Data-Ed Online: Your Documents and Other Content: Managing Unstructured Data

Welcome!
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Your Documents and Other Content:
Managing Unstructured Data

Date: August 14,
2012
Time: 2:00 PM ET
Presented by: Dr. Peter Aiken

PRODUCED BY CLASSIFICATION DATE SLIDE
DATA BLUEPRINT 10124-C W. BROAD ST, GLEN ALLEN, VA 23060 EDUCATION 8/14/2012 1
1/26/2010 © Copyright this and previous years by Data Blueprint - all rights reserved!

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Meet Your Presenter: Dr. Peter Aiken
• Internationally recognized thought-leader in the
data management field with more than 30 years of
experience
• Recipient of the 2010 International Stevens Award
• Founding Director of Data Blueprint
(http://datablueprint.com)
• Associate Professor of Information Systems at
Virginia Commonwealth University
(http://vcu.edu)

• President of DAMA International
(http://dama.org)
• DoD Computer Scientist, Reverse
Engineering Program Manager/
Office of the Chief Information Officer
• Visiting Scientist, Software Engineering
Institute/Carnegie Mellon University
• 7 books and dozens of articles
• Experienced w/ 500+ data management
practices in 20 countries #dataed

Your Documents &
Other Content:
Managing
Unstructured Data

Managing non-tabular Data: Document & Content Management
DATA BLUEPRINT 10124-C W. BROAD ST, GLEN ALLEN, VA 23060 EDUCATION 8/14/2012

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Outline
1. Data Management Overview
2. What is document & content
management and why is it
important?
3. Planning and implementing
document & content management
4. Levels of control
5. Additional considerations
6. Content management building
blocks
7. Guiding Principles Tweeting now:
#dataed
8. Take Aways, References and Q&A

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The DAMA Guide to the Data Management Body of Knowledge

Data
Management
Functions

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Published by
DAMA International
• The professional
association for
Data Managers (40
chapters
worldwide)

Data
Management
Functions

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Published by
DAMA International
• The professional
association for
Data Managers (40
chapters
worldwide)
DMBoK organized
around
• Primary data
management
functions focused
around data
delivery to the
organization
• Organized around
environmental Data
elements Management
Functions

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Environmental Elements

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Amazon:
http://
www.amazon.com/
DAMA-Guide-
Management-
Knowledge-DAMA-
DMBOK/dp/
0977140083
Or enter the terms
"dama dm bok" at the
Amazon search
engine

Environmental Elements

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Data Management


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Data Management

Data Program
Coordination

Organizational
Data Integration

Data Stewardship Data Development

Data Support
Operations


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Data Management
Manage data coherently.

Data Program
Coordination

Organizational
Data Integration


Data Support
Operations


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Data Management

Data Program
Coordination
Share data across boundaries.
Organizational
Data Integration


Data Support
Operations


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Data Management

Data Program
Coordination
Organizational
Data Integration


Assign responsibilities for data.

Data Support
Operations


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Data Management

Data Program
Coordination
Organizational
Data Integration


Engineer data delivery systems.

Data Support
Operations


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Data Management

Data Program
Coordination
Organizational
Data Integration


Engineer data delivery systems.

Data Support
Operations

Maintain data availability.


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Data Management


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Overview: Document & Content Management

from The DAMA Guide to the Data Management Body of Knowledge © 2009 by DAMA International

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Outline
important?
blocks
#dataed

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Polling Question #1
How much larger do the experts consider the
non-tabular data management challenge
than the tabular data management
challenge?

a) The same size
b) 2x
c) 5x
d) 10x


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Increasing Scope & Volume of Data Management


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Increasing Scope & Volume of Data Management

5 X Tabular and Non-Tabular Data

1 X Tabular Data


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Data Management Technology Research


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Definition: Document & Content Management


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• The control over capture, storage,
access, and use of data and
information stored outside relational
databases


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databases
• Focus on integrity and access; roughly
equivalent to data operations
management for relational databases


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databases
• Looks beyond the purely operational
focus


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databases
• Looks beyond the purely operational
focus
• Strategic and tactical focus overlaps with other data
management functions in addressing the need for data
governance, architecture, security, managed meta-
data, and data quality for unstructured data

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Definition, cont’d
Two sub-functions of document and content mgmt:


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1. Document management:
• The storage, inventory, and control of
electronic and paper documents


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• Encompasses the processes,
techniques, and technologies for
controlling and organizing documents
and records (stored electronically and
on paper)


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on paper)
2. Content management:
• The organization, categorization and
structure of data/resources so that they
can be stored, published and reused in
multiple ways


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on paper)
2. Content management:
• The organization, categorization and
structure of data/resources so that they
can be stored, published and reused in
multiple ways
• Sometimes referred to as Enterprise
Content Management (ECM), implying
the scope of content management is
across the entire enterprise

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Unstructured (or preferred) Non-tabular Data


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• Any document, file, graphic,
image, text, report, form, video,
or sound recording that has not
been tagged or otherwise
structured into rows and
columns or records


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columns or records
• Found in different kinds of
electronic formats, including
word processing, email, flat
files, spreadsheets, XML files,
etc.


