data-ed online: unlock business value through document & content management

Copyright 2013 by Data Blueprint

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

Learning Objectives

1 What is Document & Content Management and why is it important?2 Planning and Implementing Document & Content Management3 Document/Record Management Lifecycle4 Levels of Control5 Content management building blocks6 Guiding principles & best practices7 Understanding foundational document & content management concepts

based on the Data Management Body of Knowledge (DMBOK)

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

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PETER AIKEN WITH JUANITA BILLINGSFOREWORD BY JOHN BOTTEGA

MONETIZINGDATA MANAGEMENT

Unlocking the Value in Your Organization’s

Most Important Asset.

PETER AIKEN WITH JUANITA BILLINGSFOREWORD BY JOHN BOTTEGA

MONETIZINGDATA MANAGEMENT

Unlocking the Value in Your Organization’s

Most Important Asset.

Shannon Kempe


Executive Editor at DATAVERSITY.net

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Peter Aiken, PhD• 25+ years of experience in data

management• Multiple international awards &

recognition• Founder, Data Blueprint (datablueprint.com)

• Associate Professor of IS, VCU (vcu.edu)

• President, DAMA International (dama.org)

• 8 books and dozens of articles• Experienced w/ 500+ data

management practices in 20 countries• Multi-year immersions with

organizations as diverse as the US DoD, Nokia, Deutsche Bank, Wells Fargo, and the Commonwealth of Virginia

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Unlock Business Value

Through Document & Content Management

Presented by Peter Aiken, Ph.D.10124 W. Broad Street, Suite C

Glen Allen, Virginia 23060804.521.4056

Identify

Create, approve, enforce

Classify

Retain Store

Retrieve and circulate

Preserve and dispose


• Data Management Overview

• What is document & content management and why is it important?

• Planning and implementing document & content management

• Levels of control

• Additional considerations

• Content management building blocks

• Guiding Principles

• Take Aways, References and Q&A

Unlock Business Value Through Document & Content Management

Tweeting now: #dataed

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The DAMA Guide to the Data Management Body of Knowledge

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Data Management Functions

Published by DAMA International• The professional

association for Data Managers (40 chapters worldwide)

DMBoK organized around • Primary data

management functions focused around data delivery to the organization

• Organized around environmental elements


The DAMA Guide to the Data Management Body of Knowledge

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Environmental Elements

Amazon:http://www.amazon.com/DAMA-Guide-Management-Knowledge-DAMA-DMBOK/dp/0977140083Or enter the terms "dama dm bok" at the Amazon search engine


What is the CDMP?• Certified Data Management Professional• DAMA International and ICCP• Membership in a distinct group made up

of your fellow professionals• Recognition for your specialized

knowledge in a choice of 17 specialty areas

• Series of 3 exams• For more information, please visit:

– http://www.dama.org/i4a/pages/index.cfm?pageid=3399

– http://iccp.org/certification/designations/cdmp

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#dataed


Data Management

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1/26/2010 © Copyright this and previous years by Data Blueprint - all rights reserved!


Data Management

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Manage data coherently.

Share data across boundaries.

Assign responsibilities for data.Engineer data delivery systems.

Maintain data availability.

Data Program Coordination

Organizational Data Integration

Data Stewardship Data Development

Data Support Operations


Data Program Coordination

Feedback

DataDevelopment


StandardData

Five Integrated DM Practice AreasOrganizational Strategies

Goals

BusinessData

Business Value

Application Models & Designs

Implementation

Direction

Guidance

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OrganizationalData Integration

DataStewardship

Data SupportOperations

Data Asset Use

IntegratedModels

Leverage data in organizational activities

Data management processes andinfrastructure

Combining multipleassets to produceextra value

Organizational-entity subject area data

integration

Provide reliable data access

Achieve sharing of data within a business area


Overview: Document & Content Management

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













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Polling Question #1 How much larger do the experts consider the non-tabular data management challenge than the tabular data management challenge?

a)The same sizeb)2xc)5x d)10x

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Increasing Scope & Volume of Data Management

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1 X Tabular Data

5 X Tabular and Non-Tabular Data


Data Management Technology Research

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Definition: Document & Content Management

• The control over capture, storage, access, and use of data and information stored outside relational databases

• Focus on integrity and access; roughly equivalent to data operations management for relational databases

• Looks beyond the purely operational focus

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• Strategic and tactical focus overlaps with other data management functions in addressing the need for data governance, architecture, security, managed meta-data, and data quality for unstructured data


Definition, cont’dTwo sub-functions of document and content mgmt:

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1. Document management:• The storage, inventory, and control of

electronic and paper documents• Encompasses the processes, techniques,

and technologies for controlling and organizing documents and records (stored electronically and on paper)

2. Content management: • The organization, categorization and

structure of data/resources so that they can be stored, published and reused in multiple ways

• Sometimes referred to as Enterprise Content Management (ECM), implying the scope of content management is across the entire enterprise



Unstructured (or preferred) Non-tabular Data

• Any document, file, graphic, image, text, report, form, video, or sound recording that has not been tagged or otherwise structured into rows and columns or records

• Found in different kinds of electronic formats, including word processing, email, flat files, spreadsheets, XML files, etc.

