The Value of Enterprise Content Management in … solutions. ECM is a mature discipline where IBM...

The Value of

Enterprise Content Management

in Today’s World

By

Elizabeth (E.) Koumpan (GBS BAO Canada) and Sonia Gil Fresnillo (GBS BAO Spain)

July 2013

The Value of Enterprise Content Management in Today’s World

©IBM Corporation 2013 2/ 21

Table of Contents

CONTEXT ........................................................................................................................................... 3

LEGACY ECM..................................................................................................................................... 4

MORE CHALLENGES FOR THE BUSINESS TO SOLVE ................................................................... 7

FUTURE ECM – GLOBAL ENTERPRISE AND FRONT OFFICE DIGITIZATION ................................ 8

INSURANCE AND GLOBAL ENTERPRISE ........................................................................................ 9

SOME ECM USE CASES .................................................................................................................. 10

APPENDIX 1– ECM REFERENCE ARCHITECTURE ........................................................................ 20

APPENDIX 2- FOUNDATION BLOCKS............................................................................................. 20



Context

The way how organizations do business and how Enterprise Content Management supports businesstransformation and day-to –day business has changed and evolved over time.

IBM is a leader in the ECM space and continuously innovates with an ECM Portfolio of products providingthe ability to connect people, processes and information with powerful content management, compliance,analytics tools.

This document is intended to provide an overview of ECM to IBM BAO and other GBS consultants andarchitects who are not familiar with ECM. This document will also be an interest to other ECM consultantsand architects, as we outline some of the common industry use cases and patterns to be used in contentmanagement solutions.

ECM is a mature discipline where IBM has a leading experience in designing and building systems tooptimize information management lifecycle. The concept of ‘Big Data’ and need for more contentanalytics are changing existing ECM landscape.

The volume of information is growing as never before. 90% of the world’s information has been generatedin the last 2 years. Even more, this growth is mostly due to the increase of unstructured information(audio, video, documents, images...), that is being stored and managed by the enterprises – 80% of theworld’s data today is unstructured. However, these unstructured contents are not deeply understood,what means that organisations are missing the opportunity to exploit the knowledge obtained of this newcontents – for example, knowledge about their customers’ behaviours, about how their products areperceived and about what the markets are demanding. In this scenario, the need arises to combinetechnologies able to deal with higher volumes and more different types of content, as well as analysingthem to get deeper insights: content management, content analytics (multimedia and text analytics) andbig data.

Furthermore, the term Unstructured Data is often a misnomer. Modern document management andcontent management systems include significant metadata with the document content. And ContentAnalytics technologies can infer such metadata by correlations over large volumes of data. We will bethen dealing with semi-structured content, where the content is described by a set of metadata alreadyembedded in it or that can be extracted with analytic techniques. But in this paper, we are focused onEnterprise Content Management – the management of the information that is not record based within anenterprise.

IBM approach to ECM is a part of a larger BAO Reference Architecture that itself is a component ofbroader Enterprise Architecture Framework where each component can be described in terms of people,process and technology. The IBM BAO Reference Architecture delivers major foundational componentsfor Business Analytics solutions. The ECM Reference architecture is an important component of thisFramework, supporting the following major conceptual components:

The content services to describe the types of the content to be ingested into ECM systems

The content ingestion mechanism to describe s how the content brought into the system

The content repositories to describe the components required for repository establishment,including enterprise taxonomy, data privacy, and security.

The integration and Analytics to include shared services, predictive analytics as part of the largertransformation or global enterprise.

The Access to describe the ways users and applications communicate with ECM repositories.



The Business Process and Case Management to describe the ways in which content centricbusiness processes can be optimized.

Big Data to describe how it is integrated in organization business analytics strategy andexecution.

Legacy ECM

Let’s discuss what is the actual value of ECM (Enterprise Content Management) in today’s world? Do wesee any significant changes in the last decades around ECM technology? And is there any evolution inour thinking how we can change the world using ECM technology, and make ‘smarter planet’ supporting‘smarter analytics’ with an increasingly ‘smarter content’ strategy.

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 andstrategies allow the management of an organization's unstructured information, wherever thatinformation exists (AIIM – Association for Information and Image Management).

It provides global access, workflow, and management of digital assets used to collaborate and shareinformation between a company and its customers, suppliers, employees and business partners.

