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DOCUMENTmedia.com | fall.16









Information governance is here to stay


volume 23 issue 3




Adoption Wave of 24 The Mobile Communications Moving toward enterprise toolkits By David Stabel

Is Changing Information Assets 20 Technology Information governance is here to stay By Diane K. Carlisle



06 08 Editor’s View 09 Contributors 10 What’s New 34 Think About It



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Information Management Is Critical to Digital Transformation

a Document 26 Choosing Management System Who’s who of purchasing software By Bud Porter-Roth

By Dave Smith

at Your 14 Look Data Quality:

Begin with the Customer in Mind By Elizabeth Dailing

Ways to Use 16 4Automated BPM for Information Governance By Jim Just

Quick Wins 18 Why Are Important for

Long-Term Success By Matt Mullen

Print Paradox 30 The Customer experience is multi-dimensional By Terry Frazier

Enterprise Risk 32 COSO Management What it means By Jim DeLoach

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editor contributing editor contributors


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Allison Lloyd

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Amanda Armendariz Diane K. Carlisle Elizabeth Dailing Jim DeLoach Terry Frazier Jim Just Matt Mullen Bud Porter-Roth Dave Smith David Stabel Ken Waddell

[ ken.w@rbpub.com ] (o) 608.442.5064 (m) 608.235.2212

DOCUMENT Strategy Media (ISSN 1081-4078) is published on a daily basis via its online portal and produces special print editions by RB Publishing Inc., 2901 International Lane, Madison, WI 53704-3128. All material in this magazine is copyrighted © 2016 by RB Publishing Inc. All rights reserved. Nothing may be reproduced in whole or in part without written permission from the publisher. Any correspondence sent to DOCUMENT Strategy Media, RB Publishing Inc., or its staff becomes the property of RB Publishing Inc. The articles in this magazine represent the views of the authors and not those of RB Publishing Inc. or DOCUMENT Strategy Media. RB Publishing Inc. and/or DOCUMENT Strategy Media expressly disclaim any liability for the products or services sold or otherwise endorsed by advertisers or authors included in this magazine. SUBSCRIPTIONS: DOCUMENT Strategy Media is the essential publication for executives, directors, and managers involved in the core areas of Communications, Enterprise Content Management, and Information Management strategies. Free to qualified recipients; subscribe at documentmedia.com/subscribe. REPRINTS: For high-quality reprints, please contact our exclusive reprint provider, ReprintPros, 949-702-5390, www.ReprintPros.com.

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MOST TWEETED The Digital Strategy: Do You Know Where You’re Going http://documentmedia.com/article2390-The-Digital-Strategy-Do-YouKnow-Where-Youre-Going.html

MOST SHARED ON FACEBOOK SharePoint 2016: Do You Know What to Do With It? http://documentmedia.com/article2473-SharePoint-2016-Do-You-KnowWhat-to-Do-With-It.html

MOST READ ON LINKEDIN Why Does Paper Continue to Hang On? Moving Toward Digital http://documentmedia.com/article2436-Why-Does-Paper-Continue-toHang-On-Moving-Toward-Digital.html

MOST READ ON DOCUMENTMEDIA.COM The Resurrection of CCM Technology and the Emergence of Communication Platforms http://documentmedia.com/article-2455-The-Resurrection-of-CCMTechnology-and-the-Emergence-of-Communication-Platforms.html


fall.2016 DOCUMENTmedia.com



by Allison Lloyd

round five years ago, I began to notice a significant gap between how we approach and talk about managing information and the subsequent container of that information—specifically, the communication to a customer. For us at DOCUMENT Strategy, these have always been halves of a whole, especially when addressing customer engagement, data, and digital adoption through a strategic lens. Customer experiences are certainly not bound by the siloed infrastructure of many enterprises today. As a result, we are finally seeing the discussion around our strategies in a new light. Our mission in advancing this very conversation was one of the reasons why we introduced our own information management education program at our annual conference, the DOCUMENT Strategy Forum. We have long addressed customer communications management, but without addressing the information component of those communications, the strategic picture is incomplete. Why? Because, as you will read on page 12, Dave Smith says, “Information is, in fact, your greatest asset from a business perspective.” As more organizations begin to aggressively transform into a digital business, they will need to realign how they view their information assets. According to Mr. Smith, “You can’t impact the customer’s digital experience without digital information.” Yet, companies are left to grapple with a complex mix of information, technology, changing communication channels, and evolving regulations. It is very easy to lose sight of why you’re even transforming in the first place. Whether we’re talking about information, customer communications, or the conundrum of digital adoption, we should always understand that these discussions must be in context with our organizational goals. When we focus on governing our information, extracting business value from our data, and truly understanding customers’ needs, we will be armed with the tools for better decision-making. For example, we are always surprised at the large number of companies still delivering the majority of their communications via print. Given the complex set of


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touchpoints available to consumers, this seems baffling. Or is it? Digital adoption remains a top challenge for customer communications management (CCM). Despite the technology capabilities available in the CCM market, industry adoption for rich and interactive communications is lagging, according to InfoTrends Analyst David Stabel. Instead, many organizations continue to send PDF versions of their printed document via electronic channels. Is it any wonder why we face challenges in adoption? If we rely on old processes and approaches to the digital business, we are not improving the experience for the customer. The question that remains is: “What are the goals of the digital business?” As IDC Analyst Terry Frazier writes on page 30, “Successful customer experience is multi-dimensional rather than just digital.” How we connect our information assets, processes, people, and technology in pursuit of delivering these experiences are critical to meeting our strategic goals. I hope we will rid ourselves of the term back-office, administrative, and the like. The more we understand that all assets of the organization work together as a whole to serve our customers, the better we will be and the bigger profit margins we will realize.

