Data-Ed Online: Unlock Business Value through Document & Content Management

Unlock Business Value Through Document & Content Management
Organizations must realize what it means to utilize document and content
management in support of business strategy. The volume of unstructured
data is growing at an enormous pace. While we are still far away from
automated content comprehension, increasingly sophisticated technologies
are extending our business and data management capabilities into more
critical and regulated areas. This presentation provides you with an
understanding of the dimensions of these new developments, including
electronic and physical document monitoring, storage systems, content
analysis and archive, retrieve and purge cycling.

Learning Objectives
1

What is Document & Content Management and why is it important?

2

Planning and Implementing Document & Content Management

3

Document/Record Management Lifecycle

4

Levels of Control

5

Content management building blocks

6

Guiding principles & best practices

7

Understanding foundational document & content management concepts
based on the Data Management Body of Knowledge (DMBOK)

Date:
Time:
Presenter:

December 10, 2013
2:00 PM ET/11:00 AM PT
Peter Aiken, Ph.D.

MONETIZING
DATA MANAGEMENT

Unlocking the Value in Your Organization’s
Most Important Asset.

PETER AIKEN WITH JUANITA BILLINGS
FOREWORD BY JOHN BOTTEGA

1
Copyright 2013 by Data Blueprint

Executive Editor at DATAVERSITY.net

Shannon Kempe

2

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3

Peter Aiken, PhD
•
•
•
•
•
•
•
•

25+ years of experience in data
management
Multiple international awards &
recognition
Founder, Data Blueprint (datablueprint.com)
Associate Professor of IS, VCU (vcu.edu)
President, DAMA International (dama.org)
8 books and dozens of articles
Experienced w/ 500+ data
management practices in 20 countries
Multi-year immersions with
organizations as diverse as the
US DoD, Nokia, Deutsche Bank,
Wells Fargo, and the Commonwealth
of Virginia
4

2

Identify
Create,
approve,
enforce

Preserve
and dispose

Retrieve and
circulate

Classify

Store

Retain

Unlock Business Value
Through Document & Content Management

Presented by Peter Aiken, Ph.D.

10124 W. Broad Street, Suite C
Glen Allen, Virginia 23060
804.521.4056

• Data Management Overview
• What is document & content
management and why is it important?
• Planning and implementing
document & content management
• Levels of control
• Additional considerations
• Content management building blocks
• Guiding Principles
• Take Aways, References and Q&A

Tweeting now:
#dataed
6

The DAMA Guide to the Data Management Body of Knowledge

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
elements
Data Management
Functions

7

The DAMA Guide to the Data Management Body of Knowledge
Amazon:
http://
www.amazon.com/
DAMA-GuideManagementKnowledge-DAMADMBOK/dp/
0977140083
Or enter the terms
"dama dm bok" at the
Amazon search engine

Environmental Elements
8

What is the CDMP?
• Certified Data Management Professional
• DAMA International and ICCP
• Membership in a distinct group made up
of your fellow professionals
• Recognition for your specialized
knowledge in a choice of 17 specialty
areas
• Series of 3 exams
• For more information, please visit:
– http://www.dama.org/i4a/pages/
index.cfm?pageid=3399
– http://iccp.org/certification/designations/
cdmp

#dataed
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Data Management

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© Copyright this and previous years by Data Blueprint - all rights reserved!

Data Management
Manage data coherently.
Data Program
Coordination

Share data across boundaries.
Organizational
Data Integration

Data Development

Data Stewardship

Assign responsibilities for data.
Engineer data delivery systems.
Data Support
Operations

Maintain data availability.

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Five Integrated DM Practice Areas
Data management
processes and
infrastructure

Organizational Strategies

Implementation

Data Program
Coordination

Guidance

Goals

Organizational
Data Integration

Combining multiple
assets to produce
extra value

Integrated
Models
Achieve sharing of data within a
business area

Organizational-entity
subject area data
integration

Data
Stewardship

Standard
Data

Application
Models &
Designs

Provide reliable data
access

Direction

Data Support
Operations

Feedback
Leverage data in organizational activities

Data
Development

Business
Data

Data
Asset Use

Business Value

12

Overview:
Document &
Content
Management

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

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
• The control over capture, storage,
access, and use of data and information
stored outside relational databases
• Focus on integrity and access; roughly
equivalent to data operations
management for relational 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:
1. Document management:
•
•