Depending upon the source, ECM is defined as being composed of 8 disciplines in the area ofunstructured content management:

1. Document management supporting of the electronic information , managing the documents in anorganization

2. Web Content Management – the management of the web content created and used by theorganization

3. Digital Asset management –the management of imaged content and other digital assets, such asvideos, voice recording

4. Record management – the management of records within the organization to support compliance

5. Email management – the management of organization email

6. Workflow Processing - content-centric workflow

7. Knowledge management –providing ability to share the information and effective collaboration

8. Business Process Integration – Integration with line of business applications to support differentsystems within ECM environment.

An organization uses all of these disciplines or usually just subset of them to manage and share theelectronically stored information. The diagram below represents the evolution and maturity of theorganization based on how ECM is used:



(Source: IBM Redbooks ‘Best Practices for IBM FileNet CM implementation’)

The application infrastructure within the ECM portfolio includes a range of different modules/productsuites, including a centralized repository for Document Management, electronic records management,collaboration, electronic forms and workflow or business process management.

The diagram below describes the simple view of ECM basic/common usage in the organization where theelectronic information is captured into the system from multiple sources, managed (processed, routedand used), stored, preserved and delivered to the user.



The essence of content management is the process of sharing information vital to an organization in acontrolled manner in which unstructured information is leveraged to support many needs. When we useweb together with content management, it becomes the process of extracting relevant businessinformation, moving it through the business approval process, and posting it to the web using contentmodels centered on Internet publishing.

Today, individuals from all over the organization have the need to contribute content in large quantitiesand at regular intervals, share it and collaborate with others.

Many organizations feel confident they know what they need and start to implement independentsolutions using ECM, only to run into different challenges after multiple deliveries, sometimes changingfrom one ECM technology to another (OpenText->IBM Content Manager-> IBM FileNet for example), notrealizing the operational cost of supporting different technologies, blaming the tools and continuing to re-developing, instead of leveraging and reusing, and continuously evolving existing solution.

ECM projects tend to be complex, expensive and have rarely lived up the expectations. And one ofthe reasons failing at going Enterprise – wide, because they lacked an Enterprise Vision, EnterpriseInformation Architecture that are pre-requisite for enterprise adoption of ECM.

Unfortunately, ECM in many cases is treated only as technology that can be used for managinginformation flows between employees. A focus is purely on content storage and retrieval. Organizationsare rushing into ECM without even taking a holistic strategy approach to understand the value of ECMand how it can improve the business process. There is often no information lifecycle governanceestablished and enforced in the organization to preserve the information of business value or retain anddispose electronic information according to defined policies. This is especially true in the lifecyclemanagement policies where differences across countries, not only across industries, arise. Locallegislation in US is probably much more exhaustive than European, requiring companies to comply withretention and disposal policies. This is an evidence when we see many companies in Europe preservingdocuments from being deleted in their archives, “just in case” they will need them or may be required(although the law may be stating that the company has the obligation to preserve the information only fora limited period of time). However, the use of this ECM capability, defining policies for retention anddisposal of the information for specified periods, would help companies to reduce storage costs andincrease manageability of their contents.

So what do we have at the end? Unhappy users, information chaos and Legacy ECM failed to help theimprove productivity, cost reduction, meet compliance and be Enterprise Reality



More Challenges for the business to solve

The implementation of an ECM system will bring changes and these changes needs to be analyzed tomake sure those business operations are improved and solution is evolved over time.

During recent years we have seen continuous challenge across organizations; whether it be in banking,insurance, Oil and Gas, Government, etc.

The following are the biggest challenges that cause frustration, poor satisfaction and user adoption indealing with electronic information:

Difficulty to find the right information and deliver it to the appropriate user in time. Content isusually dispersed across the organization, in the best case stored in different isolatedrepositories, and the user must know in advance where to search. In the worst cases, but stillused in some organizations, documents are spread across network files with some kind of folderstructure, without any additional search tool.

Paper records are increased and mostly generated from the electronic files/documents by printingout and store both electronic and paper copies without applying consistent retention schedule.

Information is kept longer than required and that result in non-compliance and increasing storagecost.

No confidence on the document of truth as multiple copies of the same information may existacross the organization in electronic, paper format and even as transactional data.

Poor collaboration and ability to share the information.

Lack of tracking mechanisms in document access and operations, to comply with security andprivacy laws, as well as lack of implementation of security policies.

