EntErprisE ContEnt ManagEMEntA Business and Technical Guide

Stephen A. Cameron

Information is the lifeblood of knowledge. With so much to capture there is usually too little time and resource to make sense of it all. Enterprise Content Management aims to help you capture, preserve and deliver information as a corporate asset in a consistent, natural and re-usable way. Split into two halves, this book presents a structured approach to developing an organisational repository of knowledge. The business guide provides the business prerequisites for establishing ECM, whilst the technical guide outlines the delivery aspects, including a future trends chapter.

• Fullycapitaliseontheinformationyouhold• Identifythetypeandvalueofvitalinformation• Developaviable,consistentandmeasurable businesscaseforECM

• Getuniquebusinessandtechnicalperspectives• SeehowWikileaksmightbenefitfromECM

About the AuthorStephen Cameron has spent his career working in engineering and information businesses as a vendor, a consultant and as a customer. With over 30 years in industry combined with many years in consultancy, he brings a wealth of experience and considered executive and architectural thought leadership to the world of ECM.

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thEWorlDBEYonDDIGItalrIGhtSManaGEMEntJude Umeh

DataProtECtIonanDCoMPlIanCEInContExtStewart Room

Even the most hardened of ECM professionals will find this book of great value.Chris Blaik, Director of Marketing for EMEA, EMC Corporation

Cameron writes in a refreshingly clear way, free of techno-speak and brochure-talk.Doug Miles, Director Market Intelligence, AIIM

Possibly the best way to get into ECM.... Pure content, no marketing!Nikos Anagnostou, Enterprise Technology Strategist, Microsoft EMEA

Business

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Stephen A

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EntErprisE ContEnt ManagEMEnt A Business and Technical Guide

Stephen A. Cameron

ENTERPRISE CONTENTMANAGEMENTA Business and Technical Guide

‘ECM in this regard surely means Every. Chapter. Matters.

Even the most hardened of ECM professionals will find this book of great value,whether it helps them to remember the good old, bad old days when documents weredocuments and you knew which vendors did what; or whether you want to take a lookat what lies ahead in this ever-changing market.

What is certain is that with the explosion of content (whatever the format), and with theincreased need for regulations/control, whilst the demand for content liberation forcollaboration grows like we have never seen before, this book will help you get yourarms around this dynamic and business critical subject.’

Chris Blaik – Marketing Director, Head of EMEA and Global Industry Campaigns,EMC Corporation

‘This is a very comprehensive discourse on ECM, and information management in itswider sense. The first part of the book is part business justification, part philosophicaldiscussion, and is pitched at MBA level. The second half is a technical guide, but alsopitched at senior project management level. Cameron certainly has a deep, deepknowledge of all things ECM, but writes in a refreshingly clear way, free of techno-speak and brochure-talk.

Doug Miles – Director Market Intelligence, AIIM

‘Another book on ECM? Yes! A USEFUL book on ECM! If you are new to ECM and want to getinto it, this is possibly the best way to start. If you are planning a project or you are an ECMprofessional, a great, independent, handbook to approach, get started, update and extendknowledge, fill gaps, get a view on where ECM is evolving too. Pure content, no marketing!’

Nikos Anagnostou – Enterprise Technology Strategist, EMEA, Microsoft Corporation

BCS, The Chartered Institute for IT

Our mission as BCS, The Chartered Institute for IT, is to enable the information society.We promote wider social and economic progress through the advancement ofinformation technology science and practice. We bring together industry, academics,practitioners and government to share knowledge, promote new thinking, inform thedesign of new curricula, shape public policy and inform the public.

Our vision is to be a world-class organisation for IT. Our 70,000 strong membershipincludes practitioners, businesses, academics and students in the UK andinternationally. We deliver a range of professional development tools for practitionersand employees. A leading IT qualification body, we offer a range of widely recognisedqualifications.

Further Information

BCS, The Chartered Institute for ITFirst Floor, BlockDNorth Star House, North Star AvenueSwindon, SN2 1FA, United KingdomT +44 (0) 1793 417 424F +44 (0) 1793 417 444www.bcs.org/contactus

ENTERPRISE CONTENTMANAGEMENTA Business and Technical Guide

Stephen A. Cameron

� 2011 Stephen A. Cameron

Stephen A. Cameron hereby asserts to the Publishers his moral right to be identified as the Author of theWork in accordance with sections 77 and 78 of the Copyright, Designs and Patents Act 1988.

All rights reserved. Apart from any fair dealing for the purposes of research or private study, or criticism orreview, as permitted by the Copyright Designs and Patents Act 1988, no part of this publication may bereproduced, stored or transmitted in any form or by any means, except with the prior permission in writing ofthe publisher, or in the case of reprographic reproduction, in accordance with the terms of the licences issuedby the Copyright Licensing Agency. Enquiries for permission to reproduce material outside those termsshould be directed to the publisher.

All trade marks, registered names etc acknowledged in this publication are the property of their respectiveowners. BCS and the BCS logo are the registered trade marks of the British Computer Society charity number292786 (BCS).

Published by British Informatics Society Limited (BISL), a wholly owned subsidiary of BCS The CharteredInstitute for IT First Floor, Block D, North Star House, North Star Avenue, Swindon, SN2 1FA, UK.www.bcs.org

ISBN 978-1-906124-67-0

British Cataloguing in Publication Data.A CIP catalogue record for this book is available at the British Library.

Disclaimer:The views expressed in this book are of the author(s) and do not necessarily reflect the views of BCS or BISLexcept where explicitly stated as such. Although every care has been taken by the authors and BISL in thepreparation of the publication, no warranty is given by the authors or BISL as publisher as to the accuracy orcompleteness of the information contained within it and neither the authors nor BISL shall be responsible orliable for any loss or damage whatsoever arising by virtue of such information or any instructions or advicecontained within this publication or by any of the aforementioned.

Typeset by The Charlesworth Group.Printed by Charlesworth Press.