The storage, inventory, and control of
electronic and paper documents
Encompasses the processes, techniques,
and technologies for controlling and
organizing documents and records (stored
electronically and 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
• 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
• 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
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Document/Record Management
• Lifecycle management of the
designated significant
documents of the organization
• Records can be physical,
electronic or hybrid
• 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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Federal Rules of Civil Procedure
• Zabulake v. UBS Warburg
– Trial judge instructed the jury that it could
assume that missing information was
probably damaging
– Zabulake was awarded $20 million

• Perleman v. Morgan Stanley
– Morgan Stanley "found" at least 120
backup tapes of email
– Morgan Stanley was fined $604 million in
compensatory and $850 million in punitive damages

• New federal rules
–
–
–
–

26(f) lawyers must know what is known, legal holds
26 (b) (2) [B] relative cost of the recovery and judgment
34 (b) data delivered in native format
37 (f) you are required to secure all relevant data
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Tweeting now:
#dataed
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Document/Record Management Lifecycle
Activities:
• Identify existing and
newly created documents/
records
• Create, approve, and
enforce documents/
records policies
• Classify documents/
records
• Retention policy
• Short and long-term
storage
• Retrieval and circulation
• Preserve and dispose

Identify
Create,
approve,
enforce

Preserve
and
dispose

Retrieve
and
circulate

Classify

Store

Retain


24

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Plan for Managing Documents/Records
• Documents management involves planning at different
levels of a document’s lifecycle:
(1)
Creation or
Receipt

•
•
•

(2)
Organization
for Retrieval

(3)
Distribution

(4)
Archiving or
Disposition

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

25

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Implementing Document/Records Management Systems
• Electronic documents must be
indexed during the capture process
so that they can be found
• 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
• Document storage includes document management
• Documents can be categorized for retrieval
• 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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Tweeting now:
#dataed
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Three Levels of Control
• Levels are based on the criticality of the data
and the perceived harm that would occur if
data were corrupted or otherwise 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

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
• ANSI 859 recommends
the following criteria:
– Cost of providing and
updating the asset
– Project impact, when the
change has significant cost
or schedule consequences
– Other consequences of
change to the enterprise or
project
– Need to reuse the asset or
earlier versions of the asset
– Maintenance of a history of
change

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Tweeting now:
#dataed
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Backup and Recovery Plans and Procedures
• 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
• Documents/records manager needs to be involved
• 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:
– Identification of vital records
– Development of plans for protection and
recovery
– Maintenance of these plans

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Retention and Disposition Programs
A document/records retention
and disposition program:
• Defines the period of time
during which documents/
records must be maintained
• 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

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

• Gathering data on the process (the “how”),
once it is determined what to
examine/measure and what
tools to use
• Reporting the outcomes
• Developing a plan of action
for next steps and timeframes
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Tweeting now:
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36

Goals and Principles
1. To safeguard and ensure the
availability of data assets stored in
less structured formats.
2. To enable effective and efficient
retrieval and use of data and
information in unstructured formats.
3. To comply with legal obligations and
customer expectations.
4. To ensure business continuity
through retention, recovery, and
conversion.
5. To control document storage
operating costs.

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Activities
1. Document/Records Management
–
–
–
–
–

Plan for Managing Documents/Records
Backup and Recover Documents/Records
Retain and Dispose of Documents/Records
Audit Document/Records Management
Implement Document/Records Management Systems for
Acquisition, Storage, Access, and Security Controls

2. Content Management
–
–
–
–

Define and Maintain Enterprise taxonomies
Document/Index Information Content Metadata
Provide Content Access and Retrieval
Govern for Quality Content

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Primary Deliverables
• E-discovery records
• Outgoing letters and emails
• Policies and procedures
• Audit trails and logs
• Meeting minutes
• Format reports
• Significant memoranda
• Contracts and financial
documents
• Managed records in
many media formats

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Roles and Responsibilities
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

Suppliers:
• Employees
• External parties

Consumers:
• Business and IT users
• Government regulatory
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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Tweeting now:
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Guiding Principles
• 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

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Tweeting now:
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44

Overview:
Document &
Content
Management

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References


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References, cont’d

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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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Data-Ed Online: Unlock Business Value through Document & Content Management

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