BAS302 Build a Compelling Case for Enterprise-Wide Information Management

Define the value of information access across departments

Christopher Wynder

Senior Consulting Analyst

Info-Tech Research Group

cwynder@infotech.com

@ChrisW_ptmd

Burst

Lift

Mortar

Enterprise Content Management has fundamentally changed

It is time to give up on the concept of content management.

Prior to consumerization Now

Content was generated through corporate resources

and stored in corporate databases.

Risk could be mitigated by use of a single monolithic

ECM system.

Content is now generated through a complex mix of

applications (cloud SaaS, on-premise, user acquired) and

stored in several unlinked databases.

Risk mitigation now requires a strategic plan for determining

what content requires tight controls or needs to be findable

to maximize user productivity.

The fuel: financials, HR, email

The burn: BI,

documents, social

Marketing, user notes,

podcasts

FuelFinancials, HR, email

BurnDocuments, social

Fire ControlActive directory, ECM,

content creation suites

Fire control: active directory, ECM

Content is exploding in all directions and most of it is garbage

Explosive multi-directional content, has

low value • End-user generated content across these

types of documents is generally of low value

to the enterprise as a whole.

• Storing and managing this information is

costly and not sustainable long term.

Focused, consolidated information, has

potential value

• The important information is the analysis and

customer facing deliverables that are generated

using the short-lived materials.

The only way to separate valuable content from garbage is to

govern all content as a asset that has a potential value and an

expiration date.

IT can only control the explosion if it builds a holistic framework based on

information use rather than content type.

The holistic strategy must account for user access and organizational workflows.

Organizations need to define the value of

information based on the width of use.

Most user’s day is a series of Barely Repeatable Processes of sorting

through information sources

Enterprise-

wide data

Department

data

Personal

Filter

Information movement

Key IT

control

9am

DATE

?

5pm

The average user’s day

How many different

applications are they

using

How many times are

they breaking

compliance

ERP/CRM

Re-think how you enable and protect information. Content focused

management is too hard.

Do you know how content will GROW in the future?

•Generate -how do users generate content-

what are the filetypes, what are the key

applications

•Record -where is the information from that

content being recorded? Office documents,

applications

•Organize -what is the point of the content?

Is the information being shared? Is it for revenue

generation? Does it need to be moved to other

people?

•When- ..is the information source used

again. What do users really need, what can you

securely provide them.

Source: Info-Tech Research Group analysis of available statistics

from Facebook, Twitter, Radicati group, Internet Statistics Group,

and EMC

Am

ou

nt o

f co

nte

nt p

er

FT

E (

GB

s)

0.00

0.50

1.00

1.50

2.00

2.50

3.00

“Not Office Documents”

Office documents

Email

Social

Everyone’s content is growing but the solution requires

you to understand how users expand content

Providing access

to Office

documents alone

will not solve

worker problems.

Organizations do not live in classic

filetypes and more

IT has a role but what is it? Are we in charge of the structure of information

or do we control the growth and fruit of the labor?

Control GROW-th by accepting the organic nature of ECM EIM

An architect plans the design of information,

brings structure to unstructured sources by enabling

users to move through a "journey“.

Requires existing user compliance and

understanding of information sources.

Practically only works in external sites when you

know what the purpose of the user’s visit.

A gardener sets the parameters of access, provides a

single point of entry to user needs by understanding that

every user has multiple “journeys” that encompass

their job.

Requires access control to key information sources to

ensure user compliance.

Acknowledges that content growth is organic and

needs to be constantly re-evaluated for appropriate

growth.

Be the gardener: plant the seed, control the weeds, and nourish the environment

• Gardeners to control growth they only maximize the

conditions for growth.

• What can you as an Information Gardener do:

◦ provide appropriate access (the size of the plot).

◦ Set limits on where the seeds can grow (users)

and

◦ provide within that plot the nutrients (information)

that seeds need.

• You cannot control the growth but you can limit the

unwanted growth.

• The personas will define how well the seeds grow

into knowledge and productivity.

Persona

Refresh scheduleMix of content types

Information sources

Plan for organic growth of personas by

focusing on access to key information

A persona grows based on the content

and information provided.

Persona(s) Refresh scheduleMix of content types

Internal Partnerships

RecordsRandom

(cross department, general notice)

The Information Garden

Structured

Analysis

Define the types of seeds that you need to support

Persona

Business Process

Users Workflow

Customer Service

Representative

A/P

Case

management

Check

scheduleFollow-up

Confirm

Payment

Send

order

Review

order

Monitor

actionRequest

action

Review

fulfillment

Customer

service

ERP A/P

module

CRM

case #Workflow

Confirm

by SMTP

The mix of fertilizer components is dependent on the needs of the seeds

Mix of content types

DATE

CRMSales

Vacation

request

R&D

What information do users need to “get work done”

DATE

DATE

DATE

How many of

these resources

are up-to-date?

How long

does content

have value

users?

How often do they seeds need to be watered

Refresh schedule

Generate

Use

Delete

or

Archive

Evaluate

Integration of

mobile, “non-Office”Ease of sharing,

“folksonomy”

Transparent

Disposition and

archive automation

What can IT provide to enable users

The soil is the key. Each plot needs to be balanced for the crop

IT

Efficiency

Risk

Mitigation

Business

Efficiency

The Soil is the platform for

information movement.

The ECM provides the

simplest platform to enable

the various processes and

information usage that the

business requires.

Each “plot” is designed to

enable personas based on

information usage.

0

200000

400000

600000

800000

1000000

1200000

ECM Workflow Mobile and Email Replacement ECM Customize

Getting approval to buy the farm.

Measure

effectiveness for

a single

department

Contrast

replacement

with

workflow

and mobile

Cost of expansion

across organization

User productivity can get the conversation started

Time wasted due to misalignment of user

needs and ECM deployments.Hours (per

week)

Knowledge Worker

cost

Process Worker

cost

Reformatting 2.4 $ 86.21 $ 58.05

Re-creating content 1.9 $ 68.06 N/A

Moving documents between locations1.5 $ 54.45 $ 36.66

Publishing to multiple applications 1.8 $ 63.53 $ 42.77

Manual retrieval of archive records1.4 $ 52.18 N/A

Searching but not finding 2.2 $ 79.41 $ 53.47

Totals 11.2 $ 403.85 $ 190.96

A single platform that mediates document search, and file sharing can save

that investment by solving the key user frustration of findability.

