadth is overkill. Customers that select competing
tools often do so because Box was too heavy for simple file sharing use cases. Also note that
Box releases new features at short intervals; keeping up to speed with all of these releases can
be challenging.
Box provides a web interface for all services, as well as desktop and mobile clients for basic
file sharing. It offers some beneficial capabilities around basic content management
features such as tasks, version management, and locking enable you to manage files in a more
controlled manner relative to other file sharing tools. However, its sharing and collaboration
capabilities are not as strong as other tools in this report.
Box has been a popular vendor in the file sync and sharing marketplace; however, its now
ready to move beyond that, fueled in part by new funding from its early 2015 IPO. Box sees
itself as a provider of content and collaboration services and wants to become a content layer
that customers can use to build their own applications using Boxs underlying services. Thus,
files stored within Box would be accessible within Box as well for other applications. This is a
major shift that will have architectural implications going forward.
Background
Box has over 1,000 employees and raised more than $560 M in venture funding before going
public in early 2015. Investors include Salesforce and SAP, both of which have offerings that
closely tie with Box and other tools. In fact, Salesforce has announced its own cloud-based file
sharing service that will compete directly with Box in near future.
During its initial days, Box provided a free, cloud-based file sharing service to consumers.
Gradually however, Box realized that a similar solution could be more useful within the
organizations, so the focus shifted to enterprises although consumers can still register for a
free, personal account. Focusing on enterprises, the company started to expand the offering to
include features beyond file sharing and sync.
A cloud-based file sharing and collaboration application
Box.com A web-based interface both for accessing the app and for configuring and
administering it
Box Sync Desktop sync clients for Mac and Windows
Native mobile apps for iPhone, iPad, Windows, and Android devices
Box: Box
OneCloud An integration platform for integrating third-party apps with Box on
Android and iOS
A Box API for extending and customizing Box
A Box View API for content rendering and embedding service on any application and
website
Functionality
Document Management
Functional Services
Document Management
As with most other tools in this report, you can

access your Box account via a web interface or
Mobile Access
via downloadable clients for your desktop or
File Sync & Offline
mobile devices. Box provides desktop clients
for Mac and Windows, and mobile clients for
iPhone, iPad, Windows, BlackBerry, and
Android-based devices. If you have the enterprise edition, FTP is also an option.
2
3
2
2
When you log in, you see the traditional file-folder view. You can create new folders, upload
files, or drag them from your desktop. You can also create new online documents Google
documents or spreadsheets directly from the web; Box comes integrated with Google Docs.
.
Figure 122. Box's web interface for file management.

You can view more than 100 file types online, so there is no need to download files to your
desktop before you can view files, which is very handy to review a presentation or PDF file
quickly. When you click on a file, a back-end service converts that file into an HTML5
presentation that you then view in the browser. This HTML5-rendered view works on many
devices, including mobile phones.
Box: Box
Since you can preview a file to view it, you wont have multiple copies of files floating around
on different devices. In fact, you can restrict people from downloading and printing a file by
setting various link-sharing properties. Of course, people can always take screen shots and
save, so its not a 100% replacement for a DRM system.
Collaboration takes place at a file and folder level. You can associate a discussion for each
folder. This allows you to discuss the contents of a folder via threaded comments. Box has
made improvements to collaboration so that you can comment while viewing a document
inline, which is useful when you are collaborating with multiple people.
Users or collaborators are added to specific folders. You also can organize users under a group
and then add the group to a folder. Each collaborator is assigned one of the seven pre-defined
access levels that define what they can or cannot do to files in that folder. You cant add new
access levels or permissions (although you can disable some). This is sufficient for most
scenarios that Box currently targets, but if you want to use Box as a true content layer, you
may need more customizable access controls. Box for its part says it has few requests for
different access permissions.
A collaborator that is added to a top-level folder automatically becomes a collaborator for any
sub-folders within it and will have with the same set of permissions. This may not be desirable
if you manage many smaller groups with different users. In that case, you will need many toplevel folders.
For synchronous editing, the vendor offers Box Notes. Box Notes enables you to create a
text document online which can be concurrently edited by colleagues. You can use rich text
editing controls, which could be useful for creating wiki-type articles or collaborating jointly.
Mobile Access
Box provides native apps for iPhone, iPad, Android, BlackBerry, and Windows devices. Using
these apps, you can carry out most user activities: creating folders, uploading files, viewing,
commenting, setting sharing permissions, and adding collaborators. However, you cannot
perform any admin activities using these apps. In addition to these native apps, Box offers a
mobile web interface for devices with non-supported operating systems.
Box can sync all your files across your devices using a desktop sync application, as well as via
mobile apps on your mobile devices. The sync happens automatically. Additionally (as with
other tools in this report), you can select which folders to sync. This is very helpful if you only
want a subset of files to be synced (e.g., when there is limited bandwidth).
Unlike tools such as Syncplicity, you cannot sync with random folders on your desktop; you
need to move files you want to sync to a separate Box folder on your desktop. This can be
inconvenient at times and results in duplication of files and folder structures. Box disagrees
and cites many customers who prefer a simpler single-folder model. Theres no universal
solution, but keep this potential shortcoming in mind.
In offline mode, you can access your files on your desktop. When you make changes, they will
sync back in when you go online. However, offline mode does not work on mobile devices and
Box: Box
you have to be connected to access files. You can explicitly download files for offline viewing
later (if the administrator has given you permissions to do so).
Box Edit is an application that installs on your desktop and allows you to edit a file locally
then save it back to Box directly from the editor. Box automatically handles conflicts and
versions.
Theres an important shift in the works here. The benefit of sync tools is that it is easy to sync
a file across multiple devices, and multiple people can sync shared files. However, this also
means there are multiple versions of the same file on multiple devices with multiple people.
Both Box Edit and Box View can help to control that, but that reduces the value of sync.
BPM and Workflow
This is all relatively new in Box, and points toward its more enterprise-y orientation. An
administrator can create automations to create simple workflows, which is a forms-based
process creation mechanism that can create if-then statements that connect with other steps.
In this way, you can create simple workflow applications.
.
Figure 123. You can use Automations to create workflows and policies.
Currently, there are no visual workflow creation tools or more sophisticated process
management tools so Box may not be suitable for more complicated processes
The same automation module defines policies. For example, you can create a policy that says
if an uploaded document contains a credit card number, the system should notify a specific
user or send it to quarantine. This functionality is similar to workflows but they are mostly
relevant for admin users. Currently, theres a limit on what you can do with policies, but Box
continues to work on this area.
You can create lightweight data loss prevention and retention policies. This is not a
replacement for a full-fledged records management solution, but is useful for simpler
scenarios.
Box has added functionality so customers can add metadata to files. Metadata is essentially a
set of key: value pairs that you can use to search based on metadata, filters, and (in the future)
integrate it with workflows and automation.
Box: Box
Technology
Technical Services
Boxs three data centers are collocated or rented

3
in the U.S. Boxs deployment model is
3
completely based in the public cloud, and its
2
data centers are only in the U.S. This could be
Architecture
2
an issue for many customers with specific
Cloud
Services
2
requirements related to storage location. Box
Security
says it is evaluating different options and that
2
this has never been a deal breaker. However, it
could be problematic if you require a private or a hybrid cloud for security reasons, or you
need data to be stored in other geographic locales.
To improve performance, Box has the Box Accelerator. Accelerator is essentially a network
of edge servers located globally that use a proprietary routing algorithm to calculate the fastest
path between users and Box. However, performance is subjective and depends on many
factors such as file size, the number of files you are syncing, location, and so forth. Test this
aspect carefully with your own set of data, and from your own location.
The company has recently updated its admin console. You can view multiple reports as well as
manage users, roles, devices, and third-party application settings. Theres a new content
manager that allows you to audit and search across users, groups, and multiple repositories and
then take an action from there directly. This is helpful, for example, for legal hold scenarios.
.
Figure 124. The admin console has been improved.

In general, customers say that the admin controls and options are not as granular as preferred,
and this area needs improvement. For example, the set of user permissions are a predefined set
of permissions, and there is no way to add or change that set of permissions.
Box: Box
.
Figure 125. Security

access levels are
predefined.
Boxs data centers as well as Box as a company are SSAE 16 Type II audited. Box encrypts
files during transmission as well as during rest (storage). However, files that are synced and
copied to your desktop are not encrypted. There are a few security settings you can set such
as self sign-ups, setting password requirements, and setting session durations. Specifically
related to mobile device security, an administrator can set which apps can used on certain
devices (e.g., you can block the use of Box for Android if Android is unsupported in the
company), or set limits on what devices can be used (e.g., allow only one official laptop and
not a personal laptop).
In addition, Box says it will allow customers to use their own keys for encryption. This could
alleviate some security concerns but this is still on the roadmap as of March 2015.
For application developers, Box provides a Content API and a View API in addition different
SDKs for iOS, Android, Windows, Java, C#, Ruby, and so forth.
For mobile developers, Box provides a framework called OneCloud. Developers use it to
transmit data in and out of a users Box storage securely. This is useful for integrating thirdparty applications on mobile devices. OneCloud is available on Android and iOS-based
devices.
Box is the most platform like amongst its competitors, and Box excels at integration with other
applications. It provides connectors to desktop applications, social applications, and thirdparty enterprise applications. While there are a large number of integrations, not all of them
Box: Box
are equally useful or seamless. Specifically test out the integrations that are relevant to you to
ensure the functionality you need is what the integration can deliver.
Boxs APIs and its integration with several other products represent a considerable strength
especially for complex enterprise use cases. You can take advantage of the ecosystem like
Apples app store for consumers and extend the functionality of your Box implementation.
However, be very cautious with external integrations; our experience with tools such as Drupal
and Joomla! has shown that not all third-party tools provide the same level of functionality.
Often, their provenance is questionable, particularly for enterprise use. There have been
reported issues of upgrades breaking the integration and other administrative issues.
Vendor Intangibles
Intangibles
Box says it has had phenomenal growth; its

revenues have increased by more than 100% every
year over the past 2 years, and it now has 44,000
paying organizations in 200 countries, and its
largest deployment supports 300,000 users. In
spite of that however, it remains a primarily North
American-based vendor, with revenue from nonUS customers comprising only 20% of total revenues.

Support & Community
Strategy & Roadmap
3
2
3
2
2
Box is the biggest, standalone, file-share-and-sync vendor remaining. It is also the most well
funded out of all the tools reviewed in the marketplace, especially after its recent IPO. This is
a good thing, but it also means that Box will not be content with the basic use cases that it and
other vendors in this report have targeted up until now. We have maintained that Box will
continue to become a more complex product with exhaustive features in the future. In fact in
some ways, this is already true and Box does not want to remain exclusively a sync and share
vendor. It sees itself as a provider of content and collaboration services and wants to become a
content layer that companies can use to build their own applications using Boxs underlying
services.
Pricing is based on a monthly subscription. There are four subscription levels currently:
1. Personal Edition: This is a free edition that starts at 10 GBs with a 250 MB file size
limit (but users can pay and upgrade to up to 100 GBs with a 5 GB file size limit). It
offers all mobile sync and share capabilities (e.g., collaboration, Box Edit, and
OneCloud integrations) but does not include security and management-related
features.
2. Starter Edition: This starts at $5 per user per month, for 3 to 10 users and offers 100
GBs of space with a 2 GB file size limit. It provides access permissions and user
management.
3. Business Edition: This starts at $17 per user per month and offers unlimited storage
with a 5 GB file size limit. You get content collaboration and user management
features along with file & user statistics, device pinning, audit logs, MDM integration,
and one integration with Active Directory / Single Sign On (SSO).
4. Enterprise Edition: This is customized based on requirements and provides
additional security reporting, policies & automations, custom admin roles, compliance
email archives, custom branding, content management, password enforcement, multifactor authentication enforcement, the ability to restrict offline access, unlimited
Box: Box
Active Directory & SSO, and the ability to integrate with third-party SaaS
applications via Box Embed.
Box offers separate pricing plans if you want to use the Box Content API, the View API, or
SDKs to integrate Box with your own applications or do custom development.
Box can boast several major resellers, but for customization and system integration work, you
will mostly depend on Box professional services.
Since Box offers the free Personal Edition and trial editions, you can evaluate Box easily
before selecting it. Box also has a community site; however, documentation related to
advanced topics (such as integration) is only available to licensed customers. Box hosts an
annual conference BoxWorks, which brings together its executives, customers, and partners.
Conclusion
Box has the most feature-rich offering compared to other file sharing and sync tools in this
category. This is its greatest strength or weakness, depending on your point of view.
Consider Box if you need basic content management features, along with file sharing and sync
on a large scale. It is a very suitable option if you need multiple integrations with other thirdparty applications. Although its web-based, it is well-suited for active directory integration or
if you want to build your own complex applications using Boxs API.
Because of its vast feature set, Box begins to overlap with more enterprisey document
management tools evaluated elsewhere in this report, which is where you want to be very
careful while evaluating. Box plans to target those scenarios, and it has several new
developments up its sleeve, but it is not there yet. It is also unsuitable if you need more
sophisticated collaboration features such as co-authoring files and assisted navigation.
Finally, if you want a private cloud deployment or prefer to use your own storage or hosting,
Box would not be the right fit for you.
Citrix: ShareFile
sharefile.com/
Vendor at a Glance
Specsheet
Citrix: ShareFile Summary
Geography
Global
Strengths
Integrates with some other Citrix products for virtualization and cloud
services
Web user interface is cleaner and faster than most other tools
Very flexible end-user permissioning mechanism for sharing folders
Advanced sync options including the ability to sync any folder on
your desktop a convenient way to drive adoption
A breadth of admin controls and the ability to delegate makes it
better suited for larger enterprises
Weaknesses
Dearth of collaboration features beyond basic sharing

Absence of basic content management features reduces value in
project-oriented scenarios
Weak versioning makes it less suited for regulated or brisk editorial
environments.
Adobe AIR-based desktop client is finicky and adds unnecessary
administrative overhead
Poorly documented even by low industry standards
Offers the least amount of storage and throughput at any price point
Potential Fit
Unlikely Fit
Compare to
Oxygen, Workshare, Box, EMC, Accellion
Deployment Model
Licensing
Basic Edition starts at $30 per month for 2 users, but most enterprises
will want the Corporate Edition (or higher), which starts at $100/month
for 20 users
Ownership
Public (NASDAQ:CTXS)
Summary
ShareFile became a subsidiary of

Citrix in 2011, and is based in Raleigh,
North Carolina. It started its service in
2005. The company sustained itself
organically without raising any
external funding until it was acquired
by Citrix in 2011. Even after the
Scenario Fits
High-Volume Imaging
0
1
0
3
0
0
1
Citrix: ShareFile
acquisition, the ShareFile team remains based in Raleigh, where it employs close to
200 employees.
ShareFile provides cloud-based services for file sharing and synchronization. Unlike
most other tools, ShareFile does not provide free accounts; thus, your colleagues may
never have seen it before. This indicates that Citrix is a vendor that is very focused on
enterprise customers.
ShareFiles key strength lies in its flexible sync capabilities. Like Syncplicity, you can
keep working on files in the same locations on local machines; you just need to
designate which folders to synchronize and whether you want a one-way or a two-way
sync. This is potentially powerful, although it can become complicated to manage and
potentially expensive for licensees.
Background
ShareFiles key components are:

