3. 36 MAY/JUNE 2015 INFORMATIONMANAGEMENT
Taming the Information Explosion
with Enterprise Content Management
Shiva Hullavarad, Ph.D.; Russell O’Hare, Ed.D., CRM;
Ashok Roy, Ph.D., CBA, CIA
RIMFUNDAMENTALS

4. MAY/JUNE 2015 INFORMATIONMANAGEMENT 37
retention rules that ensure it is kept
for the required time and automati-
cally deleted after the retention re-
quirement is fulfilled.
3) Features/Attributes – An ECM
system is equipped with features
meant to achieve specific business
purposes. For example:
• Data archival provides a sys-
tematic approach for archiving
and retrieving information us-
ing select keywords.
• Intelligent data capture con-
I
nformation is among every orga-
nization’s most valuable business
assets, regardless of its size or busi-
ness. As the fuel that powers their
unique business processes – from
product development, to sales and
marketing, product/service delivery,
and business management – infor-
mation must be captured, processed,
accessed, measureed, integrated, and
stored efficiently and effectively.
For most, this is an ongoing chal-
lenge; implementing enterprise con-
tent management (ECM), which is
broadly defined as the strategies,
tools, processes, and skills needed to
manage all information assets over
their life cycle, can be a good solution.
Implementing an ECM system,
which is a single, decentralized sys-
tem that can serve multiple systems
and business areas, offers robust func-
tionality for systematically control-
ling and analyzing an organization’s
increasingly complex and voluminous
information, whether it is in a struc-
tured format (e.g., in databases), un-
structured format (e.g., e-mail, word
processed, spreadsheet, image, audio,
video), or hard copy.
ECM Functionalities
As shown in Figure 1, an ECM
solution typically consists of four es-
sential functionalities:
1) User interface – The user in-
terface brings information (digital
or non-digital) into an ECM system.
This is accomplished, for example,
by scanning hard-copy documents to
convert them into electronic images,
by uploading a born-digital document
such as a Google doc word processing
file, or being fed from an enterprise
resource planning (ERP) system the
organization uses to collect informa-
tion from many business activities.
2) Information governance – This
key functionality is what separates
ECM solutions from other digital
archival systems. For example, the
information governance functionality
assigns incoming information-specific
for connecting different data
streams.
• Information disposal affixes a
post-dated time to information
that will be automatically ap-
plied to delete it in compliance
with its retention require-
ments.
4) Repository – ECM systems
provide a secure approach to storing
information for on-demand access. A
variety of information storage proto-
cols allow information to be stored on
Figure 1: Typical ECM Architecture
verts image-based information
to a computer readable format
by using optical character rec-
ognition.
• Workflow provides an auto-
mated process for informa-
tion flowing through different
stages; this is based on a pre-
configured logic.
• Integration/Data process-
ing is a built-in information
management functionality
arrayed disks to allow for enhanced
data security. The repositories can be
onsite or in the cloud.
ECM Implementation Goals
The main goal of an ECM imple-
mentation is to provide transparent
content sharing by making different
and incongruent applications (for ex-
ample, web content management and
records management) interoperable.
With a complete suite of product
ECM User Interface
Scanner/
Image Capture
Device
ERP Google Apps Microsoft
Office
Records
Management
Records
Security
Records
Retention
Records
Interoperability
Data Servers
File Servers
Infrastucture
Storage
Cloud Storage
Services
Magnetic Tape
DVD
Microfiche
Data Archival Integration Security Workflow
Intelligent
Data Capture
Data
Processing
Access
Information
Disposal
ECM Information Governance
ECM Features
ECM Repository

5. 38 MAY/JUNE 2015 INFORMATIONMANAGEMENT
options, an ECM system can manage
and integrate data systems, automate
document handling, reduce workload
by streamlining tasks, provide trace-
ability and version control, reduce
duplication, and improve search
and retrieval for information across
platforms. This reduces costs and the
burden on IT departments for infor-
mation storage and retrieval.
Therefore, transitioning to an
ECM can help an organization in-
crease its decision-making capa-
bilities, improve customer service,
enhance employee creativity and
productivity, facilitate compliance
with regulations, eliminate unneeded
information on servers and in filing
cabinets, implement business con-
tinuity measures, and, ultimately,
enhance its reputation in the eyes of
its stakeholders.
ECM Implementation Stages
As shown in Figure 2 and de-
scribed below, there are four stages
of an ECM implementation plan: 1)
Roadmap Strategy; 2) Development;
3) Deployment; and 4) Support.