Until next time,


Diane Carlisle Ms. Carlisle, IGP, CRM, is the Information Governance Program Advisor for ARMA International. She directs the development of ARMA’s educational offerings, oversees the Information Governance Professional credentialing program, and represents the association in various professional venues. She is a certified Information Governance Professional (IGP) and Certified Records Manager (CRM). She has been awarded both the ARMA International Distinguished Service Award and the Britt Literary Award.

Quality assurance that makes sense.

Terry Frazier Mr. Frazier is a Research Director within IDC’s Document Solutions research group. He is responsible for the Smart Customer Engagement practice as well as written research in managed print and document services and document outsourcing. Mr. Frazier has more than 25 years of experience in operations, process and technology management, market research, and competitive analysis. Prior to joining IDC, Mr. Frazier spent 14 years as a management consultant for a variety of Fortune 1000 companies.

David Stabel Mr. Stabel is an Associate Director at InfoTrends and leads the Customer Engagement Technologies advisory service, covering the customer communications technology landscape as well as technologies that drive better customer experiences and engagements. He is responsible for conducting market research and analysis, custom consulting engagements, forecasting market growth, client care, and providing coverage of industry events in relation to the customer engagement solution market.

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Bud Porter-Roth Mr. Porter-Roth has over 20 years of experience as an ECM consultant, with a focus on electronic document management, records management and paper document projects. Mr. Porter-Roth is the author of the following books: Document Conversion Project Guidelines, Request for Proposal: A Guide to Effective RFP Development, Writing Killer Sales Proposals: Win the Bid and Close the Deal, and Proposal Development: How to Respond and Win the Bid.

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Fall 2016


What’s New

Information Management Through the Eyes of an IT Auditor By Russell Stalters http://documentmedia.com/article-2483Information-Management-Through-the-Eyesof-an-IT-Auditor.html

For Business Success, Go Beyond Wishing By Joao Penha-Lopes http://documentmedia.com/article2489-For-Business-Success-Go-BeyondWishing.html

To Delete or Not to Delete: The Debate Over Deleting Emails By Jamaal Davis http://documentmedia.com/article-2454-ToDelete-or-Not-to-Delete-The-Debate-OverDeleting-Emails.html


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Is There a Better Way to Treat Vendors and Customers? By George Dunn http://documentmedia.com/article-2485-Is-There-aBetter-Way-to-Treat-Vendors-and-Customers.html

Information Governance Builds Compliant Organizations in the Digital Age By Brett Claffee http://documentmedia.com/article-2487Information-Governance-Builds-CompliantOrganizations-in-the-Digital-Age.html

4 Workflow Trends for the Digital Office

By Andy Jones http://documentmedia.com/article-2460-4-WorkflowTrends-for-the-Digital-Office.html

Look for Cost Reduction in Outsourcing Your Print and Mail By Richard Rosen http://documentmedia.com/article-2496Look-for-Cost-Reduction-in-OutsourcingYour-Print-and-Mail.html

BPM, Analytics, and IoT: Understanding the Hidden Process By Bob Larrivee http://documentmedia.com/article-2494BPM-Analytics-and-IoT-Understanding-theHidden-Process.html

Mitigating Third-Party Information Security Risk By Anthony Dupree http://documentmedia.com/ article-2448-Mitigating-Third-PartyInformation-Security-Risk.html


Is Critical to Digital Transformation By Dave Smith 12

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very organization is now a digital business. Its information is an asset and its digital currency. Business leaders responsible for managing enterprise information have to focus on its life cycle, which is extremely critical for the success of the business. Information flows feed every business process. You can’t impact the customer’s digital experience without digital information. Knowledge workers can’t do their jobs without the right access to the right information at the time they need it. Process automation cannot happen without digital information. This is digital transformation, and information is inextricably linked to it. Information management is by far one of the most critical things enterprises have to get right or face negative consequences to the business. While information is the digital currency of every organization, it is also tied to people— the lifeblood of every enterprise or organization. The massive amounts of data that are generated between people across each line of business and their respective processes represent a potential treasure trove of information, insights, and a key source of innovation. So, there is a relationship factor between people, processes, technology, the information flow, and its meaning that helps to determine the value of that digital currency. “Big Data” has now become a prime area of focus as organizations try to analyze and gain insights from the large volumes of data submerging the business. That large volume includes both structured and unstructured data. There is a continuum that includes people, processes, technology, information, and their relationship to each other. Artificial intelligence (AI) and offshoots, such as

machine learning and deep learning, have emerged as methods to understand these relationships, gain intelligence from data, and support predictive and prescriptive analytics to enable better decision-making. In speaking with small, medium, and large businesses, we hear them express over and over again that compliance, risk, cost savings, and improved productivity are among key drivers for information management. Business leaders intimate that managing and getting value out of the large amounts of enterprise data is a key priority. One of the key aspects of digital disruption and the ensuing digital transformation taking place is the underlying fact that information is an asset. Information is, in fact, your greatest asset from a business perspective. Information-enabling every part of the business allows enterprises to scale digitally in a way they could never before. Effective management of information, however, requires a strategic approach that puts people and people processes at the center. Managing information is a delicate dance of collecting, sharing, and monetizing that information where it makes sense. It is what can be derived from information that is key here. There are transformative insights hidden in enterprise data, but organizations have to know where their data is to glean insights from it. So, enterprises need visibility into their data, access, and the ability to take action. Information management helps enterprises break down the massive amounts of data into a manageable form that is easy to understand. A major part of information management is archiving and storage management to ensure accessibility and proper governance. These are key concerns

that have to be addressed. The imperative is that enterprises have to manage information like the asset it is. This leads to the technology component from a strategy perspective. Enterprise planners have to evaluate solutions and services that support information management, including the full information life cycle. Planners should evaluate leaders such as Veritas and EMC. Information management involves every area of the business. It calls for effective strategies to foster better business alignment. For example, business units such as information technology (IT) and marketing will need alignment as all business strategies are based around the customer experience. A true digital business has to focus on consistency and availability of information, with the end goal of enhancing the customer experience. Therefore, information has to be in context as well as be consistently captured and managed. It has to be real and people-centric enough to empower contextual business decisions. O

DAVE SMITH is Founder and Principal Analyst at InFlow Analysis. He is a Gartner veteran of over 16 years and an IT industry professional with 20 years of experience in the collaboration and workplace technology markets. Contact Dave at http://inflowanalysis.com or follow him on Twitter @DaveMario.