Web-based interface For file sharing
ShareFile Mobile Has native clients for iPhone, iPad, Android, BlackBerry,
and Windows devices, and a web-based mobile environment for other devices
ShareFile Power Tools A set of desktop tools for sync, file operations, and
other advanced services
ShareFile Sync For multi-device sync
Virtual Data Room A separately priced package that adds workspace-type
capabilities to ShareFile
The Virtual Data Room (VDR) is beyond the scope of this report, but it is essentially a
solution that uses ShareFile with added capabilities for virtual rooms for specific
projects (a room is a workspace that you can setup for specific deals, with limited user
access). VDR plans start at $295 per month for unlimited users and rooms.
Analysis
The default web interface looks more

modern than other tools. Of course,
usability will always vary according to use
case, but we found this platform
comparatively easy to use.
Functional Services
Document Management
Mobile Access
File Sync & Offline
1
1
3
3
You can have any number of sub-folders

within a folder, and you can upload one or
more files (as well as complete folders). You can also drag files from your desktop to
your account.
Citrix: ShareFile
Figure 126. The web interface in ShareFile. Note that each folder shows folder access
permissions in the lower part of the screen.
Similarly, you can download one or more files and folders; ShareFile zips multiple
files together. You can also send files to another user (albeit another ShareFile user or
an external guest user). You can send files from your account or attach them from your
desktop. ShareFile supports files up to 10 GBs.
You can edit, rename, move, copy and delete folders as well as files. Every folder has
a set of properties that you can configure. You can set expirations, create retention
policies, configure versioning, and have a sort order on a per-folder basis. This is
comparatively more advanced than its competitors, thus revealing a useful enterprise
bias here.
You can preview very limited file formats directly in the browser without downloading
them. Test this capability carefully if you have specific file formats.
Sharing is straightforward. When you create new folder or a sub-folder, you add users
or groups to them. By default, sub-folders inherit parent folder users and groups. You
can also change that to have completely different set of users for different sub-folders
in a single folder. Very handy; most other tools dont offer this flexibility.
You can assign permissions to users or groups to define what they can (or cannot) do.
Note that you must select from ShareFiles limited set of permissions; you cannot add
more permission categories. Test carefully to verify that ShareFiles default options
will work for you.
ShareFile provides drop-box functionality via what it calls Request File. When you
request a file, it generates an email with a link to the page where the requested file can
be downloaded.
Citrix: ShareFile
ShareFile has some useful capabilities for assigning users to folders. For example, you
can have a completely different set of users for different sub-folders in a single folder.
Most other tools do not provide this level of flexibility. However, ShareFile lags
behind most other tools when it comes to collaboration and content management. You
cannot create a wiki, participate in discussions, or comment and provide feedback on
files. There are no task-based workflows not even for basic approvals.
ShareFile does not provide much in the way of collaboration or even basic content
management. You can perform basic searches and version files (and decide how many
versions to maintain), but not much more. Using the versioning feature, you cant
compare versions or promote an earlier version to the current version. In addition,
theres no check-in/out; documents can be overwritten. Ultimately, tasks, basic
workflows, and other basic content services are not provided.
In addition to a mobile web interface, ShareFile provides native apps for iPad, iPhone,
Android (a phone version and a tablet version), BlackBerry, and Windows phones.
ShareFile has capabilities for synching and offline work. For synching, you designate
folders and pair them across your ShareFile account and desktop. You can also
configure a two-way or a one-way sync. This enables you to keep your files in the
same location on your desktop and have them sync with ShareFile without moving
them to a single, dedicated folder (as is common with many other systems).
Additionally, the enterprise version of Sync (available to the Corporate Edition and
higher licensees), provides additional capabilities such as scheduling, and synching
across accounts.
As with most other tools, ShareFiles admin
console is part of the same web interface
that you access as a user. Depending on
your access rights, additional options for
administration display when you log in.
As an administrator, you can perform basic
branding changes by uploading image files
and changing color schemes.
Technical Services
Architecture
Cloud Services
Security
2
2
3
2
3
3
You can enable or disable desktop sync access via command line, Outlook, or FTP for
all users or for individual users. You can set other preferences for notifications: file
retention durations, number of versions, and sorting. You can also set password
complexity requirements and restrict access based on IP addresses.
The platform has a separate section for reporting. The default page shows you some
high-level storage and bandwidth usage, but you can create more specific reports for
usage, storage, bandwidth usage, and audit trails. If you license the Professional or
Enterprise editions, you can schedule automatic creation of reports on daily, weekly, or
monthly basis, as well as change a few other parameters. However, like many SaaS
systems, reports are queued before they run. For larger customers, this may take extra
time depending on the amount of data that must be pulled. Test carefully here.
Citrix: ShareFile
While creating a new user, you can set a users quota, you can enable users to have
specific admin privileges (e.g., the ability to edit branding or manage other users). If
you want to add a large number of users, you can add them by importing a CSV file.
You can create distribution groups, which is essentially a distribution list that supports
easier sharing. Instead of providing access to multiple users, you can provide access to
a designated distribution group.
Stored files are not encrypted by default with the Basic plan; you must pay additional
fees for file encryption. On the plus side, ShareFile scans each uploaded file for
viruses.
For additional security, you can employ your own Active Directory or LDAP directory
for authentication. This is done via Secure Assertion Markup Language (SAML) or
Citrixs own CloudGateway.
ShareFile offers an HTTP-based API for creating custom applications. This API has
methods for many file and folder operations and returns results in JSON, XML, or
plain text formats. ShareFile also has a command line tool; this is a Windows-only tool
but can be run on a Mac with a third-party package. This enables you to script
programs or integrate with third-party solutions, usually for bulk-file operations.
Vendor Intangibles
ShareFile offers four editions for its service Intangibles

2
Basic, Professional, Corporate, and
Channel
Partner
Services
2
Enterprise. The Basic Edition starts at $30
Support
&
Community
1
per month for two users and includes 5 GBs
Strategy
&
Roadmap
2
of storage and bandwidth. The Professional
Viability
&
Stability
2
Edition starts at $60 per month and the
Corporate Edition starts at $100 per month
for 20 users, with only 20GBs of storage and bandwidth. Thats not much, and many
enterprises will quickly go to the sales team to upgrade.
As noted earlier, the higher tiers also offer more features such as Outlook integration,
sync, and storage encryption, which are only available in the Professional or
Enterprise Edition.
Unlike all other tools, ShareFile does not provide free, consumer-like accounts. This
clearly shows that ShareFile is very focused on the enterprise, but your employees
cannot test the service beyond a 30-day free trial.
For tech support, ShareFile offers a support portal with a knowledgebase. The articles
are rather basic and dont cover many details about how to integrate with external
applications and other advanced topics. The API documentation also lacks examples.
You can open a support ticket from the support portal. ShareFile provides email and
phone support as well, but if you are outside of the US or Europe, ensure that the
support hours will provide you with enough coverage.
Citrix: ShareFile
Since the Citrix acquisition, ShareFile customers can theoretically tap into Citrixs
vast partner network. In practice, very few partners will be conversant in the platform;
for now, you will probably be interacting with ShareFiles own professional services
team for any advanced customizations or integration.
The Citrix acquisition makes ShareFile somewhat more financially secure than its
smaller competitors.
Conclusion
ShareFile offers advanced synchronization services for employees on the go, and its
various flexible options make it a good fit for scenarios that require multi-device sync
capabilities. ShareFile also has good folder sharing capabilities and can assign a
different set of users to sub-folders within the same parent folder. This makes it
suitable for Enterprise File Sharing scenarios. Finally, consider ShareFile if you have
invested in Citrixs other platforms and are already a customer.
ShareFile is not a suitable fit for more advanced collaboration needs. There are no
forums, wikis, or even basic commenting tools. If you need people to co-author
documents or collaborate files, look elsewhere. In addition, if you need basic content
management features like check-in/out, metadata, or even basic task-based workflows
FileShare would not be a good fit for you.
Finally, monitor price to value ratios closely, as ShareFile may become comparatively
more expensive for customers with active, high-volume users precisely the kind of
heavy-usage metrics you are likely to see in ShareFiles more advanced file synching
services.
EMC: Syncplicity
EMC: Syncplicity
syncplicity.com/
Vendor at a Glance
Specsheet
EMC Syncplicity Summary
Geography
Mostly US
Strengths
The ability to designate any folder for synchronization allows you to

work with files in their existing location (more user friendly)
Centralized policy management allows you to create advanced rules
for retention
Ability to remotely wipe information from mobile devices or desktop
makes the system more secure
EMC is a financially very viable owner
Ability to edit MS Office documents from within mobile apps
Weaknesses
Potential Fit
Unlikely Fit
Compare to
Oxygen, OpenText, Box, Accellion, Citrix
Deployment Model
Public cloud
Licensing
Business edition starts at $45 per month for 3 users
Ownership
Public (NYSE:EMC)
Content management features are almost non-existent

File sharing and collaboration are very weak
Permissions are very limited
Reporting and auditing features are not as strong as its competitors
are
Summary
Syncplicity is based in San Francisco,

California. It was founded in 2008 by
three ex-Microsoft employees, grew to
30 employees, raised around $2.35 M
in venture funding, and then was
acquired by EMC in May 2012. Now,
it operates as a business unit in within
EMC.
Scenario Fits
High-Volume Imaging
0
3
0
3
0
0
2
Syncplicity offers a cloud-based

service for sync and file sharing. Its deployment model is the public cloud and it uses
Amazon for its SaaS-based platform as well as for file storage.
As its name implies, Syncplicitys strength lies in synchronization services. Most
similar tools want you to create a dedicated folder and then move files to sync with
EMC: Syncplicity
that folder. With Syncplicity, you can designate any folder(s) on your desktop and
keep working with files in their usual location.
Syncplicity has some good security and policy-related features for administrators. In
particular, it can remotely wipe information and set up rules for retention. Beyond
these benefits however, Syncplicity lags behind other tools collaboration
capabilities are minimalistic, and its own content management capabilities are nonexistent.
Background
In terms of pricing, Syncplicity offers a Personal Edition (free and paid), as well as a
Business Edition. Youll need the Business Edition for advanced security and policy
controls.
Desktop-based sync applications
A web-based interface for accessing files anywhere and for the admin console
Native mobile apps for iOS and Android
In this evaluation, we review Syncplicitys Business Edition.
Analysis
Functional Services
When you log in, you see a list of folders
Document Management
and files. You can view a list of files,
2
upload new files, or create a new directory
1
using this interface. You can also sort files
Mobile Access
3
File Sync & Offline
by name, size, and date. With every
3
individual file, you can access a context
menu that you can download, see revisions,
get a link that you can share with others, and preview (depending on the file type). The
preview functionality opens the file in another popup and displays that file using
Scribd, Zoho, or Google Docs.
EMC: Syncplicity
Figure 127. Syncplicty's new web interface.
The desktop app is really a sync system more than anything else. As with most
competing tools, its a plugin that integrates with Macs Finder or Windows Explorer.
A new Syncplicity menu appears that allows you to add folders, add files, and carry
out other options.
You can share individual files or folders. To share individual files, you generate a web
link and email it to others. Sharing folders requires administrator privileges, which
seems overly restrictive. If you have admin rights, you right-click and select Share
Folder. What happens next is that it opens a page in your browser where you add
individual users, add permissions, and notes.
While you can generate a shareable link for individual files from any Syncplicity
interface, you cant do that with folders. As with most other tools, you add users to
folders that you want to share and then assign permissions. Theres a rather limited set
of permissions you can give to users: Reader and Collaborator. There is no way to add
different tiers. Aside from this basic sharing, Syncplicity offers no other sharing or
collaboration features.
Syncplicity provides native apps for iOS, Android, and Windows. You can sync,
upload files, create new folders, download files, view versions, and share files.
Whatever Syncplicity lacks in terms of collaboration or content management, it makes
up for in synchronization services a strong differentiator for the platform. In fact,
Syncplicity is a sync system more than anything else and the desktop app proves
that. You install the desktop app and then add folders that you want to sync. Unlike
most other products that designate a specific folder to sync with the cloud, Syncplicity
enables you to assign any folder to your sync list.
This is a powerful feature and a major strength of the platform. You no longer have to
move your files to a folder and wait for them to sync (as you do with most other
systems). Instead, you can work with files in their usual location on your desktop and
EMC: Syncplicity
the Syncplicity app does the rest. You can add folders from anywhere even from an
external storage device or Google docs/drive, and the sync app will include them. You
also can selectively exclude specific folders or individual files from syncing.
When you assign a folder on your desktop to your sync list, that folder is created on
Syncplicity and from there, it is synced to other devices.
The synced files are also available in offline mode, so you can keep working on your
desktop with files in their usual location irrespective of whether you are connected.
When you get back online, the files sync automatically.
Syncplicity offers comparatively rich
Technical Services
enterprise administration services.
2
Administrators have access to the console to
2
manage users, groups, devices, folder
Administration
and
Management
3
access, and organizational policies.
Architecture
2
Administrators can set security policies,
Cloud
Services
2
configure files, and set folder retention
Security
3
schedules. In addition, administrators can
configure how long the deleted files are
retained as well as how many previous versions to store. This is useful for managing
your storage requirements something most other tools dont allow you to configure.
You can set custom retention policy rules, enabling different rules for different file
types. For example, you can retain Word documents for seven years but only keep
video files for only six months. Ideally, youd have the ability to set these policies
based on content types rather than MIME types.
Syncplicitys security policies are quite exhaustive and should appeal to enterprise
administrators. In addition to the policies for folder and file sharing, you can set a
variety of configurations for when accounts/users are deleted or when a specific
mobile device is removed from a users account. Additionally, there are options to
wipe remote devices as well as shared folders.
Vendor Intangibles
Syncplicitys Business Edition starts at $45

per month for three users. The deployment
model is public cloud. Syncplicity uses
Amazon for both its SaaS application as well
as for storing your files. The data is distributed
across three data centers.
Intangibles
Support & Community
Strategy & Roadmap
3
3
2
2
3
Syncplicity was a small company with close to 30 employees, including its own
professional services team. Now that it has been acquired by EMC, there will be more
salespeople and perhaps more support team resources as well. It now operates as a
business unit within EMC, which should make the platform more durable than it
previously was.
EMC: Syncplicity
Conclusion
Syncplicity (as the name suggests), does file sync really well; if sync and to a lesser
extent online backup is your key scenario, consider Syncplicity. Syncplicity also
has some nice features for security and policy enforcement that make it administrator
friendly for the enterprise. However, if your requirements revolve more around
collaboration, or you require some basic content management services, Syncplicity
alone may not be a suitable option for you.
More generally, youll want to test its usability carefully. Whats good for the
administrator is not always good for the end user and in this market, unhappy
employees can choose from a plethora of other alternatives.
Oxygen: Oxygen Cloud
oxygencloud.com/
Vendor at a Glance
Specsheet
Oxygen Cloud Summary
Geography
Mostly US
Strengths
Allows you to use on-premise storage as well as combine multiple

storage alternatives
Strong focus on security: encrypts files on storage, end-points (e.g.,
iPad), as well as during data transfer
Weaknesses
Sync and offline behavior is different from other tools, which can be
tricky to understand
Collaboration capabilities are limited to basic file sharing
Very limited set of user permissions may reduce value in larger
enterprises
Reporting capabilities are very rudimentary
No capabilities for compliance and auditing
Potential Fit
Unlikely Fit
Compare to
Box, Workshare, EMC, Accellion, Citrix
Deployment Model
Public cloud with the option to add on-premise storage
Licensing
Starts at about $50 per month for 5 users. Also offers a perpetual
license and other options.
Ownership
Privately held
Summary
Oxygen Cloud was founded in

December 2010 and is self-funded.
Oxygen has only one office located in
Redwood City, California, with most
of its customers located in the U.S.
The first version of Oxygen Cloud
was released in 2011.
Scenario Fits
High-Volume Imaging
0
1
0
3
0
0
1
The solution consists of a cloud-based

server application for file sharing,
along with options to use cloud-based public storage or private storage. It provides
clients for Windows and Mac desktops, iOS, and Android, as well as additional
connectors that allow you to connect your private storage and integrate with corporate
Active Directory or LDAP.

