AIIM16 presentation by: Charley Barth, Cummins Inc. and Geoff Lynch, Practice Lead & Business Architect, Allegient, LLC

1. 1
Establishing a Global ECM Program
at a Fortune 500 Company
Charley Barth, Global Director ECM,
Cummins
Geoff Lynch, Business Architect, Allegient
LLC

2. Establishing a Global
ECM Program at a
Fortune 500 company
Charley Barth, Global Director ECM, Cummins
Geoff Lynch, Business Architect, Allegient LLC
April 2016
Public

3. 3
Introduction / Reflections
§ Started 1 year ago with nothing (no staff, no budget, no program, no tool)
§ This line of work is not for the lazy (constant care and feeding is needed)
§ Running an ECM program will not make you popular (prepare to make enemies)
§ People will struggle to understand the concept and its benefit (prepare for weird stares)
§ Don’t forget paper and include it in your governance/business case
§ Many times it takes a crisis or bad news to get the needed attention in this space (For
Cummins, it was an internal audit that got the CEO’s attention)
§ So many moving parts and players in a fortune 500 company. (Collaboration with CIO, CISO,
Data Management, IT, Training, Legal, Compliance, & CAO on a weekly basis is a must)
§ Utilizing SharePoint platform (wish us luck…)
§ Don’t ever give up, you are doing the right thing by your company!
Disclaimer: There is more than one way to skin a cat and more than one way to start an ECM
program. Take from the presentation what you like and apply it to your own situation but
understand that every ECM program will have it’s own unique journey!
Public

4. 4
Agenda
Deliverables Defined:
§ ECM Business Case
§ Audit Response
§ Implementation Plan (suspended)
§ ECM Roadmap
§ Content Catalogue (suspended)
§ ECM Governance
§ Domain Capability Model
§ Current status/Roadmap
Public
Background Defined:
§ Who is Cummins?
§ What does ECM mean?
§ Why do we need ECM?
§ What will be different?
§ Where do you begin?
§ Vision/Mission
§ Our partner
§ Methodology

5. 5
§ Cummins is a Fortune 500 company (#154)
§ Founded in 1919, with 55,000 employees globally
§ $19.1 Billion in revenue in 2015
§ Cummins is a global power leader that designs, manufactures, sells and services
diesel engines and related technologies around the world
§ Cummins serves its customers through its network of 600 distributor facilities and
more than 7,200 dealer locations in over 190 countries and territories
Public
Who are we?

6. 6
Where are our engines/products?
§ Automotive (Dodge, Nissan)
Public
§ Marine (Sea Ray, Regal Yachts)
§ Construction (Caterpillar, Komatsu)
§ Agriculture (John Deere, Versatile)
§ Fleet (Kenworth, Peterbilt)
§ Power Gen (Google, Microsoft)

7. 7
What does ECM mean to Cummins?
Public
Governance to ensure and improve:
• Searchability
• Security
• Compliance
Across all repositories:
File Shares, Team Rooms, Cummins
Connect, SharePoint, E-mail,
OneDrive, Paper, etc.
For the full lifecycle of our content:
Create, Edit/Collaborate, Post and
Share Final, Archive, Expire/Destroy
Create
Edit and
Collaborate
Post and
Share FinalArchive
Expire and
Destroy
Searchability Security Compliance

8. 8
Why does Cummins need ECM?
Problem:
How Cummins
manages content
today?
What is our roadmap to get there?
(tools, policies, procedures)
Unenforceable
policies
Niche systems
Digital Records Center,
CMI File Plan
Tiered approach,
Provisioning and
Governance
Align with IT
transformation
efforts
Situation:
Cummins future
growth relies heavily
on our ability to
share, safeguard
and leverage
content
Solution:
Holistic approach to
managing our content
as an asset and growth
enabler
Unsecure content
Public

9. 9
Multiple tools and storage platforms
within the ECM space
Thousands of taxonomies that change
frequently (employee based) & no File Plan
Data Classification and retention is a
challenge
Data loss prevention (DLP) can be
burdensome
Poor search experience across various
platforms. (multiple searches to find info)
No provision process for content tools
Workflow creation is confusing and
requires developers
Public
Specific Reasons…(current state)
Collaboration challenging across time
zones and disparate platforms