Stage 1: Roadmap Strategy
The primary goal of ECM imple-
mentation roadmap strategy is to es-
tablish the information governance
for the life cycle of the information
based on establishing an amalgam-
ated, interoperable space that will
reduce the content classification bur-
den for the end user. A well-developed
strategy:
• Encompasses the majority of
records, including paper and
electronic, unstructured and
structured
• Meets the needs of a wide va-
riety of stakeholders
• Enables the organization to
respond to legal discovery
• Automates business processes,
removing the inconsistency of
manual processes
• Brings the organization up to
date with respect to technology
Follow these steps to develop the
roadmap strategy.
Conduct a needs assessment.
The “Forrester Wave™: Enterprise
Content Management, Q3 2013” re-
port by Alan Weintraub, Craig Le
Clair, and Cheryl McKinnon said
ECM requirements are driven by user
productivity goals and compliance
needs. This means that identifying
the best ECM solution depends on
knowing how the organization intends
to use the information that will be
stored in it.
An organization’s business needs
are inherent and specific to the nature
of its business and culture, so the
needs assessment should sufficiently
cover:
• Existing technology infra-
structure/environment, readi-
ness
• Change management
• Immediate and long-term
training
• Information security and
alignment with regulatory
compliance
• Taxonomy and metadata re-
quirements for data classifica-
tion and retrieval
RIMFUNDAMENTALS
• Records management and in-
formation governance
• Storage capacity – on premises
and in the cloud
• Disaster recovery strategy
Get stakeholder buy-in. An in-
formation governance team compris-
ing representatives from all stake-
holder groups should act as a catalyst
to enforce consistent governing poli-
cies, such as for the adoption of an
organization file plan or classification
scheme; use of the taxonomy; and ap-
plication of retention, disposal, and
archival rules.
Identify the perceived benefits.
Identification of tactical benefits may
include improving internal and exter-
nal collaboration, enhancing content
quality and maintaining consistency,
standardizing workflows, producing
organizational metadata attached to
content objects, and provisioning for
regulatory requirements.
Determine strategic require-
ments. These requirements can be
broadly grouped under three catego-
ries:
1. Organizational Requirements:
• Information governance
• Management of official records
Figure 2: ECM Implementation Stages
ECM Implementation Considerations
ECM Roadmap Strategy
ECM Development
ECM Deployment
ECM Support
Business
Needs
Needs
Assessment
Stakeholder
Buy-In
Perceived
Benefits
Strategic
Requirements
Business
Requirements
and Analysis
Customize
Solution
Design
Solution
Build
Solution
Test
Solution
Plan
Implementation
Test and
Validate
Plan
Prepare
Deployment
Deploy
Solution
Confirm
Benefits
Technical
Support
Structure
System
Upgrades
User
Training
Support Level
Customization
In-House
Support
ECMStages

6. MAY/JUNE 2015 INFORMATIONMANAGEMENT 39
• Regulatory compliance
• Knowledge of industry best
practices
2. Access and Collaboration Require-
ments
• User-easy access, easy retriev-
al of information
• Information sharing
• Defined access rights & privi-
leges based on roles
• Automation, workflow
3. Functional Requirements:
• Based on information/records
governance and access
• Information protection from
loss and retained per retention
• External investigation and ob-
ligation may be met easily
• Reduction in information over-
load
A well-planned roadmap strategy
will help ensure user adoption.
Stage 2: ECM Development
ECM solutions are not plug-and-
play and can be customized based
on application data and content.
Every business process is different
with varying inflow of information
originating internally and externally.
Although ECM solutions for specific
business types, such as health care,
finance, education, insurance, and
research and development, provide
some basic functionality that is spe-
cific to those industries, a certain
degree of product customization is
necessary.
Numerous ECM providers offer a
suite of solutions suitable for organiza-
tions of all sizes and with varied types
and volumes of information. The Infor-
mation Systems Audit & Control Asso-
ciation’s COBIT 5 (Control Objectives
for Information and Related Technolo-
gies) framework – which is globally
accepted and provides an end-to-end
business view of the governance of
enterprise IT – recommends a model
for selecting ECM solutions based on
the organization’s nature of business,
size, risk tolerance, resources avail-
able, program governance, ease of
standardization across the enterprise,
and opportunity for continuous review
of quality improvements.
The likelihood of ECM success
depends heavily on the outcome of
connected workflow execution order
and process schedules. The following
may be considered in designing the
ECM to:
• Route documents in a stan-
dard, controlled, and prompt
manner
• Accommodate exceptions by
assigning specific users with
rights to add or exempt stages
on an ad hoc basis
• Forward documents without
delay to each successive phase
• Prioritize documents in each
queue. If there is no priority
assigned, the documents are
sorted by the date and time
they enter the life cycle.