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columns or records
• Found in different kinds of
electronic formats, including
word processing, email, flat
files, spreadsheets, XML files,
etc.
• Enormous amount of
unstructured data also exists in
paper files from The DAMA Guide to the Data Management Body of Knowledge © 2009 by DAMA International

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Polling Question #2
According to researchers at IDC, 80% of
enterprise data today is unstructured data.
What do you think is the exponential annual
rate at which it is growing?

a) 30%
b) 50%
c) 60+%
d) 90+%


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Document/Record Management


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• Lifecycle management of the designated
significant documents of the organization


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• Records can be physical, electronic or hybrid


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• 90%+ of today’s records are electronic:
growth in email and IM has made the
management of electronic records critical to
organizations


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• 90%+ of today’s records are electronic:
growth in email and IM has made the
management of electronic records critical to
organizations
• Compliance regulations and statutes:
– U.S. Sarbanes-Oxley Act
– E-Discovery Amendments
– Canada’s Bill 198

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Outline
important?
blocks
#dataed

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Document/Record Management Lifecycle


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Activities:


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Activities:
• Identify existing and
Identify
newly created
documents/records


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Activities:
Identify
newly created
documents/records Create,
approve,
• Create, approve, and enforce
enforce documents/
records policies


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Activities:
Identify
newly created
approve,
enforce documents/
records policies
• Classify documents/
records Classify


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Activities:
Identify
newly created
approve,
enforce documents/
records policies
records Classify

• Retention policy

Retain


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Activities:
Identify
newly created
approve,
enforce documents/
records policies
records Classify

• Short and long-term
storage Store Retain


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Activities:
Identify
newly created
approve,
enforce documents/
records policies
• Classify documents/ Retrieve
records and Classify
circulate
• Retrieval and circulation


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Activities:
Identify
newly created
documents/records Preserve Create,
and approve,
• Create, approve, and dispose enforce
enforce documents/
records policies
• Classify documents/ Retrieve
records and Classify
circulate
• Retrieval and circulation
• Preserve and dispose

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Plan for Managing Documents/Records


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• Documents management involves planning at
different levels of a document’s lifecycle:

(1) (2) (4)
(3)
Creation or Organizatio Archiving
Distribution
Receipt n for or


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(1) (2) (4)
(3)
Distribution
Receipt n for or

• Develop classification/indexing systems and
taxonomies so that documents retrieval is easy


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(1) (2) (4)
(3)
Distribution
Receipt n for or

• Create planning and policy around documents and
records on the value of the data to the organization


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(1) (2) (4)
(3)
Distribution
Receipt n for or

• Create planning and policy around documents and
records on the value of the data to the organization
• Establish, communicate, and enforce policies,
procedures and best practices for documents

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Implementing Document/Records Management Systems


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• Electronic documents must be
indexed during the capture process
so that they can be found


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• A document repository enables
check-in and check-out features,
versioning, collaboration,
comparison, archiving, status
state(s), migration from one
storage media to another, and disposition


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• Document storage includes document management


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• Documents can be categorized for retrieval


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• Reports are delivered through a number of tools, e.g. printers,
email, website, etc.


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• Reports are delivered through a number of tools, e.g. printers,
email, website, etc.
• Many document management systems include digital asset
management: management of digital assets (audio, video,
music and digital photographs)

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Outline
important?
blocks
#dataed

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Three Levels of Control


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• Levels are based on the criticality of the data and the perceived
harm that would occur if data were corrupted or otherwise
unavailable


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unavailable
• ANSI Standard 859:
1. Formal (most rigid)
• requires formal change initiation
• thorough change evaluation for impact
• decision by a change authority
• Full status accounting of implementation and validation to
stakeholders


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unavailable
stakeholders
2. Revision
• Less formal
• Notify stakeholders and increment versions when a change is
required


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unavailable
stakeholders
2. Revision
• Less formal
• Notify stakeholders and increment versions when a change is
required
3. Custody (least rigid)
• Least formal
• Merely requiring safe storage and a means of retrieval

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Three Levels of Control: Example

Sample list of
data assets and
possible control
levels


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Determining Levels of Control


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• ANSI 859 recommends the following
criteria:


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criteria:
– Cost of providing and updating the asset


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criteria:
– Project impact, when the change has
significant cost or schedule consequences


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criteria:
– Other consequences of change to the
enterprise or project


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criteria:
– Need to reuse the asset or earlier
versions of the asset


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criteria:
– Need to reuse the asset or earlier
versions of the asset
– Maintenance of a history of change

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Outline
important?
blocks
#dataed

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Polling Question #3
What percentage of providers of unstructured
data retain it forever?

a) 25%
b) 45%
c) 65%
d) 85%


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Backup and Recovery Plans and Procedures