The data volume growth is increasing every year and it became more and more difficult to find theinformation as the data became unmanageable.

Traditional methods and silo approaches to content and data management, discovery, recordsmanagement are inadequate for the high volume of data, its distribution across people and systems.Even if there is recognition that information management issues needs to be addressed, each businessarea appears to consider their concerns and potential solutions in isolation. Fundamental building blocksthat required for successful ECM establishment are usually forgotten, missing or neglected:

ECM Vision and overall strategy to understand how ECM will support your organizational needs,objectives, how it will change your business for the better and bring improvements. It describeswhy and how information management is integrated with range of business processes to improvebusiness delivery and support compliance. ECM strategy helps to establish ECM vision and builda roadmap for ECM across the organization aligning and making it part of overall businesstransformation.

Information Governance is essential to enforce the defined accountability for managing theinformation (structured and unstructured, email) across the enterprise, support compliance,reduce storage costs manage Big Data, improve business experience aligning and making it partof overall business transformation.

Enterprise Information Architecture provides comprehensive method of describing current andfuture structure of organizational processes, systems, personal and their relationship andalignment with organizational goals. It includes organizational standards, Security Framework,Taxonomy, Record Management Policies and Procedures helping build a foundation for overallbusiness transformation.



Change Management is essential part of any business transformation to make sure newsolutions will be adopted by the users, with strong executive sponsorship in the change.

Overall Solution Architecture Framework to understand where the integration points requiredbetween all enterprise components and ECM , bringing Analytics in play and providingfoundation building blocks for business transformation.

You must match technology tools to match your business needs. Technology can enable streamlinedmanagement of content, but technology can also slow down your process if not used as designed!

There are many reasons why projects fail, and most of them having less to do with the technology, andmore to do with the people.

Do we treat information as a strategic asset with the same level focus as cash or humanresources?

Do we know what kind of insight is critical to our future growth?

Do we have our people, processes, and information technology aligned to fully exploit informationand gain new levels of intelligence across the organization?

What must we change about the organization and governance approach to drive the maximumresult from this transformation?

If we don’t address the questions above and properly build the foundation first, at the end we have theorganization where budgets are overrun, processes and organizational issues overlooked, and potentialbenefits are not recognized. We have a Legacy ECM that is just paper documents replaced with anelectronic substitute that is ready to explode and may already be creating information chaos.

Future ECM – Global Enterprise and Front Office Digitization

The journey to becoming an organization that effectively leverages Enterprise Content Management(ECM) solution and practices to achieve information management maturity and efficiencies required toconnect the people, processes, and information of an organization. ECM is 80% about people and 20%about technology. The future of successful ECM systems is in a fully integrated platform andarchitecture framework that enables collaboration, driven by the business process, enterprise contentgovernance throughout its lifecycle, integrated with line of business application and multiple data martsand providing analytical services for the organization. It is not any more an application to store andmanage the content, but ECM becomes a vital organizational eco-system supported and used by theEnterprise.

It is not any more ECM as SILO, it is one of the foundational blocks in the organization Enterprise where:

Automation, Integration, Governance, Optimization and Analytics are combined together

It is about managing the entire business process, encompassing both human & automated tasks,including those delegated to external organizations, such external trading partners, providingorganizations the ability to rapidly adapt to a continually changing business environment.

The ability to execute, analyze and optimize is achieved in a single environment, providing“closed loop process improvement”.

The complex nature of business processes that cross geographic boundaries and span organizationaland inter organizational challenges, current management practices and system design practices forcebusinesses to shift toward horizontal organizational thinking.



Moreover, with ECM capabilities the consumer (the customer) is able to interact with the companythrough the web (laptop or mobile devices), introducing the new concept of Front Office Digitization inthe ECM world.

In the Insurance Industry, the customer will be able to contract new policies for her car or house, gettingher contract as an electronic copy that she may sign using her own device. Later on she will be able toclaim through the same channel any incident that may occur to her. In both cases the company will getthe “original” electronic copy and store it in the central repository, with all the security mechanisms.

In Public Institutions and Governments, a citizen may be able to fill electronic forms online for the majorityof the procedures he may be obliged to, namely taxes declaration (saving his own copy and sending thesigned one to the government), or even in a future the registering of a new birth. Recently new laws inEurope (for example Spanish law for the Citizens’ Electronic Access to Public Services) enforce central,regional and local governments to provide citizens with all the means to interact electronically with thepublic administration.