To Martine

CONTENTS

List of figures and tables xiAbout the author xiiiForeword xvGlossary xviiPreface xxv

STRUCTURE XXVIIBusiness and technical perspectives xxviiProject lifecycle perspective xxviii

PART 1: ECM BUSINESS GUIDE 1

INTRODUCTION 2Definition of ECM 2A short history of ECM 3The future of ECM 3Summary 5

1 CONTENT LIFECYCLE 6ECM acquisition 7ECM storage 8ECM delivery 8The history of information consumption 9Case study: WikiLeaks 10Measuring and valuing content 11Summary 13

2 ORGANISATIONS 14Relevance and retention of information 14Timing and throughput of information 15Contribution and responsibility for information 15Ubiquity of information 17Analysis and meaning of information 18Summary 20

3 CONTENT MATURITY MODEL 21The five stages of the content maturity model 22Dimensions of the content maturity model 23Stages of the content maturity model 26Summary 40

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4 COMPLIANCE AND GOVERNANCE 41Corporate governance 41Compliance 42Records management 47Summary 50

5 DEVELOPING A BUSINESS CASE 51Structure of the business case 51Reasons for adopting ECM 52Options for managing change 54Tangible and intangible ECM benefits 54Developing a road map 54Realising ECM benefits 55Summary 60

PART 2: ECM TECHNICAL GUIDE 61

6 ARCHITECTURE AND TECHNOLOGY 62Stakeholder challenges 62An ECM technology review 63Architectures 65Service oriented architecture 67ECM service components 70Case study: finance industry 71Summary 74

7 STORAGE 76Business alignment 76Increasing capacity 77Managing tiers of storage 77Valuing data 78Storage medium 78Storage technologies 79Storage repositories 79Summary 85

8 MANAGING CHANGE 86Representations to concepts 86The creation of ideas 87Changing roles 90Managing cultural change 91Summary 94

9 TRANSFORMATION 95Organisations’ content and exchange frameworks 95Create a content and information strategy 96Transformation planning avoids organisational stress 97Bringing dimensions into alignment 97Transitioning through stages 101Summary 107

CONTENTS

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10 COMPLIANCE AND GOVERNANCE FRAMEWORK 108Trust and privacy policies 109Destruction policies 109Enterprise and universal availability 110Security 110Data governance 111Records management 115Summary 117

11 BUSINESS AND PROGRAMME DELIVERY 119Building the business case 119Programme and project management 121Breaking implementation into manageable steps 122Delivery challenges 124Classification process 125Summary 128

12 FUTURE TRENDS 129Collaborative technologies 129Semantic structures 130Attribute acquisition 130Business intelligence 131Cloud computing and SaaS 131

BIBLIOGRAPHY 132Books 132Articles 132Internet References 137Official publications 137

INDEX 139

CONTENTS

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ABOUT THE AUTHOR

Stephen Cameron has wide experience of information management systems,gained over more than 30 years in a variety of organisations. These includeSyntegra, Post Office, Marconi Communications, IBM Informix, Xansa, Aonand BearingPoint.

Stephen attended the Duke of York’s Royal Military School, before studying foran honours degree in Electrical and Electronic Engineering at BrunelUniversity whilst being a sponsored student apprentice at MarconiCommunications in Chelmsford.

During his work and studies, he built and coded a number of operating systemsand microprocessor emulators. While working in technical authorship in thecomputing system laboratories at Writtle, the author worked on System Xtelephony and message switch exchanges.

He published his first journal article in Electronics and Wireless World in themid-80s during his studies. Discovering databases he developed a languagede-compiler, created several user groups and launched a service to recover lostsource code.

Stephen moved into consulting practice leading to participating in BS andANSI database standards. Having thoroughly mastered structured informationsystems, he then took on the challenges of the unstructured world of contentand process management, working since the late 90’s on content managementsolutions including extensible database technologies such as GIS systems.

His recent academic interest involves innovation development practices andinformation philosophy. His other ventures include being a magician,beekeeper, potter, comedy writer and tennis player.

xiii

FOREWORD

… 70% … 80% … 90% ... content matters.

Common wisdom suggests unstructured information constitutes 70–90% of anorganisation’s total. It is also widely acknowledged that the majority of thatunstructured information is not managed. But does ECM matter? Surely ourworld strives to be paperless.

This eternal myth continues to present a target for which organisationsstruggle to have an appetite, let alone any realistic strategy. Of course, thisdoesn’t really address the issue at hand: the science and the art of unstructuredinformation have long been less about the digitisation of paper and much moreabout managing an increasing variety of information types.

Information is the real intellectual property of an organisation. It is one of thethree key types of asset, alongside money and people, that an organisation hasto juggle with as it strives to understand its markets, citizens, risks andeveryday decisions. So, as a key asset, it should be exploited as fully as possible.Yet it isn’t. Information is treated as a second-class citizen. For the most part itis created as a corollary of the activities that we and our systems perform.Stephen refers to the flotsam of events and perspectives and the need to managethe jetsam of time: a good analogy and an opportunity lost.

So ECM does matter. Content – unstructured information – is special. Tocollect, store, understand, describe, share and manage it throughout its liferequires particular technologies. Focus is being applied to bringing as much ofthe flotsam and jetsam under some order as possible: ensuring thatorganisations identify what is important to keep and what can be discarded.Furthermore organisations understand that this stuff costs. The burden ofadministration is huge and a technology that has been at best unwieldy,making it difficult to implement, and which, when deployed, can have such animpact on an organisation’s culture, has been confined to departmental silosbut is now being socialised, perhaps even commoditised. In so doing that lostopportunity may at last be realised.

The next wave of capability will allow for real exploitation of unstructuredinformation. It will introduce the ability to analyse deeply all of the content inorder to identify and action patterns and resolve complex problems. Initiallythe focus will be on the user, but increasingly this will be automated, combining

xv

both unstructured and structured information to truly inform decisions andinitiate events.

In the future content will not be special. After all, we take decisions based onthe information before us, irrespective of form or type. Increasinglyorganisations will look for common ways to organise, describe and executepolicy around all of their information. Information will be trusted: we willunderstand the lineage of its processing and be able to traverse hugeinformation sets because of the automated classification and relationshipscreated during acquisition and usage. Information will be delivered so, ratherthan fishing in the dark, a.k.a. searching, a trusted view of contextualinformation will be pushed – not pulled – to the decision point.

Books handling these topics to the right level of depth from both business andtechnical viewpoints within one volume are, in my opinion, very rare. Stephenhas created a unique perspective for both audiences, providing insight andguidance that will allow better understanding of the requirements andconstraints that surround enterprise content management. I have worked withStephen since the late ’90s and he has always brought a style and passion toevery project that is strangely compelling: you always want to hear more. Thisbook is no exception.

