This solution set will assist you in determining if ECM is right for your organization, help you build the business case for stakeholder communication and support, and determine if the enterprise is ready to move forward with implementation. By completing this solution set you will: •Understand the various ECM concepts and technologies and how they relate to key considerations like worker productivity, managing information growth, and compliance. •Have a strategy to ECM implementation in alignment with corporate goals. •Establish a basis for ongoing ECM success. Use the metrics to determine if the ECM strategy is logical and to guide ongoing investment. Use this research to help navigate the ECM landscape and learn whether or not to implement it in your organization.

1. Develop an Enterprise Content Management Strategy Info-Tech Research Group

4. ECM is the strategies and tools to manage content, however it is defined Info-Tech Research Group The Association for Information and Image management ( AIIM ) provides the following definition: Enterprise Content Management (ECM) is the strategies, methods and tools used to capture, manage, store, preserve, and deliver content and documents related to organizational processes. ECM tools and strategies allow the management of an organization's unstructured information, wherever that information exists.

5. Info-Tech Research Group ECM Triggers Applications Key Factors Technologies Records Management Document Management Web Content Management Ancillary Technologies Deployment Plan & Costs Vendors Success Factors Trends Future Factors

6. Enterprise Content Management addresses the lifecycle of corporate information Enterprise Content Management integrates a variety of different technologies to manage an organization’s unstructured information, wherever it exists. Info-Tech Research Group

8. ECM projects are driven by many factors but a focus on IT efficiencies and niche technologies like collaboration, business process integration, and search provide the best complexity tradeoffs. Info-Tech Research Group The whole point of implementing ECM is collaboration. - Infrastructure Manager, Marketing Firm “ For litigation, there has to be a process in place of going through things, organizing them, and making sure all of the right stuff is there. This is important, but not the key driver for our project. - Infrastructure Manager, Marketing Firm “ ” ”

9. The ECM business case depends on three interlocking factors: compliance/litigation, IT efficiency, and business efficiency Dedicated ECM suites include both the core and fringe technologies. Internal efficiencies encourage IT departments to support ECM. But the real benefits for ECM lie within the business. Compliance and litigation get the attention of senior management and other key stakeholders.

11. Business efficiencies are the most important popular driver of ECM, but compliance/litigation & IT efficiencies are important parts of the business plan Info-Tech Research Group Compliance & Litigation Advantage: - The threat of litigation attracts buy-in from senior management. - Responding to litigation discovery requests can be very expensive. - Compliance initiatives force some degree of document management and retention. Disadvantage: - Not all industries have to comply with regulations. - For many organizations, litigation is rare event with very low probability. IT Efficiency Advantage: - All enterprises face the storage growth problem. - Delaying investment in storage can be used as an example of hard savings for a business case. Disadvantage: - CFOs have a common belief: disk is cheap. It's cheaper to add storage than to take a proactive response to data growth. - ECM is ultimately owned by the business. So the business must buy-in to the project. Business Efficiency Advantage: - User adoption is the key success factor for ECM. Engaging the business early improves adoption. - Business users generally complain loudly about the need for new systems to improve their productivity. Disadvantage: - The business benefits are soft. - A CFO that demands hard savings for the business case will quickly dismiss business efficiency. Not Important Very Important

16. Three perspectives demonstrate how the three factors are operationalized in ECM Info-Tech Research Group Compliance & Litigation Consider: A very large provider of shipping services maintained a yard where they stored the goods of partners and customers. Much of this material was damaged during a freak natural event resulting in several lawsuits. The shipping company was unprepared and turned to a consultant to facilitate the discovery process. Total discovery costs were almost $1-million for claims of approximately $2-million. The process was so painful that legal counsel determined that they should be better prepared for the inevitable next time. The project was driven by counsel. Even though the goal of the project concerned litigation defense, the project team quickly realized that they could leverage an ECM deployment for other reasons such as automating invoicing and providing knowledge support functions for the sales organization. IT Efficiency Consider: An IT manager for a professional services firm became incredibly worried about enterprise storage. He felt that the growth rate for information was excessive (~60% growth per year) and key stakeholders were reticent to remove documents from the fileshares. The engineers claimed that they needed all of their previous files just in case the same problem came up in the future. The manager developed a strategy where he would corral all key documents into an ECM system. They were the most frequently accessed and were related to core business processes. He maintained the ECM system with strict SLAs for uptime and backup. He demoted other fileshares to a cheaper tier of storage with less strict SLAs. The focus of the project was reducing both the cost of storage and the growth rate. The enterprise also gained efficiencies because the engineers were able to find the documents they needed, particularly when responding to compliance-driven requests. Business Efficiency Consider: A mid-sized insurance company was facing a key growth issue. They dealt with a variety of different policy types that were sold by different groups of brokers. Their processes, however, were highly manual. Fairly minor policy changes would trigger a cascade of manual processes to update the policy documents. The VP of IT suggested a document management system and worked with the business units to create an appropriate solution. All of the policies were maintained in a repository. The documents were accessed as part of strict update workflows. The focus of the project was to increase the efficiency of process workers but also resulted in other advantages. Multiple versions of documents were eliminated resulting in both storage benefits and an increased ability to respond to litigation discovery requests.

