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[AIIM16] Where to begin? Establishing a Global ECM Program at a Fortune 500 Company


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AIIM16 presentation by: Charley Barth, Cummins Inc. and Geoff Lynch, Practice Lead & Business Architect, Allegient, LLC

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[AIIM16] Where to begin? Establishing a Global ECM Program at a Fortune 500 Company

  1. 1. 1 Establishing a Global ECM Program at a Fortune 500 Company Charley Barth, Global Director ECM, Cummins Geoff Lynch, Business Architect, Allegient LLC
  2. 2. Establishing a Global ECM Program at a Fortune 500 company Charley Barth, Global Director ECM, Cummins Geoff Lynch, Business Architect, Allegient LLC April 2016 Public
  3. 3. 3 Introduction / Reflections §  Started 1 year ago with nothing (no staff, no budget, no program, no tool) §  This line of work is not for the lazy (constant care and feeding is needed) §  Running an ECM program will not make you popular (prepare to make enemies) §  People will struggle to understand the concept and its benefit (prepare for weird stares) §  Don’t forget paper and include it in your governance/business case §  Many times it takes a crisis or bad news to get the needed attention in this space (For Cummins, it was an internal audit that got the CEO’s attention) §  So many moving parts and players in a fortune 500 company. (Collaboration with CIO, CISO, Data Management, IT, Training, Legal, Compliance, & CAO on a weekly basis is a must) §  Utilizing SharePoint platform (wish us luck…) §  Don’t ever give up, you are doing the right thing by your company! Disclaimer: There is more than one way to skin a cat and more than one way to start an ECM program. Take from the presentation what you like and apply it to your own situation but understand that every ECM program will have it’s own unique journey! Public
  4. 4. 4 Agenda Deliverables Defined: §  ECM Business Case §  Audit Response §  Implementation Plan (suspended) §  ECM Roadmap §  Content Catalogue (suspended) §  ECM Governance §  Domain Capability Model §  Current status/Roadmap Public Background Defined: §  Who is Cummins? §  What does ECM mean? §  Why do we need ECM? §  What will be different? §  Where do you begin? §  Vision/Mission §  Our partner §  Methodology
  5. 5. 5 §  Cummins is a Fortune 500 company (#154) §  Founded in 1919, with 55,000 employees globally §  $19.1 Billion in revenue in 2015 §  Cummins is a global power leader that designs, manufactures, sells and services diesel engines and related technologies around the world §  Cummins serves its customers through its network of 600 distributor facilities and more than 7,200 dealer locations in over 190 countries and territories Public Who are we?
  6. 6. 6 Where are our engines/products? §  Automotive (Dodge, Nissan) Public §  Marine (Sea Ray, Regal Yachts) §  Construction (Caterpillar, Komatsu) §  Agriculture (John Deere, Versatile) §  Fleet (Kenworth, Peterbilt) §  Power Gen (Google, Microsoft)
  7. 7. 7 What does ECM mean to Cummins? Public Governance to ensure and improve: •  Searchability •  Security •  Compliance Across all repositories: File Shares, Team Rooms, Cummins Connect, SharePoint, E-mail, OneDrive, Paper, etc. For the full lifecycle of our content: Create, Edit/Collaborate, Post and Share Final, Archive, Expire/Destroy Create Edit and Collaborate Post and Share FinalArchive Expire and Destroy Searchability Security Compliance
  8. 8. 8 Why does Cummins need ECM? Problem: How Cummins manages content today? What is our roadmap to get there? (tools, policies, procedures) Unenforceable policies Niche systems Digital Records Center, CMI File Plan Tiered approach, Provisioning and Governance Align with IT transformation efforts Situation: Cummins future growth relies heavily on our ability to share, safeguard and leverage content Solution: Holistic approach to managing our content as an asset and growth enabler Unsecure content Public
