The document summarizes the many different systems organizations use to manage information and documents, and the challenges of integrating them. It discusses paper management systems, shared drives, document imaging, electronic document management systems, records management systems, workflow systems, website content management, database systems, and cloud-based systems. It notes the risks of not having governance over these distributed systems and the loss of control over information. It recommends that organizations create an Information Manager role, develop a governance plan, map their information assets, and plan for records management. It suggests determining requirements through user input to develop use cases.

1. The Information
Managers New Toolbelt
AIIM Nevada Chapter
Las Vegas, NV
September 26, 2012
Bud Porter-Roth
Porter-Roth Associates

2. Porter-Roth Associates
Independent, vendor neutral, consulting in:
 Cloud Information Management
 Electronic Document Management
 Document Imaging
 Records Management
 Workflow
 RFP Development
http://www.erms.com
info@erms.com
415-381-6217
2

3. Agenda
 Introduction
 Review and Discussion of Technologies
 Risks
 Who is in Charge?
 Getting Started & Next Steps
 Questions
3

4. Introduction or
How Many Systems do You Have?
 Paper Management Systems
 Shared Drives
 Document Imaging
 Electronic Document Management
 Records Management
 Workflow/BPM
 Website Content Management
 Database Management Systems (how many DBs?)
 Cloud-based Content Management/Storage Systems
 Cloud-based Applications
 ????
Porter-Roth Associates 4

5. Paper Management Systems
 Paper stored in a variety of places
 Personal workspaces
 Department “shelves”
 Archive centers (in-house)
 Archive centers (3rd party)
 May or may not have a control/management system
 May have a paper management system but not a
records management system
 Few systems manage both paper and electronic
documents
 See Tab, SharePoint (Gimmal), Infolinx
Porter-Roth Associates 5

6. Shared Drives
 Have basically no control over them
 Do not manage files as records
 Have little inherent “metadata” available for work
 Have no controlled metadata capabilities
 Difficult to search with any accuracy
 Hard to place files/documents on legal hold (just copy the
whole shared drive and deal with it later)
 Hard to delete files – no RM capabilities and the
inheritance/history/personal protectiveness issues
 But we sure like them and scream when they are
“threatened”
 Check out NextPage, ZL Technologies, Oracle URM
Porter-Roth Associates 6

7. Document Imaging/Scanning
 Scanning is still a viable and cost effective technology to
storing and managing paper, if you continue to generate
paper – especially if the paper is a business record
 Can be used on a department by department basis
 Can have a quick, and continued, ROI
 Works well when linked to a back office system like the
HR or ERP/accounting system (like SAP)
 Can be a front-end to new or existing document
management systems – i.e., OpenText, Hyland,
LaserFiche, SharePoint, and cloud systems
 Supporting technologies such as document clean-up,
OCR, workflow, etc. add great value to the imaging
process
Porter-Roth Associates 7

8. Electronic Document Management
 Electronic document management is so broad with so
many products that it is hard for anyone to grasp the
complete marketplace.
 DM systems may be grouped as:
 Large enterprise-wide systems
 Medium enterprise-wide systems
 Small department level systems
 Implementation and on-going costs can be significant –
often the implementation costs are 2x+ the SW costs
 System may require significant upfront work prior to
implementation (file plan, metadata, taxonomy, workflow)
Porter-Roth Associates 8

9. Records Management
 Records management systems are typically not standalone systems
 Not all systems manage both paper and electronic – many
companies have two separate systems
 RM systems are not just plug n’ play – there is a lot of work prior to
installation to implement a RM system – i.e., a records retention
schedule, retention rules, disposition rules, business rules, etc.
 RM systems need continuing support and maintenance
 Once installed, RM systems require extensive user training – users
often “stumble” when working with an RM system, which leads to
user not using the system
 Legal may make extensive use of the RM system to initiate legal
holds that sequester documents in place or move them to a legal
hold area
 Check out Oracle URM for managing files/documents at the shared
drive level
Porter-Roth Associates 9

10. Workflow/BPM
 Workflow and BPM allow events and tasks to be handled
programmatically via preset rules
 Workflow is a subset of BPM and they are not
considered, typically, to be the same products
 Workflow is what most of us see/program such as an
AP workflow that routes an invoice and is typically
“task” oriented and departmental oriented
 BPM involves cross-departmental processes/enterprise
 Workflow = departmental activities
 Both technologies require significant upfront work prior to
implementation
 Both technologies require continued maintenance
Porter-Roth Associates 10