• Monitor and measure the time
to complete a process
• Audit queues for periodic re-
view for quality assurance
• Add or adjust processes at the
document, process, group, or
enterprise level by specified
users or administrators
• Enable point-and-click config-
uration to customize both the
routing and the user interface
without programming
Stage 3: ECM Deployment
The detailed deployment and vali-
dation plan is critical to achieving
timely implementation of the ECM.
The deployment should be piloted in
a test environment to discover any
process-related bottlenecks before
ECM is migrated to the production
environment. Figure 3 provides in-
dustry standards for stress testing
key functionalities, such as large data
handling or varied types of data in-
flow, for understanding any missing
feature during the course of deploy-
ment.
Stage 4: ECM Support
Training personnel and keeping
pace with upgrades for the deployed
ECM solution should be part of the
ECM vendor’s product support. Some
ECM providers require power users
who serve in an ECM administra-
tive capacity to get certified against
standardized testing.
The ECM implementation team
must develop training methods that
are carefully customized for user
preference (e.g., video vs. PowerPoint
presentation) to ensure that they will
engage personnel through all stages
Stress Test Type Process
Volume handling Assume 50% of employees log on to the ECM, handling at least 60% of the total data/information
volume. Repeat for two different scenarios.
Processing power • Based on information load, write at least 250 scanned pages per minute
• Response to user input – retrieval rate
• Recover from server failure within 10 minutes
Test Configuration • Multiple physical servers, hosted on VMWare and running VMWare for failover
• Dynamic reallocation of computing resources across cluster
Figure 3: Industry Standards for Stress Testing Key ECM Functionalities

7. 40 MAY/JUNE 2015 INFORMATIONMANAGEMENT
of testing, upgrading, and extending
ECM functionalities.
Barriers to Success
AN ECM implementation is often
hindered by incompatibility between
the ECM platform and the existing
technology environment. The ECM
solution must be compatible with
the existing software applications in
use for routine job functions, such
as editing documents, storing data
files, searching, and electronic record
fabrication and preservations.
In other cases, projects fail dis-
mally for lack of:
• A proper initial needs assess-
ment
• A broad stakeholder pool
• A good deployment plan
• Executive support for the proj-
ect
See the sidebar “Keys to a Success-
ful ECM Implementation” for strate-
gies to avoid these barriers.
Keys to Success
The success of an ECM imple-
mentation lies in articulating the
perceived benefits and potential of
system efficiency. To achieve these
benefits, organizations must involve
all stakeholders in selecting the ECM
product and vendor, developing the
implementation plan, deploying the
plan, and training users. Mapping the
organization’s information manage-
ment needs, culture, and business
processes and threading those into
an ECM implementation roadmap
strategy will enable organizations
to weather the big data and be in
compliance.
A small gap between perceived
benefits and user adoption is a clear
indication of a well-planned roadmap.
ShivaHullavarad,Ph.D.,canbecontactedat
sshullavarad@alaska.edu. Russell O’Hare,
Ed.D., CRM, can be contacted at rjohare@
alaska.edu. Ashok Roy, Ph.D., CBA, CIA,
can be contacted at akroy@alaska.edu.
See their bios on page 47.
RIMFUNDAMENTALS
Keys to a Successful ECM Implementation
1. Identify realistic functional needs and configure the ECM solution to meet them –
not the other way around. The functional needs should drive the technology; the
technology should not drive the implementation.
2. Include all stakeholders at the initiation of the process, including top-level execu-
tives, and get their buy-in.
3. Analyze the content before deciding on an ECM solution.
4. Delineate security access controls, roles, and responsibilities.
5. Document access and approval procedures.
6. Define the quantitative expected outcomes for the organization.
7. Be prepared to accept the fact that launching an ECM is just the beginning of a long
process that involves training, routine upgrades, and certifications.
ECM System Components and Major Features
The major components of an ECM system, according to Gartner’s September
2014 ECM Magic Quadrant, and their major features are summarized below:
• Document management – has check-in/out capabilities, version control,
security, library services
• Web content management – controls the website content through manage-
ment tools; includes content creation and deployment functions
• Records management – allows long-term retention of content through au-
tomation and policies to ensure legal/regulatory/industry compliance
• Image-processing applications ¬– captures, transforms, and manages im-
ages of paper documents
• Social content – allows document sharing and collaboration support for
project teams and knowledge management use
• Content workflow – supports business processes, routes content, assigns
tasks, creates audit trails
• Extended components – can include mobile applications, digital asset
management, search, analytics, and packaged integration capabilities
Disclaimer
The views and opinions expressed in this article are solely by the authors. No
reliance should be placed upon this article for making legal, business, or other
important decisions. The University of Alaska and the authors do not endorse
and/or approve any affiliations to any commercial entities, and the study re-
ported in this paper is for education and knowledge dissemination purposes only.