Info-Tech Research Group analysis of Productivity surveys by McKinsey (2011), Oracle (2009),

Ponemon (2010) and KPMG (2009)

Enterprise wide adoption must balance three drivers: users, business, and the information itself

Balance the needs of different stakeholders to ensure buy-in across multiple

levels.

Business

Users

Information

Focus on decision

making processes by

exec team.

Simplified usage for

reports to stakeholders,

identifying new

opportunities.

Reduce cost for

information usage (AKA

governance)

Focus on the unnecessary steps

of their day-to-day process.

“The easy button” for vacation

request documents.

Focus on enabling future

revenue.

Analytics, Eased compliance

EIM projects often fail to get off the ground

because they start too big. Consider a

project that starts with:

Engage all senior executives in a governance and steering process.”

You will never get the CEO, CFO, CxO, [the Pope,

the President, etc.] in a room together at the same

time. They are too busy and are focused on bigger

issues.

Expect to have to prove that an EIM solved a problem.

The first common problem of business case development: the Popes & Presidents Problem

You have to start within IT before pushing out to the rest of the business

Bottom Line: Identify departments that will have success.

Develop a strategy that avoids both the Popes and Presidents

Put together an Information Organization strategy from within IT

first, before disseminating it to the rest of the enterprise. It is far

easier to engage with business units and get buy in when you have

already started something.

Answer some basic questions about the enterprise and its information

needs and then ask the business why you’re wrong:

What are the information-related problems facing the

enterprise?

How do these related to business and IT priorities?

What information sources do we actually have?

Is there risk or opportunity associated with those information

sources?

Who uses these information sources and what do they really

need?

Bottom Line: The straw man doesn’t have to be definitive. But it does have to be defensible!

You need a straw man strategy that starts in IT is then pushed to the rest of

enterprise via the governance structure

Focus on the trends that the business cares about:

First trend: Compliance

Business

Users

Information

Visibility into

information contained

within “content.”

Visibility into age, and

changes in

information.

Control of information

access.

Control over ILM

Appropriate access without

additional layers.

Reduce the technological

barriers to collaboration.

Reduce risk of breach. Ease

compliance reporting.

Provide a platform for

expanding the types of

assets that can be tracked.

Regulatory pressure is increasing on all types of organizations

1965 1970 1975 1980 1985 1990 1995 2000 2005 2010 2015

Finance Reform

Legal Requirements

Privacy Regulations

Non-government

standards & certifications

Public and political pressure continues to drive finance reform and privacy

requirements in jurisdictions around the world.

IT’s ability to reduce risk is inversely related to number of different information

sources that need protection. Enterprise wide adoption of a single platform

consolidates the risk increasing visibility

Regulations are proliferating

to cope with growing volumes

of sensitive data and content.SOX Basel II

Basel III

Dodd-Frank

FRCP update to

include ESI

(eDiscovery)PIPEDA

PCI DSS v. 2

HIPAAFERPA

Access to Information Act

Freedom of

Information Act

GLB

PATRIOT Act

FISMA

There is too much content to control it

Source: Info-Tech Research Group analysis of available statistics from

Facebook, Twitter, Radicati group, Internet Statistics Group, and EMC

Information security and ensuring compliance requires a more mature approach

that includes defining the role of storage in the problem

20% of all corporate content is

now stored on employee

owned cloud storage.

Email as a percent of total

content is decreasing by 40%

per year

Am

ou

nt o

f co

nte

nt p

er

FT

E (

GB

s)

0.00

0.50

1.00

1.50

2.00

2.50

3.00

Corporate owned storage

User owned documents

Email

Social

30x Increase

202020142008

Structured Data

Replicated Data

Unstructured Data

Source: Info-Tech Research Group, 2011

Evernote has

grown by 33%

every 6 months

Half of enterprise

users have

Dropbox

Breakdown of average user

information sourcesBreakdown of enterprise wide

information sources

90% of data stored to disk is never accessed again in a 90 day period.

-- University of California study

Most of your data is useless. To get a handle on data growth, you must

decide what to keep in long-term archive, and what to get rid of.

Introduce RM and archive capabilities to control compliance risk

Harness best practices to close the

affordability gap from both sides.

Currently, the TCO of storage is 3-10 times the cost of acquisition. The largest TCO impact can be found from

optimizing information management processes. Use the TCO for storage as long term risk for not adopting ECM?EIM

solutions as part of the long term information/storage plan.

Info-Tech Insight- Business case development point

69 percent of information in most companies has no business, legal, or regulatory value.

-- Deidre Paknad, Director of Information Lifecycle

Governance Solutions at IBM

Securing information is an ever increasing cost

Public sector is reacting with more spending

Percentage of Total Annual Revenue Allocated to Security by Organization Type

Less than

.1%

Between .1%

and .25%

Between .25%

and .5%

Between .5%

and .75%

Between

.75% and 1%

More than

1%

For-profit, privately owned 28.0% 12.0% 20.0% 4.0% 20.0% 16.0%

Government 22.2% 22.2% 11.1% 11.1% 11.1% 22.2%

Non-government, not-for-profit 27.7% 22.2% 11.1% 0.0% 33.3% 5.5%

Publicly traded 35.7% 35.7% 7.1% 7.1% 10.7% 3.5%

Source: IOFM’s Benchmark Survey on Security Salaries and Spending

IT security spending is predicted to

increase 6.6% compound annual

growth rate, reaching $30.1 billion in

2017

Companies with 100-499 employees

are predicted to drive IT security

spending most, totalling $8.5 billion

by 2017

Control Information Security costs through ILM

Drive the Cost Per Incident down through increasing visibility into day to day

activities and removing risk from storage locations.

Be tidy:

Delete old data, lock

down high risk data

Know what you have:

Metadata, audit trails

Know how users work:

Workflow, important info

sources

Savings from:

IT time

Reporting time

Consolidated

access control

EIM provides control for both storage and security risks

• Appropriately governed information

sources can reduce the TCO of storage.

The cost per user for storage is

reduced by 40-60%.

• Additional IT cost decreases are seen by

the reduced eDiscovery through ECM

search and hold capabilities.

$1.00

$10.00

$100.00

$1,000.00

$10,000.00

Initial Year 1 Year 2 Year 3 Year 4 Year 5 Year 6

Base costs

EIM

Storagecontrols

Information Governance reduces the cost to

store user information

Required

additional

storage

Only 15% of CIOs believe their data to be well, and comprehensively

managed.