10. 10
So where do you begin???
§ Establish Executive Sponsor(s)
§ Develop a vision/mission for your program
§ Understand legacy environments
§ Develop a business case…start small/be realistic
§ Understand leadership pain points and budgets
§ Talk to your customers (internal and external)
§ Find a trusted partner and establish deliverables
§ Develop business requirements & info architecture
§ The tool should be the last thing you worry about
§ Establish membership with AIIM and plug in
§ Lets get started!
Public

11. 11
Cummins ECM Vision and Mission
Vision
Enhancing our productivity and collective knowledge through proactive
enterprise wide management of content
Mission
• Enabling employees with the right content
• Ensuring our content is secure and compliant
• Improving productivity by promoting smart content and automated compliance
• Reducing cost, waste and variation with our information based processes
Public
“Strengthen relationships and increase knowledge”
“ECM Organizes the Business”

12. 12
Our trusted partner
§ Business Insights: Highly trained Business Analysts skilled in facilitation,
analysis, and interviewing
§ Clear Perspective: Cross industry knowledge of ECM solutions, as well
as knowledge management expertise with large companies in our industry
§ Technology Expertise: Deep knowledge of the target technology
(SharePoint)
§ Culture of “All-In”: Fully Engaged, Fully Dedicated, and willing to meet us
at both our Indianapolis and Columbus offices
§ Bonus: Based in Indiana and related experience in the manufacturing
sector with other large, global companies
Public

13. 13
Methodology to establish ECM program
Vision & Mission…
Trusted Partner…
Best practices…
Armed w/ Requirements
Public
1. ECM Business Case
2. Audit Response
3. Implementation Plan
4. ECM Roadmap
5. Content Catalogue
6. ECM Governance
7. Domain Capability Model
§ Based on the above, we
determined we needed these
7 deliverables to start:

14. 14
ECM Business Case
Why do we
need it?
What’s
included?
Approach
§ Conduct Voice of the Business (VoB) interviews
§ Utilize productivity research as a foundation (Forrester, Gartner, Microsoft, Irish Defense)
§ Validation of expected benefits by independent teams (HR, Corp Development)
§ Provides the business justification for ECM
§ Executive Sponsorship ensuring that the program has the right visibility and support
§ Ensures Prioritization with competing efforts
§ Funding to ensure support of planning and execution efforts
§ Hard Savings from reduction in hardware and software licensing expenses
§ Productivity Gains realized from efficiency improvements across 4 criteria: Search, Security,
Compliance, Reduced waste
§ Audit Risk Mitigation to address high level findings from the RIM audit
Public

15. 15
Voice of Business (VOB) Interviews
Public
Concerns with solution and policy Adoption were at the top of the list:
• So many related projects with starts & stops, there was a general sense that this is a repeat of
previous efforts (which were not fully realized).
• Need to balance the businesses pleading for stronger policy enforcement and education with a
request not to impact their productivity.
• This change will be less about the system solutions and more about the cultural change –
growing, stretching, & maturing the organization – therefore, training & communication will be vital.
In Addition:
Searchability
The lack of quality search
results was a common
frustration throughout the
organization
Retention
Focus on delivering
simplified retention
management, making it
digestible, actionable, and
not just "for Legal"
Security
Continue to ensure
appropriate handling of
Intellectual Property
documents.

16. 16
ECM Business Case – Numbers
Search (ECM) Security (ECM) Compliance (ECM) Reduced Waste (ECM)
2018 2.4 0.24 0.08 0.24
2017 2 0.2 0.08 0.2
2016 0.67 0.07 0.08 0.07
0
1
2
3
4
5
6
Productivitygainsexpected
ECM Business Case – Numbers
Productivity gains total $6.31M over 3 years
Public

17. 17
Productivity scenarios
§ Individual, Team, Enterprise Productivity
– Reduced time to locate a document
– Improved information synchronization
– Single version of the truth vs. multiples
§ Estimated losses*= 7.5 hours per year
§ Total productivity gains over 3 years = $5.07M
Search Ability
Public
*Per Information Worker (IW)
§ Improved Info Protection Technology
– Reduced occurrences of inadvertent leakage of info
– Expanded data loss prevention (DLP) & IRM tools
– Default classification built in, reduces misclassification
§ Estimated losses*= 0.5 hours per year
§ Total productivity gains over 3 years = $0.51M
Security
§ Improved Compliance with our policies
– Better protection of reputation and sensitive information
– Reduced costs for litigation & discovery services
– Retention built into solution, docs destroyed on time
§ Total productivity gains over 3 years = $0.24M
Compliance
§ Enterprise Productivity, User adoption
– Single platform for legacy content migration
– Reduced Training costs
– Get rid of paper records that are timed out
– Reduced travel costs via virtual teams
§ Total productivity gains over 3 years = $0.51M
Reduced waste