DOCUMENTmedia.com fall.2016




Begin with the customer in mind

By Elizabeth Dailing


rganizationally, customer communications can be an overwhelming concept. In many companies, the responsibility spans not only departments but also geographies and regulatory compliance requirements. Yeesh. In an attempt to simplify the process, often the best place to start is at the beginning by taking a hard look at the quality of your data. Data quality is a concept that’s been around for a long time and is traditionally viewed as simply cleansing the expected things you know about customers—the names and addresses that feed customer databases. However, perhaps it’s time to pivot on this concept and shake off the “old school” information technology (IT)


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vibe it sometimes brings to mind. The reality is today’s version of data quality, if combined with customer communications, becomes quite interesting. Put yourself in the place of your customer. When organizations send information to incorrect addresses, or address the information to “Valued Customer,” customers don’t feel the love. In fact, there are a number of recent studies highlighting the impact on loyalty when customers don’t feel a strong relationship to the organization in both negative and positive encounters. With the proliferation of social media, where every customer has a voice to the world, it’s in your best interest to make your communications deliverable, timely, and relevant.


PERSPECTIVE When a customer first subscribes to receive your communications, have you validated their contact information to make sure it’s correct from the start?

With the addition of some data quality services at the front-end of your customer communications, you ensure you stay in touch, have a number of ways to communicate with your customers, and keep them engaged. The best place to start is by simply approaching your organization from the customer perspective. Once you’ve identified the gaps, you’ll be able to take action and improve your customer data. Start by thinking about how you deliver communications to your customers and what you know about them. If you are truly pursuing success in an omnichannel world, do you have the customer information you would need to communicate with them in their preferred channel? Most companies have some customer information for both print and digital communications; yet, they don’t have the confidence that their information is current or even if it is accurate. It’s easy to place blame for the quality of the data—or lack of it—on those maintaining your customer relationship management (CRM) system or other enterprise databases. However, if you’re being completely honest, could you answer the following questions about your customers: Are you actually connecting with your current customers? How many of your customers can you communicate with via print and digital? Is SMS or text an option for your customer communications? Which of your customer communications have the highest delivery rate? How much do you trust your customer data? When you start with the approach of understanding your own customer data, some of the missing items needed to ensure that your connections are effective will often bubble up. Those missing data points about your customers may exist or be managed in another part of the organization. This is where you can choose to stand up and change what you know about your customers. We have all been on the receiving end of a bad customer experience simply due to an incorrect

Do you have processes in place to make sure your customer addresses for print communications and regulatory compliance are current and validated? How do you know if those customers moved?

Are you managing your customer lists to make sure those who are unwilling or unable to receive or respond to your communications are not included in your distribution?

Do you have active phone numbers for your customers, or do you only have a phone number but no address?

If your database is incomplete and your company is focused on new digital communications, are you able to message to the bulk of your customers via email, SMS, or text?

Can you currently run effective communications that are geographically targeted?

title, old address, or completely disconnected message. Be a champion for better customer communications and bring data quality into the conversation. Start with a review of your customer data, keep the customer at the forefront of your mind, and improve your communications. After all, we all know if we don’t take good care of our customers, our competitors are more than happy to step in. O

ELIZABETH DAILING is Senior Director of Portfolio Marketing for a group of companies, including GMC Software Technology. To contact Elizabeth, visit www.gmc.net or follow her on Twitter @ecdailing.

DOCUMENTmedia.com fall.2016




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sing business process management (BPM)/workflow in even the simplest way offers significant governance benefits; workflow doesn’t need to be complex nor difficult to deploy to gain serious organizational value. A valuable way to use BPM is for automated information governance (IG) tasks. Let’s look at four examples.


Trigger-based retention rules always present a challenge with enterprise content management systems (ECMS),such as how to update the trigger in the system.

For instance, personnel files are generally maintained for seven years after separation. The challenge is knowing when separation occurred and updating the retention rule in the ECMS. It is a simple matter to structure an automated BPM flow to query the separation date in a human resources information system and, when filled in, grab the value and update the trigger in the retention module of the ECMS. BPM checks the separation value on a schedule determined within the process flow. Information technology (IT) would need to provide the SQL query used by BPM and assign read-only access credentials. This simple, automated process can be applied for any trigger that can be gathered from a business system.


Another example of automated BPM involves content with a retention value in excess of 10 years, i.e., content that falls into the longterm digital preservation (LTDP) category.

Without going into the various approaches to LTDP, all of them embrace, to one degree or another, many copies in many formats—the LOCKSS strategy. The obvious choice for one of these formats is PDF/A—the ISO standard for long-term preservation. Some content management systems offer renditioning services (automated conversion of formats), but most do not. Of course, there are no rendition services available for shared drives, and relying on users to convert content is, at best, a flawed strategy. Instead, point a BPM process at the long-term content, and let it orchestrate the renditioning actions using Adobe services, Xena, or other software. Once the PDF/A and/or other formats (TIFF, RTF, etc.) are created, BPM can copy to files into multiple cloud or on-premise destinations as part of the process definition. In some situations, there is the need to immediately rendition content into one or more formats, such as an engineering CAD file into a PDF for general viewing access. That same PDF can be pushed to a website for external consumption or a link to it, if that is the use case.