These are only a couple of examples to demonstrate how ECM capabilities support the shifting of thebusiness-consumer interaction point from the business physical locations to the consumer virtual locationthrough the digital world.

Let’s take a deeper dive using an example from the Insurance Industry and analyze the future of ECMand role it can play in industry business transformation.

Insurance and Global Enterprise

Today in most Insurance companies, business is supported by legacy IT infrastructures built years ago,lacking centralized control capabilities, automated processes and analytics. Most processes areinefficient, manual, and paper-based.

One of the major challenges is to capture and protect, retain or eliminate electronic records, includingemail in addition to physical records and structured data; to ensure that the same lifecycle is applied to allinformation. The company operating in different countries has to fulfill different obligations because of lackof common legal requirements and regulations.

Insurers must explore new technologies allowing customers real-time access to their policies and claimstatus via the Web or mobile to acquire new customers and for retaining existing ones. Utilizing advancedcontent analytics against claims data will provide additional insight and enable them to extract, analyze,predict and report on valuable information that can identify new opportunities and reduce claimsadministration cost and risk and mitigate fraud management.

Advanced systems should provide the users with ability to have a real time single view from multipleintegrated data feeds of structured and unstructured data to:

Visualize suspected fraud characteristics

Detection and forensic analysis

Search/ Mine structured & unstructured sources

Investigation/enrichment of intelligence

Systemic measurement and reporting of fraud and abuse



Still the biggest challenge during the transformation is the ability to change an establishedculture. Changing people’s behaviour is much harder than delivering technology. That is why aBig picture first and step by step approach, identifying and understanding common solutionpatterns the way for success of the business transformation.

Now, let’s take a look at some of the common patterns in insurance processing where ECM’s role is vital.

Some ECM Use Cases

USE CASE (1) ECM Patterns in Insurance

The table below summarizes the main business functions and supporting services where ECM is aninstrumental part, supporting the business processes to provide the user with ability to perform all thefunctionality from the single interface, including Claim Processing, Policy Development and Billingfunctionality across the enterprise.

The use of services provides the ability to plug-in services when needed to deliver function. Thesesolution accelerators provide core services to enable claim processing functionality and can be leveragedas part of any Insurance Transformation project

Function Supporting Business Process Required services

Add newdocument/email andassociate it with theclaim

The user has the ability to upload the email body andattachments and other documents stored locally or onnetwork directly to the system and associate them with thecorresponding claim, contact, exposure, matter, policy, invoiceor payment using centralized solution interface in transparentto the user way.

Add document - Invoke tostore documents in the ECMrepository and declare asrecords

Automatic / ondemand documentcreation from existingtemplate usingDocumentComposition services.

During the Claim Processing or Policy Development usersneed to create the document associated with claim or policy.The letters will be automatically generated from the pre-defined templates and pre-filled with the claim related dataand sent to the customer by specific distribution channel.

(A) Close oropen the claim will trigger automated generation of theletter to the customer without any user interaction.

(B) Based on theactivity, the user has the ability to select the template anddefine the data that needs to be modified in the existingtemplate.

(C) User willhave ability to do document co-authoring and continuousediting. The new document will be composed and sent forreview, modifications and approval to another person orgroup of people. The co-author will complete all themodifications and save the document as draft that latercan be reviewed or modified as many times as needed to

Save the draft. Invoke theservice to generate thedocument from pre-definedtemplate, populate it with pre-defined data stored in ClaimsBusiness application and savethe copy in ECM repository forfurther modifications

Edit Draft –

The service is triggered by theuser when a work inprogress/draft document isselected. The user then needsto update the context andcomplete the work.





complete the document (example -Policy Review).

(D) Thedocument can be canceled. All draft copies will bedeleted

The copy of the document in PDF/a format will be stored inECM for legal and compliance reasons.

Delete the document –deleted all the draft documentsthat were stored as atemporary copies / version ofthe document during lifecycle

Deliver the documentusing selecteddistributed channel,such as email, print ormail

Once the user selects the delivery channel, the notificationneeds to be sent in order to process the request and sendoutbound letter or email.

The system or user will identify the distribution channel -email, or print.

The transaction history will be stored in the system asstructured data.

