ThinkDox LLC.

Laserfiche Empower 2016CON 302:

Goal Based Requirements: Bring UX to ECM

Christopher Wynder, Ph.DDirector of Client Services

ThinkDox, Inc.@ChrisW_thinkdox

chrisw@thinkdox.com

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Overview

What is shaping ECM and information management in

generalPreparing for successHow to ensure that you meet the

actual needs of the organization

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Market forces

What is shaping ECM and information management in

generalPreparing for successHow to ensure that you meet the

actual needs of the organization

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Burst

Lift

Mortar

Information management has fundamentally changed

Burn

FuelFinanceCom. P2P

Archive

Fire Control

AD/LDAP Firewall

Quarterly

reports

Mar

ket

rese

arch

Dept. reports

Pre-BYOD Today

Documents consist of information that is used for particular business processes. There is no requirement for documents to be maintained for any period of time.

Records are a subclass of documents that must be treated differently. Specifically, they must be maintained in a format that cannot be changed for a specific length of time.

Technology has mixed separated tasks

Users do not have “silo’ed” work days where they handle just records or handle just documents.

9am

DATE

?5pm

The average user’s day

ERP/CRM

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Current practices in information management are designed based on content control rather than

information movement

• Rigid organization-enforced taxonomy.

• Retention rules

• Disposition workflow

• Audit of deletion schedules

Capture Organize UseArchive or

retire

How it is generated does not matter in a

paper world. The physical artifact is “handed over”

Use is controlled

via ownership of artifact.

The junk drawer problem

Process and storage alignment = risk reduction

Before

R&DSalesCEOHRAfter R&DSales

CEO HR

A year later

Do we have any tape?

Someone needs to organize this!

That looks great…but where do I put my vacation request-is it HR or

department?

Do we have any tape?

I thought we organized this?!

Effective ERM is service driven:

• It is embedded into normal work

processes

• Provides time-savings to system

users

• Aligns with organization strategy

and goalsTHINKDOX LLC.

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Matching Org. goals to technical build

What is shaping ECM and information management in

generalPreparing for successHow to ensure that you meet the

actual needs of the organization

The days of separate information sources is over

Organization-owned content stores

Departmental controlledcontent stores

Your view of information storage

Individual corporate data

Individual personal data

DATE

?

End users vision of information

ERP/CRM

ERP/CRM

So what do “we” actually need

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Technical control is no longer enough you need a governance plan

DATE

Potential information sourcesWhat information is important long

term?

Most user’s spend their time making documents that will not be used or likely opened more than once.

Treat information like an asset.

Every asset has a lifecycle, process for using and way to track.

It really comes down to this:

If file X was deleted tomorrow would anyone care-or even notice?

CRM

All of these sources should be governed. Start with sources where there is a clear enterprise wide

mandate for expanding their use. e.g. Policies, time-off requests .

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This is a multi-project problem

Information risk and value

Enterprise wide policiesArchiving

Disposition, growth control

Archiving can be the driver for better governance but it cannot replace governance.

Information OrganizationBuild a taxonomy

Storage managementEnterprise wide storage control

through deletion

The key to controlling growth is translating management practices into governance policies

Management Governance Long term ROI

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Start with a firm understanding of the long term storage burden

Old files

12345

Last accessedYesterdayYesterdayYesterdayYesterday6 months

Yesterday1 month1 month2 years5 years

Last week1 month1 year2 years3 years

5 years

2 years

The key aspect of scoping the organization's requirements is understanding the long term burden.

Without a clear technical understanding of:

• What information sources need long term retention.• Who needs access to high risk information• What the back-up RTO VS RPO is for day-to-day

operations• What the regulatory overhead is on the information

in general

It is impossible to properly define requirements.

Or

Glacier

7 years

Generate a information lifecycle for different asset classes

Capture Organize Use Archive or retire

ECM lifecycle

User information

lifecycleGenerate Record Use Forget or

store

?

Organize Re-Organize

ECM works best when the information is

organized at capture

The un-asked question-”How do users get work done?”

This is key to how users expect to find documents

Users lack the tools to

appropriately archive content

Re-use leads to lots of local copies.