It is so easy to consider the next item that arrives in the inbox as critical. But,as a good friend of mine once counselled me, ‘Stop doing what is urgent andfocus on what is important’. Information is important.

Douglas CoombsLead Consultant, Information and Process (North East Europe)IBM Corporation

FOREWORD

xvi

PREFACE

Information is the lifeblood of knowledge, the flotsam of events and perspectivescreated in every second of history. There is so much to capture and yet so littletime and so few resources to make sense of it all. Just as we get tantalisinglyclose, the holy grail of true knowledge slips further over the horizon.

To capture this jetsam of time, to find some meaning and to predict the future isan eternal struggle. We take our experience about the world and transform itinto a repository of knowledge that will sustain beyond our own lifetime. It is aquest for recognition.

The pursuit of the perfect representation of knowledge is all-encompassing,applicable at any time, multifaceted and understood by all. It is the yoke of ourendeavour that we aim for all these ideals.

In order to achieve clarity we must clear our minds of the clutter and pretenceof the everyday and balance our thoughts with the contributions of others todirect and consider our machinations. There is a dichotomy: single-mindednessmust be carefully balanced with the creative vigour of the team.

This book aims to define the enterprise content management (ECM) approachto developing the organisational repository of knowledge, and achieve clarityin the midst of a multiplicity of global viewpoints. This book is not anencyclopaedia on ECM, because to do so would be to write about every aspectof information management: there are online tools that satisfy that need. I hopeto give the reader a strong sense of purpose about content in the enterprise:how it affects and is affected by the organisation and its processes. This booktries to be agnostic about products, solutions and technology.

This book could not have been completed without help from industry leaders inECM. I count among them Doug Coombs, who kindly wrote the foreword, andAIIM, who gave me the opportunity to meet many customers and vendors overthe last 10 years. I also thank Matthew Flynn for his gentle yet insistentencouragement, and the members of BCS’s north London branch: Dalim Basu,Richard Tandoh and Jude Umeh. To all those who have inspired me on the way:Pat Hannon, for his extraordinary gift for engineering, Mark Burnett, for hisinspiring methods using SouthBeach, Jonathan Barber, Mike Brakes,Nick Carus, Carl Chilley, Ray Fielding, Lisa Gibbard and Ben Kahn, forbeing sage mirrors, mentors and alternative thinkers and influencersthroughout my work.

xxv

No book would be complete without a complementary internet presence.This book forms the high level milestone on the background to ECM thinking.There is, however, constant change on the road to ECM: suppliers, productsand technology. All of these areas are captured at www.ecmguide.orgwhere there is also an opportunity to ask questions and provide answers.

PREFACE

xxvi

STRUCTURE

BUSINESS AND TECHNICAL PERSPECTIVES

This book is split into two halves: business and technical guides. The businessguide provides the business prerequisites for establishing ECM, whilst thetechnical guide outlines the delivery aspects.

For each concept introduced in the business guide an equivalent delivery-focused discussion takes part in the technical guide.

The business guide introduces the ECM lifecycle, describes how organisationswork with information, introduces the concept of a maturity model for content,and discusses the areas of compliance affecting organisations. Finally it providesa breakdown of the specialist areas to address in the creation of a business case.

Figure 0.1 Business and technical comparable perspectives

xxvii

The technical guide provides an open discussion of the architecturalframeworks which can be adopted, selecting those appropriate to ECM. Itdescribes methods and tools for managing change in the organisation andcharts the progression through the content maturity model. It also details howto implement the governance and compliance framework, and lists anomaliesand issues which arise when developing strategies and delivering programmes.

Finally a future trends chapter discusses some of the technologies in thearchitectural framework which are likely to change or improve. A glossarycollates and discusses in a single place the ECM components mentionedthroughout.

PROJECT LIFECYCLE PERSPECTIVE

There is a straightforward business mantra on strategy used before starting anynew work: ‘Know where you are, find out where you want to go and plan how toget there.’

In a similar way the structure of the chapters may be used to develop a strategythrough a similar three step process: assessment, business case and delivery.

Figure 0.2 The project lifecycle

STRUCTURE

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PART 1: ECM BUSINESS GUIDE

This business guide aims to:

(i) introduce ECM;

(ii) describe the information lifecycle and methods for valuing content forkey performance indicators (KPIs);

(iii) establish how organisations use ECM;

(iv) define an ECM maturity model to gauge an organisation’s current andfuture ECM use;

(v) illustrate where ECM can address compliance and governance;

(vi) build a business case with measures for success when adopting ECM.

1

INTRODUCTION

I keep six honest serving-menThey taught me all I knew;Their names are What and Why and WhenAnd How and Where and WhoRudyard Kipling

DEFINITION OF ECM

The simplest definition of enterprise content management (ECM) is themanagement of information in all its forms across an organisation. This aims tocapture, preserve and deliver information as a corporate asset in a consistent,natural and re-usable way, so that an organisation can sustain, enhance andtune its knowledge investment.

Apart from this management, ECM refers to the related strategies, methods andtools. ECM tools and strategies allow the management of an organisation’sunstructured information, wherever and whenever this exists.

ECM is a strategy and methodology. Its name is a self-descriptive acronym withthree overlapping concepts, as shown in Figure 0.3:

N The enterprise perspective describes all the functions of distribution,application, publication, acquisition, capture and access in a uniform andpervasive nature without boundaries. It defines where and how ECM takeseffect.

Figure 0.3 The scope of ECM

2

N The content describes all the rich components, information, data(structured or unstructured), records, rules, structures, topics andtemplates. It defines what makes up ECM.

N The management discipline brings together facets of communication,processes, workflows, collaboration, interaction and exchange with aplethora of stakeholders. It describes who is involved in ECM, and why andwhen they interact.

A SHORT HISTORY OF ECM

ECM is a mature concept brimming with international standards and bestpractices garnered over 30 years. Its evolution matches changes in informationtechnology and business needs.

It has developed on the back of technical and business conditions. First,the fact that paper could not easily be distributed to multiple partieswithout reproductive effort and cost. Second, the fact that computerswere able to store scanned images of paper and distribute them relativelycheaply.

After some years, the document management perspective changed to reflect twotrends. These were the substitution of electronic documents and media forpaper and the use of the internet as a publishing medium.

