Welcome!

SOA & WOA Authors: Sanjeev Sharma, Phil Whelan, Jason Bloomberg, Lori MacVittie, Derek Abing

Related Topics: .NET, XML, SOA & WOA, Silverlight, Open Web, SDN Journal

.NET: Article

SharePoint Gone Wild: When Governance Lacks Compliance

Part four of the SharePoint Gone Wild series

If you've missed any previous part of this blog series, you can read them here.

When people think of "compliance" from a Microsoft SharePoint perspective, it can mean a lot of things to a lot of different people. Every organization will have different considerations for compliance: Essentially, which regulations they need to comply with according to their specific industry vertical, including HIPAA/HITECH, DOD 5015, Section 508 and WCAG 1.0 and 2.0.

There are two main drivers for compliance I see in organizations for SharePoint, due to the risk of non-compliance and subsequent legal and financial penalties:

  1. Records Management
  2. Legal e-Discovery

In my post last week on governance and discoverability, I focused on the typical stories I hear around people not being able to find content they need. Compliance takes this a step further, because legal teams and records managers require that the content be available for years to come.

Being in Manhattan, I work with a lot of large financial organizations and one of the most important requirements involves tracking "Regulated Users" activity in SharePoint. These users - based on the sensitivity of their work - are required by law to be tracked for all activity within SharePoint. At any point in time, a court of law can request the organization provide evidence of what content that user has accessed, created, or modified in SharePoint. In the industry this process is called the e-discovery process, and it is essential that the business expectations are set of:

  1. How you obtain information for the courts.
  2. What information you will be able to provide.
  3. An estimated time of delivery for the promised information.

The out-of-the-box auditing features in SharePoint 2010 have some key limitations in this space, specifically regarding the storage of this data over a prolonged period of time (most acts seem to be approximately seven years) as well as the ease of producing a report of an individual user's activity and attached content. The most common format followed by customers with whom I work is Concordance, which is supported by LexisNexis. But more importantly, from a content perspective, the attached content should be exactly what the user viewed, modified, or created at that point in time so versioning here is the key. This can prove hard for wiki pages that have dynamic web parts, and therefore will always render the real-time information rather than the point-in-time information (e.g. a weather web part or stock web part). Consequently, it is important to set the expectations with all involved with this issue as soon as possible.

The legal holds capability of SharePoint 2010 is also required when providing information to the courts concerning records. Although legal holds can be applied to individual documents, there is no easy way of setting legal holds on multiple documents based on reports generated on a user as part of the e-discovery process. The common issue I see with our customers is that business users often assume that this will "just work" and have experienced this streamlined approach in other records management systems. So records managers and those involved in the e-discovery process will have to be aware of this in order to set the proper expectations.

With the business requirement to maintain content to be discoverable for the e-discovery process, a suitable archiving policy needs to be put in place to manage the growth of content within SharePoint. It is important to understand which content is required to be maintained in SharePoint for compliance perspectives, and which content can be archived out of SharePoint to reduce storage consumption. Customers I speak to often struggle with how they plan for growth, especially when maintaining versions of documents. A customer spoke to me recently who said that they had one document with 90 versions which took up 8 gigabytes (GB) of storage space, essentially because SharePoint does not store differentials of files and each version is a complete file. Any "save" command in Word for instance, would mean a new version of the document. It is essential that the planning of the information architecture takes into account the configuration of Lists and Library version settings to be consistent across the environment - and not all these scenarios - unless it is necessary. The best approach to mitigate this is to store all Major versions, but only a set amount of Minor versions and train and encourage users to create Major versions when distributing to other users.

SharePoint is not always the only content repository within an organization, as we talked about in a previous blog post which homed in on appropriateness of content in SharePoint. To reiterate from a compliance perspective, in my experience I have seen customers' concerns around particular sensitive data being stored in SharePoint when it should be stored in other repositories. It is hard to enforce out of the box that users follow the guidelines on where content should go depending on the type of content it is.

From a usability perspective, SharePoint 2010 added many improvements by stating WCAG 2.0 AA compliance. In my experience at customer sites, although organizations are required to obtain Section 508 compliance, the business is not driving this as a priority over other issues mentioned above. In my opinion, I believe it will take a few public financial penalties set out by the courts around Section 508 to drive this requirement. To reach full compliance on Section 508, however, would take significant effort and expertise by modifying how SharePoint 2010 renders.

Edward Cedeno, Product Manager here at AvePoint, has also recently written a related post on Risk-Based Approach to FRCP Rule 26(f) Compliance with DocAve.