Background
The key components of the Oxygen Cloud solution are:

A cloud-based file sharing and sync application
A web-based interface for accessing this app as well as administering it
Desktop clients for Mac and Windows
Mobile client for iOS and Android
Connectors for plugging in private storage, as well as AD and LDAP
Figure 128. Oxygen's web client provides all basic file sharing tools and admin
operations.
Analysis
You can access your Oxygen account via a

web interface called the web client or
via a dedicated desktop or mobile client.
Oxygen provides clients for Mac,
Windows, iOS, and Android.
Functional Services
Document Management
Mobile Access
File Sync & Offline
1
1
3
3
The web client allows you to carry out all

functionality related to files and documents.
You can also carry out admin functionality such as creating users and groups
using the web client. However, the desktop and mobile clients provide a subset of this
functionality.
Oxygen exposes its drive as a WebDAV folder. This is potentially very useful for
integrating third-party applications such as PDF Expert and GoodReader with your
Oxygen drive.
In Oxygen lingo, a top-level folder is called a Space. Spaces are folders with special
capabilities called behavioral attributes. Each Space has an owner who can add
members to that Space, specify access permissions, create sub-folders, and so forth.
By default, storage is at Amazon S3. However, Oxygen gives you the capability to add
your own storage. There are connectors that connect your Windows and Linux file
servers as well as Network Attached Storage (NAS) and Object Storage Devices. This
option allows you to mix and match different storage options and use the most
appropriate one for requirements. You can use your own in-premise storage and keep
confidential data behind your own firewall. This potentially mitigates some of the
risks associated with cloud storage and eliminates concerns related to data sovereignty
and ownership. However, if you need to manage your own storage for anything other
than the most basic scenarios using basic file servers, you will need expertise to
manage infrastructure, virtualized environments, and hardware.
With respect to access control, each Space in Oxygen has members associated with it,
with read-only access by default. An administrator adds these members and change
access levels to Read, Write, or Manage. This also allows you to share files with
external users (called Guest Users). While straightforward, this basic level of
sharing comes with a number of shortcomings. Only an administrator or owner can
define members for a particular space. This means that as an end user, you cannot
share a specific file with an ad hoc set of participants. The file is shared with everyone
who is a member of that space. Secondly, sharing happens at a Space level and not at a
sub-folder or file level; if you want to share documents with different groups, you will
need to create separate spaces. Similarly, if you have a file that you want to share with
different people outside of that Space, you must upload that file to each Space.
As with other tools, you can create shareable links (called weblinks) to share files with
other users with internal users and external guest users. These links can have expiry
date and can be password protected.
Aside from basic sharing, you can view all versions of every file. All versions are
preserved and theres no control on how many versions are available. Oxygen saves
every version as a complete file and not just an incremental change. Obviously, this
approach will impact your storage levels. You only can access version history via the
web client and not via desktop or mobile clients. Beyond this, there are no other
content management features.
Oxygen provides native apps for iOS and Android. These apps provide basic
functionality such as file downloading and uploading, annotating them, and emailing
to others. You can integrate with third-party apps such as QuickOffice to edit them.
Sync in Oxygen works slightly differently from most similar tools whereby you create
a folder on your desktop and sync that with the cloud. Here, Oxygen actually appears
as a drive and caches your files locally from the cloud storage. A major implication of
this is that you will need to be logged in to Oxygen even when you are offline. If you
have logged out or exited Oxygen, you wont be able to access files in your local
cache. Before making any offline changes, youll need to ensure that the required files
are synced up, even if it means manually syncing them. You must open a file directly
from the mounted drive and then make changes; if the file is saved elsewhere and you
make changes, it will not sync. Syncing and offline editing have some tricky aspects
here; test this behavior carefully in your own setting.
On the positive side, Oxygens approach enables centralized file control and provides
IT with full control of your users devices. Therefore, it is easy to delete just the cloud
instance or revoke access when required (such as when an employee leaves). Like
other tools at this tier, you can selectively sync files instead of syncing complete
folders.
The admin interface is part of the web
client. As an admin, you can manage
storage (including additional or private
storage), manage space quotas, create users
or groups, and view reports.
Technical Services
Architecture
2
2
3
3
3
3
You manage members using users and

Cloud Services
groups: Designating a group in Oxygen is
Security
really more like assigning roles in that you
assign a collection of users with the same
permissions. You can grant admin privileges to a group, allow group members to
create new spaces, give delete permissions, and allow a group to invite outside guests.
Everyone who is a member of a particular group has the same permissions, thereby
enabling you to work at a group level instead of an individual level. However, there
are very few permissions available, limiting the utility of groups.
Reporting is particularly weak and there are only a few reports available.
There are no capabilities for compliance and auditing.
Similar to private storage, Oxygen can integrate with your own internal Active
Directory or LDAP, so you can authenticate against your corporate systems. For this,
there is an AD/LDAP connector available
Oxygen encrypts file storage as well as any data transfer during file transfers. The files
are also encrypted on devices. The way in which Oxygen syncs has some limitations;
however, its much more secured than other tools are.
Oxygen Cloud can be relatively complex to implement particularly if you prefer to
use your own on-premise or private storage, or you want to integrate with your
corporate LDAP. Oxygen has alliances with a few solution providers (mostly in North
America and a few in the UK, Japan, and Australia) that can help you with the system
integration effort. Oxygen also has a program for developers and provides them access
to SDKs and tools for creating mobile apps.

Vendor Intangibles
Oxygens help desk provides technical support

online from 8pm to 8am PT to cater to non-US
business hours. This is helpful for non-US
customers. However, the companys personnel
is located in one office, which may limit your
support options.
Intangibles
Support & Community
Strategy & Roadmap
1
1
1
2
1
Oxygen has a self-service portal with documentation and user guides, as well as a
community forum for customers. The documentation is good for basic startup, but it
does not delve deeply into integration and customization.
Conclusion
Oxygens focus has been solely on enterprises and that is clearly visible in how it has
implemented encryption across the complete lifecycle as well as in the way it allows
private storage. However, that may not be enough and it will need to improve its
capabilities in terms of collaboration, and provide more granular permissions and user
management controls.
Oxygen is a small company with one office and 35 employees. Oxygens marketplace
is largely capital intensive, and requires significant funds. Additionally, some of its
competitors have much deeper pockets. Thus as a supplier, Oxygen may be a
comparatively risky option.
The pricing is based on monthly subscription. Oxygen says deal sizes vary from tens
to thousands of dollars per month; however, consider $30,000 to be a starting
benchmark. The price rises from there based on what connectors you license.
Oxygen charges a monthly subscription, with pricing dependent on the connectors you
purchase. A team accounts for 5 people, consisting of 10 Spaces and 100 GBs of
public storage, which starts at $50 per month. On average, Oxygens deal size is about
$40,000 per year, but increases depending on the connectors and options you have
licensed.
Oxygen Cloud is a suitable option for enterprises where security is a high priority.
Consider Oxygen particularly if you want to use your private storage or on-premise
security. However, if your usage is focused less on security and is more focused on
consumer-oriented collaboration features, you will need to look elsewhere.
workshare.com/
Vendor at a Glance
Specsheet
Workshare Summary
Geography
Mostly UK
Strengths
Good file sharing and collaboration capabilities, with a fairly unique

emphasis on collaborative editing
Allows you to view and comment on the same files simultaneously
Mobile interface runs as a web app, which easily supports a wide
variety of devices
Tagged commenting allows you to comment on specific areas of a
page, which is useful when discussing or annotating files
Offers multiple deployment models (cloud, hybrid, on-premise)
Weaknesses
Lack of any published SDK or APIs make it weak in terms integration

capabilities
Without a native mobile client, file-sharing experience becomes
limited for users on the go
Need to be connected to the network for most work, which may
reduce adoption
Content management is rather weak
Reporting capabilities are rudimentary
Missing capabilities for compliance/records/audit, which makes it
less suited for larger enterprises
Security controls are not very granular, and you cannot employ your
enterprise credentials for authentication and authorization
Potential Fit
Team Collaboration
Unlikely Fit
Compare to
Glasscubes, Huddle
Deployment Model
Public cloud, private cloud hosted by SkyDox, on-premise install
Licensing
$15 to $25 per user per month, depending on edition
Ownership
Summary
SkyDox began as a UK-based provider of

cloud-based online file sharing solutions.
The platform consists of a web-based file
sharing interface along with desktop clients
and a mobile web interface.
Scenario Fits
Enterprise File Sharing
Highly Secured Sharing
Team Collaboration
2
2
3
1
2
Extranet
SkyDox has some nice capabilities that
allow multiple people to review or view
documents simultaneously. Multiple people can comment, including on specific parts
of a document and other people can see those comments. This makes it suitable for
scenarios that require co-browsing or co-authoring.
In Q4 2012, SkyDox acquired a US-based document comparison vendor Workshare.
Workshare is considerably bigger than SkyDox with about 100 employees. The vendor
offers several products, most of which revolve around document comparison. This
meshes well with SkyDoxs traditional emphasis on collaborative editing, but may not
bode well for customers seeking long-term solutions for more general-purpose,
enterprise-wide file sharing. In this review, we will still use SkyDox to refer to the
combined companys cloud-based file sharing tool to differentiate it from numerous
other Workshare tools that already exist.
The combined company quickly released a re-branded version of the SkyDox
platform. The new name is Workshare (they decided to use the brand of the acquired
company) and offers a redesigned user interface. As of November 2012, the company
had still not completed the re-branding effort and the website and the documentation
still used SkyDox for its cloud-file sharing platform.
The resulting product has actually lost several useful features such as those required
for online meetings and conferences. Some of them might reappear later but this does
make it a risky choice until the integration is complete.
SkyDox provides multiple alternatives for deployment. You can opt for a public cloud
deployment, have SkyDox deploy a private cloud for you, or you can install the
software in-house and manage it yourself.
SkyDoxs biggest shortcomings are a lack of native mobile clients and a lack of a
desktop client for sync. SkyDox says a desktop client is in the works but until that
happens, this platform remains unsuitable if you need to sync files across multiple
devices.
Introduction
SkyDox is a young company founded in 2009 that released its first version in 2011. It
provides a cloud-based platform for file sharing, storage, syncing, and collaboration.
SkyDox says it supports 200 file formats using a browser-based interface.
Before the acquisition, SkyDox was a small company of 22 employees, with half of
them in development and offices in the UK and Spain. This means your support
options may be limited if you are outside the UK.
SkyDox says it has 700 customers with 90 percent of them in North America and
Europe. In terms of pricing, it offers two editions: A Business Edition and an
Enterprise Edition. The Business Edition starts at $15 per user per month for 500 GBs
of storage and up to 200 users. If you need more storage, you can purchase it for an
additional monthly fee.
The key components of the SkyDox solution are:
A cloud-based file sharing application
A web-based interface for accessing this app as well as administering it

Desktop clients for Mac and Windows (currently in beta)
Mobile web-based interface
Functional Services
You can access your SkyDox account via a

web interface or via dedicated desktop
clients (currently in beta) for Windows and
Mac. SkyDox also has a mobile web
interface that works on many phones and
tablets. Unlike most other vendors, SkyDox
does not offer native, downloadable
applications.
Functional Services
Interface
File Sharing
Collaboration
Content Management
Mobile
File Sync & Offline
2
2
3
2
1
0
Figure 129. The merged companies have released a new user interface but
have dropped a few niceties.
Unlike Oxygen Cloud and some other tools, SkyDox does not expose its drive as a
WebDAV drive. That restricts its application with third-party tools, particularly on
tablets.
You do most of your work in the web interface. There are few ways to upload files via
dragging and dropping files (but not folders) from your desktop, or you can use an
upload button. However, test the upload features across all of your supported
browsers. There are some limitations: Drag and drop does not work on Opera or
Internet Explorer, and if youre using IE, the upload button only allows single-file
uploads.
Figure 130. You can drag and drop multiple files when uploading.
You can create a folder hierarchy with a number of sub-folders based on your
requirements. Each folder has an owner that adds members to that folder, specifies
access permissions, creates sub-folders, and so forth. You can have any number of subfolders.
Just note that two folders cannot have same name, even if they reside within
completely different parent-folders. On the plus side, you can drag-and-drop folders
from one parent to another. You can do the same with files but dragging a file to a new
location does not move it. Instead, it makes a new copy at the new location. In
practice, this may be a tricky interface to master.
Using the web interface, you can delete only one file at a time. This may be laborious
when you manage a large number of files. Like other lower-end vendors, SkyDox
limits each file size to 2 GBs, making it unsuitable for scenarios that require larger file
transfers. There are workarounds, such as splitting large files into smaller ones, but
that will prove very inconvenient. SkyDox also says that its customer support can
facilitate large-volume uploads and it can upload entire folders by providing a large
file uploader that bypasses browser limitations. This feels one-off and too custom.
Alternatively, you can upload files via email. You attach the file in an email message
and send that from your registered email address. The file is automatically available.
However, you cant set the folder if you upload in this way.
A strength of the platform is that you can view files without downloading them, using
built-in viewers. Online viewing works for 41 file types including MS Office. SkyDox
says they are working on many other formats but test if you have specific file types
that you want to store. SkyDox does not currently support Open Office file formats
and recommends that you save them as MS Office files before sharing.
When you view a file this way, the system actually opens a large pop-up with options
for downloading, commenting, and seeing other details. This is not same as with other
tools that allow you to view files completely inline (without a popup). The key
disadvantage with this approach is that you are now limited to working only on the
popup window, but when you view a file inline, you can access other functionality as
well. Additionally, SkyDox no longer provides plugins for MS Office desktop
applications that were available before the acquisition (Word, Excel, and PowerPoint).
Once you put files in the system, you can share them with other users, at the individual
file level or folder level. You can select from a set of available privileges that define
what the users can or cannot do with the files. However, the set of permissions is quite
limited, even if they are helpfully propagated to sub-folders.
On the plus side, you can select multiple files and give access permissions to all of
them in lieu of creating a new folder. This is useful; most other tools require that you
give permissions to a complete folder if you wanted to share multiple files. The main
shortcoming here is that you cant share with a group; there is no concept of user
groups in SkyDox.
A nice feature is the ability to comment on a document. When you comment, it
appears immediately and all other users sharing or viewing the document
simultaneously sees that comment. In addition, SkyDox enables what it calls tagged
comments, meaning you can tag a specific area of the document and attach a
comment to it.
SkyDox has removed features for meetings and conference calls. These used to be key
differentiators before the acquisition. Some other key collaboration features have also
been dropped.
Figure 131. You can simultaneously view documents and read comments.
SkyDox lets you manage multiple file versions. When a new version is created, only
the incremental changes are saved, thus reducing your storage costs. However, there is
no way to configure how many versions to store.
You can sort as well as filter files from the web

interface. For search, SkyDox embeds a full text
search engine based on Solr (Lucene). It can index
MS Office files, PDFs and many other formats. Solr/
Lucene is a well-regarded open source search engine.
but it is also a complex piece of technology to fine
tune or customize. SkyDox does not provide you with
any interface to customize the search engine behavior,
so it needs to work for you out of the box. (To be fair,
not many other vendors will let you tweak search
results.)
Figure 132. Mobile access is

via a web client.
Unlike most competing tools, SkyDox ships with a

mobile web app not a native downloadable
application. On the plus side, you can access SkyDox
from a variety of mobile platforms, but then the user
experience may not be as good as you get with a
native application. Those enterprises with a
predominance of iOS and Android devices may find a
native application more suited for scenarios that
require handling files and sync operations.
The SkyDox mobile view is predominantly a read-only experience, where you can add
comments, but do little else. You cant upload new files, create new folders, delete
files, or even download files from the mobile interface. This means that if a file is not
browser-viewable, you cant do much with it via SkyDoxs mobile interface. It is also
comparatively slow, because all files must be directly accessed from the cloud. You
always need to be online.
SkyDoxs desktop clients (still in beta) do provide some features for syncing and
offline work, but overall this is a major shortcoming today: theres no way to get files
on your tablet and mobile devices unless you are connected.
Technical Services
SkyDox uses Amazon and Cloud Sigma Technical Services

Administration
for data center virtualization. It uses
Compliance & Reporting
PaaS vendor engine yard for disaster
Security
recovery. The vendor takes an hourly
Performance, Scalability & Reliability
backup of the platform and claims this
strategy can perform a restore of the
platform within 2 hours in the event of a
disaster. However, you should investigate these claims.
2
1
1
2
1
Depending on location, different hosting partners have different certifications.