-- Merv Adrian, Principal,

ITMarketstrategy

• Human error accounts for 1/3 of all

data/information breaches. Over half of

these losses are due to lost endpoints

containing data.

• Centrally locating information and

processes on an ECM system

exceeds most industries compliance

needs for digital assets.

Give the right access and control your growth and risk-Analyst story

As with all workers, I’m a pack rat. I always think “I really used this a lot last

week, I should put this somewhere safe” So what do I do? I put it on the hard

drive, the File Share and Evernote. Do I update all of those sources? Of course

not-but Im not about to delete them- because there is always a chance that I’ll

re-use that template or that I’ll want that line that I really liked.

It extends to my personal information habits…..I have a shoebox of hard drives

with one of them so old the SCSI wire doesn’t exist to hook it up to a computer.

So what does this tell us about end users? We can’t predict the actual

information that they will want to keep or why. We can shape how the users

move through our systems to get to information.

Once we have confidence that users have the access they need we can start to

put the disposition policies in place to deal with the garbage content that is filling

our storage.

If I had confidence that I could find my information I would be willing to

just have one-okay maybe two copies. Just like the hard drive that is too

old to be added to the computer, we can prevent old garbage from coming

back to the system.

Focus on the trends that the business cares about

Second trend: Findability

The Google problem:

relevance and ranking

Standardize tags and

search control by role.

Business

Users

Information

Multiple

locations.

Indexing and

ranking.

Versioning and

modifying.

“The real issue is when to get rid of stuff. We have shared drives with files from pre-2K.”

– Scott Macleod

Illustrative Case Study: Dead content suppresses users’ ability to respond to clients in a timely fashion.

Results

• IT recovered 20% of the storage capacity by deleting old files.

• The executives realized that IT had to control all content for legal coverage.

• Using regulatory needs IT built a flexible system decreased duplication and export of key information.

• Users helpdesk tickets for lost or missing documents has decreased.

• IT has started to build sef-serve analytics, taking advantage of the user personas for access.

Action

• Recognized the need for

tighter controls on content

to control growth.

• Started to delete all files

that have not been

accessed in more than five

years.

• IT recognized that the

website and Twitter

account often received

comments that

departments should be

aware of in a timely

fashion.

“It was the craziest thing. Folks are writing personal information on our webpage. We quickly realized that this was going to be an issue.”

Scott Macleod

Information System

manager

State government

Situation

• Content growth is

suppressing the

infrastructure.

• The user population is

highly dynamic, but needs

specific access to data.

• Users often re-make

content rather than

attempt to find it.

• The content is often used

and updated by multiple

user groups.

• Privacy of content is a

paramount concern.

“We’re actually in the midst of a re-organization. So we aren’t really sure which documents are paper and which are electronic.”

How users work is the key to maximizing the value of an ECM system

Focus on the workflow problems to enable user adoption.

BPM

System based language.

This is the nuts and bolts of

application development and

information automation.

Requires multiple systems effectively

move a process from beginning to

end.

A BPMN engine does not equal BPM.

System integration for passing

processing and data through

applications

Workflow

User language

This is the how the user has to work

within their day.

This is a surface level customization

that may require multiple

applications.

This requires understanding how

information moves amongst users.

The workflow needs to be hidden

behind the information access layer.

Focus on the trends that the business cares about

Third trend: Analysis

Statistical relevance

Access to necessary

information

Visualization

Business

Users

Information

Relevant

information

Contextual data

Historical trends

Predictive

analytics

Judging value of insights

Controlling intellectual

property

Ensuring privacy and

compliance

ECM/EIM platform

1. As businesses adopt social and web

2.0 tools the need for a single plan for

how information is formatted, used and

protected becomes key.

2. IT plays a key role in ensuring the

success of business initiatives but

providing access to information to the

applications and workers-where ever

they are.

3. Use the business initiatives to survey

the most important information sources

and the business units that should be

part of the Information Governance

committees.

Effective internal document

sharing

Easy

knowledge

transfer

The platform should be robust

enough to support the business

use of information and regulations

5X

gro

wth

in

info

rmation p

er

year

Business use and re-use of

information expanding

BYOD/

Mobile

Analytics

Weig

ht o

f regula

tions is

incre

asin

g1

2

3

Information management is at the heart of key business initiatives

Value example-BI

The primary source of latency in BI is the lack of context for data points. This

requires human intervention.

Source: A Business Approach to Right-Time Decision Making, TDWI

Data Latency

Analysis Latency

BI initiatives fail through

incomplete data and unclear

presentation.

Both of these failures are due to

the lack of context regarding

data points.

ECM systems can provide the

context thus improving success.

This require a multi-department

system to provide a business

context.

ECM can provide enterprise wide control and access for BI projects

The BI operating model is considered effective when all four criteria are met.

Effective Business

Intelligence

Focused on Business

Requirements

Tailored Functionality

Based on Users’ Needs

Use KPIs to Monitor

Performance

Simplify Complex

Processes

Focus on the trends that the business cares about

Fourth trend: Storage

Templates

Collaboration

Business

Users

Information

Relevant

information

Compliance

Mobile/External

IT costs

Format

Storage growth is an immediate and pressing trend due to growth in content

• Structured and Unstructured data

grows by approximately 50% each

year.

• Sixty-three percent of CIOs have

increased data storage spending in

2013.

• On average, organizations are

allocating 20-30% of IT budgets

towards storage.

• Most storage has a 20:1 data

duplication ratio. Moving high use

documents to a ECM with version

control can significantly reduce the

storage overhead.

Key Data Growth Drivers

Media intensive industries such as entertainment broadcasting, medical, legal, and insurance can expect to see data growth rates over 120 percent year on year.

-- Storage Strategies Inc.

Protect the investment that you have already made into information systems

The investment that an organization makes into information storage and

applications such as SharePoint, BI, etc., is based on the expected value

that it will bring to the users.

The direct investment in applications that use information:

An organization with 5000 Standard SharePoint server Licenses (and CALs)

has an approximate 3yr TCO of $740,000.

Storage strategy and flexibility

Low SharePoint adoption means that storage resources that are dedicated to

SharePoint are underutilized.

1

2

(ECM + Storage)

#GBs X Adoption rate

Lost

Investment

Supporting Enterprise-wide Information Management

?