More Stories By Jeremy Thake

Jeremy Thake is AvePoint's Chief Architect. Jeremy’s 10-plus years of experience in the software development industry, along with his expertise in Microsoft technologies, earned him the label of “expert” in the global SharePoint community. He was named a Microsoft SharePoint MVP in 2009, and continues to work directly with enterprise customers and AvePoint’s research & development team to develop solutions that will set the standard for the next generation of collaboration platforms, including Microsoft SharePoint 2013.

Jeremy was one of only eight Microsoft MVPs from Australia, where he lived for seven years, who was recognized by the SharePoint Product Team in 2010 for his extensive contributions to the global SharePoint community. He also played an instrumental role in organizing the Perth SharePoint User Group during his time living there.

@ThingsExpo Stories

ARMONK, N.Y., Nov. 20, 2014 /PRNewswire/ --  IBM (NYSE: IBM) today announced that it is bringing a greater level of control, security and flexibility to cloud-based application development and delivery with a single-tenant version of Bluemix, IBM's platform-as-a-service. The new platform enables developers to build ap...

Focused on this fast-growing market’s needs, Vitesse Semiconductor Corporation (Nasdaq: VTSS), a leading provider of IC solutions to advance "Ethernet Everywhere" in Carrier, Enterprise and Internet of Things (IoT) networks, introduced its IStaX™ software (VSC6815SDK), a robust protocol stack to simplify deployment and management of Industrial-IoT network applications such as Industrial Ethernet switching, surveillance, video distribution, LCD signage, intelligent sensors, and metering equipment. Leveraging technologies proven in the Carrier and Enterprise markets, IStaX is designed to work ac...
"There is a natural synchronization between the business models, the IoT is there to support ,” explained Brendan O'Brien, Co-founder and Chief Architect of Aria Systems, in this SYS-CON.tv interview at the 15th International Cloud Expo®, held Nov 4–6, 2014, at the Santa Clara Convention Center in Santa Clara, CA.
C-Labs LLC, a leading provider of remote and mobile access for the Internet of Things (IoT), announced the appointment of John Traynor to the position of chief operating officer. Previously a strategic advisor to the firm, Mr. Traynor will now oversee sales, marketing, finance, and operations. Mr. Traynor is based out of the C-Labs office in Redmond, Washington. He reports to Chris Muench, Chief Executive Officer. Mr. Traynor brings valuable business leadership and technology industry expertise to C-Labs. With over 30 years' experience in the high-tech sector, John Traynor has held numerous...
Bit6 today issued a challenge to the technology community implementing Web Real Time Communication (WebRTC). To leap beyond WebRTC’s significant limitations and fully leverage its underlying value to accelerate innovation, application developers need to consider the entire communications ecosystem.
The 3rd International @ThingsExpo, co-located with the 16th International Cloud Expo - to be held June 9-11, 2015, at the Javits Center in New York City, NY - announces that it is now accepting Keynote Proposals. The Internet of Things (IoT) is the most profound change in personal and enterprise IT since the creation of the Worldwide Web more than 20 years ago. All major researchers estimate there will be tens of billions devices - computers, smartphones, tablets, and sensors - connected to the Internet by 2020. This number will continue to grow at a rapid pace for the next several decades.
The Internet of Things is not new. Historically, smart businesses have used its basic concept of leveraging data to drive better decision making and have capitalized on those insights to realize additional revenue opportunities. So, what has changed to make the Internet of Things one of the hottest topics in tech? In his session at @ThingsExpo, Chris Gray, Director, Embedded and Internet of Things, discussed the underlying factors that are driving the economics of intelligent systems. Discover how hardware commoditization, the ubiquitous nature of connectivity, and the emergence of Big Data a...
Almost everyone sees the potential of Internet of Things but how can businesses truly unlock that potential. The key will be in the ability to discover business insight in the midst of an ocean of Big Data generated from billions of embedded devices via Systems of Discover. Businesses will also need to ensure that they can sustain that insight by leveraging the cloud for global reach, scale and elasticity.
SYS-CON Events announced today that Windstream, a leading provider of advanced network and cloud communications, has been named “Silver Sponsor” of SYS-CON's 16th International Cloud Expo®, which will take place on June 9–11, 2015, at the Javits Center in New York, NY. Windstream (Nasdaq: WIN), a FORTUNE 500 and S&P 500 company, is a leading provider of advanced network communications, including cloud computing and managed services, to businesses nationwide. The company also offers broadband, phone and digital TV services to consumers primarily in rural areas.