Monitoring the state of content or data values in an ECMS is one of the most powerful capabilities of BPM.

Examples of states are content ingestion (new document state); completion state; version state; approval state; and one or more datum state. Based on state, business rules are executed by BPM. For example, when new content is added to a SharePoint site, BPM can sweep the document into the ECMS, update the customer relationship management (CRM) system with a link to the content in the ECMS, send a link to a trusted third party via email, and trigger an event in a user queue to take action. All these tasks are executed without human intervention and completely within the construct of BPM with full auditing.


When a document-centric BPM/workflow instance reaches its end state, the history of the transaction’s flow will be captured in the workflow audit trail.

However, that history may not be readily evident in the content repository nor easily accessible by a user that has access to the document but does not have workflow privilege. The document is stored in the ECMS associated with its metadata, but the workflow history remains hidden in the workflow audit trail. Instead, create a standard BPM task (subflow) that can be plugged in as the last step of document-centric workflows. The task’s job is to grab the audit trail for that document’s instance, render (print or save) the data to a PDF (or Word, Excel, XML, etc.), and add the PDF to the ECMS using the same metadata as the document to which it relates. You’d probably want to tag the audit file to control access. There will now be a permanent association of the document and its process flow.

JIM JUST is a Partner with IMERGE Consulting, Inc., with over 20 years of experience in business process redesign and records and information management. Contact him at james.just@imergeconsult.com. DOCUMENTmedia.com fall.2016





ometime in the early spring, there was a moment for us Londoners where we woke up to the fact that 2016 was an Olympic year once again, but this time, we wouldn’t be hosting. Instead, we had the memories of 2012 in the back of our minds as we enjoyed the slightly awkward time zone that is Rio. Yet again, we proudly glanced at the medal table, which, at the time of writing, makes


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for happy reading. Those achievements on and off the track for the still awkwardly monikered Team GB are far from an overnight success. Indeed, it was a woeful set of results at the Atlanta games back in 1996 that inspired the diverting of funds from the National Lottery toward creating a sporting infrastructure to support programs like those for track and road cycling. In my last couple of posts, I’ve talked about the difficulty in moving

By Matt Mullen

from thinking about tasks to orchestration and the parallel trials that often prevent CEOs from thinking beyond a couple of quarters ahead. On face value, they might be somewhat contradictory; there’s a need to think strategically, but at the same time, leadership is being drawn into thinking tactically. Added to that, I’ve previously stated the importance of primary CEO sponsorship for digital transformation projects themselves.

If the aims of any transformation project aren’t ultimately going to result in an organization with a healthier bottom line, then it does beg the question, “Why are you embarking on it in the first place?”

So, how do you square these apparently opposing forces and build a strategy—which enables you to think beyond tasks and one that can be bought into by an organization’s leadership but still enables that leadership to meet their tactical needs? By delivering incremental successes throughout your transformation project. This, however, doesn’t require you to entirely rethink the way in which you approach digital transformation

projects, assuming that they were predicated upon involving stakeholders from the relevant line-of-business organizations and balancing the “loud voices” with what you already know to be true. The overall aims do not differ, and the desired outcomes do not differ. However, the way in which they might be delivered to meet the outcomes for those stakeholders—not least, the CEO— might be programmed in an alternative manner. The overall result might take longer to realize, but that realization will be met with more overall momentum, as those cascading “quick wins” achieved along the way help drag the organization as a whole across the line. At this point, there might be some of you thinking, “Why do I need to focus on finding wins? A quick win for a CEO is going to be revenue- or growth-related, right?” The answer to that second question is likely to be a firm “yes.” The answer to the first point is more nuanced but vitally important. If the aims of any transformation project aren’t ultimately going to result in an organization with a healthier bottom line, then it does beg the question, “Why are you embarking on it in the first place?” By focusing on producing quick wins throughout the life cycle of

the project, which through either overt or covert means contribute to the financial health of the organization, you are adding real validation as to its purpose. When the UK government diverted all that lottery cash into sport, the aim wasn’t just to up the median ability of the nation’s Olympic sports people or encourage more general participation in sport, though it did achieve a lot there as a consequence. The project was to win as big of a haul in Olympic medals as it could, building on incremental successes at subsequent games from Atlanta to validate the approach before the big pay dirt at London 2012 and in Rio. Reminding ourselves of this inexorable link between our efforts in digital transformation and the sometimes nasty world of business attainment often doesn’t feel comfortable—but it is one which is necessary to do at every step. O

MATT MULLEN has been deep in the weeds of the software industry since the mid-1990s. For the last few years, Matt has been an industry research analyst, advising large enterprises and software vendors alike on emerging technology, market intelligence, and organizational strategy. Follow him on Twitter @MattMullenUK.

DOCUMENTmedia.com fall.2016


By Diane K. Carlisle

TECHNOLOGY IS CHANGING I n f o r m a t i o n g o v e r n a n ce i


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s here to stay

It’s not news: Today’s business environment is dominated by digital technology.