Place an organizational wide value on content based on information use

Risk Value

ComplianceCollaboration mandateSpecial projectsInternal initiative

Standard risk assessmentLikelihoodImpactLegal and compliance

Σ =5 Σ =4

Specific risksIT supportabilityVendor roadmap

For the strawman we just need a rough risk assessment. As the project

matures you will need a more granular risk assessment that is based off

of the business goals and IT capabilities

Enterprises can manage content effectively through a variety of approaches.

Technology must be aligned with your strategic needs

• The majority of enterprises

surveyed had several products to

control content.

• Enterprises with several products

were equally successful at

controlling content as those with a

single ECM product.

HOWEVER:

• Enterprises with no ECM

products reported a greater

concern regarding the business

efficiency and compliance.

0%

10%

20%

30%

40%

50%

60%

Severalproducts

SharedDrives

Single ECM Usercontrolled

No strategy

Several products

Shared Drives

Single ECM

User controlled

No strategy

6X

Source: Info-Tech Research Group Q2 2012;

N=75

Single ECM platforms are not required

for success.

How

do y

ou m

anage c

onte

nt?

(%

respondents

)

Successful organizations have a mix skills within IT to administer ECM

Challenge 1: IT skill set be capable of meeting the administrative needs

Information

Governance

IT

Competency

Technology

readiness

IT Competency

Information sources risk

assessment

Standard operating

procedures for

requirements gathering

Mature process for

application development

Basic understanding of

consumerization trends

Information Competency

Do you have a:

Information governance

committee

Program manual for

information governance

Retention and archive plan

Executives acknowledge

need for better user adoption

A controlled vocabulary to

base user needs on

Technological Readiness

Implemented an ECM solution Applied the taxonomy to the ECM

Assessed the gaps in user needs and

ECM features

Checked vendor roadmap for updates

to current issues

Challenge 2: Avoid re-building the junk drawers

Be proactive with ECM or users will default to the

old habits of throwing everything in the same

place.

• ECM cannot be used appropriately without a

Risk profile and Information Governance plan.

• Users do not know what they

want from ECM-they just know

what they need to do.

• When we allow users to decide on the

organization of ECM they often become

frustrated with the lack of built-in tools-which

then leads to dissatisfaction and low use of

ECM.

Do not ask “What can an ECM do?” Ask “What do we want our ECM to do?”

ECM is an expansive tool box that can support

both application development and document

management-out of the box.

• Solve this problem by have a business focused

plan for the initial roll out.

• Focus on solving a user driven problem. This

will likely require building workflows or addition

of third party tools.

• Set up a straw man of based on IT’s view of

what user’s need so that we can get the users

talking about what they actually want compared

to what we’ve showed them

• “This is what I think you need,

Why am I wrong?”

Challenge 3: Information movement patterns

Individual to Individual

Ensure that all content has

enterprise-wide descriptors as part

of the metadata. Use role-based

access to ensure key individuals

have the access they need.

Standing collaboration

group

Prioritize classification tools and

provide federated search. Allow

user-based tagging to ensure that

content has long term find-ability.

Ad Hoc groups

No tool can ensure that information

is available to unknown queries.

Ensure that user profiles are up-

to-date so that experts can be

found to combat these situations.

Individual to group

Prioritize collaborative tools. Build

a strong process to define

enterprise-wide content versus

group content.

Open share of personal

stores

Prioritize semantic or ontology-

based classification tools.

Prepare a clear, but concise

governance package for sensitive

content.

Peer to Peer

Prepare to bring strong user

profiles into content metadata.

Ensure that communication

streams are part of content

capture.

Typical combinations Key IT tools

Communication capture

User tagging

Author field as

metadata

Last accession-based

archive

Enterprise defined

metadata

Integrated social tools

Strict retention rules

UserDepartment

Start your technical requirement gathering by defining what the content is doing within the enterprise

We need to increase

knowledge sharing

Workflows need

better visibility

Define knowledge within your enterprise.

• How do workers capture knowledge?

o Peer to peer communication?

o Outside journals?

o Publishing internal documents?

• Define how sources of knowledge are mixed. Find

out how users think it can be best organized.

o By subject

o By project

• Guide the business leaders in defining the

metadata.

• Enterprises with expansive metadata libraries

should consider more advanced and flexible

organization tools including separate classification

tools.

Define which manual processes have

dependable, predictable outcomes.

• For each department, which processes have

paper to electronic workflows?

o Vacation/leave requests?

o Procurement cycles?

o Order reconciliation?

• Define who the process owners and key decision

makers are for exceptions.

o Who is alerted for orders/requests that do not

match paper versions?

o What is the process for reconciliation?

• Guide the business leaders in defining retention

times for data from each process.

Ensure that all communications associated with a project are

included. Many of the kernels of long term knowledge are

buried in the social communications.

Prioritize organization tools when comparing applications

Classification works best when it matches the information sharing needs of

the enterprise.

• Content capture: What

is the primary type of

content?

• Process or knowledge

based?

• Content organization:

How will content be

used?

• Organic user-based

tagging, rigid

enterprise-enforced

taxonomy.

• Use governance:

What is the

enterprise’s security

need for content?

• Define end of life:

When does a piece of

data cease to be

generally useful?

• Records, file shares,

eDiscovery.

For process heavy

enterprises, these

capture features are the

key:

• OCR

• batch metadata

addition

• combining e-docs and

paper docs from the

same process

For all content these

features are key:

Document IDs: for

version control.

Records management

tools: taxonomy, file

plans, access control,

audit features.

Applying Holds:

Retention Policy

Services, workflow

review, and approval

tools (e.g., comment

controls, exception

management).

Search: cross-library

searches using content

attributes.

Records management

tools available for all

content:

Archiving tools: backup

to storage, automatic

deletion dates.

Capture Organize Use Archive or retire

Use the content lifecycle to define requirement priorities

Information managers must ensure that their deployment supports the

critical needs at each stage of the content lifecycle.

The expansion of content beyond the corporate walls means that IT cannot manage all content nor can

it control users to manage the growth of content. Ensure that the content management strategy

provides controls at each step that give visibility and slow growth.

The ECM

LifecycleCapture Organize Use

Archive or

retire

Administer

Content must be

brought into an ECM

system. It might come

from existing

systems, imaging, or

it could be uploaded

by users.

Information within

an ECM repository

must be

organized,

indexed, and

classified.