SYS-CON Events announced today that IDenticard will exhibit at SYS-CON's 16th International Cloud Expo®, which will take place on June 9-11, 2015, at the Javits Center in New York City, NY. IDenticard™ is the security division of Brady Corp (NYSE: BRC), a $1.5 billion manufacturer of identification products. We have small-company values with the strength and stability of a major corporation. IDenticard offers local sales, support and service to our customers across the United States and Canada. Our partner network encompasses some 300 of the world's leading systems integrators and security s...
IoT is still a vague buzzword for many people. In his session at @ThingsExpo, Mike Kavis, Vice President & Principal Cloud Architect at Cloud Technology Partners, discussed the business value of IoT that goes far beyond the general public's perception that IoT is all about wearables and home consumer services. He also discussed how IoT is perceived by investors and how venture capitalist access this space. Other topics discussed were barriers to success, what is new, what is old, and what the future may hold. Mike Kavis is Vice President & Principal Cloud Architect at Cloud Technology Pa...
Smart devices that use wireless technology to exchange information with each other and with their human owners: this is the Internet of Things (IoT). This incredible level of connectivity is already transforming how we exercise, treat diseases, park our cars and access business documents. Research firm IDC projects that the IoT world of connected devices will grow to 200 billion objects by 2020. As more businesses, entrepreneurs and government entities embrace the IoT, more data will be generated daily than the already mind-boggling 2.5 quintillion bytes of data per day. However, even curren...
The Industrial Revolution in the 18th to 19th centuries was a period during which predominantly rural societies in Europe and America became industrial and urban. Advances in steam technology, transportation, mass production and the telegraph collectively transformed industry and society. Today, the Internet of Things (IoT) has the potential to once again transform industry and society just as the Industrial Revolution did. Analyst firm IDC forecasts that the IoT market will grow to $8.9 trillion by 2020 with anywhere between 30 to 50 billion connected autonomous things, making the potential g...
Cloud Expo 2014 TV commercials will feature @ThingsExpo, which was launched in June, 2014 at New York City's Javits Center as the largest 'Internet of Things' event in the world. The next @ThingsExpo will take place November 4-6, 2014, at the Santa Clara Convention Center, in Santa Clara, California. Since its launch in 2008, Cloud Expo TV commercials have been aired and CNBC, Fox News Network, and Bloomberg TV. Please enjoy our 2014 commercial.
From a software development perspective IoT is about programming "things," about connecting them with each other or integrating them with existing applications. In his session at @ThingsExpo, Yakov Fain, co-founder of Farata Systems and SuranceBay, will show you how small IoT-enabled devices from multiple manufacturers can be integrated into the workflow of an enterprise application. This is a practical demo of building a framework and components in HTML/Java/Mobile technologies to serve as a platform that can integrate new devices as they become available on the market.
The 3rd International Internet of @ThingsExpo, co-located with the 16th International Cloud Expo - to be held June 9-11, 2015, at the Javits Center in New York City, NY - announces that its Call for Papers is now open. The Internet of Things (IoT) is the biggest idea since the creation of the Worldwide Web more than 20 years ago.
Located in booth #314, the Bsquare team will present DataV demos and discuss how DataV will help customers put their data to work to improve business outcomes. DataV is unlocking new initiatives across a wide landscape of customers in industries such as industrial manufacturing, transportation, retail and mobile. The solution is designed to complement a new project start or help to enrich an existing machine investment.
The Physical Web incorporates beacons that can be put in any small retail store, for example, so that every store now has "an app" for its customers. In this Birds-of-a-Feather session at Internet of @ThingsExpo, Scott Jenson, Product Designer at Google, will discuss the Physical Web and how it is an open standard so any device can broadcast a URL wirelessly, so any phone/tablet/watch nearby can see, and rank those devices. When the user taps on one, they just go to that web page. It's really that simple. It's about thinking small, enabling micro-information (what is in my prescription bottle...
BSQUARE is a global leader of embedded software solutions. We enable smart connected systems at the device level and beyond that millions use every day and provide actionable data solutions for the growing Internet of Things (IoT) market. We empower our world-class customers with our products, services and solutions to achieve innovation and success. For more information, visit www.bsquare.com.
Whether you're a startup or a 100 year old enterprise, the Internet of Things offers a variety of new capabilities for your business. IoT style solutions can help you get closer your customers, launch new product lines and take over an industry. Some companies are dipping their toes in, but many have already taken the plunge, all while dramatic new capabilities continue to emerge. In his session at Internet of @ThingsExpo, Reid Carlberg, Senior Director, Developer Evangelism at salesforce.com, to discuss real-world use cases, patterns and opportunities you can harness today.