e use it to create, access, and retrieve records and information. We use it for basic, day-today communications, and we use it for retaining and preserving information for long-term use. Digital information is here to stay and so is comprehensive information governance—the best way to address technology’s impact on organizational information assets. The sheer volumes of information many organizations have to manage and govern are crippling the systems and tools that have been traditionally used. For example, in a typical records and information management (RIM) framework, the focus is on controlling only records; other information is generally ignored, but that information can hold hidden value as well as increased risk to the organization. Records controls tend to be focused on the format of the information rather than on how the information is used, and compliance requirements are often limited to records retention/disposition and government and industry regulations. Furthermore, RIM requirements are not an integral

part of business processes, workflows, and systems integration efforts. RIM is viewed as a “back office” operation that is not valuable for contributing to the organization’s success. Information governance (IG) fills the gaps left by traditional RIM programs. ARMA International defines IG as “a strategic, cross-disciplinary framework composed of standards, processes, roles, and metrics that hold organizations and individuals accountable for the proper handling of records and information. The framework helps organizations achieve business objectives, facilitates compliance with external requirements, and minimizes risk posed by sub-standard information-handling practices.” IG is a strategic approach that begins with understanding the organization’s goals. Facilitating the organization’s ability to meet its goals through the use of information is the context in which IG is best understood. IG is most effective when it is enterprise-wide in scope and perspective. Many internal entities have a vested interest in how an organization’s information assets are handled. For IG to be effective across the enterprise, the organization DOCUMENTmedia.com fall.2016


must take an intentional approach to identifying its business needs, regulatory compliance requirements, duty to protect privacy, and procedures for processing information efficiently. These needs are sometimes at odds with one another. IG is about balancing the needs, identifying the repercussions if some needs and requirements can’t be met, and mitigating the risk resulting from less-than-optimal solutions. This foundation for IG elevates information assets into the same realm as corporate assets. No longer are records and information the leftover debris of organizational decision-making and transactions. The IG framework calls for the value of records and information to be maximized for the benefit of the organization while the information is active—when it is still being used in conducting business. IG also embraces technology as the key business driver and seeks to integrate information management disciplines in that new context. As an organization considers implementing new technology systems for business productivity, it must address RIM needs at the onset. This framework calls for a holistic approach in identifying the business needs from all areas of the organization. The needs of all business units (e.g., privacy, information technology, information security, legal, risk, and compliance) must be identified and considered at the project’s initiation. Only by collaborating will IG leaders have a complete picture of the organization’s information needs and understand the ramifications of decisions concerning how information is handled. IG also requires that the organization establish metrics by which program and employee compliance will be measured and evaluated. These include establishing expectations and priorities for employee performance, evaluating performance against established targets, documenting progress toward stated goals, identifying opportunities for improvement, and showing progress in IG program maturity over time. The final distinctive element in this IG framework is auditing for program compliance. Auditing makes IG program requirements real and actionable and provides an objective basis for demonstrating IG compliance. When IG is integral to an organization’s operations, it stands on the foundation of internal policies, standards, processes, roles, and metrics. Through its documentation, an organization can legitimately state that its IG program has credibility and that records can be trusted to be true and are an accurate account of the events they support. Furthermore, organizations can ensure that disposition of records is defensible, because it is conducted according to defined controls. In short, with an effective IG program in place, an organization can demonstrate integrity in how it handles its information, making a positive contribution to its reputation—and its bottom line. O

Diane K. Carlisle is the Information Governance Program Advisor at ARMA International. For more information, visit www.arma.org.


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ARMA INTERNATIONAL’S Generally Accepted Recordkeeping Principles identify the common, essential elements of IG.

1 Accountability: requires a senior leader

and defined roles and responsibilities to hold individuals accountable for information governance results.

2 Transparency: requires traceable and verifiable information in support of the organization’s activities and complete, consistent policies and processes.

3 Integrity: requires suitable guarantee of the

authenticity and reliability of the organization’s information.

4 Protection: requires specific levels of

protection and security for the organization’s information, including personal information.

5 Compliance: requires accurate references to laws and other binding authorities and guidance on how to comply with them.

6 Availability: requires correct information, to

the right person, at the right time, in the right format, and with proper protection.

7 Retention: requires compliance and defensible disposition.

8 Disposition: requires secure methods for disposal of all formats of information that is properly eligible.


MOBILE COMMUNICATION Moving toward enterprise toolkits| By David Stabel

ver since the Internet and email became available to consumers, enterprises are expected to provide digital access to business communications, dictated by customer demand. Yet, businesses are also incentivized to shift customers to these lower cost channels. The rise of the smartphone and mobile Internet is only accelerating this trend. We have witnessed three adoption waves for enterprise delivery strategies of mobile communications, as shown here. In the first wave, enterprises chose the quick-and-easy approach. Longestablished print output workflows are quickly adapted to generate a PDF equivalent of the printed document. This PDF document is emailed to customers as an attachment or made available through an online portal. Mobile consumers either receive this PDF document through their smartphone’s email client or by logging into a web portal.


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This first wave experienced a steep uptake early on, as enterprises quickly recognized the potential cost savings of not having to send a printed communication. Furthermore, the use of email and the Internet rapidly became a preferred communication channel by consumers, allowing enterprises to leverage these electronic channels. Recent InfoTrends research, which surveyed more than 800 enterprises across North America, Latin America, and Western Europe, shows that delivering an email with an attachment is one of the most popular channels for electronic customer communications today. That said, other forms of delivery are also gaining popularity, as enterprises steadily shift away from delivering an email with a static PDF attachment and transition to delivering more interactive and responsive communications—the second wave of adoption. Often, this is achieved by using the email channel to deliver a link that takes a customer to communications

available on an external portal, which uses responsive HTML to improve the reading experience on devices of varying sizes. Even so, enterprises increasingly provide mobile apps for delivering customer communications to their customers. Based on our research, enterprise respondents expect that delivery via mobile apps will reach parity with emailbased communications by 2018. In the third wave, there is a sustained push by enterprises toward a self-service model within the customer communications space. Such a model is a win-win situation for enterprises and their customers alike. Customers are empowered in the way that they communicate with an enterprise, while enterprises can lower service costs and increase customer engagement. In fact, 2016 research by InfoTrends shows that the use of mobile apps for accessing numerous types of customer service functions is increasing year-over-year.