Users must get

access to content.

Consider time,

workflow, format,

and device.

Enterprise content

must be retired,

either through

deletion or

archiving.

Content Management changes the expectations for administrators. They must

reassess their approach to strategy, risk, security, monitoring, and support.

Align the ECM and user information lifecycles to define the system requirements

Adoption and user workflow are linked together. Solve the users’ key needs and you’ll solve

your compliance concerns surrounding structured documents and records.

Capture Organize UseArchive or

retire

System

touchpoints

User

information

lifecycle

Generate Record UseForget or

store

?

Organize Re-Organize

Specific ECM

requirements

Business capabilities should focus on cross-functional, organization-wide use of knowledge for decision making

• Business capabilities supported by data and analysis to enable fast,

value-based, near-real time decisions

◦ Information at point of need and in a form to enable decision

• Identification of few distinctive capabilities where analytics and insights

will provide competitive advantage

• Embed the process of Analytics (insight generation, validation and

value realization) as a capability across the organization

• Emphasize end-to-end process and insight thinking

The ECM

LifecycleCapture Organize Use

Archive or

retire

Administer

Client conversation: “What are the best practices in documenting my Information Governance program”

Situation

Insurance company with multiple

very public breaches.

Currently has an under-used and

confusing Information Governance

program based on its records

management regulations.

A recent review showed that the

data governance program has

increased data quality and reduced

risk of data loss.

The key identified problem was lack

of user understanding of how to

communicate information across

departments and to customers.

Complication

The public nature of the

breaches caused deep

scrutiny by regulators and

stockholders.

The growth in product

offerings and client

touchpoints have

outstripped IT’s ability to

respond.

These two complications

led to turnover at the

management tier and

expansion of untrained

customer service

representatives.

Resolution

The IT and compliance offices set

up a dedicated panel to oversee the

process.

They identified the data governance

program as a relevant and

successful model.

The documents and committees

were customized and expanded to

reflect the wider information need.

Program growth was done by

acknowledging that information had

a value to the organization and

needed to be protected as such-just

like data.

Insurance company expands a successful data governance model to build an

Information Governance program

Efficiency is nice but complying with your regulators pays the bills

Business Efficiency

Collaboration

Enterprise Search

Compliance

Cost reduction

Web Content

External Communication

Litigation

Importance to enterprise

Pri

ori

ty n

eed

ed

for

con

trols

Compliance and Litigation rank

lower in importance, but need to be

the key feature guide for IT.

Enterprise Search ranks high for

all the wrong reasons.

Enterprises believe that better

search will replace the need for

quality metadata.

It will not.

To achieve the top needs of

Business Efficiency and

Collaboration you need to build

keywords and metadata to

search upon.

Increased Business Efficiency

is the number one reason why

enterprises are willing to invest

in an ECM.

You can’t Capex your way to the best solution-Analyst story

I recently talked to the US branch of a global company headquartered in

the EU. The global company has several hunting and camping products

sold across its different branches. They have identified consolidating the

supply chain and centralizing purchase and customer relations as the

priority for the next fiscal year.

The good news is that money is no option and they have invested (heavily)

in a technical solution that can absolutely meet the needs of the global

organization. They have also defined a three month timeline for

implementation of the solution based on the vendors case studies of similar

companies.

The problem is that the US branch has only one customer- the US

Department of Defense. Which has strict rules on origination of

communications, data storage and a whole host of other security

regulations that centralization would breach.

Technically there is no problem, but the standard implementation will not

meet the existing contracts with the Department of Defense.

Defining technical solutions is important but the investment will be

wasted if you do not understand the key problems that need to be

solved.

Thank you for your time

Ways to contact me:

LinkedIn: Christopher Wynder

Email: cwynder@infotech.com

Twitter: @ChrisW_ptmd

This presentation will be made available via SlideShare.

Search via “ECM business case” OR “Chris Wynder” OR “Empower 15”

Please see the Info-Tech website for more detailed information on Information

Governance or any IT problem.

www.infotech.com

Parking Lot

The soil is the key. Design the plots based on the crops

Information sources

This need is the top ranked driver for ECM adoption

by Info-Tech clients.

Business efficiency is the only need that will

garner buy-in.

Business efficiency is based on findability and well

implemented business initiatives.

IT Efficiency

Business Efficiency

The content growth provides a perfect opportunity to

control storage costs.

Well governed information can reduce the cost of

storage, in the long term, by 60% through

controlling growth rate, reduced duplication of

content and automated disposition.

Risk Mitigation

Internal records

All organizations have HR documents and

financial records that require governance.

Litigation

eDiscovery is the elephant in the room. For most

organizations the risk is huge but the likelihood is

very low.

Compliance

For most organizations the limited regulatory

overhead will not be an effective driver for

Information Governance.

These five steps were identified as the critical increasing adoption

Already using an ECM but need to increase adoption?

Establish Information Governance plan prior to evaluating and technical changes.

Establish Information governance as a item one of existing compliance

committees

Build a organizational taxonomy that can provide both control

and increase document findability

Identify existing templates and taxonomy for departments or user groups

that can be extended to the whole organization.

Establish information architecture that can increase user

adoption

Information organization in SharePoint is not intuitive. User journeys allow IT

to tailor SharePoint to guide users to the appropriate sites for information

Build user journeys to detail the activities that require Information that the Organization owns.

• User journeys are maps of the

steps in an activity.

• They represent a linear set of

steps or tasks that a user must

complete to complete an activity

• Essentially it is the same as

process mapping that is done for

BPM projects.

• Depending on the goal of the

journey they may represent a daily

activity or a multi-day activity.

• The key is that each activity is

broken down in smaller steps

that use or generate information

in a documented form.

Doctor

Patient

diagnosis

Grand

rounds

User Journey of a Doctor’s day

The goal of a user journey is break down activities into

actionable steps.

Specifically we are looking to focus on those tasks that use-or

should use SharePoint.

Once we have a Straw man for set of user journeys we can build

a attach the information sources to each step.

The user journey then provides guidelines to what IT needs to

provide to users in SharePoint

Check

scheduleFollow-up

Confer w/

nurse

Order

tests

ScheduleConfer w/

peersWrite-up

Get case

history

Combine how information moves within departments with the enterprise-

wide needs to define the management strategy.

Each IG project has best fit use cases. Use the use case to guide your decision on which project to use.