11. Website Content Management
WCM is closely tied to corporate documents but is typically
thought of as a separate system and documents are created
in marketing but transferred to the WCM for use. So, where
is the document of record?
 SharePoint
 Adobe
 Oracle
 SiteCore
 Acquia/Mollom
 Drupal
Typically no records management capabilities or legal
capabilities
Porter-Roth Associates 11

12. Database Management Systems
DBMSs store documents and content, which can be either
structured data or un-structured documents/images. Both
structured data and unstructured files can be records and
subject to records management, legal holds, and discovery
 SAP
 Oracle
 Microsoft
 WCM XML
 SharePoint?
It is very new, and difficult, to store structured data as a
record but you may need to…….
12

13. Cloud Content Management (CCM) Systems
 Store and Retrieve – very basic and functions like an
FTP or a file share in the cloud site. Typically no
DM/RM/Legal capabilities
 Content Collaboration – offers basic storage & retrieval -
also includes basic document management capabilities
that allow multiple people to collaborate on content.
RM/Legal capabilities are generally none to weak
 Platform – offers a complete environment including
storage and retrieval, content management, and office
productivity applications such as word processing,
spreadsheet, presentations, calendaring, workflow, etc.
RM/Legal capabilities can range from none to good
Porter-Roth Associates 13

14. Cloud Applications (not document/file based)
 Offers functional applications such as project management,
CRM, ERP, HR, social networking (business and personal) in
addition to simple creation and storage and retrieval of
documents. Generally no DM or RM capabilities. No legal
capabilities – discovery/hold is difficult if not impossible.
 EPMLive - Enterprise Project Management (EPM)
 Basecamp (project management)
 Workday (HR)
 Jive (social networking)
 Yammer (social networking now part of SharePoint)
 Facebook (all those corporate documents!)
 NetSuite (ERP)
 Salesforce/Chatter (CRM/social networking) + Chatterbox)
 Evernote (note taking – general storage)
Porter-Roth Associates 14

15. CCM and Legacy Systems
 Latest advances offer CCM and a legacy ECM system
 OpenText and Tempo
 EMC/Documentum and Syncplicity
 SharePoint and Office 365
 FileNet and IBM Docs
 CCM systems may integrate to established legacy systems
via an API to allow documents to be transferred to the legacy
system for archiving and records management
 Interesting – Box API allows 2-way sync of files between Box
and a ECM application including SharePoint
 Alfresco can sync files with SharePoint – i.e., Alfresco
frontend collaboration and SharePoint backend.
 SpringCM can be both a frontend (cloud collaboration) and
backend on-premise system
15

16. Picture This!
(manage this!)
Home
Work On-Premise
Electronic & Paper Documents
Work
File Sync Cloud-based
(n+1 services)
Work
Electronic Documents
16
Back

17. Risks
 Many ECM deployments are distributed across “authorities”
with different stakeholders and owners
 “Owners” can and will act autonomously
 Company can easily lose control of information without governance
and compliance rules
 Document/files may be spread among many devices and platforms
such as file share, SharePoint, Box, and OpenText for example
 Rapidly changing vendor community and feature
sets
 Compliance may be challenging for regulated industries
 Security (physical and data) (see first & second bullet)
 Lack of (for most) records management
 Inability to manage legal/audit/business holds on any scale
Porter-Roth Associates 17

18. Best Practices
 IT – makes decisions based on their role and $$ and IT
“manages” the content
 User – makes decisions based on need and users “own”
the content
 Management – not ready to step in yet? The issues are
too broad to manage locally yet too “small” to make a “C”
level issue?
 Do you have an information management committee?
18

19. Getting Started – Your Next Steps
 Create, if possible, a new role/function – the Information
Manager
 Give the Information Manager the tools and authority to work
 Establish, if not already, a governance and compliance plan
 Create a data map to establish where documents are and
which are the documents of record
 Plan for Records Management
 Determine IT’s role – some systems do not require IT
 Work with the USER COMMUNITY!!!
 Determine needs/requirements based on user input
 Develop business, functional, technical requirements
 Develop use cases based on the requirements
Porter-Roth Associates 19

20. Questions?
20