NS For example, enterprises cited that the top functions they offer through their mobile apps today are providing access to a list of frequently asked questions (FAQ) or contacting customer service, as well as making purchases and paying bills directly within the app. This same research also indicates that using a mobile app to purely deliver critical communications is becoming less common. Although the majority of customer communications management (CCM) vendors already offer rich, interactive, and responsive communications capabilities through their CCM platforms today, industry adoption is lagging. Enterprises have stuck to PDF equivalents of printed documents, likely, because these implementations are built upon existing print output workflows and, therefore, require less effort and investment to implement and maintain. As such, the second and third adoption waves have experienced a slower uptake.

The business strategy is shifting, however, as enterprises continue to explore delivery cost reduction options and as customer experience becomes of higher strategic importance. Enterprises are making an aggressive push for their customers to go paperless and take advantage of the various access points (including mobile communications) to improve customer experience. As such, we expect the adoption of interactive and responsive communications (wave two) will experience strong growth in the coming year, especially since CCM vendors are already positioned to offer interactive and responsive solutions to their clients. We expect that the rise of the second wave will drive an increased general acceptance of mobile business communications among consumers. This is a key prerequisite for the third wave in which mobile apps act as modern “Swiss Army Knives” that provide

24/7/365 support for enterprise customers through their smartphones. This third wave will push the customer communications industry to go beyond data-driven and personalized communications. Mobile apps will be the frontend of the digital enterprise and also act as the enterprise’s proverbial business card. This will likely accelerate the consolidation of transactional and promotional communication domains and will require customer communications to support all mobile touchpoints throughout the customer journey (customer acquisition-related and customer retention-related)—a development that we already see happening today. These are exciting times for mobile communications and CCM! O

DAVID STABEL is an Associate Director for InfoTrends’ Customer Engagement Technologies advisory service. Contact him at david.stabel@ infotrends.com.

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fter you have determined that you need a document management system, and developed your basic requirements, how do you locate the right document management system? Of course, a Google search turns up millions of hits (13,400,000 results for the term “document management system�), Gartner and Forrester reports provide some names and insight (though very limited selection), and Internet sites list major vendors, but are you really finding a broad selection of vendors for your project? Are you actually missing a vendor that is already providing services to your company? Here is a list of potential starting places for your search that you may not have thought of (but may already own some, or all, of the software). Currently installed software applications, like Salesforce or Workday, can accept and store documents in their native format (DOCX, PDF, etc.) and can serve as a simplified document

management system. Review your current in-house applications and determine if they can meet your needs. You may be surprised to know that they are already being used. One potential drawback is that these applications may not support true document management capabilities and may require additional licenses in order to share and collaborate on documents with non-application users. Also, some applications, like Salesforce, can support other applications like Box. For example, you may have Salesforce as your primary customer relationship management (CRM) system and use Box to store and manage the documents. In-house line-of-business systems, like SAP or Fiserv, have document management connections or embedded systems. SAP, for example, works with OpenText to provide document management solutions, and SAP already knows your business. Fiserv embeds OnBase by Hyland into its products so that you already

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have document management capabilities, but you may not know it. In many cases, the primary software vendor, like SAP, will serve as the prime contractor and be the single source of support. This avoids the problem of finger-pointing if, and when, problems occur. Business services and product vendors, like Ricoh, Konica Minolta, SharpUSA, Fujitsu, or Canon, work with a variety of document management vendors to provide document management capabilities, either embedded in the product or as a partner program. Some vendors may offer limited scan and store, while others may offer complete document management services. Some companies may also provide in-house services and be able to staff, for example, a mail center in which all mail is scanned and delivered as a digital image or supplement your information technology (IT) department and manage the document management application. Vertical industry software application specialists only work in selected industries, such as human resources (HR), medical, construction, food services, legal, etc. This type of company may either own its own software product or build custom applications using other third-party software. If you are an accounting or HR services organization, there may be a company that specializes in your industry and includes document management capabilities into their product or service. For example, a law practice may provide financial accounting services, firm management, and practice management in addition to document and records management services that are custom-built or tightly integrated with a document management system. System integrators are companies that, generally speaking, do not own their own document management system but do partner with one or several document management vendors and develop integrations into line-of-business systems or develop unique, custom integrations based on requirements. A system integrator has the skillset to build a custom solution that may include, for example, engineering drawings, project management, time management, document


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management, and accounting. These elements may be tied together into a single tool, and the user may not know that he/ she is accessing a document or uploading a document into different systems. Software vendors of document management are the product owners/ manufacturers, such as OpenText, Hyland, Laserfiche, SpringCM, etc. These companies have developed the software and have also, over the years, purchased and integrated other products into their original product line. For example, many document management vendors purchased standalone records management companies and integrated that product into their offerings, while some vendors purchased similar document management companies to supplement their own product or to provide a lower cost product offering. This category is highly diverse and ranges from simple electronic file cabinets to solutions that are highly developed and can scale to worldwide enterprise systems with thousands of

users. Also, within the last 10 years, the industry has been disrupted by cloud storage and sync vendors, collectively known as enterprise file sync and share (EFSS) systems, that are typically cloud-based applications. Today, depending on your needs, standalone document management software vendors can be loosely grouped as follows: on-premise software in which you purchase and own the software, and it is installed on your own servers; subscription-based EFSS-style software in which you do not own the software but pay a monthly subscription fee, such as Box, Dropbox, Huddle, and others; or hybrid systems that can reside on both your own servers and in a cloud (which may be your own cloud or the vendor’s cloud). Accellion is an example of a hybrid EFSS-type system. Partners/resellers are companies that are licensed to resell a software application. Resellers/partners typically configure and install the product they resell, but they work within a vertical industry

What to Think About


Here are several points to consider if you are looking at using an existing line-of-business application for a document management system.

Software licensing considerations: If you use Salesforce or SAP, for example, as a document management system, you may not be able to share and collaborate on documents with people who do not have a Salesforce or SAP license. This requirement may be true for many applications, and you may not want to provide all potential users with a costly license for their occasional use.