Enterprise

Department

System of

interaction

System of

record

Access control

Findability

Archive

5.4

Ad hoc/

FileshareEnables

search,

collaboration.

Reduces

duplication

Controls

sensitive

information

and assures

audit trail

Allows users

and

workgroups a

junk drawer

Provides a wider

set of tools for

social, collaboration

and access control

Provides rigid

controls and

automation of

complex policies.

Provides a

separated database

with disposition and

robust search

Ad hoc/ Fileshare Archive

System of interactionSystem of

record

Findability

Access

control

Moving sources between systems is not

always feasible. Use the findability and

access control projects to maximize

value on “unmoveable” sources

Funnel information sources through ECM to build an Organizational level System of Information

Users create content

using a device. The

device could be a work

station or mobile

device.

?

Systems create

content through

the comments and

transactions (e.g.

payable reports,

PHI).

1 3

Users query on

keywords and

enterprise

descriptors.

5

A single set of

enterprise descriptors

automates association

of similar files from

multiple sources.

4

The search

returns multiple

documents that

have the

keywords or the

same descriptors

(e.g. same

author,

department,

project).

6

User choice

becomes a data

field to rank search

(accession date).

7

Properly tagging

documents

improves findability.

Tags/Metadata also

become the basis

for providing

appropriate access

and classification

2

Focus on user tools to improve ECM success

45%

55%

MeetExpectations

Did not meetexpectations

• ECM brings many of the tools that are

needed to appropriately manage information

and administer the system.

• Technically ECM any has the tools to

support most business needs.

Most organizations do not identify a

business need prior to implementation

High adoption naturally feeds risk mitigation. Start with

a system that solves a user problem and they WILL use

it.

User tools

Why does ECM

fail?

Information

management

System

administration

1

2

3

ECM: More failures than

successes!

Info-Tech Research Group, “Does ECM

meet the needs of your end-users?” n=58,

Q4 2012

Why does ECM

fail?

If you have an Information Governance

plan this is about the user tools

Mold ECM to meet your needs before further technology investment

0% 20% 40% 60%

Customize SharePoint

3rd party tool

Successful ECM implementations focus on

customization and application integration

ECM success requires a dedication to

the platform through integration of

LOB applications.

AIIM, survey 2012, The ECM puzzle, adapted from Figure

16. N=345

ECM is more application platform that traditional

ECM. Its ability to centralize document sharing and

integrate communications can provide users

platform to manage their mundane tasks and bring

efficiency to the “processes” that encompass their

workday

Info-Tech Insight

ECM has a variety of tools that ease

customization.

The adoption problem will not be solved by

additional tools.

This is a problem that must be dealt with

through ensuring that ECM makes workday

tasks easier to perform.

Align ECM and user information lifecycles at key points in the process

Adoption and BRPs are linked together. Solve the users’ key needs and you’ll solve your

compliance concerns surrounding structured documents and records.

Capture Organize UseArchive or

retireECM

lifecycle

User

information

lifecycle

Generate Record UseForget or

store

?

Organize Re-Organize

ECM works best when

the information is

organized at capture

The un-asked question-”How do

users get work done?”

This is key to how users

expect to find documents

Users lack the

tools to

appropriately

archive content

Re-use leads to lots

of local copies.

Start to build a taxonomy by defining key user groups as personas

Role:

What do they do?

What are their key challenges?

E. What are their activities?

Se. For what do they search?

M. What document types do they use?

S. Where do they work?

T. When do they work?

Code

Identify key

challenges with

information use or

access.

Now that we have

some of this

information use it to

jump start the

taxonomy process

Classification is hard. It is an exercise in logic, philosophy, and – occasionally – faith, since it

deals with universalities. Thomas Jefferson, for example, ordered the books in Monticello

according to Francis Bacon’s Faculties of the Mind: Memory (History), Reason (Philosophy),

and Imagination (Fine Arts). Melvil Dewey borrowed this structure – and indirectly borrowed

from Hegel – to create the popular Dewey Decimal System.

The best approach for IT comes from S.R. Ranganathan. He was inspired by both Meccano

and Hindu mysticism to create a scheme centered on five key facets:

How do we actually classify stuff?

But what actually belongs in the taxonomy?

Facet Description Examples

Personality The core subject of the work. Ignore it! It is too difficult to operationalize in the typical enterprise.

Matter Objects, typically inanimate. Desktops; Servers; Storage; Buildings.

EnergyActions and Interactions. It can

also describe specific processes.

Customer service; Quality control; Manufacturing; Research;

Accounts payable.

SpaceLocations, departments, or

similar descriptors.Human resources; APAC; Guatemala; Building A2.

Time Hour, period, or duration Morning; Q3; Financial close; Winter; 2011.

Focus on information findability with strong document classification

You don’t need a tree structure to capture everything

Most people are familiar with the rigid classification systems used by

biologists, the period table of the elements, or library systems such as the

Dewey Decimal System. Each of these systems lets things be in only one

location in the classification system. This approach makes sense if you’re

trying to shelve books.

Most classification systems are pre-coordinated. Things an only be in

one place at a time. Enterprise Information is different. We need to use a

post-coordinated system that enables us to classify documents in a

variety of different ways.

Take three different creatures: grasshoppers, dufflepuds, and kangaroos. We

need different post-coordinated facets to effectively describe them: mammal,

insect, fictional, and things-that-jump.

Keep the taxonomy structure to 8x3

Long lists of anything are a disaster for information collection

Marketing Joke: “What is the biggest state in the United States?”

Punch line: Alabama.

The joke isn’t funny but it does illustrate a common problem with Information Organization

and data collection. Digital marketers often solicit information from site visitors who aren’t

highly motivated to provide accurate information. Hence, they select the first option in the

“State” drop down list: AL – Alabama.

We have this same problem when we develop taxonomies and expect users to accurately

catalog documents when they upload them.

The Answer: 8x3Humans work best when presented with a list of about eight

items. We can typically keep that many items in working

memory. Furthermore, we will typically drill through three levels

of how detail.

Keep your taxonomy to three levels of detail, each with about eight items. The taxonomy for a facet,

therefore, can have 83 – or 512 – items.

Managed metadata, taxonomies, ontologies, thesauri, etc. all have

subtle differences but share some core elements:

• Authority file. Names that can be used. Descriptors and names

are listed in authority files.

• Broader term. Terms to which other terms are subordinate.

• Category. Grouping of terms which are associated, either

semantically or statistically.