Dept. level

Balance strategy with reality

Org. level

System of interaction

System of record

Access control

Findability

Archive

Ad hoc/ Fileshare

Holistic planning for information management

Infrastructure planning

Requirement gathering

Implementation

Integrated retention and disposition schedules

Understanding trends in content generation

Information management strategy

Technological support for managing information

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How people work is the key to requirements

9amDATE

?5pm

The average user’s day

How many different applications are they

using

How many times are they breaking compliance

ERP/CRM

Generate-How do users generate content-what are the filetypes,

what are the key applications

RecordWhere is the information from that content being

recorded? Office documents, applications

OrganizeWhat is the point of the content? Is the information being shared? Is it for revenue generation? Does it

need to be moved to other people?

When..is the information source used again. What do users

really need, what can you securely provide them.

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ECM

Idealized process

CRM

Add

Records

The reality of how records get updated

Add

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Reducing risk through user experience

What is shaping ECM and information management in

generalPreparing for successHow to ensure that you meet the

actual needs of the organization

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Incorporating user needs into requirements gathering

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Account for GROW-th by accepting the organic nature of information

An architect plans the design of information, brings structure to unstructured sources by enabling users to move through a "journey“.

Requires existing user compliance and understanding of information sources.

A gardener sets the parameters of access, provides a single point of entry to user needs by understanding that every user has multiple “journeys” that encompass their job.

Requires access control to key information sources to ensure user compliance.

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Refresh scheduleMix of content types

The Information GardenHarvest schedule

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The soil is the key. Each plot needs to be balanced for the crop

IT Efficiency

Risk Mitigation

Business Efficiency

The Soil is the platform for information movement.

(i.e. ECM or EIM)

The ECM provides the simplest platform to enable the various processes and information usage that the business requires.

Each “plot” is designed to enable personas based on information usage.

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Map the key user’s journey through information sources to understand their needs

• User journeys are maps of the steps in an activity.

• They represent a linear set of steps or tasks that a user must complete to complete an activity

• Essentially it is the same as process mapping that is done for BPM projects.

• Depending on the goal of the journey they may represent a daily activity or a multi-day activity.

• The key is that each IT service is broken down by application and storage points so that the dependencies can be mapped.

A/P

Case management

User Journey of a Sales department’s day

The goal of a user journey is break down activities into actionable steps.

Specifically we are looking to focus on order that data and users move between applications in a IT service.

Expect to need department level journey.

This exercise is difficult. Involve end users where possible as part of the exercise or build a best guess and have the appropriate managers critique the task list.

Check schedule

Follow-upConfirm PaymentSend order

Review order

Monitor action

Request internal action

Review fulfillment

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Map user journeys to IT resources to ensure success

Business facing

IT measureable

IT resources

IT service

Capacity

Applications

Business activities

People

Infrastructure

A IT service should reflect the business activities.

Business activities are rarely performed in a single application or storage location

Financial planning

Resource planning

The applications and storage points user need.

Expand the list to include back-end systems. These are the key capacity resources

ERP, “S drive”, excel

ATL Data center, local SAN, web service

Applications

Infrastructure

Example

Talk to users at multiple levels

Experiences: concerns, issues, goals Preferred outcome.

2 audits last year: Microsoft took 2 resources 3 weeks to pull together, HIPAA took 3 resources 7 weeks. HIPAA had several action items, worried next one will dig even deeper.

Data Accuracy: Track lifecycle to identify lost or stolen equipment; secure and track equipment flagged for disposal, manage process of data wipe, and environmentally safe disposal to secure data and meet regulatory requirements.Data Access: reduce time to respond to audits from 6 weeks to 1 hour.

Currently estimate depreciation based on formula of current spend in account 452 and 456, combined with previous years. Would like to be more exact.

Data Accuracy: Instantly accessible monthly reports that will provide a breakdown of commodity items vs. capital investments. This will include status and condition updates, write-offs, and lease returns.

Contracts under $50,000 are typically auto-renewed, or renewed through application owners. I don’t think anyone is really looking at them.

Contract rationalization to reduce cost overruns: Develop a process to review all contracts with a view to only renewing what is right for the infrastructure roadmap and user needs.