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• The document and content management system needs to be
included as part of the overall corporate backup and recovery
activities for all data and information


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• Documents/records manager needs to be involved


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• A business continuity plan (Disaster
Recovery Plan) contains written policies,
procedures, and information designed to
mitigate the impact of threats to all media
and to recover them in a minimum amount
of time and disruption
• This requires:


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• This requires:
– Identification of vital records


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• This requires:
– Development of plans for protection and
recovery


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• This requires:
– Development of plans for protection and
recovery
– Maintenance of these plans

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Retention and Disposition Programs


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A document/records retention
and disposition program:


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• Defines the period of time
during which documents/
records must be maintained


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• Defines when the documents/
records are not active any
more and can be transferred
to a secondary storage facility


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• Defines when the documents/
records are not active any
more and can be transferred
to a secondary storage facility
• Specifies the processes for
compliance and the methods
and schedules for the
disposition of documents/
records

Audits: Example
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Document/records
management
requires auditing
on a periodic basis
to ensure that the
right information is
getting to the right
people at the right
time for decision
making or performing
operational activities


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Audits: Components


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Audits: Components
• Defining organizational drivers and
identifying the stakeholders that comprise
the “why” of document/records management


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Audits: Components
• Gathering data on the process (the “how”),
once it is determined what to
examine/measure and what
tools to use


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Audits: Components
tools to use
• Reporting the outcomes


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Audits: Components
tools to use
• Reporting the outcomes
• Developing a plan of action
for next steps and timeframes

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Outline
important?
blocks
#dataed

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Document & Content Management

      
      
      
      
      
      

      


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Goals and Principles


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1. To safeguard and ensure the
availability of data assets stored in
less structured formats.


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2. To enable effective and efficient
retrieval and use of data and
information in unstructured
formats.


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formats.
3. To comply with legal obligations
and customer expectations.


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formats.
4. To ensure business continuity
through retention, recovery, and
conversion.


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formats.
4. To ensure business continuity
through retention, recovery, and
conversion.
5. To control document storage
operating costs.

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Activities


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Activities
1. Document/Records Management


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Activities
– Plan for Managing Documents/Records


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Activities
– Backup and Recover Documents/Records


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Activities
– Retain and Dispose of Documents/Records


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Activities
– Audit Document/Records Management
– Implement Document/Records Management Systems for
Acquisition, Storage, Access, and Security Controls


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Activities
2. Content Management


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Activities
– Define and Maintain Enterprise taxonomies


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Activities
– Document/Index Information Content Metadata


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Activities
– Provide Content Access and Retrieval


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Activities
– Provide Content Access and Retrieval
– Govern for Quality Content

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Primary Deliverables


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• E-discovery records


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• Outgoing letters and emails


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• Policies and procedures


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• Audit trails and logs


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• Meeting minutes


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• Meeting minutes
• Format reports


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• Meeting minutes
• Format reports
• Significant memoranda


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• Meeting minutes
• Format reports
• Contracts and financial documents


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• Meeting minutes
• Format reports
• Contracts and financial documents
• Managed records in many media formats

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Roles and Responsibilities


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Participants:
• All employees
• Data Stewards
• DM Professionals
• Records Management Staff
• Other IT Professionals
• Data Management
Executives
• Other IT Managers
• Chief Information Officer
• Chief Knowledge Officer


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Participants: Suppliers:
• All employees
• Data Stewards
• Data Management
Executives


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• All employees • Employees
• Data Stewards
• Data Management
Executives


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• Data Stewards
• External parties
• Data Management
Executives


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• Data Stewards
• Other IT Professionals Consumers:
• Data Management
Executives


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• Data Stewards
• Data Management • Business and IT users
Executives


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• Data Stewards
Executives
• Government regulatory
agencies


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• Data Stewards
Executives
agencies
• Senior management


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• Data Stewards
Executives
agencies
• Senior management
• External customers


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Technology
• Stored Documents
• Office Productivity Tools
• Records Management Tools
• XML Development Tools
• Collaboration Tools
• Internet
• Email Systems
• Image and Workflow Management Tools


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Outline
important?
blocks
#dataed

Guiding Principles
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• Everyone in the organization
must create, use, retrieve,
and dispose of records in
accordance with the
established policies and procedures
• Experts in the handling of records and content
should be fully engaged in policy and planning
• Even if records management professionals are
not available to the organization, everyone can
be trained and have an understanding of the
issues. Once trained, business stewards and
others can collaborate on an effective approach
to records management from The DAMA Guide to the Data Management Body of Knowledge © 2009 by DAMA International

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Outline
important?
blocks
#dataed

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Overview: Document & Content Management


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References


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References, cont’d


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Questions?

+ =

It’s your turn!
Use the chat feature or Twitter (#dataed) to submit
your questions to Peter now.


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September 11, 2012 @ 2:00 PM – 3:30 PM ET
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