SkyDox says its North American partners are compliant with the Federal Information
Processing Standard (FIPS) and HIPPA.
Figure 133. Reporting is very weak.
Administrators have access to an additional account management interface, where

they add/manage users, add branding elements, and a few other settings. As an
administrator, you can view some reports based on user activity or those that relate to
storage allocation or usage, but reporting remains a weak area. On the plus side,
SkyDox does keep an audit trail for every file and you might be able to get some
custom help should a need arise to go back and track activity. However, this is
certainly no substitute for detailed reporting.
SkyDox provides multiple deployment options depending on your security
preferences. You can use its public cloud service or have SkyDox host it within a
private cloud for you. SkyDox can also be installed in-house behind your firewall. If
you need a private cloud or an on-premise installation, you must license the pricier
Enterprise Edition.
With respect to integration, the Enterprise Edition boasts connectors with SharePoint,
Documentum, and FileNet. Test these carefully before signing on, since you will have
no access to APIs or SDKs for customization going forward. For custom work, you
must depend on SkyDoxs professional services arm. The acquisition and resulting
changes to the platform is likely to have affected this aspect more than anything else;
ensure that you exercise careful diligence here.
Figure 134. You can assign permissions on files or folders.
With respect to security, SkyDox permits access only after you log in. Essentially,
thats bad for offline work but good for security. It also encrypts data transfers while
you move files around and encrypts them on their servers. Beyond that, you employ
permissions to fine tune access to files and folders.
Unfortunately, SkyDox cannot be used in conjunction with your corporate LDAP or
Active Directory services; you will need to create and manage a set of users
specifically for SkyDox. Clearly, this limits its applicability in larger enterprise
environments.
As for visibility into your data, it depends on your deployment. On private cloud
deployments, SkyDox system administrators will not have access to your data. On
public cloud deployments, SkyDox administrators have visibility of the users profile,
email address, email notification activity, and file types used. No other data is
viewable by SkyDox personnel.
Vendor Intangibles
SkyDox supports two editions: Business and Intangibles

2
Enterprise. The Business Edition starts at $15
1
per user per month for 500 GBs of storage
Support & Community
2
and up to 200 users. If you need additional
Strategy & Roadmap
2
storage, you can purchase it for an additional
2
monthly fee. The Enterprise Edition adds
flexible data locations, SharePoint
integration, and multiple deployment options. It starts at $25 per user per month and
allows 1 TB of space per user.
Support is somewhat thin. You have access to an online knowledgebase comprised

mostly of user guides and some video tutorials, but you wont find information about
integration or customization because youre not allowed. Outside of this, you can
enter online support tickets.
For any custom development, you can turn to SkyDox professional services.
Customers we interviewed had good things to say about SkyDox responsiveness and
ability to incorporate new features. However, the company is small and probably
stretched. SkyDox does not have any channel or system integration partners at this
time.
In terms of a roadmap, Workshare will be releasing stable versions of desktop clients
(currently in beta). It is also working on additional security features such as policy
enforcement and the ability to compare documents.
The recent acquisition does add a bit of uncertainty. Most of Workshare's products are
server-based and SkyDox's key offering is a SaaS-based tool. Combining a product
that is not architected to be a SaaS or cloud based from the very outset with another
SaaS-based tool could be extremely challenging, especially for a vendor of this size. In
addition, any new offering from Workshare will likely add some sophisticated policybased document comparison capabilities to file sharing and collaboration. This will
make the product relatively complex and potentially unsuitable for many simpler
scenarios that these file sharing tools target. Dont buy into a product that is overkill
for your needs.
Conclusion
SkyDox may represent a suitable option for enterprises primarily focused on

document-centric collaboration, particularly when multiple people need to
simultaneously review and comment on shared documents. SkyDox also makes sense
if you want a choice of deployment options: public cloud, private cloud, or on-premise
cloud.
SkyDox is poorly suited for workaday file sharing and syncing. Its lack of rich clients
makes it less suited for mobile scenarios or file syncing more generally. Finally, its
overall dearth of enterprise services means that larger customers will hit a ceiling
quickly.
Part 6 Advice, Pitfalls, and Best Practices

How to Select an ECM Package
There is no special magic to selecting the right document management package. You should
take the same approach as you would in selecting any major server software. One difference,
though, may be the breadth of users, business processes, and applications that will interact
with your document management system. The more you can efficiently involve those
disparate players and interactions, the greater your chances of success.
In fact, the steps below essentially outline how to remake your entire document management
approach. New tools can play an important role in your efforts, but in order to succeed,
technology must ultimately serve the business master.
Embrace Stakeholders
Inventory the range of stakeholders for your document management project. Then identify
internal champions, people with line responsibilities who can advocate for rebuilding your
document management system. Internal champions should not necessarily be the most
technical representatives, just the most in pain under the present system or the most to gain
from the new one. Build an internal team to work the project from start to...well, it will never
really finish.
Dont forget about your IT group. Real Story Group sometimes witnesses selection teams
trying to work around their internal systems resources because they dont like the direction the
latter is heading. Circumventing your IT group is a grave mistake. They are going to have to
support and enhance whichever package you chose, and none of these products are completely
out-of-the-box. In any enterprise software selection process, if your Marketing, IT, and other
teams have strong disagreements, its always best to surface and address the conflicts as early
as possible. Note also that you may need to involve different IT groups, if your company splits
responsibility for application development, network and server administration, and security.
They are all important to a content management project.
Likewise, document management technology choices and system design should never be left
solely to technical stakeholders. Sometimes business teams abdicate responsibility for solution
selection to IT groups on the grounds that the former does not have sufficient time or
expertise. This is a mistake: the wrong tool will eat up much more time and money than a
committed presence in the selection process.
One of the other key players is your Chief Financial Officer (CFO) or at least their stand-in.
Involve her early and often, and make sure someone from your Finance group remains on the
team for the duration. Among other benefits, they can help you build a business case and
advocate for a reasonable budget.
Build and Prioritize Your Initial Requirements
Take a thorough inventory of content silos and owners (youll need to do this sooner or later),
and base-level corporate infrastructure (human, knowledge, physical) for the project. A
complete enterprise content audit may seem like overkill but it is not: look deeply at what you
have, because what you find may well surprise you.

The natural inclination is to develop expansive requirements. This is OK as a starting point.
However, at each step in the process, youll want to ask your team, How important is it really
that this aspect be automated? Remember you are not building the perfect system, just a great
one. Furthermore, as you saw in the product reviews, no single platform presently on the
market can address the entire document management lifecycle seamlessly. Remember that
complete requirements are nice, but prioritized requirements are gold. Knowing which
features or attributes are more important than others will make it easier to contrast the vendors,
and will also help you keep costs in line with your budget.
At this point, you may wish to sound out either your favored integrator or a handful of vendors
who would appear to be a suitable match, especially on broad-brush cost estimates, to help
inform the next step. This can be done by issuing a Request for Information (RFI).
Nonetheless, avoid a vendor dog-and-pony show at this point. It is premature and can waste
your time (and theirs).
Develop Use Cases or Scenarios
Sometimes called scenarios, use cases can provide a much richer way of describing your
needs and connecting them to business benefits. Use cases can also vastly simplify and speed
up the vendor selection process by giving everyone a target to shoot for. Finally, selection team
members can understand vendor offerings much better if they discussed and demonstrated
using scenarios that team members face every day.
We like to develop use cases that start with an as-is and then describe an ideal to be. This
gives vendors a better idea of what youre trying to accomplish. It also enables you to achieve
some actual improvements, rather than a document management implementation that mirrors
what you already have in place, merely based on some new technologies. The more detailed
your use cases are, the more you will be able to differentiate solutions. However, if time is
short, even simple use cases may suffice. Consider this one:
AS IS
Susan in the New York mail room sends incoming bundles of letters to each department for
local sorting by legal secretaries, who then assemble relevant documents into manual
case folders. When lawyers such as Anita (who works on complex corporate cases) need
to collaborate with others such as her colleagues in the London Office, her secretary Patty
scans documents on the local scanner/copier and mails the hard copy documents to the
London office, or in some cases sends tiff images via email. When lawyers in London and
New York need to collaborate closely, they usually manage it via teleconference or by one
party or the other travelling to meet in person.
TO BE
Susan in the New York mailroom opens a letter that contains a signed document from a
client of the legal firm. She electronically scans the document, which is in fact a completed
form that had been dispatched to the client for completion some weeks ago. Once
scanned, the ECM system recognizes the form, reads some elements of it and triggers off
a workflow. The electronic form is then sent to the secretary of the main lawyer, Anita,
dealing with the matter, and it gets registered into the clients case along with other
pertinent documents. In parallel, Susan has sent by internal mail the original hardcopy
document to the records management department for processing.

Anita opens up the case that has been assembled by her secretary and immediately
realizes that the completed form details will require expert examination by her colleague
Paul in the London office. Logging into the system, she sends a message to Paul with a
link to the attached document, along with an electronic request for them to meet in a
secure team room to work together on their response to the new information.
What you have done here is signaled to the document management vendor that:
Scanning, imaging, and recognition technologies are an essential part of this solution
Security and confidentiality (and potentially DRM) are very important factors
Strong collaboration environments are necessary
Records management issues may not have been thought through fully
You have a need for strong workflow and case management capabilities
You could have skipped the as-is piece, though bidders will find it very useful. More
importantly, youve given vendors something very concrete to propose against and
demonstrate when they meet you.
Whatever you do, avoid check box RFPs. Vendors have seen them all and have figured out
how to check all the boxes. Yes, you still need to outline some canonical requirements (must
run on Windows 2003 Server), but try to keep these to a minimum and instead describe more
use cases to illuminate the breadth of your needs. Remember the differentiating power of
how. Rather than ask a vendor, Workflow? ask: How do you support workflow in
collaborative environments? If they use an ActiveX control, but many of your authors work
from Macs, then you have a problem.
Theres one final point when you change your RFP to be less about the product and more
about your firm and its needs. To the extent that you open up your business processes, failures
and successes in great detail and ideally you will it is prudent to have potential bidders
sign a strict non-disclosure agreement first.
Solidify Your Business Case
Before you move on, make sure you can still connect a new document management system to
your broader corporate objectives using one or some combination of the rationales outlined
elsewhere in this report. Having even a simple case statement that does this will facilitate all
the choices you make going forward.
Is this a good time to set a project budget? Two schools of thought predominate here. One
school recommends waiting to see what potential opportunities lay ahead and setting a budget
later. However, it may be more practical to set a budget now to discipline the rest of the
requirements-gathering and vendor-winnowing, while remaining flexible depending on what
arises down the road. In either event, dont forget about customization and integration
resources. Account for all of the services you may need, and only set aside 25-35 percent of
your budget for software.
Design the Outlines of the System
There are several tasks you can accomplish here to scope out the likely size of the project.
Hopefully, the use case building exercise has compelled you to model your existing workflows
and review what aspects can be better automated. Now take a stab at building taxonomies and

vocabularies. Diagram how you anticipate different systems will work together. Create the
information architecture for your new system.
Many well-intentioned project teams skip or downplay this step. You should not. A deep
understanding of your own content is an essential precondition to managing it more
effectively.
You may need some outside help here. The key in selecting external consultants is their
solution-neutrality. An integrator may well define the solution in a way that makes it most
susceptible to resolution through their favored technology, and may receive a bounty from the
document management software vendor for recommending their product.
Review Technology Alternatives
Use your requirements and the outlines of the new system to develop a work plan, which will
simplify matters for you and the vendor alike. The work plan, together with your use cases and
the deliverables described above, can serve as the basis for an RFP.
Vendors will gladly come in to present their products first-hand, which may serve as a learning
experience and could help sharpen your requirements and shorten your list. However, chances
are that if you have designed your system carefully and digested this report, you might not
need to conduct a wide cattle call. Always have them demo your use cases, rather than their
canned routines. A browser with a good Internet connection is much more useful here than
PowerPoint slides. Insist on the former.
Be sure to ask what optional modules the vendor would not include in your solution and is not
including in its price. Unfortunately, sandbagging remains rampant: to realize a solution
after you are underway, the vendor informs you that you must purchase optional modules. This
potential for extra cost is especially important to consider for deployment modules and
application server or portal connectors.
The bottom line here is that you should not be seriously comparing vendors until you have
completed all the previous stages.
Perform Due Diligence
You probably already know the importance of performing due diligence on server software,
but in any case, heres a brief primer.
For starters, youll want to talk to companies like yours who have implemented the package.
Vendors will total the number of licenses they have issued in the past year, but try to find out
how many actually implemented and then kept the product. If you are suspect about a
particular feature or module, ask to see it in production on a live server from among the
vendors clients. This is especially critical when your implementation depends on integrating
two or more products the fact that the vendors are partners means little. How many sites
currently use those two products in tandem now? Fair or not, its the early adopters who
provide integration lessons for everyone else.
If you are going to procure professional services from the vendor or an integrator (and you
probably will), be sure to meet the team who would work with you. Every company has
experienced document management hands. Many of them are extraordinarily knowledgeable,
but unless you are General Motors (or even if you are), they are likely to be preoccupied with
the next sales call as soon as your contract is signed. So meet the actual project managers,

architects, and developers who will be implementing your system or training you how to run
it. If you cant work successfully with them, what makes you think you can work with their
product? Note that this is especially important with vendors who are enjoying substantial
success and momentum in the marketplace, and are therefore growing (and hiring) a lot. Thats
right: financial health and the quality of human resources at hand can be competing
dimensions.
Review any vendors financial performance, but with grain of salt. We have seen big,
successful companies jettison document management offerings, and niche vendors survive and
thrive. Note that most of the major document management software players have gone through
the stress of flat sales earlier in this decade and only in the past few years have climbed out of
the tech recession. Nevertheless, there remain key metrics to evaluate, like available cash (and
burn-rates for cash-flow negative companies) and revenue momentum. Of the two, cash on
hand is the best predictor of whether a company will survive. Use your experience and
instincts here. For better or worse, positive buzz around a particular vendor may be a
better predictor of long-term viability than the quality of the technology.
Download Trial Packages Whenever Possible
You can sometimes download trial versions of document management packages from vendor
websites; do this for your shortlist. Note that trial versions are generally light
implementations that can be buggy and are not always well-supported. However, they will
give you a sense for the product. Of course, with an open source package, you can always
download, install, and play with the complete production version. Use trial versions as a basis
for asking questions, rather than as your final decision point.
Remember you may need more than one package as part of a complete solution. Your
requirements may push you to consider content integration tools, search engines, digital rights
management, automated classifications products, and perhaps other software, in conjunction
with a document management package.
Evaluate Security Implications
By now, your security staff should have a good understanding of how the different products
will fit into your network environment and overall protection schemes.
However, the document management package itself should be scrutinized. Be sure your
vendor can answer these six key security questions1:
Who runs security tests on the ECM? No one is a bad answer.
Are there regular security notifications? When breaches are found, youll want to be the
first to know.
Which third-party products are included within the ECM? Search engines and other
applications have their own security considerations.
Are there security specific guidelines for the ECM? If not, they probably havent looked
deeply enough.
Can the supplier provide staff with recognized security qualifications?
1. We are indebted to Colin Cornelius (colin@guinet.com) for this analysis.

Have you established adequate internal controls? Remember that most security
breaches are internal.
You will also need to consider the fact that though document management software places a
great deal of focus on security in terms of tight access control mechanisms, this will need to
operate in conjunction with broader enterprise security issues at the platform, web, or
middleware levels.
Consider Requiring a Proof of Concept
If you are about to drop hundreds of thousands or even millions on document management
licenses alone (with integration on top), its reasonable to ask your list of vendor finalists to
come in to your shop, install their packages on your hardware, and develop some sample
templates and workflows that make sense to your team. You should define this exercise in
advance, using your scenarios, rather than using canned vendor demo sites. Note that,
depending on whether the proofs can be done concurrently, a proof-of-concept step could add
a month or more to your selection cycle. Nevertheless, this kind of show-me evidence can
be a powerful predictor of which offering will work best for you, and in our experience, it
saves time in the long run.
Perhaps most importantly, it is the best way we know for actual system users to definitively
identify what will work best for them. Dont be scared by this. It is to your benefit to emplace
accountability with contributors.
You may risk ruling out a vendor who elects not to compete in this way. For an enterprise
installation, this is an unreasonable position for a vendor to take, but in the mid-market, the
cost of participating in a proof of concept could far outweigh any margin the vendor would
like to achieve. If your budget totals $US 100,000, you may get the hungriest vendors to send
three developers in-house with you for a week, but perhaps not the best vendors. Software
companies that repeatedly lose money will soon go out of business, especially if they are
privately held.
One way to avoid this is to offer to compensate the vendor an agreed-upon sum for their time
(but not their software) if they invest in a proof of concept and not emerge the winner.
If you cant do a proof of concept, then at least send your staff developers and users to
training at the two vendor finalists training centers. Youll likely have to pay for it, but it will
be a fast way to feel certain about which solution will best suit your needs.
Choose a Package
With solid requirements and a firm budget the choice should be fairly clear by now. Negotiate
your best terms. (See Vendor Pricing on page 339.) If you go the proof-of-concept route,
you probably want to negotiate those terms before the final tests, when you will still have
maximum leverage, but hold off on completing the contract, as issues may arrive during that
phase that you might wish to address in the final agreement.
No software is perfect. Conduct a group debrief after the competition phase and make a list of
what you dont like about the package you are going to select. This helps you set internal
expectations and account for necessary workarounds as you finalize the implementation plan.
Contributing resources towards resolving some of shortcomings your team finds could be part
of the final deal.