Document Delivery - Used todeliver documents that residein ECM to specific distributionchannel such as mail, email,or print

Open claim The user opens a new claim and the letter to the customercomposed by the system and sent directly to the user. Thesystem will trigger notification to ECM to create a folder for thecorresponding claim and associate a proper retentionschedule.

All claim related metadata required for retention will be definedon the claim folder level and will be used as needed foralternative retention ( example – Minor, Environmental claimtype)

Create Claim Folder - Serviceto create a folder within theECM repository in which all theelectronic records related to aspecific claim will be storedretention applied.

Close a claim The user closes a claim; the letter to the customer will becomposed by the system and sent directly to the user. Systemwill trigger notification to ECM to start the retention based onthe claim closed event.

Retention Trigger -Theservice to send a request fromClaim Processing Applicationto notify that the claim isclosed. It may be any otherevent that will trigger theretention in ECM system tostart the disposition schedule.

Scan and IndexDocument into ECM

The user will use the Imaging Solution to scan and index thedocument. Using IDR, the system will extract the metadataand associate with appropriate Claim, allowing doing thevalidation against organizational system of records.

The document will be released into the repository withcorresponding record created and placed under thecorresponding claim folder.


Reassign thedocument to correctclaim

The user identified that the document is associated with thewrong claim and needs to be re-assigned and associated withthe right claim.

The system request will be sent to move the record andassociate it with the correct claim record folder and updatemetadata as appropriate.

Re-classify the document -The user activity will trigger aservice request to move therecord and associate thedocument with the right claim

Search and retrievethe document relatedto claim

The user will enter search criteria and the list of thedocuments will be presented. Once the user selects thedocument from the search list, the service request will be sentto ECM to retrieve the document and present to the user insecure way.

Get Document - Invoke theservice to retrieve a documentfrom the ECM repository

Upload documents The system will provide ability to upload the documents from Add document - Invoke to




from externalproviders

external providers, such as Mitchell. store documents in the ECMrepository and declare asrecords

Redaction The user has ability to redact the document to protectsensitive data and store redacted version in ECM repositoryas new document in PDF/a format.


Disposition Notification Structured claim file data should be deleted in the same timeas unstructured and any email associated with that claim.

All systems will communicate and send notification based onCentralized retention schedule to make sure all claim relatedinformation (structured, unstructured, email, paper and otherartifacts) are destructed in the same time.

Disposition Notificationinvokes the service to send arequest to Claim ProcessingApplication that the retentionschedule has been reached,documents are ready forreview and disposition. Alldata should be destroyed for aspecific claim.

Hold Notification Ability to place the hold any time during the business processas needed on the right set of information to suspend thenormal disposition or processing of information.

Retention Reset/Hold –invokes the service to notifyECM that a claim has been re-opened so that the recordsmanagement classification andschedule can be removed anddocuments placed on hold

Legal/FOI request Ability to generate a single PDF/a electronic claim filerepresenting the entire file, aggregating documents withsystem transactional data, make sure that personal sensitivedata is properly redacted.

Bundle electronic file –

Service request to assembleelectronic file package that willcontain structured andunstructured data together asone bundle.

Submit Payments Once the user will issues the payment request – the servicewill be triggered from the payment system to generate all therequired data and send it to the Document Production systemto convert to cheque and send out for printing. Onlytransaction information will be stored.

Payment Processing –

Invoke the service from theClaim Processing applicationto Payment System (such asPeopleSoft, SAP) to initiate thepayment processing.

Modify Metadata The document may be not properly indexed during the intakeprocess. It may be wrong document type, such as PoliceReport instead of Medical or the source document not properlyidentified. During the claim processing such an error can bediscovered and the user will have ability to update themetadata.

Update Metadata - Invoke toupdate the metadataassociated with ECM object,such as document , record orfolder

Document ArrivalNotification

When a new document is filed into ECM system, notificationrequest should be send to the processing application totrigger specific activities or workflow process.

Notification – Invoke theservice to notify Line ofBusiness application, such asClaim Center that a newdocument has been uploadedto the ECM repository for aspecific claim and that maytrigger specific task




Support for electronicsignature

Ability for users to electronically sign the form using anagent’s iPad, or directly from the web.

Using digital signatures using passwords and encryption toprevent modifications as well as digital fingerprints thatprovide a representation of a record, which can be comparedwith the original to determine if it has been changed.