  9. 9. 9 Multiple tools and storage platforms within the ECM space Thousands of taxonomies that change frequently (employee based) & no File Plan Data Classification and retention is a challenge Data loss prevention (DLP) can be burdensome Poor search experience across various platforms. (multiple searches to find info) No provision process for content tools Workflow creation is confusing and requires developers Public Specific Reasons…(current state) Collaboration challenging across time zones and disparate platforms
  10. 10. 10 So where do you begin??? §  Establish Executive Sponsor(s) §  Develop a vision/mission for your program §  Understand legacy environments §  Develop a business case…start small/be realistic §  Understand leadership pain points and budgets §  Talk to your customers (internal and external) §  Find a trusted partner and establish deliverables §  Develop business requirements & info architecture §  The tool should be the last thing you worry about §  Establish membership with AIIM and plug in §  Lets get started! Public
  11. 11. 11 Cummins ECM Vision and Mission Vision Enhancing our productivity and collective knowledge through proactive enterprise wide management of content Mission •  Enabling employees with the right content •  Ensuring our content is secure and compliant •  Improving productivity by promoting smart content and automated compliance •  Reducing cost, waste and variation with our information based processes Public “Strengthen relationships and increase knowledge” “ECM Organizes the Business”
  12. 12. 12 Our trusted partner §  Business Insights: Highly trained Business Analysts skilled in facilitation, analysis, and interviewing §  Clear Perspective: Cross industry knowledge of ECM solutions, as well as knowledge management expertise with large companies in our industry §  Technology Expertise: Deep knowledge of the target technology (SharePoint) §  Culture of “All-In”: Fully Engaged, Fully Dedicated, and willing to meet us at both our Indianapolis and Columbus offices §  Bonus: Based in Indiana and related experience in the manufacturing sector with other large, global companies Public
  13. 13. 13 Methodology to establish ECM program Vision & Mission… Trusted Partner… Best practices… Armed w/ Requirements Public 1.  ECM Business Case 2.  Audit Response 3.  Implementation Plan 4.  ECM Roadmap 5.  Content Catalogue 6.  ECM Governance 7.  Domain Capability Model §  Based on the above, we determined we needed these 7 deliverables to start:
  14. 14. 14 ECM Business Case Why do we need it? What’s included? Approach §  Conduct Voice of the Business (VoB) interviews §  Utilize productivity research as a foundation (Forrester, Gartner, Microsoft, Irish Defense) §  Validation of expected benefits by independent teams (HR, Corp Development) §  Provides the business justification for ECM §  Executive Sponsorship ensuring that the program has the right visibility and support §  Ensures Prioritization with competing efforts §  Funding to ensure support of planning and execution efforts §  Hard Savings from reduction in hardware and software licensing expenses §  Productivity Gains realized from efficiency improvements across 4 criteria: Search, Security, Compliance, Reduced waste §  Audit Risk Mitigation to address high level findings from the RIM audit Public
  15. 15. 15 Voice of Business (VOB) Interviews Public Concerns with solution and policy Adoption were at the top of the list: •  So many related projects with starts & stops, there was a general sense that this is a repeat of previous efforts (which were not fully realized). •  Need to balance the businesses pleading for stronger policy enforcement and education with a request not to impact their productivity. •  This change will be less about the system solutions and more about the cultural change – growing, stretching, & maturing the organization – therefore, training & communication will be vital. In Addition: Searchability The lack of quality search results was a common frustration throughout the organization Retention Focus on delivering simplified retention management, making it digestible, actionable, and not just "for Legal" Security Continue to ensure appropriate handling of Intellectual Property documents.