2 Workflow requirements:

3 Records management requirements: Many non-document management systems, like SAP, Salesforce, NetSuite, Workday, and other line-of-business systems, may store documents in a repository but do not have the “native” capability to provide for records management. If records management is one of your key requirements, you may have to purchase a document management system to provide this capability.

and have expertise in that industry, such as retail, medical, certified public accountant (CPA) firms, small industrial firms, county or city government agencies, etc. This is similar to system integrators and others, but typically, resellers do not modify or customize the product. They will develop the business and technical requirements, configure the system to those requirements, maintain the system, and provide other services around their vertical expertise. Service bureaus are companies that originally specialized in converting paper to electronic files for day-to-day operations or one-time efforts, but today, they may provide paper-to-electronic conversion and electronic-to-electronic conversion (from one document management system to another), and many have become resellers of the software they use internally or system integrators for higher value projects. Service bureaus range from small, local shops in your immediate geographic area or may be nationwide with locations in major cities. The advantage of using a

service bureau is that they will have deep experience in handling paper conversions and will understand many aspects of paper-based workflows and conversion to electronic documents. Search for “document scanning conversion services” and add in your state for local results. There are many options open to you when seeking a document management system. Many companies go directly to a list of document management vendors that they find through an Internet search, but this won’t provide all of the vendors that may provide a solution for your needs. In many cases, a company may have several ongoing efforts in different departments for a document management system, and these teams may not be aware of each other or all of the options available to them. If possible, prior to a “vendor search” for a document management system, first, ensure that you form a team that can collectively represent all of the departments within your company. Next, list all of the current

Many companies have complex workflow applications in which a document is sent to different people in different departments. In most cases, the person receiving the document will need a user license for the program. This can be costly to provide all potential users with a license for only occasional use as part of an approval process.

in-house vendors that you have supplying line-of-business applications, like SAP, Workday, or Salesforce, and office business services, like Ricoh, Konica Minolta, or Sharp. Next, review each of the providers/vendors and determine if they have a document management system that could be used for your project. You may also find that departments are already using some type of cloudbased document management and that the system being used has potential to scale up to an enterprise-wide system instead of a departmental one. Furthermore, these existing systems, which are used by different departments, could be “integrated” into one. The takeaway for this article is: Don’t be satisfied with the obvious or wellknown vendors. Broaden your search and include in-house vendors you may not have thought provided document management services and products. O

BUD PORTER-ROTH has over 20 years of experience as an ECM consultant. Contact Bud at budpr@erms.com or follow him on Twitter @BudPR. DOCUMENTmedia.com fall.2016



ince 2009, I’ve conducted an annual survey to understand the impact of digital experience and digital adoption on print. The surveys have evolved over the years, but they always ask a number of very specific questions, such as, “What percentage of your total customer/member communications are distributed via print (either mailed, faxed, or face to face)?” In recent years, data started coming back that, at first, seemed anomalous. Now, one of the ways you design a good survey is to ask triangulating questions—questions that address the same issue from a different perspective. A triangulating question doesn’t just repeat a question by using different words; it asks a very different question. It can either validate or invalidate a hypothesis. If triangulating data all point to


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the same conclusion, you can have very high confidence that your conclusion is, at least statistically, correct. The conclusions I came to from the data are all a bit contrarian and tend to get me funny looks, but the data bear these out: Print affinity is personal and specific rather than generational and general; the poor state of the typical digital experience is as much to blame as regulatory barriers; and customers don’t think better marketing equals better performance. In my most recent survey of 400 insurers across the US and Western Europe, guess what I discovered? Large insurers, those with one billion dollars or more (or one billion euros or more) in revenues, are still increasing overall print availability. Over the next two years, the percentage of large enterprises distributing most, or all, (75%+) communications via print will grow from 12% to 16%. So, what about the other 84% of the market? Participation in segment four is

expected to drop from 20% to 19% by 2018, but participation in segment three is expected to grow from 39% to 45% over the same period—those three segments account for eight out of 10 large insurance companies in the US and Europe. For the record, the trend among all insurers (not just the large) was the same. The numbers varied slightly, but the trend held. Only segments one and two routinely show declining participation, meaning those companies that produce minimal print expect to be producing more in the future. You can argue against this all you want, but what happens in every survey is similar—more companies move up in percentage than move down, often, a lot more and every time. So, the question is, “Why?” One of the ways to get this answer is to ask about the top challenges to customer communications management (CCM) success—coming in at number one, two, and three is always “legal and regulatory constraint.” So, that’s it?

PARADOX Customer e

xperience is

That’s the answer, right? Well, also coming in at number one, two, and three is “customers not adopting digital.” Customers don’t care about regulations. Customers only care about what they want and how they want it. Clearly, customers can turn off some print and decide to go digital if they want to, regulations notwithstanding. The fact that this challenge consistently ranks on par with regulatory constraints tells us something important—it tells us that backward regulatory regimes are not the sole explanation for print’s continued presence in CCM. There is a strong interplay between preference and regulatory requirements, but if regulations were the only barrier to wholesale adoption of digital, we would see much higher adoption than what we have today. Today, fewer than one in five companies have even 50% of their customers using mobile apps, and fewer than one in three expect to achieve this by 2018. With more than 1.4 billion smartphones shipping every year, it is almost certain


sional | By T erry Frazier






Segment 1: 0% to 9% Segment 2: 10% to 24% Segment 3: 25% to 49% that a surfeit of smartphones is not the barrier preventing the majority of insurance customers from going digital. It is far more likely that going “all digital, all the time” is simply not satisfying for a large number of customers. Whatever the ultimate answer is, it is not simplistic, one-dimensional, or easy. The interplay between preference, regulation, privacy, technology, and profit is creating a complex challenge for companies, which are now largely competing







Segment 4: 50% to 74% Segment 5: 75%+

on customer service and satisfaction. Industry leaders seem to be accepting the idea that successful customer experience is multi-dimensional rather than just digital—and much of that experience starts with how they communicate. O

TERRY FRAZIER is a Research Director within IDC’s Document Solutions research group and is responsible for the Smart Customer Engagement practice. To contact Terry, visit www.idc.com.