17. Info-Tech Research Group ECM Triggers Applications Key Factors Technologies Records Management Document Management Web Content Management Ancillary Technologies Deployment Plan & Costs Vendors Success Factors Trends Future Factors

18. History illustrates how disparate technologies came together to create ECM Info-Tech Research Group 1970s Records Management Document Management Business Process Management Web Content Management Blogs & Wikis 1980s 1990s 2000s 2010s ECM started with the management of paper records: where they were stored, how long they were maintained, etc. Only the metadata was managed. Users began to ask for systems that provided greater control for documents. System emerged that enabled process workers to collaborate and create documents. Two things changed in the 199os. Process workers asked for BPM tools and a need emerged for the management of web-based content. These tools rolled into ECM. The first decade of the 2000s saw massive industry consolidation and the formation of true ECM providers. Social computing also emerged as an important force for content creation. ECM continues to evolve in 2010. It includes document management, records management, and WCM. It also includes new sources of enterprise content. ECM concerns the creation, control, organization, access, and disposition of content anywhere in the enterprise. If it has words and can be stored, it is ECM. Info-Tech Insight:

19. ECM strategy is implemented with a variety of different technologies Info-Tech Research Group The core of ECM is a pyramid of three technologies: records management, document management and web content management. ECM bleeds into a fringe of related ancillary technologies like archiving and collaboration. Dedicated ECM suites include both the core and fringe technologies.

21. Email: Is it a document or a record ? It’s not a record… Info-Tech Research Group … it should be a document . Info-Tech is commonly asked a basic question: “What is the retention period for email?” The answer depends on the type of information contained within the email. If the email archive contains records, then the email repository has to be maintained for as long as the minimum retention period for the contained records. If, for example, a power generation facility has maintenance records that are only contained in the email system, then that email repository would have to maintained for 30 years after the facility is decommissioned! The only tenable strategy is to remove email that represents records from the email archive and then set the retention period based on IT efficiencies or business efficiencies. IT, for example, may elect to automatically delete email that is older than one year. Alternatively, Knowledge Workers may be allowed to keep their email for five years to serve as a knowledge repository. Make sure there are no records in the email repository. This step will make it much easier to meet compliance and litigation goals. Info-Tech Recommends:

24. Many ECM deployments depend on an array of ancillary technologies for search, workflow & other parts of an ECM solution Info-Tech Research Group The Repository is the core of an ECM system. It is where the content is stored and maintained. They are generally database driven. Repository technologies are typically vendor proprietary but standards like JSR-283 and CMIS articulate how different repositories can interoperate. A deployment may have one or more repositories depending on the requirements. ECM also includes a variety of other technologies. They may be included as part of the package or may be provided by partner functionality:

25. Info-Tech Research Group ECM Triggers Applications Key Factors Technologies Records Management Document Management Web Content Management Ancillary Technologies Deployment Plan & Costs Vendors Success Factors Trends Future Factors

26. The first two months of an ECM project are about building the business plan, assessing organizational readiness, and estimating project costs. Info-Tech Research Group Establish the business need. Build the project team. Assess organizational readiness. Determine approximate cost. Develop the Business plan. The first step in an ECM project is identifying the need. There must be some trigger for the process typically related to litigation/compliance, IT efficiencies, or business efficiencies. Deliverable: A statement of direction. It should include the executive sponsor for the team and have representation from the business units that will be affected by the project. Legal counsel is a crucial part of teams involving compliance/litigation. The project team will have an important role in both scoping the project and ultimately in product selection. Deliverable: A team list. Solutions may involve a great deal of technical and process complexity. Enterprises must ensure that they either have the appropriate resources in place or are willing to acquire or build those resources. Deliverable: Appropriateness assessment. If the preliminary requirements can be met by a set of products but those products are excessively expensive, then the enterprise must reconsider either requirements or approach. This cost can be difficult to quantify due to extreme range in quoted costs. Deliverable: A rough-cut cost estimate that meets senior management expectations. An important part of the project is to prepare a business plan that explores the potential benefits of a particular solution and how they will affect different parts of the organization. It should explore market dynamics and include both an opportunity assessment and recommendations. Deliverable: Completed business plan. :: Month 1 :: :: Month 2 ::