18. 18
ECM Audit Response
Why do we
need it?
What’s
included?
Approach
§ Affirm validity of the finding
§ Define Method how you will specifically resolve and/or mitigate the finding
§ Assign Targets Dates which are generous and achievable for completion
§ Review the Audit Response with the appropriate oversight organizations
§ ACT to complete your response actions in the allotted time
§ Required audit response, aligned with the implementation roadmap
§ Gain trust from the Executive Leadership
§ Authority to act
§ Established credibility for the new program
§ Establish ECM Strategy and Governance Model
§ Develop and Implement ECM Policies
§ Establish Global Processes and Procedures to support ECM Policies
§ Implemented a ECM Training Curriculum
Public

19. 19
Implementation Plan (suspended)
Why
suspended?
What was
included?
Approach
Forward
§ Transitioned this effort into an ECM Roadmap effort
§ Realization that the governance structure was Federated
§ Functional Areas would be guiding the work to achieve Governance compliance
§ Took a step back and focused on a higher level schedule and scope roadmap
§ Allowed for time to be spent on more critical deliverables
§ Originally targeted to be a Microsoft Project Plan of all related tasks to complete
§ Project Plan to be detailed for all technology and migration efforts
Public

20. 20
ECM Roadmap
Why do we
need it?
What’s
included?
Approach
§ Provides all interfacing organizations a single view of the key tasks / milestones to achieve
ECM success
§ Data and visualization combined allows ECM to define priority initiatives and communicate
those initiatives to other organizations and executives
§ Contains the prioritized milestones and tasks for the next 18 months
§ Easier to follow than a formal project plan, with tasks organized into 10 distinct swim lanes
§ Each milestone / task includes additional meta data that can optionally be filled out (notes,
RACI, status, etc.)
Public
Answer:
How
does
Cummins
Capitalize
on
this
opportunity?
ECM
ROI
starts
showing
net
postive
in
2
years
Answer:
How
will
this
enable
me
to
produce
more?
Value
vs.
Effort
Answer:
What
do
I
get
out
of
this?
Define
Functional
Excellence
Roadmap
for
ECM
(S-­‐Curve)
Establish
Benchmark
against
competitors
(John
Deere,
CAT,
etc.)
Cummins
is
benchmarked
to
ECM
capabilities
within
Manfacturing
(best
practice)
S-­‐Curve
for
ECM
needs
to
be
defined
Cummins
unique
structure
cnnot
be
changed
(hierarchy)
Industry
/
Best
Practices
that
we
can
align
with
initially
on
a
regular
basis
-­‐
IDENTIFY
THE
PROGRAM
Leadership
in
Info
Management
leads
to
productivity
Budget
for
ECM
typically
outlays
company
our
size.
What
is
the
employee
benefit
from
ECM
adherence?
Answer:
what
if
I
don't
follow
/
comply
/
and
create
my
own
work
around?
Executive
Enthusiasm
for
EXM
STRATEGY
Define
long
term
/
short
term
ECM
strategy
(1-­‐5
years)
Identify
strategy
for
ECM
with
Joint
Ventures
Critical
Path
for
ECM
and
process
Enable
changes
in
work
behavior:
-­‐
pull
to
Internet,
-­‐
NB
info
in
new
technology
§ Started by conducting a Facilitated Brainstorming
Session with key ECM leaders
§ Placed over 200 Post-It notes with ideas, tasks, and
concepts on the walls throughout the conference room
§ Photographed, scribed, digitized, and prioritized the
notes
§ Used content from Facilitated Brainstorming Session
to build the Roadmap

21. 21
ECM Roadmap Example / Demo
Public

22. 22
Content Catalogue (suspended)
Why
suspended?
What was
included?
Approach
Forward
§ Referenced required categories
within the Governance Plan
§ Determined that ownership of the Content Catalogue belonged to another organization
(i.e. the team who was building out SharePoint)
§ Cummins IT and Enterprise Architecture group took on ownership
§ MindJet Mind Manager visual artifact
§ Original plan was to use this effort to document key attributes and locate official terms
§ Serves as a pre-cursor to information architecture work within SharePoint
Public

23. 23
ECM Governance
Why do we
need it?
What’s
included?
Approach
§ makes sure that documents are kept in compliance
with company classification and retention policies.
§ ensures that the solution strategy is aligned with
business objectives and priorities
§ establishes clear decision making authority,
escalation procedures, and helps avoid
content sprawl
§ Establishes the preliminary Governance structure, processes, and items to govern.
§ Establishes ECM Governance Model Hierarchy and a Tiered approach to Content Systems
§ Identifies which tags / attributes are required vs. preferred (added from Content Catalogue)
Public
§ Utilized Federated Governance
Model as the best approach to
manage these practices.

