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Presentation from Empower 2015 on defining information and translating business needs into technical requirements.

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Expand ecm acrossorg_empower15

  1. 1. 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 @ChrisW_ptmd
  2. 2. 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 Fuel Financials, HR, email Burn Documents, social Fire Control Active directory, ECM, content creation suites Fire control: active directory, ECM
  3. 3. 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.
  4. 4. 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
  5. 5. 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- 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 AmountofcontentperFTE(GBs) 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
  6. 6. 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.
  7. 7. 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.
  8. 8. Persona(s) Refresh scheduleMix of content types Internal Partnerships Records Random (cross department, general notice) The Information Garden Structured Analysis
  9. 9. Define the types of seeds that you need to support Persona Business Process Users Workflow Customer Service Representative A/P Case management Check schedule Follow-up Confirm Payment Send order Review order Monitor action Request action Review fulfillment Customer service ERP A/P module CRM case # Workflow Confirm by SMTP
  10. 10. The mix of fertilizer components is dependent on the needs of the seeds Mix of content types DATE CRM Sales 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?
  11. 11. 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
  12. 12. 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.
  13. 13. 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
  14. 14. 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 locations 1.5 $ 54.45 $ 36.66 Publishing to multiple applications 1.8 $ 63.53 $ 42.77 Manual retrieval of archive records 1.4 $ 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)
  15. 15. 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
  16. 16. 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.
  17. 17. 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
  18. 18. 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.
  19. 19. 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 HIPAA FERPA Access to Information Act Freedom of Information Act GLB PATRIOT Act FISMA
  20. 20. 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 AmountofcontentperFTE(GBs) 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 sources Breakdown of enterprise wide information sources
  21. 21. 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
  22. 22. 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
  23. 23. 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
  24. 24. 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 Storage controls 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.
  25. 25. 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.
  26. 26. 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.
  27. 27. “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.”
  28. 28. 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.
  29. 29. 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
  30. 30. 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 5Xgrowthin informationperyear Business use and re-use of information expanding BYOD/ Mobile Analytics Weightofregulationsis increasing 1 2 3 Information management is at the heart of key business initiatives
  31. 31. 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.
  32. 32. 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
  33. 33. 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
  34. 34. 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.
  35. 35. 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
  36. 36. Supporting Enterprise-wide Information Management ?
  37. 37. Place an organizational wide value on content based on information use Risk Value Compliance Collaboration mandate Special projects Internal initiative Standard risk assessment Likelihood Impact Legal and compliance Σ =5 Σ =4 Specific risks IT supportability Vendor 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
  38. 38. 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% Several products Shared Drives Single ECM User controlled 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. Howdoyoumanagecontent?(%respondents)
  39. 39. 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
  40. 40. 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?”
  41. 41. 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
  42. 42. 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.
  43. 43. 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
  44. 44. 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 Lifecycle Capture 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.
  45. 45. 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 Use Archive or retire System touchpoints User information lifecycle Generate Record Use Forget or store ? Organize Re-Organize Specific ECM requirements
  46. 46. 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 Lifecycle Capture Organize Use Archive or retire Administer
  47. 47. 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
  48. 48. 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 Priorityneededforcontrols 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.
  49. 49. 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.
  50. 50. Thank you for your time Ways to contact me: LinkedIn: Christopher Wynder Email: 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.
  51. 51. Parking Lot
  52. 52. 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.
  53. 53. 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
  54. 54. 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 schedule Follow-up Confer w/ nurse Order tests Schedule Confer w/ peers Write-up Get case history
  55. 55. 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/ Fileshare Enables 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 interaction System 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
  56. 56. 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
  57. 57. Focus on user tools to improve ECM success 45% 55% Meet Expectations Did not meet expectations • 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
  58. 58. 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.
  59. 59. 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 Use Archive or retire ECM lifecycle User information lifecycle Generate Record Use Forget 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.
  60. 60. 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
  61. 61. 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. Energy Actions and Interactions. It can also describe specific processes. Customer service; Quality control; Manufacturing; Research; Accounts payable. Space Locations, departments, or similar descriptors. Human resources; APAC; Guatemala; Building A2. Time Hour, period, or duration Morning; Q3; Financial close; Winter; 2011.
  62. 62. 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.
  63. 63. 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.
  64. 64. 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
  65. 65. 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
  66. 66. 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
  67. 67. 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
  68. 68. 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 " [or]"  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?
  69. 69. Synthesis of individual knowledge Individuals use a variety of information sources to build their knowledge base
  70. 70. Group knowledge requires individual information Synthesis of group knowledge requires the right mix of information from each individual and collaborative analysis
  71. 71. 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.
  72. 72. 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-up Old 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
  73. 73. 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 value Project 1: Enterprise wide policies Archiving Project 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 management Project 4: Enterprise wide storage control through deletion The key to controlling growth is translating governance policies into management practices
  74. 74. 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
  75. 75. 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
  76. 76. 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 Efficiency Litigation 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
  77. 77. Web Content Management Collaboration eDiscovery Capture Analytics Wikis Blogs Archiving Workflow Forms 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.
  78. 78. 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
  79. 79. 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. Regulations Enterprise- 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
  80. 80. “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 .
  81. 81. 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.