Unlock Business Value Through Document & Content Management
Organizations 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 Management
3
Document/Record Management Lifecycle
4
Levels of Control
5
Content management building blocks
6
Guiding principles & best practices
7
Understanding foundational document & content management concepts
based on the Data Management Body of Knowledge (DMBOK)
Date:
Time:
Presenter:
December 10, 2013
2:00 PM ET/11:00 AM PT
Peter Aiken, Ph.D.
MONETIZING
DATA MANAGEMENT
Unlocking the Value in Your Organization’s
Most Important Asset.
PETER AIKEN WITH JUANITA BILLINGS
FOREWORD BY JOHN BOTTEGA
1
Copyright 2013 by Data Blueprint

Executive Editor at DATAVERSITY.net
Shannon Kempe
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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
4
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2

Identify
Create,
approve,
enforce
Preserve
and dispose
Retrieve and
circulate
Classify
Store
Retain
Unlock Business Value
Through Document & Content Management
Presented by Peter Aiken, Ph.D.
10124 W. Broad Street, Suite C
Glen Allen, Virginia 23060
804.521.4056

Unlock Business Value Through Document & Content Management
• 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
Tweeting now:
#dataed
6
Copyright 2013 by Data Blueprint

The DAMA Guide to the Data Management Body of Knowledge
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
Data Management
Functions
7
Copyright 2013 by Data Blueprint

The DAMA Guide to the Data Management Body of Knowledge
Amazon:
http://
www.amazon.com/
DAMA-GuideManagementKnowledge-DAMADMBOK/dp/
0977140083
Or enter the terms
"dama dm bok" at the
Amazon search engine
Environmental Elements
8
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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
#dataed
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Data Management
10
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Data Management
Manage data coherently.
Data Program
Coordination
Share data across boundaries.
Organizational
Data Integration
Data Development
Data Stewardship
Assign responsibilities for data.
Engineer data delivery systems.
Data Support
Operations
Maintain data availability.
11
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Five Integrated DM Practice Areas
Data management
processes and
infrastructure
Organizational Strategies
Implementation
Data Program
Coordination
Guidance
Goals
Organizational
Data Integration
Combining multiple
assets to produce
extra value
Integrated
Models
Achieve sharing of data within a
business area
Organizational-entity
subject area data
integration
Data
Stewardship
Standard
Data
Application
Models &
Designs
Provide reliable data
access
Direction
Data Support
Operations
Feedback
Leverage data in organizational activities
Data
Development
Business
Data
Data
Asset Use
Business Value
12
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Overview:
Document &
Content
Management
from The DAMA Guide to the Data Management Body of Knowledge © 2009 by DAMA International
13
Copyright 2013 by Data Blueprint
1/26/2010
© Copyright this and previous years by Data Blueprint - all rights reserved!

Unlock Business Value Through Document & Content Management
• 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
Tweeting now:
#dataed
14
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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 size
b)2x
c)5x
d)10x
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Increasing Scope & Volume of Data Management
5 X Tabular and Non-Tabular Data
1 X Tabular Data
16
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Data Management Technology Research
17
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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
• 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
from The DAMA Guide to the Data Management Body of Knowledge © 2009 by DAMA International
18
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Definition, cont’d
Two sub-functions of document and content mgmt:
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
from The DAMA Guide to the Data Management Body of Knowledge © 2009 by DAMA International
19
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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
from The DAMA Guide to the Data Management Body of Knowledge © 2009 by DAMA International
20
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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
from The DAMA Guide to the Data Management Body of Knowledge © 2009 by DAMA International
21
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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
22
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Unlock Business Value Through Document & Content Management
• 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
Tweeting now:
#dataed
23
Copyright 2013 by Data Blueprint

Document/Record Management Lifecycle
Activities:
• 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
Identify
Create,
approve,
enforce
Preserve
and
dispose
Retrieve
and
circulate
Classify
Store
Retain
from The DAMA Guide to the Data Management Body of Knowledge © 2009 by DAMA International
24
Copyright 2013 by Data Blueprint
1/26/2010
© Copyright this and previous years by Data Blueprint - all rights reserved!

Plan for Managing Documents/Records
• Documents management involves planning at different
levels of a document’s lifecycle:
(1)
Creation or
Receipt
•
•
•
(2)
Organization
for Retrieval
(3)
Distribution
(4)
Archiving or
Disposition
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
from The DAMA Guide to the Data Management Body of Knowledge © 2009 by DAMA International
25
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from The DAMA Guide to the Data Management Body of Knowledge © 2009 by DAMA International
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)
26
Copyright 2013 by Data Blueprint
1/26/2010
© Copyright this and previous years by Data Blueprint - all rights reserved!