Prototype as Early as Possible
If you are purchasing a large system, consider confirming that you made the right choice
before getting the full spate of licenses you will ultimately require. This means quickly
implementing even a partial solution for part of your platform perhaps a single section
within a single department. That way, you and your vendor(s) can learn critical lessons
while the stakes remain reasonably low. It also allows you to show project momentum.
Moreover, if it all blows up, hopefully you have hedged some of your investment.
That sounds awful, but what is worse than admitting a mistake and switching to a different
package? Not admitting your mistake and being stuck justifying a system that doesnt meet
your basic business needs. On several occasions, Real Story Group has heard, Yes, this
software stinks, but we paid $X hundred thousand for it, so we have to use it
Recognize When You Need Help and Seek Outside Assistance
By this point, you may wish you had gotten help. Perhaps the project has stalled or you have
not been able to reconcile differences among the team. The right consultant can add value
from the earliest stages of the project.
A knowledgeable and experienced outsider can help by:
Identifying key internal stakeholders
Facilitating among disparate factions
Applying proven requirements templates
Helping to clarify the confusing array of technical and design choices
Assisting in developing the RFP and evaluating vendors
Generally pushing the process along (this doesnt have to be a long process).
The right company can also serve as a resource (or outsource) for implementation by a team
invested in the overall plan.
As always, picking the right consultant will present a key challenge. Youll be able to choose
from among independent contractors to the Big 5, and everything in-between, including
industry-specific resellers, regional integrators, and local consultancies.
Seek out an individual or firm that clearly understands both your companys business
objectives and document management best practices as well as the document management
marketplace at large.
Note that most professional services firms (including the Big 5) have pre-existing
relationships with specific document management vendors. This is not necessarily a bad thing
for example, you want an integrator to have pre-existing experience with any particular
package they implement for you but be sure to surface and understand potential conflicts
before getting started.
In any case, be sure the specialists working on your system have worked with the relevant
document management software package(s) at least three times before, and the current version
at least once. Deep knowledge of complex software is an acquired talent. The difference
between an experienced and a novice developer can make or break your project schedule and
budget.
Vendor Pricing
Document management software pricing like the vendors themselves is all over the map.
You should remain diligent in your negotiations and plan for expansion carefully: there is no
free lunch. Remember that in addition to software, you will almost surely be buying some
level of professional services and ongoing support. Lets look at both of these categories.
Software
With some exceptions, the predominant factors in pricing are, the number of servers you need
to employ, the total number of CPUs involved, and most typically the number of seat
licenses you require. In this connection, dont forget failover and development servers, but
remember that you can frequently negotiate for free or substantially reduced licenses here.
Note again, however, the distinction between failover servers and load-balanced servers. The
latter are running concurrently, and typically require full licensing of all servers, while a
failover server that does not kick in until the production server fails should not encumber you
with a full extra license. Of course, the vendor may try to charge you for it. Just say no in the
contract.
Always keep a sharp eye out for optional modules and their pricing. A common tactic in server
software is to demonstrate the advanced version of a product and laud its features in a written
proposal, but then price out a baseline version that offers only a scant few of the bells and
whistles that enamored business users to the product. In any competitive solicitation, insist
that the technical proposal only discuss features and options that are priced in the core cost
proposal, and that optional features and modules are clearly identified in both sections.
Unfortunately, you can expect vendors to try to muddy the waters here anyway. Keep going
back to them to break it all down. This may be an iterative process, but well worth the effort.
In addition to server license costs, most document management vendors continue to charge by
user as well. Youll want to understand if this means concurrent user, rather than named user.
Named users represent the total set of individuals with rights to manage content in some way.
Some of your named users may only access the system once a month or less. Concurrent users
represent the total number of content managers accessing the system simultaneously at any
one time. Concurrent usage limits have become increasingly popular, but a named user
approach may be more attractive to you if your system encompasses just a few very active
contributors anyway, because the per-user fees tend to be lower under this format. Some
vendors have tried to finesse the issue by charging separate tiers of user fees for occasional
users versus power contributors. We find this unnecessarily confusing, but you may not have a
lot of room to negotiate here.
If a document management vendor boasts that they do not charge seat fees, remember, there is
no free lunch. These may be some of the same vendors whose products CPU capacity tends to
be lower than their competitors. Heres how this works. If system performance for Vendor X
tops out at 100 concurrent contributors per CPU (assuming suitable memory), then you have
effectively purchased a 100-person user license with each CPUs worth of Vendor X server
software you buy. Nevertheless, generally speaking, the absence of user fees tends to make for
simpler and more scalable licensing formulas. Youll want to plan your own growth scenarios
carefully and decide accordingly.
In planning your growth scenarios, consider how a particular products scalability matches up
against your overall architecture. This is good practice for performance reasons, but will also

affect potential license fee growth as well. Fortunately, most vendors can provide reasonable
scalability metrics, though you should review their assumptions carefully. Some products are
more memory intensive, while others consume disproportionate CPU cycles and still others
present more of an input-output (I/O) strain on a server. As your system expands, you may
require a separate machine just for deployment as you push out large bodies of content or as
you experience network bottlenecks. All of these issues carry license implications to the extent
that you need to deploy more servers running the document management package.
As you might expect, hosted providers present a more services-oriented fee structure. Hosted
document management vendors tend to price their offerings more according to number of
named users or amount of updates per month, often combined with some sort of formula based
on total content volume they are storing on your behalf.
In nearly every case, you can expect to pay for software developer kits (SDKs), API kits, or
developer seats or all of the above, and if you have a large development team, the total can
become quite a significant financial investment.
Professional Services and Support
Document management software vendors will exhibit less flexibility about pricing for their
professional services. This is partly because vendors incur real incremental labor costs here,
and partly because they have become addicted to the predictable profit margins from their
services work amid an otherwise fairly competitive market for their software. Virtually all
document management vendors offer common service packages such as installation,
quick-start, content analysis, and so forth that are based on specific performance
measures rather than explicit hourly rates. This is good business practice, as it enables them to
leverage repeatable processes theyve learned over the years and price them according to
perceived value (at what represents in fact very high hourly rates). We see nothing wrong with
this if you are paying for true expertise, but you should insist on the provision of experienced
practitioners in any final contractual arrangement. And, wherever there is value-based pricing,
you have room to negotiate a better deal.
You should budget for support and maintenance costs ranging from 12-24 percent of the price
of all software you purchased, on an annual basis. Make sure this covers upgrades, including
major upgrades, as some vendors have tried to argue that particular major version upgrades
represent new products. Dont put up with that. (At the same time, dont expect that covered
software upgrades means no cost to you, since larger installations typically require
professional services help from the vendor to migrate to the new version after all, who else
knows how?)
One factor in varying maintenance costs is that most vendors now offer separate tiers of
support at different price levels. Buyers tend to underestimate their support needs; remember
that application servers can go down at any time. One strategy Real Story Group recommends
is to seek a higher tier of service, but negotiate the rate down. After a contract is signed, the
vendor will quickly want to deliver the software. This is partly so that they can invoice you,
but also, many contracts state that the support meter starts ticking the day you take delivery,
unless you pre-negotiate a later install date. If you dont install the software until three months
after you bought it, you may have paid a years worth of support for only nine months worth
of coverage.

During the product selection process, find out how the competing bidders recognize or book
revenue internally. Some publicly traded vendors dont put revenue on their books until the
customers implementation goes live. We think this is a good thing for buyers, sellers, and
investors alike. However, such a vendor may pressure you to do quick pilot or reference
implementation before you are ready. See whether their reporting incentives synchronize with
your schedule.
Expect to incur other expenses as well some niggling, some large. For example, you
expected printed documentation? Well, that might be extra. Training can also represent a
sizable expense. Developers definitely require instruction from the vendor, and they may need
to travel to get it. Some document management vendors are beginning to experiment with elearning. We think this is a welcome development for both parties, but we suggest you send
developers to in-person classes first. Let your technical team rub (and bend) elbows with
vendor techies thats often when the best information is transferred.
Training end users in document management is a different matter. The vendor is typically not
the best party to conduct training for content contributors and editors, unless they are the ones
most familiar with your implementation and can successfully customize their default
curriculum accordingly. Remember that you are not instructing business users on a particular
software product, but rather you are helping them to use your document management system
that happens to use a particular product underneath the covers. The latter is something
different altogether.
Some Final Words on Pricing
Like everything else, buying at the end of a quota cycle (typically this is quarterly) can lead to
better deals. But dont let the crush to consummate a quick contract in exchange for a discount
push you into committing prematurely we see as many (or more) buyers lose out in hasty
deals as vendors. Understand fully what you are buying, what you are not buying, and on what
specific terms.
Ten Common Pitfalls to Avoid (and Best Practices to Follow)

Throughout this process, you can take advantage of the lessons learned by those who went
before you. Having led several document management implementations and after debriefing
dozens of practitioners, Real Story Group has seen much go wrong and much go right. Here
is a distillation of common pitfalls, along with best practices to follow to improve your
likelihood of success.
Pitfall 1
Selecting a document management
package before developing solid
requirements and business case.
Best Practice
Gather thorough requirements but only
after establishing a business case to
shape and discipline the process then
select a package that truly meets your
needs.
Talk to ten software integrators and nine of them will tell you that the biggest single predictor
of a failed implementation is when a company chooses a specific package before requirements
have been adequately established. The second biggest predictor? A requirements phase that
drags on because no unified business strategy exists against which tough choices can be tested
and measured.
When companies select document management packages before they agree on business
objectives and adequately plumb stakeholder needs, the technology inevitably ends up driving
the system the people, the business rules, the editorial processes, even the content itself
rather than the other way around. Youve probably worked amid systems like that, and you
probably didnt like it.
Perhaps more importantly, you will find along the way that you have critical forks in the road
with important decisions to make. Do we force users to check-in and out and use formal
version controls, or do we try to hide and automate that as much as possible? Do we migrate
our legacy content silos, or create loose search links to them? There are no simple answers to
such questions, but a clear business rationale will help you make solid choices.
Pitfall 2
Not getting a clear mandate from the top.
Best Practice
Obtain strategic direction, a suitable
budget, and a mandate for necessary
changes.
Like anything in business that yields a strategic payoff, implementing a new document
management system is hard, and potentially expensive. It can bring change to many parts of an
organization, and however felicitous the improvements, change unnerves most people most of
the time (See #10).
Leadership is needed to see a document management project through. When difficult choices
present themselves, being able to refer to the business rationale will lead to faster and more

effective decision making. This may require carrots as well as sticks, and you will almost
surely need your management to provide both.
Pitfall 3
Thinking a document management software
package will provide a document
management solution.
Best Practice
Model your existing and prospective
document management processes and
content stores using building blocks of
people, content, practices, and
infrastructure.
Your document management software is just one part of the infrastructure building block for
document management. If your content management system is like most others, it will consist
of 20 percent technology and 80 percent process.
This is actually good news. You can control and modify a system. You cant always control
and modify packaged software as much as you would wish.
Pitfall 4
Not involving internal stakeholders from the
very beginning.
Best Practice
Involve system users in the design,
implementation, and testing of the system.
There is a temptation among IT and records management departments to shield domain

specialists from key decisions on content architectures and workflow. However well intended,
this is a mistake. Only the content owners and processors themselves can put meaning and
context to the information that is being published, so they must be engaged in the design of the
overall system. If they participate in the selection of the solution, they will be much more
likely to participate actively in selling it to the rest of the enterprise and engage fully for a
successful implementation.
Additionally, there is a growing consensus that the most usable applications result from a truly
user-centered design process, with users involved from the very beginning in the shape of the
ultimate solution.
Note that sometimes there are inherent conflicts between capability and usability. For
example, the distinction between power users and casual users that is widely held among
document management vendors can become immediately problematic within your particular
enterprise. Is a power user an author who needs an efficient interface to accomplish the same
thing repeatedly and often, or a kind of managing editor who needs a control panel to
accomplish a variety of oversight tasks? Those are two very different personas who will likely
find comfort in very different interfaces. Some may come to despise the super-user interface
that was ostensibly designed for their needs. Very often simple works better; thats good news
for developers, but it places a premium on finding the specific product whose out-of-the-box
orientation happens to match your needs.
Pitfall 5
Spending insufficient effort describing and
organizing content, and underestimating
migration times.
Best Practice
Invest in mapping the structure of your
content, building workable taxonomies, and
creating user-centric information
architectures. Then clean your data.
Inadequate work up-front in information design and mapping inevitably means leaving key
architectural decisions to engineers or graphic designers.
Dont overlook migration. If you already have a document, file or records management
system, you already have content repositories, and migration of some kind will be in order
before re-launching with a new document management system. Most engineers quite properly
view migrations of this sort like an extended trip to the dentist. Some document management
packages have migration tools to link to other common repository types.
However, these tools will work well only to the extent your existing content is structured and
consistently organized. Migrating databased content would appear somewhat less painful on
the surface, but in practice brings its own headaches, particularly if the new system employs a
radically different data model.
Pitfall 6
Picking a document management package
that doesnt play well with other company
applications.
Best Practice
Identify the broader IT environment for your
document management effort, and
anticipate integration needs.
Since your document management system may evolve into a prime content and middleware
platform for your legacy systems (CRM, ERP, product databases, etc.), the ability to integrate
successfully is critical. What languages can you or your consultants use to customize the
system? How much of the underlying structure and logic contains open APIs?
One way to help yourself is to follow industry standards. Open database models, separation of
data and logic into different tiers, and the adherence to industry standards (like LDAP, XML,
and SOAP) can all help protect your investment and increase your rebounding time if the
package you implement suddenly becomes discontinued. (Remember, though, that standards
adherence is a relative term, not a state of being. Find out how your vendor adheres to
standards that are important to you, and map that against the goals you are trying to achieve
through standardization.)
Additionally, remember that your IT department will have to support this infrastructure, albeit
possibly with outside vendor or integrator help. It should run on operating systems and
databases that they can maintain, or reasonably learn to maintain.
Pitfall 7
Underestimating hardware needs.
Best Practice
Get more server power than you need
today.
Document management packages even those at the departmental level are notoriously
resource-intensive. Additionally, if you are being very creative with things like indexing, your
repositories and associated storage will fill up with all kinds of interesting and potentially
useful data that could grow to dwarf the storage size of your actual content. You do yourself no
good to design and implement the perfect document management system only to find your
server performance prohibitively slow for internal and external users alike.
Thats why clustering and load balancing arent just for the enterprise-wide document
management installation anymore. If you are a mid-sized company or single business unit, you
may still need those features. Make sure your document management vendor and IT
department are on board.
Pitfall 8
Underestimating integration and other
professional service needs.
Best Practice
Anticipate the need for outside help and
budget for it.
The famous last words in any document management marketing materials are out-of-thebox. Even the most prepackaged solutions described in the product comparisons section
require some level of integration. For example, Microsoft lauds the ease of customization of
its own document management products, but notes that it expects that nine out of ten buyers
will need add-on services.
Behind some of the stories one hears of failed document management implementations are
companies that spent their entire budget on software licensing and maintenance, leaving
nothing remaining for the most crucial part: getting the system to work.
If content is central to who you are as a company, then how you manage, organize, and present
it will be different from other companies. Figuring out just what needs to be customized can
take almost as much effort as the actual integration. The complexity and dynamics of your
business rules and processes here will be key determining factors in the extent of integration
required. Additionally, someone will also need to code workarounds to the inevitable bugs and
undocumented product shortcomings (even the best software has both). The key, of course, is
to closely involve enough of your own technical specialists (if available) to make sure that
sufficient expertise transfers in-house to make updates and changes to the document
management going forward.
You should also seriously consider who will take care of other tasks that have everything to do
with unleashing the value of your content, but only tangentially related to implementing a
document management package like outlining a meaningful information architecture.
Pitfall 9
Looking solely at the product and not
enough at the vendor.
Best Practice
Perform as much due diligence on the
vendor company as you do their product.
When you purchase software, at some level you are marrying your document management
software vendor. Companies, like people, have personalities, and software companies often
have strong personalities. Understand how your prospective vendor generally behaves,
because you are going to be living with them for a long time to come. How do they treat their
user group(s)? How can smaller customers get attention? How many mergers have they
experienced in the past two years (a predictor of likely internal disarray)?
Moreover, you may be working very closely with their professional services and support staff.
Do they mesh well with your team? That chemistry alone could well have a greater impact on
the success of your project than the suitability of the product.
Pitfall 10
Missing or underestimating internal change
management issues.
Best Practice
Recognize and make explicit how new
systems and tools are likely to affect
peoples jobs and enlist their support for
productive change.
Providing document management functions to line-of-business managers will be exhilarating

and liberating to some, horrifying to others. Some content owners might not want to take
direct responsibility and ownership of their content and processes. Workflow tools and
detailed auditing mechanisms in particular bring a whole new dimension to accountability.
Others may resent finding themselves suddenly unable access or search on certain content.
Of course, thats just the idea. You want a system of incentives and controls to make sure
content is managed well. You are not necessarily eliminating peoples jobs youre just
asking staff people to focus more intently on their particular areas of expertise. Involve your
best people in the design process and the new system should work well for you.
In any event, many peoples jobs are likely to change. Some will have more work; some will
have less. On the whole, you should be able to manage more content, faster, and with better
results, but leadership will be needed to address the inevitable individual winnings and losses
along the way.
Appendix A: Document Management Technology Standards
Appendix A: Document Management Technology