Over time ECM evolved to encompass business process management, to aidthe management and distribution of information. It also increasinglyincluded internet-based collaborative environments. These allow users tocompile and create content in a secure and regulated manner, and distribute itpervasively.

THE FUTURE OF ECM

In the future ECM aims to:

N ensure that repositories of the internet and organisations become federated,consistently searchable, shareable, verifiable and persistent sources;

N coalesce ideas into actionable, valuable knowledge through collaboration;

N protect organisations’ ideas whilst sharing and fostering those appropriatefor development in the public domain.

The internet has created both cohesion and fragmentation. It has made theglobe smaller, breaking down old organisational walls by using a commonprotocol. In the new world there are no boundaries of country, race, class,gender, religion or government.

INTRODUCTION

3

Primarily due to its omnipresence, the internet has become a font ofknowledge and interaction. However those who use it become aware of itsweaknesses. These include unverified sources, and ineffective and unfocusedsearch results. It is unstructured, insecure and uncontrollable.

Organisations cannot have such weaknesses as they are guided by goodcorporate practice to be transparent. Their sources must be auditable and theyhave a duty of accuracy to their stakeholders.

Organisations need to have accurate information to make decisions, not thefuzzy information which is too often a part of the internet. Those thatunderstand the value of their information, maintain their verifiable sources,work to share their ideas, create business propositions and protect theirknowledge, whilst balancing this protection with the need to engage, willsucceed.

Organisations are fertile ground for managing change and innovation. They areoften the creators of new applications embraced by the internet.

ECM helps organisations to understand how to use powerful collaborativecontent structures that are the backbone of the internet, but without any loss ofcontrol.

The challenge of the information society is that the idealistic goals for trueknowledge repositories and automated collaborative idea brokers are as yetunattainable.

An organisation which adopts ECM is in a privileged position to move into anemerging world where information and repositories become altruistically partof the greater internet community, but only when the time is right and themechanisms are in place for the organisation to remain viable.

Figure 0.4 People, organisations and the internet

ENTERPRISE CONTENT MANAGEMENT

4

SUMMARY

ECM is a self-evident acronym which promotes pervasive, rich and interactiveinformation management for an organisation. It is a mature concept which hasevolved to match information technology and business needs. It has thepotential to bring an organisation all the benefits of the pervasive,collaborative and rich content which has made the internet such a success.

INTRODUCTION

5

1 CONTENT LIFECYCLE

Reporting is a cycle: No matter how much you work at sending a message,it’s only successful if it’s receivedJessica Savitch

ECM encompasses a number of strategies, methods and tools used to capture,manage, store, preserve and deliver content. It delivers the management of anorganisation’s unstructured information, wherever this exists.

Central to the basic model presented in an earlier chapter is the heart of the ECMprocess, the content lifecycle (please see Figure 1.1). This involves managing theacquisition, storage and delivery of content across the organisation. All thesecomponents have enterprise, content and management factors.

This process is known as the information lifecycle because the platforms andcircumstances on which content is acquired or initiated are often themechanisms from which it is delivered. The desktop, internet or multi-functional devices (combined fax/email/printer/scanner) are all examples. Astelevision journalist Jessica Savitch once put it, the link between delivery andacquisition is a mark of success in developing news content.

Figure 1.1 The content lifecycle

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In this chapter the lowest common denominator of content will be referred to asthe content object.

Let us now look at each of these three areas: acquisition, storage and delivery.

ECM ACQUISITION

The mechanisms for acquisition include scanning, transformation, onlinesubmission and capture. This can be broken down into elements aligned toECM within the lifecycle.

Enterprise acquisitionThe enterprise may have a central capture repository to balance theperformance and storage for its dispersed acquisition mechanisms. Traditionalacquisition may be facilitated through the corporate desktop, which generatesdocuments, the internet, which captures material submitted through webapplications, or the scanning of documents using large scanning centres forbulk scanning and indexing. Enterprise acquisition can also be realisedthrough scanning using MFDs (multi-functional devices) which can use anemail system to distribute images or a central shared file store on which todeposit them. These can be accessed later by the people who understand thecontext of the content – an important factor in its successful cataloguing orindexing.

Content acquisitionContent can be acquired in various forms as it is collected and catalogued. Thisincludes its original format, whether this is paper or electronic. Where it is notin its original form, it is transformed at the point of capture into enterpriseagreed formats which can be stored universally,accepted and viewed.

Acquisition managementCapture management establishes the mechanism by which content iscatalogued using skilled resources distributed throughout the organisation.This consists of a bulk transfer resource unit which carries out bulk-scan andcataloguing to a set protocol or indexing rule-set. These are typicallysupplemented by an electronic application form on which categorisationinformation can be entered to help find the content again.

Management recognises that review can improve the acquisitiontransformation. Together with workflow, as content is created, its indexingattributes also acquire clear and complete references. When content is firstacquired or created, the threshold in terms of indexing or cataloguing foraccepting it into the system is low. As it emerges through review it acquires abaseline index that is enhanced with clearer attributes and context whichenrich it.

CONTENT LIFECYCLE

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ECM STORAGE

ECM is not exclusively about the electronic mechanisms for storage. Let uslook at the elements of the storage part of the lifecycle.

Enterprise storageThe enterprise characteristics of a repository can be distributed, federated orvirtually delivered through a cloud. There are tools to manage access to virtualstorage and large storage service facilities (often known as storage farms). Theenterprise repository can be anything from a warehouse with shelves for thestorage of original documents through to electronic images stored on a remotefile store accessible over the internet.

Content storageThe content characteristic determines the mechanism by which an object isstored: whether it is transformed or disseminated into elements. It may alsoinclude a number of versions of the object, review attachments or objectoverlays to capture the transition or change in the object.

Storage managementStorage management uses process management to establish versions of content,control who has authorship rights and distribute content to those nominated toreview. In the long term it may incorporate digital rights protection to ensurethat content is encapsulated and protected from amendment or watermarkedwith ownership information. In the technical sphere it may include tools toextend storage capacity or manage the retention life of content, so that it canbe destroyed correctly and at the right time.

ECM DELIVERY

The mechanisms for delivery include searching and publishing. Searching isconsidered a delivery mechanism for content because it is simply a mechanismfor not delivering all the information at once.