  16. 16. 16 ECM Business Case – Numbers Search (ECM) Security (ECM) Compliance (ECM) Reduced Waste (ECM) 2018 2.4 0.24 0.08 0.24 2017 2 0.2 0.08 0.2 2016 0.67 0.07 0.08 0.07 0 1 2 3 4 5 6 Productivitygainsexpected ECM Business Case – Numbers Productivity gains total $6.31M over 3 years Public
  17. 17. 17 Productivity scenarios §  Individual, Team, Enterprise Productivity –  Reduced time to locate a document –  Improved information synchronization –  Single version of the truth vs. multiples §  Estimated losses*= 7.5 hours per year §  Total productivity gains over 3 years = $5.07M Search Ability Public *Per Information Worker (IW) §  Improved Info Protection Technology –  Reduced occurrences of inadvertent leakage of info –  Expanded data loss prevention (DLP) & IRM tools –  Default classification built in, reduces misclassification §  Estimated losses*= 0.5 hours per year §  Total productivity gains over 3 years = $0.51M Security §  Improved Compliance with our policies –  Better protection of reputation and sensitive information –  Reduced costs for litigation & discovery services –  Retention built into solution, docs destroyed on time §  Total productivity gains over 3 years = $0.24M Compliance §  Enterprise Productivity, User adoption –  Single platform for legacy content migration –  Reduced Training costs –  Get rid of paper records that are timed out –  Reduced travel costs via virtual teams §  Total productivity gains over 3 years = $0.51M Reduced waste
  18. 18. 18 ECM Audit Response Why do we need it? What’s included? Approach §  Affirm validity of the finding §  Define Method how you will specifically resolve and/or mitigate the finding §  Assign Targets Dates which are generous and achievable for completion §  Review the Audit Response with the appropriate oversight organizations §  ACT to complete your response actions in the allotted time §  Required audit response, aligned with the implementation roadmap §  Gain trust from the Executive Leadership §  Authority to act §  Established credibility for the new program §  Establish ECM Strategy and Governance Model §  Develop and Implement ECM Policies §  Establish Global Processes and Procedures to support ECM Policies §  Implemented a ECM Training Curriculum Public
  19. 19. 19 Implementation Plan (suspended) Why suspended? What was included? Approach Forward §  Transitioned this effort into an ECM Roadmap effort §  Realization that the governance structure was Federated §  Functional Areas would be guiding the work to achieve Governance compliance §  Took a step back and focused on a higher level schedule and scope roadmap §  Allowed for time to be spent on more critical deliverables §  Originally targeted to be a Microsoft Project Plan of all related tasks to complete §  Project Plan to be detailed for all technology and migration efforts Public
  20. 20. 20 ECM Roadmap Why do we need it? What’s included? Approach §  Provides all interfacing organizations a single view of the key tasks / milestones to achieve ECM success §  Data and visualization combined allows ECM to define priority initiatives and communicate those initiatives to other organizations and executives §  Contains the prioritized milestones and tasks for the next 18 months §  Easier to follow than a formal project plan, with tasks organized into 10 distinct swim lanes §  Each milestone / task includes additional meta data that can optionally be filled out (notes, RACI, status, etc.) Public Answer:  How   does  Cummins   Capitalize  on   this   opportunity? ECM  ROI   starts   showing  net   postive  in  2   years Answer:  How   will  this   enable  me  to   produce   more? Value  vs.   Effort Answer:   What  do  I  get   out  of  this? Define   Functional   Excellence   Roadmap  for   ECM  (S-­‐Curve) Establish   Benchmark   against   competitors   (John  Deere,   CAT,  etc.) Cummins  is   benchmarked  to   ECM  capabilities   within   Manfacturing   (best  practice) S-­‐Curve  for   ECM  needs  to   be  defined Cummins   unique   structure  cnnot   be  changed   (hierarchy) Industry  /  Best   Practices  that   we  can  align   with  initially  on   a  regular  basis  -­‐   IDENTIFY THE  PROGRAM Leadership  in   Info   Management   leads  to   productivity Budget  for   ECM  typically   outlays   company  our   size. What  is  the   employee   benefit  from   ECM   adherence? Answer:  what  if   I  don't  follow  /   comply  /  and   create  my  own   work  around? Executive   Enthusiasm   for  EXM STRATEGY Define  long   term  /  short   term  ECM   strategy  (1-­‐5   years) Identify   strategy  for   ECM  with   Joint   Ventures Critical  Path   for  ECM  and   process Enable  changes   in  work   behavior:  -­‐  pull   to  Internet,  -­‐   NB  info  in  new   technology §  Started by conducting a Facilitated Brainstorming Session with key ECM leaders §  Placed over 200 Post-It notes with ideas, tasks, and concepts on the walls throughout the conference room §  Photographed, scribed, digitized, and prioritized the notes §  Used content from Facilitated Brainstorming Session to build the Roadmap
  21. 21. 21 ECM Roadmap Example / Demo Public
  22. 22. 22 Content Catalogue (suspended) Why suspended? What was included? Approach Forward §  Referenced required categories within the Governance Plan §  Determined that ownership of the Content Catalogue belonged to another organization (i.e. the team who was building out SharePoint) §  Cummins IT and Enterprise Architecture group took on ownership §  MindJet Mind Manager visual artifact §  Original plan was to use this effort to document key attributes and locate official terms §  Serves as a pre-cursor to information architecture work within SharePoint Public
  23. 23. 23 ECM Governance Why do we need it? What’s included? Approach §  makes sure that documents are kept in compliance with company classification and retention policies. §  ensures that the solution strategy is aligned with business objectives and priorities §  establishes clear decision making authority, escalation procedures, and helps avoid content sprawl §  Establishes the preliminary Governance structure, processes, and items to govern. §  Establishes ECM Governance Model Hierarchy and a Tiered approach to Content Systems §  Identifies which tags / attributes are required vs. preferred (added from Content Catalogue) Public §  Utilized Federated Governance Model as the best approach to manage these practices.