Standards
Consultants and vendors love to talk about standards. It makes our industry sound more
mature than it really is. To be sure, standards are important. However, there are fewer of them
than you would think, and they are less standardized than you might like. In fact, you could
argue plausibly that there are currently no real standards for document management. There are
plenty of general IT standards that affect document management, but few specific standards,
and none that are effectively mandatory for buyers and vendors alike.
Even where standards do exist, the most important thing to keep in mind is that, whatever
boxes vendors check, standards support tends to be a relative attribute rather than an absolute.
There are different ways to comply with Java EE5 or support XML, for example. The key
question here, as elsewhere, is how a particular tool supports a particular standard.
In the rest of this section, well outline some standards that are worth exploring before you
begin (or re-embark) on your document management adventure. Firstly, we look as some
niche standards that are (or have been) regularly mentioned in vendor marketing activities;
secondly, we look in some detail into JSR 170, an emerging Java standard that is probably the
most important standard for the core document management layer within document
management systems yet to be developed.
BPEL
Business process execution language (BPEL) can be seen as something of a rival to XPDL, as
it is also an XML-based process-centric language. The big difference here is that it is
executable; it is a programming language for process-centric activities. It does not contain a
modeling abstraction layer. For large enterprise level players (such as IBM and Oracle), BPEL
is the standard they adhere to when building out their BPM capabilities.
BPMN
Business Process Modeling Notation (BPMN) is related to BPEL. It provides a standardized
set of modeling components for use with graphical business-process design tools. In theory,
this means an easy transition to BPEL and ultimately, an executed workflow.
CMIS
CMIS has rapidly emerged as the key standard impacting document management
implementations in 2009. It is a specification that allows content repositories to interoperate.
In theory, CMIS compliant Alfresco, FileNet, and Documentum can share documents,
allowing users in one of the systems to access (check-in and checkout) documents residing in
another systems repository. CMIS is not yet a standard, but is being fast tracked through the
OASIS validation system to ratify it as a standard formally. However, CMIS is already out
there in the market place and many vendors already have CMIS compliant options available;
we would strongly advise any buyer to request that the repository element be CMIS compliant.

DMA
Probably the most established of the document management standards, the DMA (Document
Management Alliance) supported a wide range of vendors, with the intent to provide a specific
software interface to document management systems; the goal is to promote inter-operability,
open access and content searching across repositories. Though sometimes referenced in RFPs,
it is inactive and of little substantive value to prospective buyers.
DMware
Continuing from DMA, DMware aimed to become a central coordinating point for APIs built
using criteria set down by DMA. It is also inactive and of little value to prospective buyers.
DoD 5015.2
Department of Defense regulation 5015.2 has become the must have standards certification
for any records management product of any value. However, it is a US military standard, and
though it demands comprehensive functionality in RM solutions, many vendors privately say
that it demands unwieldy, dated, and impractical functionality demands that have little use in
the real world. For buyers, the DoD 5015.2 certification indicates that it has met extensive
requirements and has all the functionality you might require, but it does not guarantee a good
product or a good fit for you. Due to the cost and the long wait to become certified, many
smaller vendors do not go through the certification process; nevertheless, their solutions work
well.
ECM3
ECM3 is not a standard; rather, it is a benchmarking maturity model for document
management. Launched in 2009 (in association with Real Story Group), this document is
available as a free download from www.ecm3.org and provides you with a free, open source
maturity model to benchmark your organization. Because is open source, you are free to adapt
it to your own particular environment. Biased as we may be (we did help write it), ECM3 has
in a short period become the most popular maturity model globally.
iECM
iECM is a standards term appearing frequently in procurement discussions and vendor
marketing. To be clear, it is not a standard and you cannot be compliant with it. If anyone
claims otherwise, escort them out the door. iECM is an initiative from AIIM (Association of
Imaging and Information Management) to bring some cohesion to the question of future ECM
standards. It will be some time before iECM delivers any real standards.
JSR 170 / JCR
JSR 170 sometimes known as Java Content Repository or JCR is a specification
developed under the Java Community Process (JCP) program. The expert group contains more
than 60 individual members representing major ECM vendors, as well as the Java technology
infrastructure players like Apache, IBM, Oracle, BEA, and Sun. The idea is to provide greater
code portability above the repository layer. Today, almost every content management
application ships with its own (often proprietary) content repository. This repository usually
extends a storage layer such as a relational database with the various service facilities almost

any modern content application requires. These repository services for example
versioning, driven by legal compliance are implemented differently by nearly every vendor,
each exposing different terminologies and programming interfaces. JSR 170 promises the Java
world (and possibly beyond) a unified API that enables accessing any compliant repository in
a vendor- or implementation-neutral fashion, leading to the kind of clean separation that
characterizes modern IT architectures. Some people call JSR 170 the JDBC of Content
Repositories.
The JSR 170 API defines how an application and a content repository interact with respect to a
number of content services. For example, the versioning facilities of a content repository are
clearly defined, so an application can browse the version history, check-in and checkout
content items, or update and merge content in a standard fashion.
There are different levels of JCR compliance and not all vendors who say they support the
standard fully support it at all levels. Nevertheless, there are long-term benefits here,
potentially in connection with swapping out applications and suppliers in the persistence tier,
without unduly upsetting the content applications youve built on top.
MoReq2
MoReq2 is a European equivalent of DoD 5015.2, developed by the European Union. It is also
a government-centric standard, and built upon the popular PRO certification developed by the
UK government. MoReq arguably is a more up-to-date and relevant standard than DoD
5015.2. MoReq bases its relevancy on a high degree of outside involvement in its development
from the RM community and a strong mix of enterprises, government bodies, vendors, and
RM specialists.
ODMA
Open Document Management API (ODMA) is, as it suggests, an API to support interoperability across document management applications. Sadly, this too is inactive, though some
work was completed around 2000, and ODMA compliant APIs have been deployed. Again, it
is of little value to prospective buyers of document management technology.
PAS 89:2008
PAS 89 is a draft standard developed by the British Standards Institute. It aims to provide a
functional framework for document management that will ultimately progress to ISO
(International Standards Organization) for approval. The document management framework
defines the core elements of a document management tool, along with an analysis of the key
component functions of each.
PAS 124:2008
PAS 124 is a British Standards Institute initiative, which provides guidance for defining,
implementing and managing website standards. Just like PSA 89 (above), it is likely to gain
ISO certification status.

Records Management Services Technical Specification
Another new specification that has yet to gain broad traction has emerged via NARA (National
Archives and Records Administration) and OMG (Object Management Group). The Records
Management Services Technical Specification provides a standard for the Federal US
Government, and like DoD 5015, this might have broader reach and value outside of
Government. This is a SOA (Services Oriented Architecture) specification that provides a
framework for defining and ultimately reusing Web Services throughout an enterprise to
provide full end-to-end record lifecycle management. Because RM technologies are often
limited in their reach to particular repositories or systems, this provides some common Web
Services that can be utilized wherever centralized RM functionality is needed, regardless of
location. It's a lofty but important goal, and RM is not a consideration in most SOA
architectures, but if it succeeds as a standard that could start to change.
WebDAV
WebDAV stands for Web-based Distributed Authoring and Versioning. It is a set of
extensions to the HTTP protocol that enables users to edit and manage files collaboratively on
remote webservers without overwriting each others work. WebDAV-compliant document
management products enables contributors (using similarly compliant desktop tools) to check
files in and out of server repositories directly from the desktop, avoiding proprietary plugins
and messy (and likely insecure and unsynchronized) file transfers. Most HTML editors, for
example, are WebDAV-compliant, or use Windows Explorer to drag files into a repository.
Additionally, WebDAV enables an associated XML-based metadata payload that ensures that
key attributes (like author, expiration, etc.) will be maintained and updated along the way.
WebDAV compliance can vary from one implementation to another, so test before you plunge;
the protocol can be extremely helpful, especially for image management (where the atomic
unit for web publishing purposes tends to be a discrete file).
WfMC
The Workflow Management Coalition API was once a very active specification, and most all
workflow-related vendors adhered to it, or came close. This API now is no longer a focus of
vendor interest, but the work of the WfMC has continued, and it remains very relevant as a
standards body for workflow technologies. Much of the current activity of the body is focused
on a standard called XPDL, an XML-based process definition language that is rapidly
becoming a de facto process definition standard. This is a standard that any buyer of processcentric document management should be aware of, and you should ask prospective vendors
whether they support it and if so, how they do so. (XPDL should be considered alongside
BPEL, below.)
XAM
XAM is an emerging specification that has yet to gain significant traction. Nevertheless, it is
an important one and will we believe take off in time, and you should be aware of it. XAM
(eXtensible Access Method) is a specification developed by SNIA (Storage Networking
Industry Association), and it provides a standardized method for storage systems (particularly
those focused on long term archiving) and archive related applications (such as RM or ECM
systems) to talk to one another. This ensures that at some level (if not all), content can move
between devices over the long term and that it remains readable and accessible by any XAM Copyright 2015 Real Story Group. All Rights Reserved.

compliant application. We strongly recommend that you enquire into support for XAM at the
RFP stage, but be aware that many vendors have not yet built APIs for this particular
specification.
Appendix B: Glossary
.NET
.NET is a Microsoft development and application framework that

emphasizes Web Services-based integration. It is the successor to
Microsofts COM model.
21CFR Part 11
The FDA guidelines for trustworthy electronic records, requires

companies to employ procedures and controls designed to ensure
the authenticity, integrity and when appropriate, the confidentiality of electronic records, and to ensure that the signer cannot readily repudiate the signed record as not genuine.
Adjacency
Searching
To find one word within a certain distance of another word, use w

(within) or p (preceding) followed by a number.
Adjacent result
A result that is comparable or analogous to a searched term; often

produced by Find more like this searches.
AIIM
Formerly the Association for Information and Image Management, now just AIIM. Originally formed to provide education,
professional development and standards for microfilm and electronic image processing, its scope has expanded to represent the
Records & Document management industry. It is an ANSI/ISO
accredited standards development organization.
AJAX
AJAX is short-hand for Asynchronous JavaScript + XML. In

practice, it represents a method of updating a web page without
doing a complete page refresh. This allows interface developers to
create client-server-like behavior in a web browser, with such features as auto-suggest form fields and drag and drop.
Ambiguity
Present in a search involving a word with many different meanings, or in a search for an object that can be described many different ways.
ANSI
American National Standards Institute. Private US Agency that

coordinates the development and maintenance of various industry
standards.
Apache
A popular web server that is freely available under an open source

license. The current version runs on most UNIX-based operating
systems, as well as on Windows. It is estimated that more than 60
percent of all websites run on Apache servers.
Apache debuted in 1995, and development of the server continues,
primarily among a set of volunteer programmers known as the
Apache Group. However, the source code can be modified or
adapted by anyone.
API
Application Program Interface the specific method prescribed

by a program by which a programmer can make requests of it.
Application Server
A server program that houses the business logic for an application.

Application servers, or appservers execute the operations necessary to complete transactions and other interactions between end
users and a businesss back-end databases and applications.
Application servers provide functionality such as load balancing,
database access classes, transaction processing, and messaging.
For tiered applications, best practice calls for separating out this
application processing from the actual dishing-up of web pages,
which is done by a webserver operating in front of the app server.
Application Servers are typically synonymous with J2EE (Java)
engines, such as Oracle WebLogic, IBM WebSphere, Oracle AS,
and SunONE. However, other interactive platforms, such as ColdFusion and PHP, can be seen as lightweight application servers as
well.
Application servers, therefore, are key delivery engines in the document management space. Some document management products
embed their own application server, while others take advantage
of third-party appservers.
Approximate Pattern
Matching
Process whereby an algorithm determines the similarity between

items and expresses it as a percentage.
Aproged
A French-based document management professional body, representing the GEIDS (Gestation Electronique dInformations et de
Documents pour LEnterprise) sector. Similar in structure to
AIIM.
Archive
An archive is a collection of computer files that have been packaged together for backup, to transport to some other location, for
saving away from the computer so that more hard disk storage can
be made available, or for some other purpose. An archive can
include a simple list of files or files organized under a directory or
catalog structure (depending on how a particular program supports
archiving).
ARMA
The Association of Records Managers and Administrators
Asset Management
(AM)
The purpose of Asset Management (AM) is to enable companies

whose life blood revolves around their media assets such as
entertainment companies to organize and repurpose those
assets to streamline costs and enhance revenues. Also known as
Digital Asset Management, DAM systems are especially suited to
managing multimedia content, and tend to offer hooks into specialized desktop media authoring systems.
ATOM
A (newer) alternative syndication format to RSS (see RSS on

page 368).
Autocategorization
An automated process for creating a classification system (or taxonomy) from a collection of nominally related documents.
Autoclassification
An automated process for assigning metadata or index values to

documents, usually in conjunction with an existing taxonomy.
Automatic Indexing
An entirely automated process of converting information into a

searchable profile; performed by a program and without human
participation.
Baking
Baking is a colloquial term for pregenerating an HTML page

out of components before it is actually deployed to a webserver.
Typically this pre-publishing happens at approval time, although it
can take place at deployment time as well. Static HTML files can
bring numerous benefits (especially around performance), but
page assembly is not informed by any run-time user input. Contrast with Frying on page 359.
Bayesian Inference
or Bayesian
Statistics
Probability technique based on the work of Thomas Bayes and

used to determine the relevancy of a given document against a
particular query.
Binding
In the context of Web Content Management, this is the process of

assembling web content by inserting content into an HTML template. This could mean generating a snippet of HTML for an element, or assembling an entire web page by binding multiple
elements as part of a holistic layout.
Boolean Operators
Widely used in forming more specific search queries. Examples

include and, or, and not, e.g., John and Smith.
Boolean Search
A search query using Boolean operators.
Boosting
The changing of a parameter of a search to ensure that a certain

object or objects appear in the results. See Keyword Targeting
on page 361.
Caching/Cache
Caching refers to the process of temporarily storing files in a