8. MAY/JUNE 2015 INFORMATIONMANAGEMENT 47
Digital Vellum and Other Cures for Bit Rot Page 20
Marc Kosciejew, Ph.D. is a lecturer of library, information,
and archive sciences within the Faculty of Media and
Knowledge Science at the University of Malta. He received
his honours bachelor degree in political science from the
University of Toronto and his masters and Ph.D. degrees
in library and information science from Western University
in London, Ontario, Canada. He also holds certificates in
web search strategies, records management, and freedom
of information and protection of privacy from the Univer-
sity of Toronto. He can be contacted at mkosciej@gmail.com.
The Principles: Using the Principles to Guide EDRM Soft-
ware Decisions Page 26
Julie Gable, CRM, CDIA, FAI, is the retired president and
founder of Gable Consulting LLC, a firm that served clients’
information governance needs for the past 25 years. The
author of numerous articles on information-related topics,
she has a master’s degree in finance from St. Joseph’s Uni-
versity and a bachelor’s degree in management from Drexel
University. Gable can be contacted at juliegable@verizon.net.
Avoiding the Hammer: Defensible Strategies for FRCP Pro-
posed Rule 37(e) Page 32
Katherine Aversano, J.D., is an historic research and informa-
tion specialist at the U.S. Department of Justice. For more
than six years, she has served government agencies on en-
gagements involving environmental litigation. Her practice
includes electronic discovery, information management, and
litigation consulting. Aversano, who earned her legal degree
from Howard University School of Law, can be contacted at
katherine.aversano@gmail.com.
Joe Starnes, J.D., is a senior associate with Deloitte Transac-
tions and Business Analytics LLP, focusing on discovery and
supporting federal litigation involving environmental claims.
He has more than three years of experience serving federal
government agency clients. Starnes earned his law degree at
Vermont Law School. He can be contacted at jmstarnes@gmail.com
RIM Fundamentals: Tamingthe InformationExplosionwith
Enterprise Content Management Page 40
Shiva Hullavarad, Ph.D., is the University of Alaska System
enterprise content management (ECM)/enterprise records
management (ERM) administrator, where he oversees the
active and inactive records. He is also responsible for main-
taining the ECM platform and providing oversight for the
implementation and management of the system. He has
authored 81 technical papers and presented at national confer-
ences. Hullavarad can be contacted at sshullavarad@alaska.edu.
Russell O’Hare, Ed.D., CRM, is the chief records officer for
the University of Alaska System where he is responsible for
the university records information compliance program, ap-
proves university retention and disposition schedules, and
oversees the statewide records center, micrographics, and
enterprise content management offices. He can be contacted
at rjohare@alaska.edu.
Ashok Roy, Ph.D., CBA, CIA, is the vice president for finance
& administration / chief financial officer for the University
of Alaska System, as well as associate professor of business
administration. He has authored more than 88 publications
on business topics, including a chapter in two encyclopedias.
He can be contacted at akroy@alaska.edu.
Culture and Community: IG in the Global Arena Page 42
Nancy Dupre Barnes, Ph.D., CRM, CA, holds a Ph.D. in educa-
tional psychology and research from the University of Kansas
and a bachelor of arts degree in political science from the
University of Massachusetts. She has provided records and
information management, data analysis, and research-related
services to organizations in a variety of sectors. Barnes is a
self-employed consultant who can be contacted at ndbarnes@
ymail.com.
Making Sense of Brontobytes Page 46
Judy Vasek Sitton, CRM, is an information governance analyst
for Kinder Morgan in Houston. A Certified Records Manager
for more than 25 years, she has designed, implemented, and
managed record systems for organizations in a variety of
industries. Vasek Sitton co-authored the ARMA-published
book Managing Active Business Records in 2014, has written
several articles for national publications, and is a frequent
speaker for university classes and association meetings.
She earned a bachelor of arts degree from Our Lady of The
Lake University in San Antonio, Texas. Vasek Sitton can be
contacted at jvscrm@yahoo.com.
AUTHORINFOContact Information
AVERSANO DUPRE BARNES GABLE HULLAVARAD KOSCIEJEW O’HARE ROY STARNES VASEK SITTON