Mobile application supportwith digital signatures

Add document

Client Riskassessment Leverage risk rating systems to support the processes for

policy creation, and servicing of commercial and personalaccounts, providing integration to internal and externalsystems to calculate customer rating and risk

Rate the risk – invoke theservice to calculate the policyrisk rating for the specificcustomer.

Use of predictivemodeling and otheranalytical methods forfraud detection andworkload optimization

System provide the users with ability to build models forpredictive analytics around fraud perpetrated across multiplesystems and processes :

• Claims Fraud (Cash for Crash, Staged accidents /thefts, Provider fraud)

• Policy fraud (Fake policies / documents, Ratejumping, Online fraud, Money laundering)

• Agent/Advisors/Brokers Fraud (Fakepolicies/documents, Money laundering)

• Internal / Employee fraud (Fake policies /documents, Pocketing premiums)

Ability to predict fraudulent threats, provide insight at theindividual client level, identify fraudulent threats at the point ofimpact on operational decisions, real-time detection of fraudembedded in transactional systems

Fraud Threat –

Invoke the service to identifythe potential fraud threatbased on pre-definedpredictive models

The diagram below describes the overall solution, presenting an Enterprise vision for the Insuranceorganization linking together information, people and processes.



The described solution provides the following capabilities in simple, secure and transparent fashion to theuser:

Claim’s documents will be uploaded into the ECM repository and classified as records once theyare received from third parties, fax, and email, scanned or added by the claim center users usingLine of Business Claim Processing interface.

Claim’s documents generated as part of document production from pre-defined templates will beuploaded into ECM system and classified once they are finalized (example – letter is sent to theclient). The process is initiated for the same user interface and aligned with overall businessprocess.

Any documents stored outside of ECM and required to support Claim Processing – such asPolicy documents will be accessed using federation services

All Claim related data( structured and unstructured) will be managed in same manner to supportcompliance

All services, orchestration and choreography will be supported by an ESB product – such as IBMWebsphere Message Broker

The system provides ability to secure the application through authentication and authorizationprocess, including integration with Identity Management with enterprise-wide Single Sign-Onfunctionality.

The ECM architecture supported by a JAAS based framework provides the ability to abstract theunderlying security provider implementation with flexibility to plug-in an LDAP based corporaterepository.

The User Interface would provide the ability to control what a user will see when interacting withthe system.

Real-time dashboards provide system users the ability to view reports and provides predictiveanalytics services.

The architecture would provide the ability to interface with a number of external systems includingthe Risk rating systems external risk rating systems and so on.



As with security the messages and data passing through the interface service environmentshould inherit the same level of auditability that they are provided within the source/targetenvironments.

Ability to have a real-time collaboration using Social media tools.

Ability to manage email across the organization as a business content, adhere to a standardlifecycle, accessed as part of an overall corporate information asset and disposed according to itsretention schedule.

USE CASE (2) ECM in Oil and Gas

The Architecture, Engineering and Construction Industry (AEC) is a multi-trillion dollar (U.S.) per yearindustry. The success of any AEC Industry depends on having the flexibility to respond quickly tochanges. Companies often operate using diverse and incompatible systems. Silos of information canexist, making management of the project difficult, from feasibility studies through to design, estimating,construction and on-going maintenance. In addition, each participating company has a business to runoutside of the context of the individual project. The following are the major challenges that facing theindustry:

Engineering content tends to be more complex than the standard Word and Excel files. CAD filesrepresent approx 10 to 15% of engineering content. Data needs to be unified across the entireproject lifecycle and easily accessed.

Engineering places more reliance on unstructured data, while other parts of the business havemore use for structured data systems like Enterprise Resources Planning (ERP) e.g. SAP,PeopleSoft or Customer Relationship Management (e.g. Siebel).

Lack of single Point of Truth for Engineering information.

Compliance with regulations and standards

Information lost between phases in asset lifecycle

Incomplete packages of procurement information sent to vendors

Commercial disputes and claims

Engineering has tended to invest in “Departmental” solutions, often heavily customized to meettheir specific requirements. Each of these solutions and platforms carries a support andmaintenance overhead and adds to the creation of “silos” of information completely disconnectedfrom the rest of the enterprise.

According to industry experts, the top business challenge facing the Energy Industry today is regulatorycompliance. To be compliant in this highly regulated industry, an organization must ensure that allrelevant documents are available whenever and wherever required, vital information is archived,unstructured content, process workflows, and collaborative workspaces are managed, all within a centralrepository.