repository for quick access. When a file, such as a web page, is
stored on a cache, it can be accessed without returning to the original server, thus reducing server load and response time. A cache
can exist in a section of a computers main memory or as an independent high-speed storage device. Large organizations or institutions use large caches to distribute and update data that is
frequently accessed by users. Caching is important for ensuring
adequate response times in document management products
because serving custom pages on the fly can be extremely process-intensive, even on low-traffic sites.
Case-Based
Reasoning
Technology that allows a system to learn by gathering past

instances into a case base that it can use to solve future problems.
Categorization
Organizing documents, and other content into logical groupings,

based on their contents.
Certifications
The issue of a formal statement confirming the results of an evaluation, and that the evaluation criteria used were correctly applied.
Circulation
Management
Providing an audit trail and management process for the charging

out and return of analog records. Also applies to access procedures
of electronic records.
Classification
Classification is a method of assigning retention/disposition rules

to records. Similar to the Declare function, this can be a completely manual process or process-driven, depending on the particular implementation. As a minimum, the user can be presented
with a list of allowable file codes from a drop-down list (manual
classification). Ideally, the desktop process/application can automate classification by triggering a file code selection from a property or characteristic of the process/application.
Clustering
A process employed to generate groupings of related words by

identifying patterns in a document index.
COLD
Computer Output to Laser Disk term often used interchangeably with ERM.
ColdFusion
A set of web development products developed by Allaire (now

owned by Adobe) that allows for integration between databases
and web pages. Using ColdFusion, a developer can combine a
content database with a set of templates to create a site that builds
and serves pages on-the-fly. The suite of products is composed
of two pieces: ColdFusion Studio the development interface;
and the ColdFusion server, which deploys pages to the user. ColdFusion uses its own markup language: CFML. Adobe is in the
process of converting this to a Java-based tag library.
Collection
A group of objects methodically sorted and placed into a category.
Compound
Document
A document that may contain components from other documents

and information sources.
Controlled
Vocabularies
An organized list of words, phrases, or some other set employed to

identify and retrieve documents. A collection of preferred terms
that are used to assist in more precise retrieval of content. Controlled vocabulary terms can be used for populating attribute values during indexing, building labeling systems, and creating style
guides and database schema. One type of a controlled vocabulary
is a thesaurus.
Corpus
A complete collection of objects.
Crawler
Program used to index documents. See Spider on page 369.
DAM
Digital Asset Management
Database Schema
The overall structure of the database tables that store information:

user profile data, content metadata, or pure structured information.
In the simplest case, a database schema has a single database table
of user information. Each record (row) within this table might represent a unique customer, with each field (column) representing
relevant customer information (address, city, phone number, etc.).
More complex schema would involve multiple database tables
related to one another through a common unique identifier. Such
relational database tables are necessary for more complex data
schemas for performance and easier administration.
DB2
IBM relational database management system
DCMI
Dublin Core Metadata Initiative is an organization that has a

mission to promote the adoption of interoperable metadata standards and developing specialized metadata vocabularies for
describing resources that enable more intelligent information discovery systems. A core set of agreed-upon metadata fields is
known as the Dublin Core.
Declare
Designate that a particular document is a corporate record.
Decoupled
In a web content management context, it means a complete separation between the content production and content delivery tiers.
CMS tools with decoupled architectures are typically deliveryagnostic. That is, they do not provide delivery, or visitor-facing,
capabilities, but instead integrate with webservers or application
servers in the delivery tier.
Description
In a document, a brief statement that effectively summarizes the

meaning of a document, often employed to annotate search
results. See Key Sentence on page 361.
Disposition
Refers to what is done with records when a record is no longer

needed for current business. Disposition possibilities include
transferring records, destroying temporary records at an approved
time, or transferring records of continuing value to Archives when
they have been deemed worthy of preservation.
DLL
Dynamic Link Library. A file containing a collection of Windows

functions designed to perform a specific class of operations.
Document
A written paper, recording, photograph, computer file, or other

item that bears the original, official, or legal form of something
and can be used to furnish evidence or information.
Document
Management
Software that controls and organizes documents throughout an

enterprise. Incorporates document and content capture, workflow,
document repositories, COLD/ERM and output systems, and
information retrieval systems.
Document
Repository
Site where source documents or other content objects are stored,

generally a folder or folders. See Information Source on
page 360.
DoD 5015.2
United States Department of Defense (DoD), Design Criteria

Standard for Electronic Records Management Software Applications.
ECM
Enterprise Content Management. A generic industry term for software products that manage unstructured data, for example documents, images, files, and web content.
EDM (EDMS)
Electronic Document Management (System). A traditional and

still commonly used term used to describe Enterprise Content
Management (though usually those with a focus on Imaging, Document Management, and Workflow).
Email Quarantine
A specific mailbox that is set up that stores and isolates email

messages.
Encryption Keys
A key is one of the basic elements in encryption, and is used in

conjunction with an algorithm to determine how the communication is encrypted. Algorithms provide a framework for the encryption define a process and its range of possible outcomes but
the key determines which of these possibilities is the actual result
on a particular occasion. For two encryptors to communicate successfully, the same key must be used for both encryption and
decryption.
ERM
Electronic Reports Management. A technology that ingests print

stream data, stores and indexes this information, then makes it
available in report form on demand to end users.
Exact Match
Two or more words considered mutually inclusive in a search,

often by enclosing them in quotation marks, e.g., United
Nations.
Fallout
Quantity representing the percentage of irrelevant hits retrieved in

a search.
Federated Records
Management
Allows organizations to enforce records retention rules across

multiple disparate repositories.
Field Query
Search allowing the user to associate an indexed parameter along

with words, providing a more limited result.
File Plans
A common classification scheme for the entire organization. The

file plan is typically a hierarchical set of subjects or business
activities. Each node or subject file is annotated with a unique
code called a file code. A given file code thus refers to a specific
subject file within the file plan. Each subject file has an official
retention rule (when/why/how to delete) assigned to it. Each
record must be assigned a file code that matches the appropriate
subject file with in the file plan. This way, documents of like subject are all assigned the appropriate retention rule.
Filter
Function that sets specific criteria for search results.
Folksonomy
A folksonomy is a user-generated set of tags or categories; essentially, the social-software trends answer to the taxonomy. Folksonomic tagging is intended to make a body of content easier to
search, discover, and navigate over time. Folksonomy functionality is not inherent to most ECM Suites; folksonomies tend to arise
in web-based communities where special provisions are made on
the website for users to create and use tags.
Forms Management
The management and creation of digital/electronic forms.
Free Text Query
Search enabling a user to input words in any form, without following any query language criteria.
Frying
Frying is a colloquial term for generating a page dynamically

from a repository at run-time when a user clicks on a link. Many
CMS packages that deliver content are fundamentally frying
systems. Contrast Baking on page 354.
Fuzzy Search
A search allowing a degree of flexibility for generating hits, i.e.,

matches that are phonetically or typographically similar.
Guided Search
Search in which the system prompts the user for information that
will refine the search results.
Hit
A search result matching given criteria.
Hold Management
The ability to respond to a legal action. Once an organization is

notified of a legal action, all records that may relate to that action
are placed on legal hold. They may not be destroyed and their profile information may not be modified. They must then be prevented from destruction until the hold is lifted. The ability to hold
records may also be applied to audit situations when required.
ICE
Information and Content Exchange. An XML-based protocol that

provides a common language and architecture for automatic
exchanging, updating, supplying, and controlling of assets
between partners and affiliates. ICE facilitates content syndication, and is designed for use in traditional publishing and business-to-business relationships. ICE identifies the roles and
responsibilities of syndicators and subscribers, defines the format
and method of content exchange, and outlines parameters for syndication relationships. The ICE Authoring Group supports its
development as an open standard.
ICR
Intelligent Character Recognition. A form of OCR that includes

the electronic intelligence to place captured document characters
into a relevant context.
IDCM
Integrative Document and Content Management. Another term for

document management generally much less used, but common in
some parts of the World.
Index
List containing data and/or metadata indicating the identity and

location of a given file or document.
Index File
A file that stores data in a format capable of being retrieved by a

search engine.
Indexer (automatic)
Program that collects data on a given set of files or documents and

provides results for a user search.
Indexer (human)
Person who assigns metadata to a given set of files or documents

and makes results available for a user search.
Indexing
The process of creating an index for a database or search engine.

Identification of specific attributes of a document or database
record to facilitate retrieval. A database index associates specific
keys or keywords with a unique record. Indexing facilitates the
process of locating specific records within a database. Whether
and how (and how often) a database, text, or XML repository is
indexed can play a significant role in the quality of search results.
Information Gain
System capable of narrowing search results or grouping search

results into sets.
Information Source
Location of indexed documents. See Document Repository on

page 357.
Inverse Document
Frequency (IDF)
Measure of the rarity of a given term in a file or document

collection.
Inverted File
A list of the words contained within a set of documents, and in

which document each word is present.
Inverted Index
Index whose entries identify a given word and the documents in

which it appears.
ISO
ISO, founded in 1947, is a worldwide federation of national standards bodies from some 100 countries, one from each country.
Among the standards it fosters is Open Systems Interconnection
(OSI), a universal reference model for communication protocols.
Many countries have national standards organizations such as the
American National Standards Institute (ANSI) that participate in
and contribute to ISO standards making.
ISO 15489
Defines what a records management program should look like and

provides best practice for how to develop and maintain a records
management program.
ISO 2788
ISO guidelines for the establishment and development of monolingual thesauri.
ISO 5964
ISO guidelines for the establishment and development of multilingual thesauri.
Iterative Calculation
A calculation utilizing a recursive and self-referential algorithm.
Java / J2EE
An object-oriented programming language developed by Sun

Microsystems. Java programs are portable across a network, and
can be built to run on either the server, browser, or special client.
Java is written in bytecode, a type of source code that must be processed by a Java virtual machine. The virtual machine interprets
the bytecode into code that will run within the constraints of a specific computers hardware system.
Therefore, as long as a platform is equipped with a Java virtual
machine (as are most of todays servers), Java applications will
run on any operating system. Because of its portability, Java has
made substantial inroads into Enterprise computing, and, not surprisingly, commercial document management vendors have been
leveraging it both to expand their own capabilities across multiple
platforms as well as integrate with other Java-based systems.
The pre-eminent Java standard is J2EE, which prescribes a
range of functions, but most notably for our purposes, lays out a
set of web publishing and application tiers ranging from Java
Server Pages JSP (for presentation and basic interactivity) to
Servlets to Java Beans, where corporate business logic is stored.
JavaScript
A relatively simple scripting language that can integrate with

HTML code and add interactivity to a web page. It is frequently
used for functions that execute in the browser, such as mouseover
effects, calling pop-up windows and alert boxes, and basic mathematical calculations.
Developed by Netscape, JavaScript is an open language supported
by most current browsers. While it has some structural and conceptual similarities to the Java programming language, JavaScript
was developed independently. Generally speaking, JavaScript
lacks Javas portability and speed.
JITC
Joint Interoperability Test Command
Key Sentence
A brief statement which effectively summarizes a document, often

employed to annotate search results. See Description on
page 357.
Keyword
Word used in a query to search for documents.
Keyword Search
Search which compares an inputted word against an index and

returns matching results.
Keyword Targeting
Process which helps to ensure the inclusion of given websites in a

search for a specific object. See Boosting on page 354.
Knowledge
Extraction
The procurement of metadata from a given set of objects. See

Autoclassification on page 354.
LDAP (Lightweight
Directory Access
Protocol)
LDAP is a protocol for accessing online directory services that

runs directly over TCP, and is used by nearly all X.500 directory
clients that are in widespread use. LDAP directory service is based
on a client-server model. One or more LDAP servers contain the
data making up the LDAP directory tree. An LDAP client connects to an LDAP server and asks it a question. The server
responds with the answer, or with a pointer to where the client can
get more information (typically, another LDAP server). No matter
which LDAP server a client connects to, it sees the same view of
the directory; a name presented to one LDAP server references the
same entry it would at another LDAP server. This is an important
feature of a global directory service, like LDAP.
Lemmatization
Process that identifies the root form of a word contained within a

given document (e.g., run from running). See Stemming on
page 369.
Lexical Analysis or
Tokenizing
Analysis that reduces a text to a set of discrete words, sentences

and paragraphs.
Linguistic Indexing
The classification of a set of words into grammatical classes, such

as noun or verb.
Localization
Localization refers to the process of adapting a software product or

service for different languages, countries, or cultures. In addition
language considerations, such as support for foreign character
sets, localization may require adaptations for currency, time zone,
national holidays, cultural assumptions and sensitivities, dialect,
color scheme, and general design conventions.
Meta Search Engine
A class of search engine that generally retrieves information to

user queries by utilizing other search engines.
Meta Tag
An HTML command located within the header of a website that

displays additional or referential data not present on the page
itself.
Metadata
A definition or description of data, often described as data about

data. For example, the data of a newspaper story is the headline
and the story, whereas the metadata describes who wrote it, when
and where it was published, and what section of the newspaper it
appears in. Metadata can help us determine who content is for and
where, how, and when it should appear. For documents online,
important metadata elements include its author, title, date of publication, and subject area.
Microfilm
Typically refers to fine-grain, high-resolution film used to record

images reduced in size from the original.
MoReq
Model Requirements for the Management of Electronic Records.

A generic functional specification for systems designed to manage
electronic records.
NARA
National Archives and Records Administration
NASD
National Association of Securities Dealers
Natural Language
A natural language search allows the user to type words in the

same way that a person normally speaks them.
Natural Language
Processing
Process that identifies content by attempting to adhere to the rules

of a given language.
Natural Language
Query
A search input entered using conventional language, e.g., a sentence.
Navigational Search
A search whose results are based on the use of a topical directory.
n-tier
N-tier application architecture provides a model for developers to

create a flexible and reusable application. By breaking up an
application into tiers, developers only have to modify or add a
specific layer, rather than have to rewrite the entire application
over, if they decide to change technologies or scale up. In the term
N-tier, N implies any number like two-tier, or four-tier;
basically, any number of distinct tiers used in an architecture.
Object-oriented (OO)
database
A database that classifies information as objects; that is, structures that include both data and the functions that can be performed on that data. An object-oriented system organizes the
classes of objects, the inheritance of class properties, and methods
by subclasses and their objects.
OCR
Optical Character Recognition. Technology that recognizes alphanumeric characters in fixed form (for example on a scanned paper
document), captures and digitizes them.
ODMA
Open Document Management API. An open industry standard

that enables desktop applications to interface with a document
management system (DMS). ODMA simplifies cross-platform
and cross-application file communication by standardizing access
to document management through an API. ODMA allows multiple applications to access the same DMS without the need for a
hard-coded link between the application and the DMS.
Official Records
A record that is legally recognized and has the judicially enforceable quality so that it can establish the information on it as fact. In
many cases, it can be the original document.
Ontology
Study of objects that are known to exist or potentially exist in a

certain area.
Open Source
Open source is a term applied to certain packages and tools, like

Linux and Perl, that are distributed free of charge under a license
that guarantees the right to read, redistribute, modify, and use the
software (source code and all) freely. At a time when many commercial document management vendors rightly or wrongly
suffer from poor reputations for technical support and version
incompatibility, the appeal of plugging into a vast 24/7 network of
global supporters that can be found behind major open source
projects is a strong one. The main drawback of most open source
projects is that they are sometimes feature-poor relative to their
commercial counterparts, and depending on the type of open
source license, you may be required to submit any innovations
you develop back into the global community. Of course, thats the
whole point behind it in the first place
Out of the Tarball
A colloquial expression used in the open source community to

approximate the phrase, out-of-the-box. A tarball is typically
the file format for the open source software that you download and
then unpack. As a practical matter, most commercial document
management software today is also shipped in a tarball as well.
Parametric Search
A search that adheres to predefined attributes present within a

given data source.
Parbaking
Parbaking is a colloquial term for pregenerating parts of an

HTML page or website in advance of deploying it from a content
development environment to a delivery environment. Contrast
with Baking on page 354 and Frying on page 359.
Pattern Matching
Pattern matching recognizes naturally occurring patterns (word

usage, frequency of use, etc.) within a document.
PDF/A
A joint activity between NPES (The Association for Suppliers of