• Related term. Terms which are similar to one another and often

exist in the same category.

• Modifier. A term that narrows the focus of another term. For

example, the use of “Character” in the compound term “Stanton,

Archibald – Character”.

• Narrower term. A term that is subordinate to another in a

category.

• Preferred term. The term that is used for indexing among a

group of related terms.

• Scope note. Direction on how to apply a term explaining usage

and coverage.

The controlled vocabulary is the basis of taxonomy and findability

It can get complicated, but focus on the core elements.

Controlled

Vocabulary

Thesaurus

Ontology

Controlled

Vocabulary

Move from defining problems to building a solution

The goals for requirements gathering.

Basics of building a ECM site with user experiences in mind.

• Identify goals of the site

What is the one activity that will drive users to stay within

ECM.

•Create a logical hierarchy for the content

•Create a structure for the site based on the content hierarchy

• Explore the use of metaphors to come up with a site structure (organizational

metaphors, functional metaphors, visual metaphors)

Design the wireframes for the individual pages

Justify the project to stakeholders

Provide a feedback system to ensure that the site

adoption stays high.

For internal sites this

is inherited from the

controlled

vocabulary

Start to build a taxonomy by defining key user groups as personas

Role:

What do they do?

What are their key challenges?

E. What are their activities?

Se. For what do they search?

M. What document types do they use?

S. Where do they work?

T. When do they work?

Code

Identify key

challenges with

information use or

access.

Now that we have

some of this

information use it to

jump start the

taxonomy process

Start your taxonomy based on the vocabulary that already exists

Pillar

Depart.Budget

related

Location

Research

activities

Daily

activities

Clinical

activities

Folks-

onomy

Intranet Workshop

Other

sources

NYPD

Washing-

ton?

Remember our goal at the

beginning is to have enough

taxonomy to confidently allow

users to add content to

SharePoint for the purposes that

the organization has defined. The

taxonomy WILL need to updated

through a controlled process.

The key with folksonomy is a clear

process for evaluating the usage.

The goal should be to have these

integrated into the controlled

vocabulary to replace unused

terms rather than create a shadow

metadata system

User journeys are a process map of the tasks that workers perform. IT can

use this as a guide for what information sources that end-users should be

able to access from SharePoint process steps

Focus on the User’s journey through the system to increase adoption

You know you need this if:

√ You ask users when they last looked at SharePoint and they say Huh?

√ You get requests for adding Google drive to the desktop

√ You spend more time explaining where to find vacation request than application development

You have excel files called corporate financials-confidential

Finance is asking IT to pay for their version of "Search for dummies"

The top sent email address ends in "@evernote.com [or @gmail.com]"

You have spent more than one hour looking for "some document that joe from research work on maybe last year"

You have 300 TBs of data for five users

You get helpdesk requests that start "I need to Jane to access my……."

The CIO keeps forgetting to approve your vacation suggesting "it would be easier if I could just press a button"

You have product request for productivity apps

If you are on older versions of portals can you extract what worked and what failed?

Synthesis of individual knowledge

Individuals use a variety of information sources to build their knowledge base

Group knowledge requires individual information

Synthesis of group knowledge requires the right mix of information from

each individual and collaborative analysis

4.1 Mitigate storage growth with the “one-two punch” of policy and technology

Policy: Data management policy

and practices will mitigate data

growth and maximize data value.

Technology: innovations

will improve utilization,

matching data value to

storage cost.

• Data deduplication

• Automatic tiering

• Storage virtualization/

Software defined storage

• Thin provisioning

• Data compression

• Data governance

• User policies

• Archival practices

• Purchase timing

optimization

IT managers who optimize their storage

environment through policy and technology

approaches are able to:

1) Drastically reduce the cost of storing the

same amount of data.

Effect size: Reduce storage budget by over

half; experience as much as 60-70% cost

reduction.

Or

2) Purchase more storage capacity with existing

budget amounts.

Effect size: 150-200% more storage volume for

the same price.

Addressing storage with only one of these approaches is like boxing with

one hand tied behind your back.

Do not discount any content type without determining your risk and value

guidelines.

The Information Governance team needs to have full visibility into all potential information sources.

?Archives

and back-upOld

hardware

Hosted

services

User acquired

services

Communication

New content

types

The explosion of content type means

fragmentation of how information is share

and stored. The Information Governance

committee’s definition of information

should be content type neutral.

Information

Governance

Strategy

Start with policy, then apply the policies to information sources based on

value to the business.

Break Information Governance into manageable projects

Information risk and

valueProject 1:

Enterprise wide policies

ArchivingProject 3:

Disposition,

growth control

Specific risk

mitigation,

findability

Archiving can be

the driver for

better governance

but it cannot

replace

governance.

Archiving requires

rules and policies for

both enterprise wide

rules and managing

exceptions to the rule.

Is specific content

valuable enough to

keep?

Information

Organization

Project 2: Build a

taxonomy

Storage managementProject 4:

Enterprise wide storage

control through deletion

The key to controlling

growth is translating

governance policies into

management practices

Define the value of governance based on the initiatives that use information

DATE

Potential information sources What information is important long term?

Most user’s spend their time making documents that will

not be used or likely opened more than once. All

stakeholders can agree that these types of files are a

waste of space.

It really comes down to this: if file X was deleted

tomorrow would anyone care-or even notice?

The answer for most files is no but…..there is also no

value to end users in determining which documents

are low value.

Storage wins can drive cost reduction but without

strong backing from the executive these will not lead

to long term adoption of Information Governance.CRM

Focus on those information sources where good

governance will increase the value or ease the

implementation of a business initiative.

Initiatives that require information to move between

users or applications will be more valuable and easier to

implement with clear guidelines on how what information

should be included, how it should be classified and who

can access the information.

Info-Tech Insight

All of these sources should be governed.

Start with sources that where there is a

clear enterprise wide mandate for

expanding their use.

2.1

IT needs a strategy that links relevant content and brings appropriate

controls to the important content.

Strategically balance the compliance needs with productivity goals

Enterprise-wide content management:

Enterprise Content Management (ECM) is a strategy for

IT to employ for unstructured data.

The three key factors in the content management

strategy are:

1. Compliance and litigation arising from

communication.

2. Where documents, multimedia, and records are in

the enterprise’s databases to ensure audit-ability and

transparency to IT.

3. Enhance usability and cross-department content

sharing.