Refining organizations continue to investigate tools that allow for revision and markup of CAD drawingswhile integrating with their ECM repository. The ability to search for drawings based on informationcontained in title blocks and markups is instrumental to engineering operations.

Ownership and risk may be transferred between different companies using engineering documents atproject milestones. This may involve ‘physically’ transferring documents between dissimilar systems.

Formal review is a vital part of all engineering documents processes. It is necessary to snapshot orbaseline interdependent pieces of engineering documents for review, and to coordinate and provide audittrails of review activities, tracking all annotations through to resolution.



Web based ECM solutions will help to coordinate the design and construction activities. ECM solution willreduce the risk by increasing the accountability of all project participants and the transparency of allproject participants providing ability to access the information by all project participants and supporting fullinformation lifecycle. ECM solution will enable organizations to foster a knowledge sharing culture thatfacilitates the flow of information throughout an organization, will provide ability to control the internal andexternal distribution of the project content, including drawings, documents, images, correspondence,procedures and specifications according to pre-defined business rules

Engineering Life cycle -set of business/quality processes t will allow the company to define how activitiesand processes are interlinked, and how the organization can achieve customer satisfaction and meetperformance objectives. Having a Document Control System will ensure documents are retained, findableand retrievable and document versions and history are traceable.

USE CASE (3) Standard Organizational Policy Management, Creationof Help and other Manuals

ECM

Viewer

Review/ ApprovalRequest

Approved Changes

IT Admin

Rework

Draft Content;MS Word;HTML, etc

External Systems(PeopleSoft)

Content From ExternalSystems

Other Delivery andNotification

(email; email with urls,etc)

RepositoryMaintenance andAdministration

Publishing SiteView documents

Promote to Production

Content Owner(Audit; Compliance;CRIM; Legal; Policy;

IT)

Approvers

Input FromOther SME

Governance Manager

Content Author(Policy Lifecycle Supplier Management;

Accounting Policy and Procedures;IT Policies Processes & Procedures;

Promote to ProductionUnmanaged Applications

Content Reviewers(Policy Lifecycle

Supplier ManagementAccounting Policy & Procedures

Promote To ProductionUnmanaged Applications

LDAP

Any organization has a set of developed policies and procedures that are required to govern the businessprocess in the organization. New policies are going through a new document lifecycle process fromcreation to review -> approve-> and publish to the web to allow access to all business users. Existingpolicy will required to be updated from time to time as the organizational rules, regulations are changed.



Some of the policies will be put together and organized in the procedure manuals. Documents are madeup of a number of individual components. Each component can be stored as a separate content object.A mapping model can be created for each document to identify the components that comprise thedocument as well as their positioning.

One of the industry open standards available for creating this schema map is the Darwin InformationTyping Architecture (DITA). DITA allows content authors to create their information in a topic basedstructure and use the mapping schema provisioned by the architecture to create the overall relationshipsof the topics in a content map. DITA promotes the use of an XML (eXtended Markup Language) methodto describe and organize the content. An Editor tool for DITA XML authoring allows for seamlesslyinteraction with documents in ECM storage, supporting check in, check out, authoring, preview, buildingand packaging the topics. ECM will store completed source files to be extracted when required for thebuild, automate process for review /approval. The key step is to manage and maintain granular contentcomponents in an easy-to-use systematic manner. System will easily manage content components andlinks, quickly identify problems such as components with missing links or orphans and feature capabilitieswhich guide authors and editors how to best apply DITA tags to optimize delivery for the customerexperience. Once the document will be approved it can be published to the Web interface as web deliveryof product information, allowing the users to search and view the Manuals, Help and other content thatcan be easily assembled using DITA standards.

USE CASE (4) – Use Electronic forms from organization Portal toinitiate business process

Forms design is used as a method to increase data capture accuracy. In some industries, where there aclose partnerships with third party suppliers, physical forms are being replaced by electronic formssubmitted via a portal website.

DB

Forms Recognition technology can be used to determine form or document type. Implement documentcapture such that business workflow continues uninterrupted and capture becomes a part of the existingbusiness processes. This enhances the flow of information.

Enterprise capture speeds the processing of unstructured information that arrives in media such as paper,email, fax, PDF and XML. By automatically grouping, understanding and extracting business-criticalinformation from insurance claims, invoices, loan applications, tax returns, shipping manifests, sales



orders and other transactional documents, enterprise capture can feed data to back-end systems atelectronic speeds.