Enterprise deliveryThe internet infrastructure by which applications can be delivered universallyto browsers provides a rich vein of options for distributing information.Mechanisms now exist for distributed publishing at point of sale or the efficientmanufacture of specialist media in bulk. Each business will cost the specificmechanism which can be made available and set criteria by which content canbe distributed via that channel.

Many content management systems start by managing content which isdelivered for a single department: for example a marketing, financial reportingor claims department.

ENTERPRISE CONTENT MANAGEMENT

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Content deliveryInformation can be presented on the web page, encapsulated in downloadableelectronic documents or provided in print. Each piece of content may becontained wholly within the repository or automatically constructed to formthe basis of the delivery.

Delivery managementManaging delivery includes search technology: the means by which users cansearch for content to be published or presented as quickly as is practicable.Workflow or business process management (BPM) provides the mechanism formanaging the delivery of objects used in the work between editors or users.

By addressing each of these nine areas derived from the components anddefining the resources and mechanisms used for each, a successful ECMdelivery is possible.

THE HISTORY OF INFORMATION CONSUMPTION

Society has changed from being a consumer to a generator of content. In the 1960s,as television reached the masses, there was an unquenchable thirst to consumeinformation and content, with very few producers of content able to satiate thisdesire. In the 1990s the burgeoning use of the internet demanded more content. By2010 content was being produced at a formidable rate, with a relatively smallhandful of consumption channels: YouTube, Facebook and Twitter.

Whilst society has changed the way it works with content, organisations havemanaged the transformation slowly. They have encouraged their personnel tocreate high-value content so that corporate decisions can be made quickly andauthoritatively. The challenges that organisations face are linked to questionsabout how information can best be re-used or made more pervasive.Organisations decided to adopt the pervasive channels used by society. Thedownside is that these mechanisms rely on making interaction fun, creating aneed to provide outlets for leisurely consumption of content. Organisations mustconsider the right balance of consumption and generation in their workplaces ifthey are to take advantage of mechanisms which work well over the internet.

CollaborationCollaboration technologies were developed as a means by which externalparties are encouraged to work and generate solutions to problems existinginside organisations. Collaboration can take several significant forms: wikis,policy derivation, forums, support, project management and meetings are a fewexamples. From the organisation’s perspective they are geared to managing theinvolvement of stakeholders.

Collaboration requires an extensive reach to a number of stakeholders. Thecontent which is used in collaboration needs to be pervasive across theorganisation.

CONTENT LIFECYCLE

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CASE STUDY: WIKILEAKS

WikiLeaks was founded in 2007. It anonymously acquires and publishes ethical,political and historical information to subvert international governments’communications from distorting analysis.

It exists due to failure and opportunity. There was concern that governmentsfailed to provide correct and referential evidence for the presence of weapons ofmass destruction in Iraq, which served as the prime reason for the war in 2003.Access to information had also been made easier by the conglomeration of USgovernment analysis personnel in a number of government departments as areaction to this failing. The governments involved recognised their failure toact on or co-ordinate disparate and non-shared analysis that could havepredicted and prevented the events of 11 September 2002.

Since Daniel Ellsberg’s Pentagon Papers in 1971 and Peter Wright’sautobiography Spy Catcher in the UK in 1985, governments have found itincreasingly difficult to prevent secure information from being released. Thatchallenge increased by an order of magnitude when the internet provided aglobal uncontrolled means of communication from the mid-1990s.

As democracies grow and progress they move through cycles of strongdominant leadership through to inclusive social policies and redistribution ofwealth. Information transparency and its antithesis, propaganda, also havesynonymous cycles. The interaction of different cycles compels them to balancetheir national interests with global events.

Through the culture of globalisation, information has gained greater freedomof movement. This has engendered a more ‘bottom up’ world, where informationis profuse and no longer controlled by governments, who traditionally use atop-down approach to communications.

Figure 1.2 Spans of influence

ENTERPRISE CONTENT MANAGEMENT

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There are two answers to this conundrum. The first is that governments willneed to organise their information using ECM principles. This means thattighter security can be maintained for specific classes of information, analysiscan be tracked to differing levels of secure information without revealing thosesources and interpretation exists between security layers. It is not impossible tokeep information secure; it is just more expensive.

The second answer is for an internet idea like WikiLeaks: a collaborativeenvironment. If the US government does not have the capacity to manage oranalyse the information it has, it should consider asking for that analysis fromthe internet community. This approach has worked well in the scientificcommunity and the SETI initiative, for example.

Analysis is only good if it proves to be based on accurate information and if itsconclusions or predictions come to pass. Once contributors publish theirmachinations can be assessed for subsequent accuracy. Analysts will focus onparticular segments of information and become recognised for their expertise.

Therefore there is an opportunity to outsource the analysis of information foruse by governments around the world. Hence it is shared, openly contextualisedand semantically transparent.

The facts about the past are relatively unexciting. What is more interesting andchallenging is the provision of a trusted and measured mechanism to predictwhat happens and being able to change or influence the outcomes.

Transforming paper into electronic documentsProcess architects should be careful not simply to replace the physical paperprocess by its electronic equivalent. This approach creates more work duringthe transformation stages from paper to the electronic medium and back again.The human natural mechanisms relied on during a paper process, such assifting or speed reading, are not available in the electronic medium. It isimportant to incorporate new processes or applications to meet the needs ofstakeholders. The solution is to re-engineer the process end to end.

MEASURING AND VALUING CONTENT

One of the challenges in ECM is assessing the asset value of information for abusiness plan. It is important to assess asset value throughout the lifecycle, andto provide mechanisms for measuring the overall asset level. The informationlifecycle model provides a focus on the valuation of content in the ECM system.

CONTENT LIFECYCLE

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For the transition between acquisition and storage collaboration technologiesprovide a measure of half-life based on two things: the number of sustainedcontent objects which are generated and the number of interactions for eachobject version.

Together these will give a time period during which a piece of content, onaverage across the organisation and all its content, is useful.

For the lifecycle between delivery and acquisition, the value of content can beassessed by determining the extent to which the attributes are complete for aparticular content class. Historic reports of search terms captured duringdelivery allow analysis and an assessment of the indexing scheme’seffectiveness. The indexing scheme can then be fine-tuned to improve deliveryor reduce the burden and cost of categorisation.