Unlock Business Value Through Document & Content Management
• 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
Tweeting now:
#dataed
27
Copyright 2013 by Data Blueprint

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
from The DAMA Guide to the Data Management Body of Knowledge © 2009 by DAMA International
28
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1/26/2010
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Three Levels of Control: Example
Sample list of
data assets and
possible control
levels
from The DAMA Guide to the Data Management Body of Knowledge © 2009 by DAMA International
29
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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
from The DAMA Guide to the Data Management Body of Knowledge © 2009 by DAMA International
30
Copyright 2013 by Data Blueprint
1/26/2010
© Copyright this and previous years by Data Blueprint - all rights reserved!

Unlock Business Value Through Document & Content Management
• 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
Tweeting now:
#dataed
31
Copyright 2013 by Data Blueprint

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
• 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
from The DAMA Guide to the Data Management Body of Knowledge © 2009 by DAMA International
32
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© Copyright this and previous years by Data Blueprint - all rights reserved!

Retention and Disposition Programs
A 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
from The DAMA Guide to the Data Management Body of Knowledge © 2009 by DAMA International
33
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© Copyright this and previous years by Data Blueprint - all rights reserved!

Audits: Example
Document/records
management
requires auditing
on a periodic basis
to ensure that the
right information is
getting to the right
people at the right
time for decision
making or performing
operational activities
from The DAMA Guide to the Data Management Body of Knowledge © 2009 by DAMA International
34
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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
from The DAMA Guide to the Data Management Body of Knowledge © 2009 by DAMA International
35
Copyright 2013 by Data Blueprint
1/26/2010
© Copyright this and previous years by Data Blueprint - all rights reserved!

Unlock Business Value Through Document & Content Management
• 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
Tweeting now:
#dataed
36
Copyright 2013 by Data Blueprint

Goals and Principles
1. 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.
from The DAMA Guide to the Data Management Body of Knowledge © 2009 by DAMA International
37
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© Copyright this and previous years by Data Blueprint - all rights reserved!

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 Controls
2. Content Management
–
–
–
–
Define and Maintain Enterprise taxonomies
Document/Index Information Content Metadata
Provide Content Access and Retrieval
Govern for Quality Content
from The DAMA Guide to the Data Management Body of Knowledge © 2009 by DAMA International
38
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Primary Deliverables
• 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
from The DAMA Guide to the Data Management Body of Knowledge © 2009 by DAMA International
39
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© Copyright this and previous years by Data Blueprint - all rights reserved!

Roles and Responsibilities
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
Suppliers:
• Employees
• External parties
Consumers:
• Business and IT users
• Government regulatory
agencies
• Senior management
• External customers
from The DAMA Guide to the Data Management Body of Knowledge © 2009 by DAMA International
40
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Technology
• Stored Documents
• Office Productivity Tools
• Records Management Tools
• XML Development Tools
• Collaboration Tools
• Internet
• Email Systems
• Image and Workflow Management Tools
from The DAMA Guide to the Data Management Body of Knowledge © 2009 by DAMA International
41
Copyright 2013 by Data Blueprint
1/26/2010
© Copyright this and previous years by Data Blueprint - all rights reserved!

Unlock Business Value Through Document & Content Management
• 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
Tweeting now:
#dataed
42
Copyright 2013 by Data Blueprint

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
from The DAMA Guide to the Data Management Body of Knowledge © 2009 by DAMA International
43
Copyright 2013 by Data Blueprint
1/26/2010
© Copyright this and previous years by Data Blueprint - all rights reserved!

Unlock Business Value Through Document & Content Management
• 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
Tweeting now:
#dataed
44
Copyright 2013 by Data Blueprint

Overview:
Document &
Content
Management
from The DAMA Guide to the Data Management Body of Knowledge © 2009 by DAMA International
45
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1/26/2010
© Copyright this and previous years by Data Blueprint - all rights reserved!

References
from The DAMA Guide to the Data Management Body of Knowledge © 2009 by DAMA International
46
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1/26/2010
© Copyright this and previous years by Data Blueprint - all rights reserved!

References, cont’d
from The DAMA Guide to the Data Management Body of Knowledge © 2009 by DAMA International
47
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1/26/2010
© Copyright this and previous years by Data Blueprint - all rights reserved!

References, cont’d
from The DAMA Guide to the Data Management Body of Knowledge © 2009 by DAMA International
48
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© Copyright this and previous years by Data Blueprint - all rights reserved!

Questions?
+
=
It’s your turn!
Use the chat feature or Twitter (#dataed) to submit
your questions to Peter now.
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