24. 24
ECM Governance Model
Key features of a Federated Content Governance
model:
• Lean, Centralized Content Governance organization
(ECM)
• ECM owns the principles and policies, and provides
guidance to the BU/ABO/functions
• BU/ABO/Functions manage the governance of local
content/content systems
• BU/ABO/Functions control majority of their content
operations with coordination from ECM
• Best Practice: Used by Enterprise Data Mgmt.
ECM
EBU PSBU
DBUCBU
Public

25. 25
ECM Governance Model Hierarchy
Executive Content
Governance Board
(Planned for 2016)
ECM Team
Strategic Content
Governance Board
(Planned for 2017)
• ECM Policy
• Compliance Tracking
• Change Management
Approval
• ECM Compliance
• Annual Reporting
• Change Management
Requests
Content System
Owners
ECM
Ambassadors
SharePoint Center
of Excellence
ECM
Governance
Public

26. 26
Board roles and responsibilities
§ Enterprise File Plan Adoption
§ ECM Governance waiver (final approval/denial)
§ Mandatory metadata tags (Big 8)
§ Enterprise Retention schedules (email, chat)
Public
§ File Plan changes (add/remove)
§ Initial vote on ECM Governance waiver
§ Mandatory metadata tags (add/remove)
§ Content and Doc types in Cummins Connect
q Provide Executive Sponsorship, oversight and
direction
q Represents key stakeholders of ECM
q Review state of the ECM program (Paper and
Electronic)
q Meet annually or semi annually
Votingtopics
Key
Responsibilities
q Ratification of policies and guiding principles
q Formal approval of changes to ECM policy and
governance
q Formal approval of variance and compliance with
ECM Governance
q Meet quarterly
Executive Content Gov. Board Strategic Content Gov. Board

27. 27
Council Structure (Dream Team)
Data Classification
working group
Information Architecture
working group
Retention Policy
working group
Background
Sensitive Data
working group
Executive Content Governance Board (ECGB)
Led by: VP
Ethics &
Compliance
CIO CAO
VP Envision
Cummins
General
Counsel CTO VP Quality
Strategic Content Governance Board (SCGB)
Led by: Director
Enterprise
Content
Management
CBS IT
Digital
Communications SharePoint CoE
Global Web
Center CISO
Data
Management
Document
Management
*Potential ECM working groups that feed into the SCGB
Public

28. 28
ECM Governance Tiered Approach
Public
Technology
Usage
Tier
Purpose
TIER
1 TIER
2 TIER
3
“Drafts
/
Working
Papers”
Short
Term
“Collaborative
Content”
“Records”
Long
Term
Individual Team Archive
/
Legal
OneDrive/
OneNote
(Office365
Storage)
Personal
laptop
&
network
drive
Cummins
Connect
MyFiles
SharePoint/
WatchDox
Current
Cummins
Connect
Network
Shared
Drives
Cummins
Digital
Record
Center
(DRC)
Documentum
WindChill
• Internal
Use
Only
• All
4
Classifications
(through
provision)
• All
4
Classifications
(mostly
C
/
RC)
Data
Classification
• 3
Year
Retention
(Default)
(path
to
request
the
reclassification
of
the
document
to
a
longer
retention
period)
• 3
Year
Retention
(Default)
(path
to
request
the
reclassification
of
the
document
to
a
longer
retention
period)
• All
Retention
(WWRS)
(but
mostly
5
years
or
greater)
Retention
Information
Life
Cycle
Information
Life
Cycle

29. 29
5 step approach to streamline ECM governance
Governance Processes
Documentation Review Compliance Communication
Change
Management
Public