• Enormous amount of unstructured data also exists in paper files

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Document/Record Management• Lifecycle management of the

designated significant documents of the organization

• Records can be physical, electronic or hybrid

• 90%+ of today’s records are electronic: growth in email and IM has made the management of electronic records critical to organizations

• Compliance regulations and statutes:– U.S. Sarbanes-Oxley Act

– E-Discovery Amendments

– Canada’s Bill 198

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Federal Rules of Civil Procedure• Zabulake v. UBS Warburg

– Trial judge instructed the jury that it could assume that missing information was probably damaging

– Zabulake was awarded $20 million

• Perleman v. Morgan Stanley– Morgan Stanley "found" at least 120

backup tapes of email– Morgan Stanley was fined $604 million in

compensatory and $850 million in punitive damages

• New federal rules – 26(f) lawyers must know what is known, legal holds– 26 (b) (2) [B] relative cost of the recovery and judgment– 34 (b) data delivered in native format– 37 (f) you are required to secure all relevant data

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Document/Record Management LifecycleActivities:• Identify existing and

newly created documents/records

• Create, approve, and enforce documents/records policies

• Classify documents/records

• Retention policy• Short and long-term

storage• Retrieval and circulation• Preserve and dispose

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Identify

Create, approve, enforce

Classify

Retain Store

Retrieve and

circulate

Preserve and

dispose




Plan for Managing Documents/Records• Documents management involves planning at different

levels of a document’s lifecycle:

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

• Create planning and policy around documents and records on the value of the data to the organization

• Establish, communicate, and enforce policies, procedures and best practices for documents

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(1)Creation or

Receipt

(2)Organization for Retrieval

(3)Distribution

(4)Archiving or Disposition




Implementing Document/Records Management Systems• Electronic documents must be

indexed during the capture process so that they can be found

• A document repository enables check-in and check-out features, versioning, collaboration, comparison, archiving, status state(s), migration from one storage media to another, and disposition

• Document storage includes document management• Documents can be categorized for retrieval• Reports are delivered through a number of tools, e.g. printers,

email, website, etc.• Many document management systems include digital asset

management: management of digital assets (audio, video, music and digital photographs)

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Three Levels of Control • Levels are based on the criticality of the data

and the perceived harm that would occur if data were corrupted or otherwise unavailable

• ANSI Standard 859:1. Formal (most rigid)

• requires formal change initiation• thorough change evaluation for impact• decision by a change authority• Full status accounting of implementation and validation to

stakeholders

2. Revision • Less formal• Notify stakeholders and increment versions when a change is

required

3. Custody (least rigid)• Least formal• Merely requiring safe storage and a means of retrieval

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Three Levels of Control: Example

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Sample list ofdata assets and possible control levels



Determining Levels of Control • ANSI 859 recommends

the following criteria: – Cost of providing and

updating the asset– Project impact, when the

change has significant cost or schedule consequences

– Other consequences of change to the enterprise or project

– Need to reuse the asset or earlier versions of the asset

– Maintenance of a history of change

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Backup and Recovery Plans and Procedures• The document and content management system needs to be

included as part of the overall corporate backup and recovery activities for all data and information

• Documents/records manager needs to be involved

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• A business continuity plan (Disaster Recovery Plan) contains written policies, procedures, and information designed to mitigate the impact of threats to all media and to recover them in a minimum amount of time and disruption

• This requires:– Identification of vital records– Development of plans for protection and

recovery– Maintenance of these plans




Retention and Disposition ProgramsA document/records retention and disposition program:• Defines the period of time

during which documents/records must be maintained

• Defines when the documents/records are not active any more and can be transferred to a secondary storage facility

• Specifies the processes for compliance and the methods and schedules for the disposition of documents/records

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Audits: Example

Document/recordsmanagement requires auditing on a periodic basis to ensure that the right information isgetting to the right people at the right time for decision making or performing operational activities

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Audits: Components• Defining organizational drivers and

identifying the stakeholders that comprise the “why” of document/records management

• Gathering data on the process (the “how”), once it is determined what to examine/measure and what tools to use

• Reporting the outcomes

• Developing a plan of action for next steps and timeframes

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Goals and Principles1. To safeguard and ensure the

availability of data assets stored in less structured formats.

2. To enable effective and efficient retrieval and use of data and information in unstructured formats.

3. To comply with legal obligations and customer expectations.

4. To ensure business continuity through retention, recovery, and conversion.

5. To control document storage operating costs.

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Activities

1.Document/Records Management– Plan for Managing Documents/Records– Backup and Recover Documents/Records– Retain and Dispose of Documents/Records– Audit Document/Records Management– Implement Document/Records Management Systems for

Acquisition, Storage, Access, and Security Controls2.Content Management

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

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• E-discovery records

• Outgoing letters and emails

• Policies and procedures

• Audit trails and logs

• Meeting minutes

• Format reports

• Significant memoranda

• Contracts and financial documents

• Managed records in many media formats


Primary Deliverables

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Roles and Responsibilities

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Suppliers:• Employees

• External parties

Consumers:• Business and IT users

• Government regulatory agencies

• Senior management

• External customers

Participants:• All employees• Data Stewards• DM Professionals• Records Management Staff• Other IT Professionals • Data Management Executives• Other IT Managers• Chief Information Officer• Chief Knowledge Officer


Technology• Stored Documents

• Office Productivity Tools

• Records Management Tools

• XML Development Tools

• Collaboration Tools

• Internet

• Email Systems

• Image and Workflow Management Tools

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Guiding Principles• Everyone in the organization

must create, use, retrieve, and dispose of records in accordance with the established policies and procedures

• Experts in the handling of records and content should be fully engaged in policy and planning

• Even if records management professionals are not available to the organization, everyone can be trained and have an understanding of the issues. Once trained, business stewards and others can collaborate on an effective approach to records management

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Overview: Document & Content Management

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References

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References, cont’d

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References, cont’d

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Questions?

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your questions to Peter now.

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