Data can be located and extracted based on the form type recognized in images ( example InvoiceNumber, Account Number) and validated against business application where complete metadata is storedto lift data and supplement the data with additional information ( example Customer name or AccountNumber). This method can also prevent unauthorized forms from being processed and stored in theorganization to reduce the compliance risk

Enterprise capture requires an intelligent process that captures documents as they enter the enterprise.

In many cases it is the data that is important and not the actual image. Extracted information will be fed tobusiness process via integration with case management, ERP, CRM, BI. A good example would beinvoices from the third party providers that are coming to the organization. If there is a requirement, theactual invoice image can be also stored in ECM system for compliance purposes.

Another example is submitting the order or application from the web portal using standard form templatesand storing data only. If there is a need to produce the document, data and form template will be mergedtogether. Such approach allows organizations to save the storage cost and reduce amount of datafloating in the organization.

USE CASE (5) – Use ECM and Content Centric BPM to manageMultimedia Digital Assets

IBM current tools for ECM don’t include advanced capabilities for DAM (Digital Asset Management) tocover the needs of industries that need them. In the case of a Media Broadcaster, the Content Managerengine has been integrated with a powerful Media Asset Management engine and specialized tools tosupport the different formats of audio and video, and be able to provide capabilities as transcoding,speech to text, video editing, etc. A Content Centric BPM engine is the core piece to allow implementingthis integration, along with a Service Oriented Architecture philosophy exposing foundational ECMcapabilities as services.

The images below show the high level functional architecture and the context diagram this solution.

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There are many ECM tools on the market, but the future is for delivering a solution to the client that willfulfill the objectives of the organization across the Enterprise.

Having said all this, we want to emphasize again that ECM is more about people and less abouttechnology. The real foundation is processes, procedures, controls that enforce tools to dosuccessful job. It is never about technology – it is about how technology is used.



Appendix 1– ECM Reference Architecture

ECM Reference Architecture Definition: The ECM Reference Architecture contains thecomponents from the Content Management pillar of the Business Analytics and OptimizationReference Architecture, as well as selected components from many of the other pillars as well.The components in common between the two have different emphases in the different referencearchitectures.

(Source – BAO ECM Reference Architecture by Scott Sumner – Moore)

Appendix 2- Foundation Blocks

ECM successful design and implementation follows a well-defined, repeatable process. Outlined beloware recommended building blocks that are essential for ECM success

Establish Enterprise Content Management Strategy and Roadmap to optimize the value ofECM technologies. Business processes must support the ECM strategy. There is little point inimplementing ECM without ensuring your processes are in alignment. Focus on businessrequirements and governance first; they tend to have the most impact on implementationsuccess. The roadmap will help progress in an organizational /Culture, Process and Governance



Establish Information Governance. A formal Information Governance framework establisheschains of responsibility, authority, and communication. It will describe the roles of peopleinvolved in the production cycle of content, their responsibilities, the ways in which they interact,and the general rules and policies regarding the production of content. This includes the effectiveretention and archiving of information to meet regulatory or legislative obligations and thedefensible disposition of information, to lower both cost and risk.

Establish Enterprise Information Architecture - The main purpose of an Enterprise InformationArchitecture (EIA) is to establish the decision making principles and standards for the use ofinformation as a business resource. Through its implementation, information usability andmanageability can be maximized. To develop an Information Architecture, a thoroughunderstanding of the business and the underlying information needs, how to structure theinformation resources to support those needs, and how to manage and maintain the architecturesis required. Effective information architecture eliminates information silos, enables thefoundational ECM elements such as the enforcement of the information governance, support forbusiness requirements and enables integration and automation of business processes. The EIAdefines the fundamental specification that connects the flow of information (i.e., documents,emails, records) throughout its lifecycle and enables process automation. Governing metadatacould be the most important thing to getting to a true ECM model, where users across theenterprise can truly share information. Define Security Model that will be supported across theenterprise

Establish Organizational Change Management - ECM requires a change and peoplemanagement approach that will support every business group and that will require managedbusiness process change and large scale adoption of the technical solutions.

Define requirements at an enterprise level. Develop Use Cases related to the businessfunctions that the ECM solution will support and describe how the ECM components will beutilized by end users and how they will interact with related systems. Use holistic technologyagnostic process

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