It takes 3 weeks to procure and distribute equipment for new users, so we often end up with new employees with no computer.

Process revisions: Provide better tracking for stocked inventory, improve process to approve, acquire, provision and distribute equipment and software to reduce times to 1 week.

Do Not underestimate the engagement planning at the requirements stage

Essentials of Change management

Over-explain the need for user involvement in the EIM project.

Provide feedback.

Schedule and keep to the schedule of feedback.

Nothing kills a ECM project faster than silence from the ECM team.

Communicate

Build collaborative partnerships with the business when shaping the changes in related processes; employee on-boarding, retire/fire, financial reporting.

Create a clear, shared vision between the key stakeholders and IT. Take everyone with you, develop a shared agenda.

Collaborate

Build confidence in the change – allocate time and resources for user testing and training.

Provide visible and active post rollout support. Get feedback, fix problems, and keep communication channels open.

Build Confidence

Focus on the three key tactics for success when implementing change: Communicate, Collaboration, and Confidence

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Building a team for success

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Keep the team dynamic and goal focused

Core objectives of an Information Governance Project Team: Strengthen data-driven decisions. i.e. add context Ensure information is consistently defined, and well

understood. Create trusted data as an enterprise asset. Improve the consistency of data use across an

enterprise.

Four categories of key stakeholders be kept aware- if not have direct involvement: Senior Management Legal Counsel Records Management Business Unit Representatives

Organize the project.

Manage deadlines

Influence governing policies

EIM projects often fail to get off the ground because they start too big. Consider a project that starts with:

The team should include senior executives in a governance and steering process.”

You will never get the CEO, CFO, CxO, [the Pope, the President, etc.] in a room together at the same time. They are too busy and are focused on bigger issues.

Expect to have to prove that an EIM solved a problem.

The Popes & Presidents Problem

Focus on the trends that the business cares about:

Business

Users

Information

Visibility into information contained within “content.”

Visibility into age, and changes in information.

Control of information access.

Control over ILM

Appropriate access without additional layers.

Reduce the technological barriers to collaboration.

Reduce risk of breach. Ease compliance reporting.

Provide a platform for expanding the types of assets that can be tracked.

Keep the team focused on the business goals-not the minutiae

The project team will be responsible for assigning information owner roles.

The success of the overall project is dependent on the passion of the team.

Match the roles of team members accordingly.

The team should not be independent or separate from the administration.

Ask for guidance, bounce ideas off of folks who have not been involved from the start.

Every organization has policies and unwritten rules.

Find them and write them down. These are the backbone of current governance processes

Spread “ownership” across members of the team based on their skill set not job description.

Provide dedicated “What-if” meeting time where internal experts can be brought into to shape the plan

Don’t reinvent the wheel- but document how it was built.

Ensure the team has awareness of business goals

?Archives and

back-upOld hardware

Hosted services

User acquired services

Communication

New content types

The explosion of content type means fragmentation of how information is share and

stored. The Information Governance committee’s definition of information should

be content type neutral.

Information Governance

Strategy

Measure the current state to define the path to success

Be tidy:Delete old data, lock down high risk data

Know what you have:Metadata, audit trails

Know how users work:Workflow, important info

sources

Savings from:

IT timeReporting time

Consolidated access control

Information handling projects of all sizes need to focus on user experience

• Start by determining how similar the key intra- and inter-departmental information movement patterns are. Do HR and finance (and IT for that matter) speak the same language.

• Organizations with limited department structure and a single organization-wide deployment for their system (user profiles, classifications work for HR, Finance, Clerks) should prioritize cross department processes.

• Where these needs diverge IT must carefully consider the compliance environment.

• Don’t forget about social. All organziations need to have policy and process for when public/marketing information and conversations move beyond “communication” to compliant or sales process.

Regulationsorganization-wide data

Similarities

Departmentaldata

Key considerations for ECM

Thank youHave questions or want a copy of the presentation:Email me: chrisw@thinkdox.com

Don’t want to email me:

See our websites presentation page http://thinkdox.com/news/white-papers-and-presentations/

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