For the simpler mechanism of delivery, statistics can be gathered to determinethe number of times a content object is retrieved. They can include a measure ofassociation with other objects to reveal relationships between content.

Organisations which understand the relationship between their content objectscan start to determine which content objects bind, and attract stakeholders to,their repository. By doing so, they enhance the stickiness of their contentoverall. Key performance indicators (KPIs) should be created to enable ameasure to be included in corporate reports.

Figure 1.3 Valuing content lifecycle

ENTERPRISE CONTENT MANAGEMENT

12

SUMMARY

We have introduced the three core processes for ECM: acquisition, storage anddelivery. Each can be defined by addressing the enterprise, content andmanagement perspectives in which they operate. An organisation will need todefine the solution in the nine areas to provide a cohesive and completedelivery model for ECM.

We have also introduced the concept of measuring content’s value. Itsincorporation is an important part of sustaining and measuring benefits, and ofresponding to changes in the markets in which the organisation operates.

CONTENT LIFECYCLE

13

PART 2: ECM TECHNICAL GUIDE

Evidence and reason: my heroes and my guidesNaomi Weisstein

This technical guide details the analysis, delivery and architectural scope forECM. It describes how to:

(i) manage and deliver change in the organisation and culture;

(ii) progress through the content maturity model;

(iii) establish an ECM information governance function and complianceframework;

(iv) deliver the ECM strategy and programme;

(v) create the ECM architecture and assess the major technologycomponents.

Finally it discusses future trends in ECM.

61

INDEX

accuracy of information 4, 11, 27,109, 111

acquisition 7, 12attribute 130–1content 7enterprise 7optimisation for 23, 35, 36

acquisition management 7agile architectures 65–6analysis of information 11, 14, 16,

18–20, 22, 24, 25, 53applications, extending of with

smart forms 64–5, 65arbitration web services 39architecture(s) 62, 65–7, 110

agile 65–6aims of 62frameworks 66–7, 67service oriented 66, 67–9stakeholder challenges 62–3storage 82

archives 58, 74, 77, 80, 82, 106asset value, assessing 11assumptions, documentation of in

business case 120attitudes, changing 92–3attributes 7, 12, 59, 70, 75, 80, 112–13,

113acquisition 130–1and encapsulation 113–14free form 130

audits 41, 103awards 93, 94

back-scanning 115backups 81Basel II 42, 45beliefs, changing 92–3benchmarks 93–4Binary Large Objects (BLOBs) 63,

80, 112books 16–17brainstorming 92bulk transfer resource unit 7business case 51–60, 53, 101, 119–21,

128alignment to strategic goals 121basic dimensions 120–1characteristics of a successful

119–21developing a road map 54–5documentation of assumptions

120

ECM benefits 54, 55–60executive summary 119financial case 120managing scope 120–1and market analysis 120options for managing change 54reasons for adopting ECM 52–3structure and subject areas

of 51–2business drivers 54–5business intelligence 18, 19, 105, 117,

130, 131business networks 17business process management

(BPM) 9, 56

cash-cow products 38catalogue of services 68cataloguing of information 7, 15, 33,

42, 46, 47, 125centres of excellence 104change 36, 38

dealing with regulatory 43–7managing 86–94managing cultural 91–4options for managing in business

case 54reducing the effect of 126

charismatic leadership 26CIFS (common internet file system)

82, 83, 84, 85classification process 125cloud technologies 8, 39, 63, 131collaboration 9, 12, 15, 20, 89, 129–30collaborative networkers 96Commercial Off-The-Shelf

Applications (COTS) 66–7common internet file system see

CIFScommunication 57, 104

controlling the channel of 126competitive motivation 93–4compliance and governance

framework 34, 40, 41, 42–50, 59–60,64, 108–18challenges 42–3and consultants 46contractual 42corporate 42country- or region-specific 45data governance 111–15dealing with regulatory change

43–7

destruction policies 109–10enterprise and universal

availability 110features of future-proof 108integrating business 126legal 42and markets 44and people 46and processes 46records management 47–50, 115–17regulators’ perspective 43Sarbanes Oxley 42, 46, 108, 109,

109security 110–11and systems 47trust and privacy policies 109

concepts, representations to 86, 87conceptual pool, leaping into reality

from 87–8, 88consultants 46content 3

quality and quantity of 18–19, 18content data type 112content and exchange frameworks

95–6content and information strategy

96–7content lifecycle 6–13, 6

acquisition 7delivery 8–9history of information

consumption 9–11measuring and valuing 11–12, 12,

13storage 8WikiLeaks case study 10

content maturity model 21–40, 54, 74,95aim of 22bringing dimensions into

alignment 97–101dimensions of 23–6enterprise stage 32–5, 33, 74

moving to 103–4, 103people dimension 33–4processes dimension 34systems dimension 34–5

individual stage 26–9, 26people dimension 27–9processes dimension 28systems dimension 28–9

innovative stage 38–40, 38moving to 105–6, 106

139

people dimension 38–9processes dimension 39systems dimension 39–40

optimise stage 35–7, 35moving to 104–5, 104people dimension 36processes dimension 36–7systems dimension 37

people dimension 23–4, 24processes dimension 24–5, 24stages of 22–3, 23, 26–40systems dimension 25, 25team stage 29–32, 29

moving to 102–3, 102people dimension 30–1processes dimension 31–2systems dimension 32

transitioning through stages101–6

contestable information 89contracts 89

and SOA 69contractual rules 42corporate governance see

governance, corporatecorporate risk mitigation portfolio

106corporate rules 42COTS (Commercial Off-The-Shelf)