Printing, Publishing and Converting Technologies), and AIIM
International to develop an International standard that defines the
use of the Portable Document Format (PDF) for archiving and
preserving documents.
Perl
Practical Extraction and Report Language. A script programming

language designed specifically for processing text. Developed by
Larry Wall and introduced in 1987, Perl combines syntax from
several UNIX utilities and languages. It is often used to write
common gateway interface (CGI) programs one method
through which developers can provide dynamic interaction
between users and websites. Perl is a popular choice for programming server-side tasks such as automatically updating user
accounts and newsgroup postings, processing removal requests,
synchronizing databases, and generating reports. Its text-processing prowess makes it a frequent choice for building a homegrown
CMS.
PHP
An open source script language that was designed specifically to

generate dynamic web pages. PHP script is embedded within the
HTML of a web document. When a user requests the document,
the PHP script runs on the server-side, and performs any programs
and operations specified in the script. A dynamically generated
HTML page is then delivered to the user. PHP runs as an optional
module within the Apache webserver. It is an open source alternative to Microsofts Active Server Pages (ASP), Suns Java Server
Pages (JSP), and the like. Originally developed in 1994, the first
version of the program was known as Personal Home Page
Tools.
Phrase Extraction
The procurement of linguistic concepts, generally phrases, from a

given document.
Precision
The quantification of the number of correct documents returned in

a given search.
Probabilistic Method
Method that utilizes user-supplied information to determine the

probability that a given word appears in a document.
Proximity
A search within a field or within a specified context unit where the

proximity of words to one another has significance. Context can
be sentences, paragraphs, or user-defined units.
Proximity Searching
Search whose results are returned based on the proximity of given

words.
Python
A script programming language noted for its portability and clear

syntax. It is an object-oriented language that incorporates modules, exceptions, dynamic typing, very high level dynamic data
types, and classes. Extensions to Python can be written in the C or
C ++ programming languages. It is available under an open source
license.
Query by Example
Search in which a previously returned result is used to obtain similar results.
Query Performance
A measure of performance based on the speed a system can

receive a query and return results.
Ranking
Value assigned to a specific result returned for a query. The first

item listed has a ranking of 1, the second has a ranking of 2, etc.
RDBMS
Relational Database Management System. A collection of programs that allows you to create, store, modify, and administer a
relational database. An RDBMS stores data in related tables, and
information can be extracted from the database through structured
query language (SQL) statements. Because the data in a relational
system is spread across tables, rather than housed in a flat file, the
same database can be viewed in many different ways. Almost all
complex databases today use an RDBMS, including most business
databases.
RDIMS
A Canadian Federal Government shared system initiative addressing information management problems. A set of tightly integrated
commercial-off-the-shelf software products make up the RDIMS
solution. RDIMS integrates records management, document management, imaging, optical character recognition, full-text indexing
search and retrieval, workflow, an online document viewer, and
reporting capabilities.
Recall
A percentage representing the relationship between correct results

generated by a query and the total number of correct results within
an index.
Records
Any documentary material, regardless of physical form or characteristic, made or received by an organization in pursuance of law
or in connection with the transaction of business and used by that
organization or its successor as evidence of activities or because
of informational value.
Records
Management
A professional discipline that is primarily concerned with the

management of document-based information systems. The application of systematic and scientific controls to recorded information required in the operation of an organizations business. The
systematic control of all organizational records during the various
stages of their lifecycle: from their creation or receipt, through
their processing, distribution, maintenance and use, to their ultimate disposition. The purpose of records management is to promote economies and efficiencies in record keeping, to assure that
useless records are systematically destroyed while valuable information is protected and maintained in a manner that facilitates its
access and use.
Records Retention
Policy
A plan for the management of records listing types of records and

how long they should be kept; the purpose is to provide continuing
authority to dispose of or transfer records.
Recursive
Calculations
A calculation in which a process is referenced within itself.
Redacted
To edit or prepare for publishing; redacted is often used to

describe documents from which sensitive information has been
expunged.
Relevance
A subjectively assigned significance of an object in a given circumstance. A relevance search returns articles on a topic in order
from the most useful to the least useful according to the computer
softwares rules for ranking.
Relevance Ranking
See Ranking on page 366.
Repository
Part of a Document or Content Management System; specific

functionality to control the check-in/out of material, version control, and look-up against defined attributes.
REST
Representational State Transfer. Software architecture for distributed Internet systems. Specifically, it is an alternative to Web Services and SOAP for integrating services and repositories without
requiring messaging or cookies.
Retention Period
The period of time during which records must be retained in a certain location or form. A retention period may be stated in terms of
months or years, and is sometimes expressed as contingent upon
the occurrence of an event.
Retention Schedules
Records retention schedules are lists and descriptions of public

records. They include information about how long each type of
records should be kept (retention period) and what should happen
to it at the end of that period (disposition).
RFID
Radio Frequency Identification. A technology that incorporates

the use of electromagnetic or electrostatic coupling in the radio
frequency portion of the electromagnetic spectrum to uniquely
identify an object, animal, or person. RFID is coming into increasing use in industry as an alternative to the barcode. The advantage
of RFID is that it does not require direct contact or line-of-sight
scanning.
RIA
Rich Internet Application. A term for web applications that have

the functionality and features of traditional desktop applications.
Typically, the applications transfer necessary functions to the client (in this case, the web browser), which enables the avoidance of
a page having to refresh every time a new piece of information is
needed. While RIAs run in a web browser, they dont usually
require software installation.
RM
Records Management
RSS
Short for really simple syndication, RSS is a very straightforward XML model for syndicating headlines and descriptions to
other websites or RSS readers.
Sarbanes-Oxley
The Sarbanes-Oxley Act of 2002 includes provisions addressing

audits, financial reporting and disclosure, conflicts of interest, and
corporate governance at public companies. The Act also establishes new supervisory mechanisms, including the new Public
Company Accounting Oversight Board, for accountants and
accounting firms that conduct external audits of public companies.
The Act provides tough new tools to expose and punish acts of
corporate corruption, promote greater accountability by financial
auditors, and protect small investors and pension holders.
SDK
Software Development Kit. A set of programs used by a computer

programmer to write application programs. The SDK typically
includes a visual screen builder, a compiler for the code, an editor,
a linker, and other utilities.
Search Results
The documents or data that are returned from a search.
Search Terms
The terms used within a search field.
Section 508
(Disability)
Section 508 is a part of the Rehabilitation Act of 1973, which

requires that electronic and information technology developed,
procured, maintained, or used by the Federal government be
accessible to people with disabilities.
Semantic Analysis
An analysis based upon grammatical or syntactical constraints that

attempts to decipher information contained in a document.
SGML
Standard Generalized Markup Language. An international standard for specifying the markup language of an electronic document. An example of metadata, SGML is a metalanguage that is
included in a files document type definition. It specifies the rules
for the tagging elements of a markup language, which in turn
determines the formatting of the text. SGML was the precursor to
both HTML and XML. Used mostly in technical and reference
publishing, SGML was highly powerful, but considered too
arcane and clumsy for the web. Nevertheless, it remains in broad
use today.
SOA
Service Oriented Architecture. A collection of services that connect with each other to perform a function or activity. This provides more independence of the human interface portion of an
application from the actual data processing activity itself.
SOAP
Simple Object Access Protocol. The predominant standard protocol in the Web Services family. It is an XML construct that allows
applications to be invoked remotely and deliver information back
to the calling service.
Soundex Search
A search in which the user receives results that are phonetically

similar to their query.
Spider
An automated process that provides documents to a data

extraction or parsing engine. See Crawler on page 356.
Statistical Indexing
Probabilistic methods relying on mathematics, not linguistics.

See Bayesian Inference or Bayesian Statistics on page 354.
Stemming
Process that identifies the root form of words contained within a

given document (e.g., run from running). See Lemmatization on
page 362.
Structured Data
Data that can be represented according to specific descriptive

parameters, e.g., rows and columns in a relational database, or
hierarchical nodes in an XML document or fragment.
Summarization
The process of reducing the size and complexity of an index while

still effectively containing the meaning of the documents referenced within the index.
Syntactic Analysis
Analysis capable of associating a word with its respective part of

speech by determining its context in a given statement.
Taxonomy
In science, taxonomy allows people to precisely identify any

organism by its kingdom, phylum, class, order, family, genus, and
species. Taxonomy, as it relates to content management, does the
same job. It describes a classification structure for content. This
structure, typically highly regimented, affects the data model,
directory structure, and file naming conventions for a given implementation of a content management system. In more complex scenarios, taxonomies are often multi-faceted, meaning multiple
hierarchies or categorization trees may be used to classify content.
This allows users to find content via more than one path or hierarchy (as an example, one might find information about red rock
crabs via a biology facet under animals / invertebrates / crustaceans, while another might find one via a geography facet under
world / land / Australasia). Taxonomy can also be language-oriented, as in specifications for subsets of XML, such as ebXML.
TCL
Tool Command Language. A high-level, interpreted script programming language often used for prototyping applications. An
open source language, TCL is extensible, and was designed so that
custom commands could be written in the C language, and integrated easily. TCL has a companion program, Tool Kit (Tk), for
building graphical user interfaces. TCL is now maintained by Sun
Microsystems, but used in several commercial and open source
packages.
Term Frequency
Quantity representing how often a term appears in a document.
Thesaurus
A collection of words in a cross-reference system that refers to

multiple taxonomies and provides a kind of meta-classification,
thereby facilitating document retrieval.
Thick Client
A thick client is installed into the client side. It is still connected to

the server, but most of the processing is done on client side. With
thick client, there wont be much processing via the network. In a
way, it will be a much faster option if your network is slow or congested.
Thin Client
A thin client is a web-based application, where most of the processing is done on the server side.
TREC
Text Retrieval Conference. A conference held by the National

Institute of Standards and Technology in which participants search
a collection of documents and present results on various search
metrics.
Truncation
The removal from a word of either a prefix of suffix.
UK Pro
United Kingdom Public Records Office
UNICODE
Unicode is an entirely new idea in setting up binary codes for text

or script characters. Officially called the Unicode Worldwide
Character Standard, it is a system for the interchange, processing,
and display of the written texts of the diverse languages of the
modern world.
Unstructured
Information
Information that is without document or data structure (i.e., cannot

be effectively decomposed into constituent elements or chunks for
atomic storage and management).
UTF-8
Unicode Transformation Format, 8-bit encoding form. UTF-8 is

the Unicode Transformation Format that serializes a Unicode scalar value (code point) as a sequence of one to four bytes.
VERS
Victorian Electronic Records Strategy. An Australian-developed

framework of standards, guidance, training, consultancy and
implementation projects, which is centered around the goal of reliably and authentically archiving electronic records.
Visual Basic (VB)
A programming environment developed by Microsoft that provides a graphical interface for writing code in the BASIC (Beginners All-Purpose Symbolic Instruction Code) language. VB
allows programmers to select and modify bits of existing BASIC
code, and assemble them into custom applications and programs.
VB is particularly suited to rapid application development, and
therefore is often used for prototyping applications that might subsequently be developed in a more powerful language like C or
Java. VBScript is a subset of the language that is frequently used
to apply dynamic logic within Active Server Pages.
Vital Records
Records that contain unique or irreplaceable information and

require special protection, such as articles of incorporation, annual
reports and shareholder records
WAN
Wide Area Network. A geographically dispersed computer network that spans a broader area than does a local area network
(LAN).
WCM
Web Content Management.
Web Services
Web Services (sometimes called application services) are services

(usually including some combination of programming and data,
but possibly including human resources as well) that are made
available from a businesss webserver for web users or other webconnected programs.
WebDAV
Web-based Distributed Authoring and Versioning. A set of extensions to the HTTP protocol developed by the Internet Engineering
Task Force (IETF) which allows users to collaboratively edit and
manage files on remote webservers. (From www.webdav.org) As
a practical matter, in a document management system it can allow
authors to place and retrieve remote files in/from a WebDAV-compatible repository using Windows Explorer or WebDAV-compatible desktop tool.
Weight
A value applied to a given area of a search system, e.g., term

weighting, which represents its importance with respect to other
factors.
WfMC
Workflow Management Coalition.
Wildcard
A special character that represents one or more other characters.

The most commonly used wildcard characters are the asterisk (*),
which typically represents zero or more characters in a string of
characters, and the question mark (?), which typically represents
any one character.
Wire Frames
A rough outline of page elements and their arrangement within the

page. An important deliverable in any template or site redesign,
wire frames show the logical elements on the page, as opposed to
the visual elements of a page.
WML
Wireless Markup Language. The markup language used to format

text and data for wireless application protocol (WAP) devices,
including cell phones, personal digital assistants (PDAs), and
other wireless devices. WML is an extensible markup language
(XML) application.
Word Exclusion and

Stop Lists
A list containing words that will not be indexed, usually words

that are excessively common (e.g., a, an, the).
Word Proximity
Analysis
An analysis that measures the distance between searched words in

a document.
Workflow
Automation of business processes, in whole or in part, where documents, information, or tasks are passed from one participant to
another for action, according to a set of rules. A business process
is a logically related set of workflows, worksteps, and tasks that
provides a product or service to customers. BPM is a mix of Process Management/Workflow with Application Integration technology.
XML
eXtensible Markup Language. An established standard, based on

the Standard Generalized Markup Language, designed to facilitate
document construction from standard data items. Also used as a
generic data exchange mechanism.
Since XML describes the underlying information and its structure,
content can be separated from look and feel. This overcomes a
severe limitation of HTML, which merely describes content presentation for a particular set of HTML-compliant applications
(like web browsers).
Vendor Index
Vendor Index
A
Accellion
Compare to, 287, 289, 298, 307, 313, 318
Main evaluation, 293297
M-Files
Compare to, 225, 230
Alfresco, 82, 83
Compare to, 77, 80, 105, 175, 210, 225, 226,
Microsoft, 82, 83
Compare to, 77, 84, 226, 261, 273
230, 261, 273
B
Box
Compare to, 80, 175, 226, 261, 273, 287, 289,
293, 307, 313, 318
C
Citrix
Compare to, 287, 289, 293, 298, 313, 318
E
EMC Documentum
Compare to, 77, 80, 84, 140, 175, 210, 225, 245,
287, 289, 293, 298, 307, 318

EMC Syncplicity
EverSuite
O
OpenText
Compare to, 77, 80, 126, 155, 289, 313
Oracle, 82, 83, 347
Compare to, 77, 80, 105, 140, 155, 225, 245
Oxygen
Compare to, 287, 289, 293, 298, 307, 313
S
SpringCM, 228, 229
Compare to, 80, 155, 226, 261
H
HP
Nuxeo, 83
Compare to, 77, 84, 225, 230
Workshare
Compare to, 287, 289, 293, 298, 307, 318
Hyland
Compare to, 77, 140, 225, 230
I
IBM, 36, 82, 83, 347
Compare to, 77, 80, 84, 105, 155, 210, 225, 245

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Enterprise Content Management

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Background and Acknowledgments

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ECM & Cloud File Sharing i

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Your Feedback and Questions

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ECM & Cloud File Sharing ii

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ECM & Cloud File Sharing iii

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ECM & Cloud File Sharing iv

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Part 1 How to Use this Report

Part 1 How to Use this Report

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ECM & Cloud File Sharing 1

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Part 1 How to Use this Report

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ECM & Cloud File Sharing 2

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Part 2 The Business Case for ECM & Cloud File

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ECM & Cloud File Sharing 3

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ECM & Cloud File Sharing 4

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ECM & Cloud File Sharing 5

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Calculate the value of an

For any company certain

Rolling out a traditional, directmarketing campaign. Marginal

Firewalls. You must connect

Use when there are clear causeand-effect outcomes and

Use when key arguments

Greater sales, broader offerings,

Better internal collaboration,

Strategic, visionary, intuitive

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ECM & Cloud File Sharing 6

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ECM & Cloud File Sharing 7

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Building a Business Case

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ECM & Cloud File Sharing 8

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ECM & Cloud File Sharing 9

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Part 3 Business Scenarios for ECM & Cloud File Sharing

Part 3 Business Scenarios for ECM & Cloud File

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Part 3 Business Scenarios for ECM & Cloud File Sharing

Typical Business Scenarios