28. The business plan… is it necessary? Absolutely! … but it will be tough to put together. Info-Tech is commonly asked a basic question: “What numbers should I put in a business case?” The numbers for an ECM business plan can be exceptionally difficult to determine. What is more important is to establish a solid business purpose for the project. Consult with the different business units to determine the needs and direction and use those to create a common direction for the ECM project. Be aware that any numbers will be subject to criticism from other stakeholders. IT’s concerns about storage growth may be dismissed with “but disk is cheap” while counsel’s fears about litigation are met with “it’s a rare event.” ROI may not be important but common purpose is. If there is no common purpose there is no ECM project. Whatever your driver, one of the biggest challenges is access. If you want to go by dollars and cents, it’s going to be hard. Make sure you have a solid business case – the driver does not have to be dollars and cents , we had a disaster is a good enough reason. You need to have a solid understanding of why you are implementing ECM. IT Consultant, Financial Services “ ”

29. Finding numbers for a business case is difficult, but there is some low-hanging fruit Getting a hard ROI is very difficult for ECM unless you’re talking about filing cabinets. Analyst, Professional Services Firm “ ”

30. ECM costs vary drastically 0 Consider: A power generation and distribution company wanted to deploy an ECM solution to manage internal documents for 150 users. The team originally considered extending their existing SharePoint deployment. Their requirements were not, however, met by SharePoint given their needs for compliance driven records management and their need to maintain engineering drawings. RFPs revealed a wide range in estimated costs. Option 1: Existing technology (SharePoint Services) Concerns: SharePoint Services was inexpensive. It could meet rudimentary business efficiency needs for knowledge workers but was wholly inappropriate for both compliance considerations and the needs of knowledge workers. $6,000 $0 licensing Consulting 30% of total Option 2: Existing technology (SharePoint Server) Concerns: SharePoint Server was more appropriate for the project. The project team still had concerns about its appropriateness for records and for engineering drawings. Option 3: RFP from leading ECM vendors Concerns: The RFP responses varied widely in their quality and approach. The team was impressed, however, with the solutions built specifically for their needs and their industry. This domain experience was important for final selection. $105,000 $40,000 licensing Consulting 50% of total $250,000 to $1-million Requirements are crucial. Poorly scoped projects create widely variable RFPs that are very difficult to evaluate. Info-Tech Insight:

31. SharePoint costs are more predictable than those of ECM suites. On average, WSS costs $36 per user while MOSS costs $704 0 Info-Tech Research Group *Cost are per year, and will vary depending on implementation size, licensing agreements, degree of customization and use of third party solutions. Source: Info-Tech Research Group Consulting Cost per User $15 Hardware $21 License Consultant $352 Hardware $112 License $240 Cost per User WSS costs $36* per user per year, and comes with basic functionality appropriate for smaller organizations with basic needs. MOSS costs $704* per user per year and comes with advanced functionality options such as indexing. Our needs are completely met right now with WSS 3.0. We have no intentions of upgrading. - IT Manager, Large Healthcare Organization “ ”

34. Months 3 & 4 of an ECM project get to the vendor shortlist Info-Tech Research Group Create requirements. Decide: Existing technology or go-to-market. Identify Vendors. Prepare RFP. Shortlist vendors. Moving from project objectives to a tactical plan requires the creation of functional requirements. They must identify what the system should do and, ideally, how it should be done. Deliverable: Completed solution specification. Many ECM initiatives can be accomplished using technology that the enterprise has already licensed (e.g., SharePoint). That technology must be evaluated for appropriateness for the business requirements. If it isn't appropriate, move to the next step. For more information on SharePoint for ECM, see “ Evaluate SharePoint for ECM .“ The next step is to identify potential suppliers of packaged solutions. This long list should include considerations such as solution architecture, functional requirements, and vendor reputation. The list should be compiled in consultation with the project team. Deliverable: Vendor long list. The vendors must be compared in a consistent manner. The RFP presents an opportunity to ask questions that reflect requirements to potential vendors. The completed RFPs should then be assessed with consideration of both the requirements and the business plan. Deliverable: Completed RFP The project team must evaluate the RFPs to determine which vendor presents the best potential fit for the enterprise. Deliverable: Vendor short list. :: Month 3 :: :: Month 4 ::

39. ECM Suites are present alternatives to SharePoint. They are only appropriate for enterprises that must provide at least two of the functional areas of ECM Info-Tech Research Group Document Management ECM Suites Web Content Management Records Management Potential Providers For more information, see Info-Tech’s “ Select the Best Enterprise Content Management Suite ” Other sources of vendor information include the DOD 5015.2-STD product register (for Records Management) and the AIIM Solution Provider Locator .