  24. 24. 24 ECM Governance Model Key features of a Federated Content Governance model: •  Lean, Centralized Content Governance organization (ECM) •  ECM owns the principles and policies, and provides guidance to the BU/ABO/functions •  BU/ABO/Functions manage the governance of local content/content systems •  BU/ABO/Functions control majority of their content operations with coordination from ECM •  Best Practice: Used by Enterprise Data Mgmt. ECM EBU PSBU DBUCBU Public
  25. 25. 25 ECM Governance Model Hierarchy Executive Content Governance Board (Planned for 2016) ECM Team Strategic Content Governance Board (Planned for 2017) •  ECM Policy •  Compliance Tracking •  Change Management Approval •  ECM Compliance •  Annual Reporting •  Change Management Requests Content System Owners ECM Ambassadors SharePoint Center of Excellence ECM Governance Public
  26. 26. 26 Board roles and responsibilities §  Enterprise File Plan Adoption §  ECM Governance waiver (final approval/denial) §  Mandatory metadata tags (Big 8) §  Enterprise Retention schedules (email, chat) Public §  File Plan changes (add/remove) §  Initial vote on ECM Governance waiver §  Mandatory metadata tags (add/remove) §  Content and Doc types in Cummins Connect q  Provide Executive Sponsorship, oversight and direction q  Represents key stakeholders of ECM q  Review state of the ECM program (Paper and Electronic) q  Meet annually or semi annually Votingtopics Key Responsibilities q  Ratification of policies and guiding principles q  Formal approval of changes to ECM policy and governance q  Formal approval of variance and compliance with ECM Governance q  Meet quarterly Executive Content Gov. Board Strategic Content Gov. Board
  27. 27. 27 Council Structure (Dream Team) Data Classification working group Information Architecture working group Retention Policy working group Background Sensitive Data working group Executive Content Governance Board (ECGB) Led by: VP Ethics & Compliance CIO CAO VP Envision Cummins General Counsel CTO VP Quality Strategic Content Governance Board (SCGB) Led by: Director Enterprise Content Management CBS IT Digital Communications SharePoint CoE Global Web Center CISO Data Management Document Management *Potential ECM working groups that feed into the SCGB Public
  28. 28. 28 ECM Governance Tiered Approach Public Technology Usage Tier Purpose TIER  1 TIER  2 TIER  3 “Drafts  /  Working   Papers” Short  Term “Collaborative   Content” “Records” Long  Term Individual Team Archive  /  Legal OneDrive/ OneNote (Office365  Storage) Personal  laptop  &   network  drive     Cummins  Connect   MyFiles SharePoint/ WatchDox Current  Cummins   Connect   Network  Shared Drives Cummins   Digital  Record   Center  (DRC) Documentum WindChill   • Internal  Use  Only • All  4  Classifications   (through  provision) • All  4  Classifications   (mostly  C  /  RC) Data  Classification • 3  Year  Retention  (Default)   (path  to  request  the   reclassification  of  the  document   to  a  longer  retention  period) • 3  Year  Retention  (Default)   (path  to  request  the   reclassification  of  the  document   to  a  longer  retention  period) • All  Retention  (WWRS)                         (but  mostly  5  years  or   greater) Retention Information  Life  Cycle Information  Life  Cycle
  29. 29. 29 5 step approach to streamline ECM governance Governance Processes Documentation Review Compliance Communication Change Management Public
  30. 30. 30 ECM Governance Content Tags (BIG 8) Mandatory Tag Description Generated by §  Content/Data Classification §  Per CORP-00-24-00-00 §  E.g. Internal Use Only §  System/Provisioning process §  User Override §  Content Retention §  Per CORP-07-11-00-00 §  E.g. ACT+7 years §  System/Provisioning process §  User Override §  Subject/Document title §  Document Title/subject §  E.g. 2016 Six Sigma metrics §  System §  User Override §  Author §  Document Creator §  E.g. Charley Barth §  System §  User Override §  Creation Date §  Date document is created §  E.g. 11/19/2015 §  System §  User Override §  BU/Location/Function §  Unit document belongs to §  E.g. EBU/Africa/Finance §  System/Provisioning process §  User Override Mandatory Tags apply to all content systems Public