Applications 66–7cross-enterprise governance teams 31cross-fertilisation 18, 19Cuba 106cultural change

attitudes and beliefs 92–3and competitive motivation 93–4managing 91–4and organisational structure 93partitioning time 94

culturedefinition 91inter-departmental competitive

30–1organizational 23–4, 27

customer data 32customer relationships,

management of 34customer satisfaction surveys 104customers 37

data governance 111–12attributes, tags and indexes

112–13, 113content data type 112taxonomy 114–15XML and encapsulation 113–14

Data Protection Act 45, 48databases 63De Bono’s six hats principle 131delivery 8–9, 12, 104

challenges 124–8, 128delivery management 9Department of Defence Directive

5015.2 47desktop 6, 7, 72, 126destruction policies 48, 109–10digital rights protection 8digital universe 57

directed attached storage (DAS) 82,83, 84

directory of servicesand SOA 68, 69

discontinuous associationtechniques 105

distribution channels, ECM servicesframework 70, 71

documentscategorising across all the

business 127electronic 3, 9, 11, 58, 72, 127types of and finance industry case

study 71–2, 74valuing of 127

driversbusiness 54–5technical 55

e-discovery 45Eclipse 65, 68ECM consultancy services 103ECM (enterprise content

management)benefits of 55–60definition and concepts of 2–3, 2delivery challenges 124–8developing a business case for see

business casefuture trends 3–4, 129–31history of 3service components 70, 71

ECM technology review 63–5economies of scale 35educators 96EJBs 66, 73electronic documents 3, 9, 72, 127

paper versions of 58transforming paper into 11

Ellsberg, Daniel 10email 7, 32, 57, 93, 129–30

growth of 58and security 57storage of 58

employees, changing roles of 90–1enterprise acquisition 7enterprise delivery 8enterprise environment 66Enterprise Java 65enterprise stage (content maturity

model) 32–5, 33moving to the 103–4, 103people dimension 33–4processes dimension 34systems dimension 34–5

enterprise storage 8ESCROW agreements 82Ethernet 84executive summary 119

Facebook 9, 72, 129federated data storage 81–2federated search

and niche technology 72, 74feedback

customer 36process 37

Fibre Channel 84

file plan 47file replication 71finance industry 15finance industry case study 70–4

document types 71–2, 74federated search and niche

players 72, 74middleware 72, 74network capacity 72–3, 74non-core capability testing 70–1, 74process engines 73, 74search capability 73–4, 75storage management 74

financial records, retentionperiods 50

FLASH technologies 78flat organisation 93freedom of information 48Fry, Stephen 131

Gandhi, Mahatma 41globalisation 10governance, corporate 40, 41–2, 103

see also compliance andgovernance

governance groups 103government departments 43governments, and ECM principles 11Gramm-Leach-Bliley Act 45

hard disks 78–9hierarchies, in organisations 93human resources (HR) department

94

ideas, creation of 87–90, 94incentive scheme 105indexes/indexing 7, 12, 112–13individual stage (content maturity

model) 26–9, 26people dimension 27–8processes dimension 28systems dimension 28–9

influence, spans of 10information consumption, history of 9information governance 42information gurus 28information lifecycle 6, 11, 47, 76information management 34, 93

alignment of strategic goals 121ECM services framework 70, 71

infrastructure 39ECM services framework 70, 71

innovative stage (content maturitymodel) 38–40, 38moving to 105–6, 106people dimension 38–9processes dimension 39systems dimension 39–40

insurance records 50integrated development

environments (IDEs) 68integration 70, 104

business compliance 126challenges to 63–4, 68and SOA 67–9team 124

intellectual property 106

INDEX

140

intelligent network monitoringproducts 72–3

inter-departmental competitiveculture 30–1

internet 3–4, 4, 6, 7, 8, 15–16and semantics 19–20weaknesses 4

internet bubble 102internet users 57intranets 37ISO 15489 50

key performance indicators see KPIsknowledge

challenges to compiling globalco-operative 19–20

collaboration and growth of 89sharing of 17, 33, 59, 88–9, 90, 92, 121

knowledge management 20knowledge workers 16, 18, 38, 102KPIs (key performance indicators)

12, 31, 32

laissez-faire philosophy 44language barriers, bridging 19learning experience 89–90legacy applications 68legacy management 126, 128legal institutions 43legal rules 42lifecycle models 126 see also content

lifecycle; information lifecycleLinux 67

market analysisand business plan 120

market compliance 44market metrics 105maturity models 21, 40, see also

content maturity modelmedical records, retention period 50mentors/mentoring 92, 94mergers & acquisitions 37, 46metering systems 57MFTs (multi-functional devices) 6, 7micro-fiches 80Microsoft 82Microsoft Word 130middleware 72, 74migration strategy 37, 58, 73, 77, 80,

84, 102minutes 32mobile devices 57mobile phones 57, 58Moore’s Law 57MoReq2 47, 50motivation 36multi-disciplinary teams 31multi-functional devices (MFTs) 6, 7

network attached storage (NAS) 82–4network capacity 72–3, 74network file system (NFS) 82, 83, 85network monitoring tools 73networking, storage 82new management, and compliance 46niche technology, and federated

search 72, 74

9/11 44

non-core capability, testing of70–1, 74

OEM (original equipmentmanufacture) solutions 72

open information 89, 92open sources 67, 128optimise stage (content maturity

model) 35–7, 35moving to the 104–5, 104people dimension 36processes dimension 36–7systems dimension 37

organisations 14–20analysis and meaning of

information 18–20content and exchange

frameworks 95–6contribution and responsibility of

information 15–17culture 23–4, 27ECM concepts embraced by 14hierarchies in 93meeting key strategic priorities of

123relevance and retention of

information 14–15structure 93timing and throughput of

information 15transformation planning and

stress of 97and ubiquity of information 17–18

outsourcing data 65ownership, total cost of 128

paperstorage systems for 58transforming into electronic

documents 11paper files 28partitioning 36partnerships 45PDFs 71, 72people dimension

and compliance 46content maturity model 23–4, 24

enterprise stage 33–4individual stage 27–9innovative stage 38–9optimise stage 36reducing differences in 97–9, 98team stage 30–1weaknesses 98–9

people functional boundaries 98, 98performance management 70, 71personal records, retention periods

50PHP 67policies, business 126–7pop-down lists 130PRINCE2 51process engines, managing through

transition 73, 74process functional boundaries 100,

100

process management systems 8, 15,31, 73, 126

processes dimensionand business process

improvement 56and compliance 46content maturity model 24–5, 24

enterprise stage 34individual stage 28innovative stage 39optimise stage 36–7reducing differences in 99–101,99team stage 31–2

product technical managers 96programme management 121–4, 128project management 121–4, 128project management office