30. 30
ECM Governance Content Tags (BIG 8)
Mandatory Tag Description Generated by
§ Content/Data Classification § Per CORP-00-24-00-00
§ E.g. Internal Use Only
§ System/Provisioning process
§ User Override
§ Content Retention § Per CORP-07-11-00-00
§ E.g. ACT+7 years
§ System/Provisioning process
§ User Override
§ Subject/Document title § Document Title/subject
§ E.g. 2016 Six Sigma metrics
§ System
§ User Override
§ Author § Document Creator
§ E.g. Charley Barth
§ System
§ User Override
§ Creation Date § Date document is created
§ E.g. 11/19/2015
§ System
§ User Override
§ BU/Location/Function § Unit document belongs to
§ E.g. EBU/Africa/Finance
§ System/Provisioning process
§ User Override
Mandatory Tags apply to all content systems
Public

31. 31
ECM Domain Capability
Why do we
need it?
What’s
included?
Approach
§ Provides visibility into the status and characteristics of the content repositories, leading
toward meaningful dialog and prioritized action plans to further ECM
§ The Domain Model is a multi-level visual map of content repositories (both electronic and
paper) within which content is created and stored
§ Components required:
• The collection of relevant attributes for the content repositories within a Microsoft Excel file.
• A Microsoft Visio diagram that is linked to the data within the Excel file
Public
§ Gather content repository attributes from the repository system owners
§ Content repository should also have a single “owning” functional area
§ Status of the functional area is inherited from the content repositories within that
functional area
§ Data is only added into Excel, then Visio references that external Excel data for each
content repository
§ Additional indicators display BU / ABO applicability

32. 32
Domain Model Diagram / Demo
Public
§ Level 1 of the
diagram includes
a status shape
for each functional
area
§ Level 2 of the diagram
includes a status shape
for each of the content
repositories within a
functional area
Quality
M/CIA C RM S
coE D P C
Green:
0
C/U
Yellow:
1
Red:
0
M/CIA C RM S
coE D P C
Content
Repository:
QSI
John
Phillips
Class
2:
Business
Critical
Confidential No
Owner:
Criticality:
Highest
DC: DLP
Plan?:
#
Users:30000
Yellow
C/U M/CC R
D C
Content
Repository:
3
< Example
Repository
Name>
John
Doe
Confidential No
Owner:
Criticality:
Highest
DC: DLP
Plan?:
#
Users:30
Red
C/U
PAPER

33. 33
How do these items help ECM?
Public
Roadmap
Audit Response
These measured steps provide sufficient information to continue to the
next level of decision making and planning.
Business Case
Domain Model diagram (Inventory)
Governance Plan

34. 34
Workflow is intuitive and simple for all to
create
What ECM will do for Cummins?
World Wide retention schedule depends on
employee to apply
Retention schedule fully automated with-in
the ECM tools
Data Classification applied inconsistently Data classification built into each ECM site
and documented in provision process
Poor search experience across various
platforms. (multiple searches)
Enterprise, federated search across all
platforms (Hybrid search)
Workflow creation is confusing and
requires developers
From To
Public

35. 35
DLP built into ECM tool with automated
notification to decision makers
What ECM will do for Cummins?
Multiple tools and storage platforms within
the ECM space
Single platform for ECM and ECM storage
Thousands of taxonomies that change
frequently (employee based)
Single, company wide file plan that will have
longer life and ease search (function based)
No provision process for content tools Full provision process with stakeholders
visibility, approval and involvement
Data loss prevention (DLP) tools inadequate
and labor intensive
From To
Public

36. 36
Lessons Learned
§ Accept you will never achieve nirvana (don't let perfect be the enemy of good)
§ Focus on smaller, manageable wins (based on the size of your ECM team)
§ Find a trusted partner that will listen and is excited about your journey
§ Do not forget about paper
§ Pick the right governance model for your company early on
§ Deliverables may need to change in mid-project
§ Resources may need to change as well – flexibility is critical
§ VOB Interviews are not only for the purpose of gathering information, but to
begin to paint the picture of ECM improvements to come
Public

37. 37
Update: Where are we today?
§ Digital Records Center roll out in Q2 2016
§ Executive Governance board stood up Q3 2016
§ SharePoint roll out in Q4 2016
§ All related Policy reviewed and updated
Public

38. 38
What’s Next, left to do?
§ Establish Strategic Governance Board
§ Apply ECM Governance to legacy systems
§ Continue to execute road map
§ Become paperless company (5 year goal)
§ Increase value to company (knowledge center/
Cummins history)
– Expand ECM team (ambassadors)
Public

39. 39 Public
Thank you… and one more favor…
§ ECM Self-Assessment

40. 40