  31. 31. 31 ECM Domain Capability Why do we need it? What’s included? Approach §  Provides visibility into the status and characteristics of the content repositories, leading toward meaningful dialog and prioritized action plans to further ECM §  The Domain Model is a multi-level visual map of content repositories (both electronic and paper) within which content is created and stored §  Components required: •  The collection of relevant attributes for the content repositories within a Microsoft Excel file. •  A Microsoft Visio diagram that is linked to the data within the Excel file Public §  Gather content repository attributes from the repository system owners §  Content repository should also have a single “owning” functional area §  Status of the functional area is inherited from the content repositories within that functional area §  Data is only added into Excel, then Visio references that external Excel data for each content repository §  Additional indicators display BU / ABO applicability
  32. 32. 32 Domain Model Diagram / Demo Public §  Level 1 of the diagram includes a status shape for each functional area §  Level 2 of the diagram includes a status shape for each of the content repositories within a functional area Quality   M/CIA C RM S coE D P C Green: 0 C/U Yellow: 1 Red: 0 M/CIA C RM S coE D P C        Content   Repository: QSI John  Phillips Class  2:  Business  Critical Confidential No Owner:   Criticality: Highest  DC: DLP  Plan?: #  Users:30000 Yellow C/U M/CC R D C        Content   Repository: 3  < Example   Repository  Name> John  Doe Confidential No Owner:   Criticality: Highest  DC: DLP  Plan?: #  Users:30 Red C/U PAPER
  33. 33. 33 How do these items help ECM? Public Roadmap Audit Response These measured steps provide sufficient information to continue to the next level of decision making and planning. Business Case Domain Model diagram (Inventory) Governance Plan
  34. 34. 34 Workflow is intuitive and simple for all to create What ECM will do for Cummins? World Wide retention schedule depends on employee to apply Retention schedule fully automated with-in the ECM tools Data Classification applied inconsistently Data classification built into each ECM site and documented in provision process Poor search experience across various platforms. (multiple searches) Enterprise, federated search across all platforms (Hybrid search) Workflow creation is confusing and requires developers From To Public
  35. 35. 35 DLP built into ECM tool with automated notification to decision makers What ECM will do for Cummins? Multiple tools and storage platforms within the ECM space Single platform for ECM and ECM storage Thousands of taxonomies that change frequently (employee based) Single, company wide file plan that will have longer life and ease search (function based) No provision process for content tools Full provision process with stakeholders visibility, approval and involvement Data loss prevention (DLP) tools inadequate and labor intensive From To Public
  36. 36. 36 Lessons Learned §  Accept you will never achieve nirvana (don't let perfect be the enemy of good) §  Focus on smaller, manageable wins (based on the size of your ECM team) §  Find a trusted partner that will listen and is excited about your journey §  Do not forget about paper §  Pick the right governance model for your company early on §  Deliverables may need to change in mid-project §  Resources may need to change as well – flexibility is critical §  VOB Interviews are not only for the purpose of gathering information, but to begin to paint the picture of ECM improvements to come Public
  37. 37. 37 Update: Where are we today? § Digital Records Center roll out in Q2 2016 § Executive Governance board stood up Q3 2016 § SharePoint roll out in Q4 2016 § All related Policy reviewed and updated Public
  38. 38. 38 What’s Next, left to do? § Establish Strategic Governance Board § Apply ECM Governance to legacy systems § Continue to execute road map § Become paperless company (5 year goal) § Increase value to company (knowledge center/ Cummins history) – Expand ECM team (ambassadors) Public
  39. 39. 39 Public Thank you… and one more favor… § ECM Self-Assessment
  40. 40. 40