• It is not a “one-size-fits-all” solution. Strategic decisions

require a real understanding of what content has

strategic value to the enterprise.

• The strategic value is based on how content visibility will

enable productivity allowing for a transparent audit trail.

Content management

strategy

ITCompliance Productivity

Shape the explosion to meet the

enterprise’s needs

Required technical

controls

ECM

Understand the drivers for Information Governance

Find the right mix of enterprise-wide needs to structure your Information Governance framework

This need is the top ranked driver for ECM

adoption by Info-Tech clients.

Business efficiency is the only need that

will enable a long term Information

Governance program

Business efficiency is based on findability

and well implemented business initiatives.

Information

Governance

Business Efficiency

Risk

mitigation

IT Efficiency

Compliance

Business Efficiency The content growth provides a perfect

opportunity to control storage costs.

Well governed information can reduce

the cost of storage, in the long term, by

60% through controlling growth rate,

reduced duplication of content and

automated disposition.

For most organizations the limited

regulatory overhead will not be an

effective driver for Information

Governance.

IT EfficiencyLitigation

eDiscovery is the elephant in the room.

For most organizations the risk is huge

but the likelihood is very low.

Internal records

All organizations have HR documents

and financial records that require

governance.

Risk Mitigation

1.1

Web Content Management

Collaboration

eDiscovery

Capture

Analytics

Wikis

Blogs

Archiving

WorkflowForms

Intranet

Search

DAM

Repository

ECM strategy is implemented with a variety of different technologies

The core of ECM as a technology is a

pyramid of three technologies:

• Records Management

• Document Management

• Web Content Management

These three technologies form the

basis of ECM applications.

ECM applications often bleed into a

fringe of related ancillary technologies

like archiving and collaboration.

Strategically, ECM applications are

the technical control to implement and

control content throughout its

whole lifecycle.

Dedicated ECM suites include both core and

fringe technologies.

Content will continue to explode. The proliferation of cloud and mobile

devices has altered where content comes from and how it is used.

Fireworks look better from a distance - protect the enterprise from personal content

• Ad hoc/Personal. Most enterprises are seeing growth in

this area. This includes enterprise social (activity feeds),

mobile workers (purchase orders), or personal knowledge

stores (e.g., Evernote).

• Collaborative. Content generated as part of group efforts;

templates and documents specific to a single department

or workgroup. Collaborative content is a low security risk,

but potentially useful to many users.

• System of record. Widely used documents (content

marketing), workflow (vacation approvals), and content

requiring tight control due to compliance or litigation

concerns (communications-IM, email). These records

require a structured system to ensure control of growth

and compliance.

The future of content will be social. AdAge reports more than 3.5 billion pieces of content are shared over

Facebook each week. As the Facebook demographic fills out, the workforce sharing will increase. IT needs

rules in place defining what traits of any communication require storage in the system of record and which

should be left to individual management.

Personal

Enterprise

Combine how information moves within departments with the enterprise-

wide needs to define the management strategy.

Fluid information movement requires good governance

• Start by determining how similar the key intra- and inter-

departmental movement patterns are.

• Enterprises with similar departmental and enterprise-wide

needs for their system (user profiles, classifications) should

prioritize a single ECM platform that spans both departmental

and enterprise content.

• Where these needs diverge IT must carefully consider the

compliance environment.

o Enterprises with low compliance and litigation burdens

should consider giving departments autonomy on the

choice of system or even just a collaboration platform.

o When tools diverge IT must ensure that the appropriate

access and controls exist to share information between

departments. IT’s goal should be to protect the enterprise

from compliance and legal concerns.

• For highly regulated industries, provide personal content tools

that have search and audit features. The enterprise may still

be responsible during eDiscovery for employee-generated

content in their personal stores.

RegulationsEnterprise-

wide data

Similarities

Departmental

data

The greater the number of regulations the

higher up the firework the ECM must reach.

The similarities between departments

defines the complexity of the ECM.

Key considerations for ECM

“What did you know and when did you know it?” The enterprise is obligated

to know what has been communicated by any recordable medium.

Move beyond content type – it’s about the context of the communication

• The advent of IM and activity streams has changed the

landscape.

• The majority of rules and regulations do not point to

any particular type of communication such as email.

• The critical decision is what the information in the

electronic communication is.

• New consumer tools and social media change the

thinking regarding records. Records are a content type

that require a strategy to define acceptable-use policy

not just for email, but for all forms of internal and

external communications.

Email as a record: it depends on the context.

In general, email contracts, invoices, and personnel

records should be retained in systems with records

management functionality.

According to United States’ Federal Rules of Civil

Procedure (FRCP), the obligation to preserve email as a

record begins as soon as there is a reasonable

expectation of litigation.

Specific regulations have audit requirements. For

example, Sarbanes-Oxley has an audit-ability of email

and other communications requirement.

For highly regulated industries, IT must work closely

with Legal to ensure that the ECM strategy can meet

their regulatory burdens.

The world has changed. Mobile, consumerization, and

BYOD have fragmented content storage locations.

Ensure that you have full visibility by adopting mobile

device management solutions that have content

management capabilities. See Info-Tech’s strategy set:

Develop a Mobile Device Management .

The basis of compliance is visibility and find-ability. These same needs are

also the basis for productivity.

Guard your assets through clear rules and appropriate search tools

• ECM applications provide centralized logic and organization to

associated cross-department content.

• The fluid ways that workers are producing and using content

presents issues to ECM applications for applying appropriate

security. IT is no longer capable of blocking export of

content to personal devices.

• Digital Asset Management technology allows enterprises similar

controls for images as rights management does for documents,

providing control over where and when it can be published.

• Extend this approach by taking advantage of the role-based

security to build enterprise-wide author lists for content.

This will ease finding relevant content based on known

relationships to subject matter experts.

Digital Asset Management

This once-stand-alone product is an advanced feature of all web

experience management (WEM) solutions.

Similar to record retention classifications, DAM is integral to

monitoring where assets have been used and who has the right to

publish or share that piece of content.

Enable DAM to ensure an audit trail of strategic content.

0%

5%

10%

15%

20%

25%

30%

35%

40%

Challenge No Challenge

Securing content is the

largest challenge identified.

Source: Info-Tech Research Group Q2 2012;

N=75

As with all aspects of ECM, the

challenges vary based on industry

and size. Content security is the only

challenge that cuts evenly across

these lines.