(PMO) 31project management officers

(PMOs) 96proposal evaluation 123prototypes 72publishing 8

quality 33, 99of content 18, 18, 19of information/data 59, 60, 109of service metrics 69

quality audits 92

radio frequency identificationdevices (RFID) 57

RAID 83, 84record sets 125records management 41, 47–50, 59,

115–17, 131and categorisation 47considerations 115–16control risks 116, 117destruction of records 48, 109–10key business requirements 48mission in 117and retention of records 48–50, 49standards 47statutory demands 48technical challenges 47

regulators’ perspective 43regulatory change, dealing with 43–7relationship management 34relevance of information 14–15, 21,

25, 52–3reporting 35, 69, 70, 103

enterprise-level 104repositories 8, 42–3, 79–81, 102, 103,

108representations, to concepts 86, 87research librarians 96responsibility and contribution

capability 22, 24, 25, 52–3retention of information/records

14–15, 20, 21, 25, 48–50, 49, 74, 75and business case 52–3, 59

retention periods 50review

and acquisition transformation 7rewards 93risk

INDEX

141

managing 123types of information at 111

road map, developing a 54–5rules 42

contractual 42corporate 42legal 42see also compliance and

governanceRumsfeld, Donald 14

SaaS (Software as a Service) 39, 131SAN (storage array network)

84–5Sarbanes Oxley compliance 42, 46,

108, 109, 109SAS drives 79SATA (SATA II) 79satellite navigation 57Savitch, Jessica 6scanning 7, 71, 80

back- 115scope 120–1, 122SCSI drives 79, 84search capability, finance industry

case study 73–4, 75search catalogues 70, 72search engines 15–16search technologies 8, 9, 47, 73–4,

127, 130federated 72, 74

security 110–11and emails 57types of information at risk 111

semantics 19–20, 130senior managers 124server message block (SMB) 82service oriented architecture see

SOAservice providers 67services framework (ECM) 70, 71SETI initiative 11sharing 86

of files 83of information 27, 31, 88–9, 94, 96of knowledge 17, 33, 59, 88–9, 90,

92, 121Simple Mail Transport Protocol

(SMTP) 129Six Sigma 105, 107SMART+ 78SMS 32, 58snapshots 17SOA (service oriented architecture)

66, 67–9benefits of adopting 67, 68characteristics 69and contract 69data access 69and directory of services 68, 69interfaces 69

social media tools 19Solvency II 42spatial data type 112

sponsorship, executive 102staging technology 36stakeholders

challenges 62–3communicating content maturity

model to 102engaging with 122–3

standardisation 128standards 67

global 42and record management 47

storage 8, 12, 57–9, 74, 76–85architectures 82and backups 81and business alignment 76configurations for 81content 8cost of 58–9, 79directed attached (DAS) 82, 83, 84and emails 58enterprise 8federated data 81–2increasing capacity 77and information as a lifecycle 76management of in finance

industry case study 74managing tiers of 77–8medium 78–9network attached 82–4networking 82repositories 8, 42–3, 79–81, 102,

103, 106and SATA (SATA II) 79valuing data 78

storage array network (SAN) 84–5strategic goals

alignment of to informationmanagement strategy 121

stress, organisationaland transformation planning 97

subject matter experts (SMEs) 95–6Sun Microsystems Inc. 82supplementary information 64supplier relationships, managing 124systems dimension

and compliance 47content maturity model 25, 25

enterprise stage 34–5individual stage 28–9innovative stage 39–40optimise stage 37reducing differences 100–1, 101team stage 32

systems functional boundaries 101,101

tags 112–13taxonomies 19, 20, 73, 114–15

rules for 115TCP/IP 82, 83team stage (content maturity model)

29–32moving to the 102–3, 102people dimension 30–1

processes dimension 31–2systems dimension 32

teamschanging and mixing 92integration 124rewarding 93

teamwork 89technical dependency shock,

avoiding of 72, 74technical drivers 55technology review 63–5time, partitioning of 94timesheets 42timing and throughput of

information 14, 15, 22, 24, 25,52–3

total cost of ownership (TCO) 128trade bodies 43, 44transformation 95–107

bringing dimensions of contentmaturity model intoalignment 97–101

creation of a content andinformation strategy 96–7

organisations’ content andexchange frameworks 95–6

planning to avoid organisationalstress 97

transitioning through stages ofcontent maturity model101–6

transparency, information 10, 11,34, 59

trust 89–90trust and privacy policies 109Twitter 9, 72, 129

ubiquity of information 14, 17–18, 22,25, 52–3

UNIX 82, 83, 84

value-added bespoke 66valuing

of content lifecycle 11–12, 12of data 78of documents 127

Virtual LANs (VLANs) 84virtual servers 84

web content management (WCM)130

web services 39, 69, 73, 106WikiLeaks 10, 11Wikipedia 16Windows 82, 83, 84wireless communication 57workflow systems 31, 73World Wide Web Consortium (W3C)

19Wright, Peter 10

XML 113, 130

YouTube 9

INDEX

142

EntErprisE ContEnt ManagEMEntA Business and Technical Guide

Stephen A. Cameron

Information is the lifeblood of knowledge. With so much to capture there is usually too little time and resource to make sense of it all. Enterprise Content Management aims to help you capture, preserve and deliver information as a corporate asset in a consistent, natural and re-usable way. Split into two halves, this book presents a structured approach to developing an organisational repository of knowledge. The business guide provides the business prerequisites for establishing ECM, whilst the technical guide outlines the delivery aspects, including a future trends chapter.

• Fullycapitaliseontheinformationyouhold• Identifythetypeandvalueofvitalinformation• Developaviable,consistentandmeasurable businesscaseforECM

• Getuniquebusinessandtechnicalperspectives• SeehowWikileaksmightbenefitfromECM

About the AuthorStephen Cameron has spent his career working in engineering and information businesses as a vendor, a consultant and as a customer. With over 30 years in industry combined with many years in consultancy, he brings a wealth of experience and considered executive and architectural thought leadership to the world of ECM.

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Even the most hardened of ECM professionals will find this book of great value.Chris Blaik, Director of Marketing for EMEA, EMC Corporation

Cameron writes in a refreshingly clear way, free of techno-speak and brochure-talk.Doug Miles, Director Market Intelligence, AIIM

Possibly the best way to get into ECM.... Pure content, no marketing!Nikos Anagnostou, Enterprise Technology Strategist, Microsoft EMEA

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EntErprisE Co

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Stephen A

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EntErprisE ContEnt ManagEMEnt A Business and Technical Guide

Stephen A. Cameron