40. Many vendors provide ancillary tools for ECM Info-Tech Research Group Wikis and blogs Search Analytics Digital Asset Management Workflow Archiving eDiscovery Capture Forms

41. Do small businesses need full-blown ECM? Probably not … but they still need to handle the problems of ECM. Info-Tech is commonly asked a basic question: “Can I do ECM for less than $50,000?” The answer is no. You can, however, put together a solution to address the basic requirements. The most common problem is related to the need to support knowledge workers. In these cases, Windows SharePoint Services or SharePoint Foundation can deliver basic capabilities with little licensing costs. Other enterprises turn to collaboration services to get basic document management features without the expense of an entire suite. SaaS is starting to present a third option. SaaS-based ECM can be an affordable option for enterprises that need to support fewer than 50 users with tightly defined requirements. Vendors include: Inexpensive systems that fail to meet enterprise needs for records will not be successful. Either keep them out of the project scope or select a system that will meet basic requirements. Info-Tech Recommends: For more information on SharePoint, see Info-Tech’s “ Select the Right Collaboration Platform .”

42. By the end of six months, the vendor should be selected & the project focus should turn to deployment Info-Tech Research Group Conduct demonstrations Perform due Diligence Negotiate Plan deployment Shortlisted vendors should conduct a product demonstration at the enterprise's site. The content of the demonstration should be scripted to a certain extent by the enterprise. Scoring of the demonstrations should happen immediately upon the conclusion of the demonstration. Deliverable: Completed vendor score cards. The demonstration process will likely result in a very short list including only a few vendors. The analysis must now shift to confirming the ability of these vendors and their integration partners to successfully complete the project. The final purchase price and contract terms must be negotiated with the vendor. This process ultimately results in a signed contract. Deliverable: Finalized contract. The implementation process begins with the creation of detailed deployment plan. The preparation of the deployment plan will occur in conjunction with the vendor and the implementation partner. Deliverable: Detailed deployment plan. :: Month 5 :: :: Month 6 ::

43. Teams recognize that end-user adoption is the most important component of ECM project success but underemphasize the importance of formal deployment & maintenance Info-Tech Research Group IT teams recognize that end-user adoption is the most important aspect of ECM success. They often emphasize factors like the use of a formal deployment approach and gaining executive support. This effort comes at the expense of other factors like planning for deployment and maintenance. Functionality is a thimble-full compared to the bucket-full required for end-user adoption. ECM implementation changes end-user lives. - IT Leader, Non-Profit “ ”

49. ECM governance: recognize that ECM technology must interact with policy & control technology Info-Tech Research Group ECM technology automates the administration of the policy. But controls are still required to ensure that the policy is being met. The use and management of ECM systems must be guided by policy. IT Efficiency Compliance Litigation Business Efficiency

50. Most ECM projects overlook the importance of control technology Info-Tech Research Group Policy Policy must generally dictate how content is used, who can access content, how content is described and retrieved, and how it is disposed. Each functional area of ECM has its own policy requirements. Compliance/litigation requires policy governing acceptable use and retention. IT efficiencies also requires policy that dictates how content is accessed using existing storage, networking, and authentication tools. Business efficiencies are enacted in policies mandating business processes. ECM Technology ECM technology provides a means for facilitating polices. Compliance retention schedules, for example, can be automated. Similarly, the work processes of both knowledge and process workers can be facilitated using ECM technology. Control Technology All business procedures require controls to ensure that the procedures are completed appropriately. ECM is no different. The term “control technology” entered the business lexicon in the wake of the business scandals that promulgated Sarbanes-Oxley. Auditors and judges now know to ask whether or not a policy is consistently applied. The only way to demonstrate its application is via controls. Consider: A female employee left a legal firm following allegations of sexual harassment. She sued her former employer. As part of the discovery process, her team requested copies of all email containing certain defamatory words that had been sent by her manager during the final year of her employment. The legal firm maintained that those emails wouldn’t exist because their employee handbook explicitly prohibited such language (i.e., policy). Furthermore, they regularly audited their email repository for occurrences of that type of language and disciplined infringing employees appropriately (i.e., control technology).

51. Info-Tech Research Group ECM Triggers Applications Key Factors Technologies Records Management Document Management Web Content Management Ancillary Technologies Deployment Plan & Costs Vendors Success Factors Trends Future Factors

52. The ECM market has consolidated drastically in the last six years & a limited number of vendors dominate