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ecently, the Committee of Sponsoring Organizations of the Treadway Commission (COSO) released its updated enterprise risk management (ERM) framework for public exposure and comment. COSO’s exposure draft, Enterprise Risk Management: Aligning Risk with Strategy and Performance, addresses important lessons from the financial crisis of 2008. As we look back, it’s still hard to believe that an entire industry was culpable in creating a credit crunch so severe that it triggered an ugly global recession and the need for massive government bailouts. The crisis taught valuable lessons regarding the potential for the unexpected, with such terms as “black swan” entering the business lexicon. These lessons demonstrated the vital importance of several key elements of effective risk management—a fully engaged board, a bought-in chief executive officer (CEO), an open and transparent culture, a compensation structure that


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balances short- and long-term goals and interests, an understanding of the risk implications of the strategy, and a recognition that critical strategic assumptions can be invalidated by changes in the environment. COSO emphasizes these elements in its updated framework. Based on these elements, we summarize a number of important insights for boards of directors and management from the COSO exposure draft. To begin with, identifying risks to the strategy is not enough. Many organizations focus on identifying risks to the execution of the strategy. That’s a good thing. However, COSO asserts that “risks to the strategy” are only one dimension of strategic risk. There are two additional dimensions to applying ERM in strategy-setting that can significantly affect an enterprise’s risk profile. A second dimension is the “possibility of strategy not aligning” with an organization’s mission, vision, and core

values, which define what it is trying to achieve and how it intends to conduct business. Board members and executives should ensure the company doesn’t put into play a misaligned strategy, which may increase the opportunity for an organization to run askew of its mission and vision, even if that strategy is successfully executed. The third dimension to consider is the “implications from the strategy.” When overseeing strategy-setting, boards need to consider how the strategy works in tandem with the organization’s risk appetite and how it will drive behavior across the organization in setting objectives, allocating resources, and making key decisions. The updated COSO framework asserts that all three of these dimensions need to be considered as part of the strategy-setting process. As we learned in the financial crisis, failure to address all three could result in unintended consequences that lead to missed opportunities or loss of enterprise value.

The crisis taught valuable lessons regarding the potential for the unexpected. These lessons demonstrated the vital importance of several key elements of effective risk management.

Secondly, strengthening risk governance and culture sets the right tone. Risk governance sets the organization’s tone and reinforces the importance of, and establishes oversight responsibilities for, ERM. Culture pertains to ethical values and responsible business behaviors, particularly those reflected in decision-making. COSO asserts that several principles drive the risk governance and culture needed to lay a strong foundation for effective ERM. These include fostering effective board risk oversight; recognizing the risk profile of the operating model; encouraging risk awareness; demonstrating a commitment to integrity and ethics; establishing accountability for ERM; and attracting, developing, and retaining talented individuals. Thirdly, advancing the risk appetite dialogue adds value to strategy-setting. The institution’s risk appetite statement is considered during the strategy-setting process, communicated by management, embraced by

the board of directors, and integrated across the organization. Risk appetite is shaped by the enterprise’s mission, vision, and core values and considers its risk profile, risk capacity, risk capability, and maturity, culture, and business context. To be useful, risk appetite must be driven down into the organization. To that end, COSO defines the “acceptable variation in performance” (sometimes referred to as risk tolerance) as the range of acceptable outcomes related to achieving a specific business objective. Acceptable variation in performance relates risk appetite to specific business objectives and provides measures that can identify when risks to the achievement of those objectives emerge. Finally, monitoring what really matters is essential to effective ERM. The organization monitors risk management performance and how well the components of ERM function over time, in view of any substantial changes in

the external or internal environment. If not considered on a timely basis, change can either create significant performance gaps vis-à-vis competitors or invalidate the critical assumptions underlying the strategy. COSO’s updated ERM framework offers a principled-based approach that every organization can use to identify opportunities to improve its risk management. In this era of disruptive change, boards of directors and executive management would be well-advised to ensure that these insights are addressed within the organizations they oversee and manage. The reality is clear: To stay ahead of the disruption curve, business leaders must quickly discern the vital signs of change and all related implications for their markets and business models. O

JIM DELOACH is a Managing Director with Protiviti, a global consulting firm. Contact him by visiting www.protiviti.com. DOCUMENTmedia.com fall.2016


Think About It “The bottom line is that print production and delivery has become commoditybased, with continued volume reductions expected.” — TOM ROBERTS

“Global spending on software as a service (SaaS) is expected to rise to $127 billion by 2018.” — NITIN KUMAR

“According to a KPMG survey, more than two-thirds of chief executive officers (CEOs) believe that the next three years will be more critical for their industries than the previous 50.” — NICK ROMANO



“The customer communications management (CCM) market is rapidly transforming into customer experience management (CEM), as marketers are looking to optimize the customer experience through all touchpoints, including those hidden in back-office processes.” — KASPAR ROOS

“We are at a crossroad where organizations are recognizing the cost of retaining vast quantities of valueless documents.”

“Process intelligence goes beyond both analytics and BI to provide the level of detail that shows the business process performance, where gaps exist in each business process, and how to address them.”



“We believe that within five years, companies in most industries will have rolled out IoT initiatives.”

“The industry is also seeing a second wave of customer-focused native mobile applications.”



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Profile for MadMen3

DOCUMENT Strategy Fall 2016  

DOCUMENT Strategy Fall 2016

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DOCUMENT Strategy Fall 2016