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fitting the document management puzzle together










When it comes to connecting your company’s data and operations, we can provide the missing piece of the puzzle. For over 20 years, NearStar has provided innovative products and solutions that companies need to address the most challenging print and mail, print-ondemand, and disaster recovery workflow issues. Whether you are looking to integrate new technology, retrofit legacy systems, streamline print and mail workflow processes, comply with green initiatives, or improve tracking and accounting, we have the software and consulting services to connect your business needs, data, and output. Our software, coupled with our 30-plus years of industry expertise, enables us to develop true vendor-neutral solutions that give you the flexibility to meet your business goals without having to reinvest in vendor-specific solutions. Contact NearStar today to find out how you can reduce costs, automate and streamline workflows, and leverage your technology investments to do more with fewer resources. Scan the mobile barcode to learn more about our solutions and services.

Visit us at Booth #567 at the Graph Expo September 28-October 1 at McCormick Place in Chicago

410 East Main Street, Lewisville, Texas 75057 972-221-4068, ext. 207 | |

volume 21 issue 3



24 ATheTalestateof ofTwo Worlds transactional printing By David Davis

into Next-Generation Capture 20 Stepping It better be more than just a toolset By Gerald Edwards



05 06 Masthead 08 Editor’s View 10 Contributors


What’s New

Connect DOCUMENTmedia DOCUMENTmedia company/document-media

Corporate Information Security: A Frightful Awakening


& Joe Shepley By Allison Lloyd

By Bob Larrivee

the Most of 14 Make Your CMS By Laurence Hart

Customer 16 The Communication

Continuum: Taking Advantage of the New Way of Doing Things By Scott Bannor

and Document 18 Print Management: How Mature is Your Organization? By Holly Muscolino


Strategy 26 Content Q&A with John Knotts

to Improve 30 How Customer Engagement By Kaspar Roos

Content 32 Contextual Understanding digital body language By Dave Smith

Fall 2014


What’s New

Two Books for Leaders to Get Smart about Reputation Management By John Patterson

How to Strategically Align Forms Management with Corporate Initiatives

5 Things to Know about Mobile Security so You Can Sleep at Night

By Ray Killam How-to-Strategically-Align-FormsManagement-with-C-1516.aspx

By Dan O’Leary

Information Governance: The New Competitive Advantage 4 Steps to Becoming a PaperLight Office

A Mobilized Workforce Creates Opportunity in Digital Workflow By Robert Palmer

By Nick Inglis

By Allen Podraza articles/4-Steps-to-Becoming-aPaperLight-Office-1509.aspx

5 Ways to Get Users to Accept Change By Lew Sauder

Marketing Should Never Own the Customer By Matt Mullen Marketing-Should-Never-Own-theCustomer-1508.aspx

4 Ways to Prepare for DigitalFirst Communications By Tom Roberts articles/4-Ways-to-Prepare-for-DigitalFirstCommunications-1507.aspx

IT Transformation: 5 Strategies to Manage Change By Jim DeLoach www.documentmedia. com/Main/articles/ IT-Transformation-5Strategies-to-ManageChange-1506.aspx fall.2014



Chad Griepentrog


Ken Waddell


Allison Lloyd


Scott Bannor David Davis Gerald Edwards Laurence Hart John Knotts Bob Larrivee Holly Muscolino Kaspar Roos Joe Shepley Dave Smith


[ ]

Ken Waddell

[ ] [ 608.442.5064 ]

audience development Rachel Chapman manager [ ] marketing creative director



Cierra Bauer Kelli Cooke

DOCUMENT (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 Š 2014 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 magazine, 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. RB Publishing Inc. and/or DOCUMENT expressly disclaim any liability for the products or services sold or otherwise endorsed by advertisers or authors included in this magazine. SUBSCRIPTIONS: DOCUMENT is the essential publication for executives, directors and managers focused on document strategies and hands-on tools for overall document management. Free to qualified recipients; subscribe at REPRINTS: For high-quality reprints, please contact our exclusive reprint provider, ReprintPros, 949-702-5390, 2901 International Drive Madison WI 53704-3128 p: 608-241-8777 f: 608-241-8666 email:



by Allison Lloyd

hy do so many information technology (IT) strategies fail? The answer is a lot simpler, yet more complex, than you might think. As an editor, I talk to many business leaders, and the story of their strategic failures never seems to change. Back in 2010, I had an eyebrow-raising conversation with a systems administrator within the biomedical industry. He detailed his company’s bumpy technology journey spanning three separate iterations to solve the same business problem. Each failed iteration resulted in lost manpower, abandoned technology and, of course, a price tag of millions of dollars in their attempts to find the “right fit.” This story is representative of many IT projects—in fact, roughly 50% of the time. According to a 2012 study conducted by McKinsey in partnership with the University of Oxford, “Large IT projects run 45% over budget, while delivering 56% less value than predicted,” and it’s not just the private sector that fails. Government and public organizations are notorious for being seduced by commercial off-the-shelf products, requiring rigorous modifications to meet specialized requirements, only to be left unused. Why? Even though they buy new technology, they don’t change the processes that are tied to “the old way of business.” When, inevitably, old processes and new technology don’t meet eye-to-eye, employees stop using what clearly isn’t working. The reality is that our industry is under a false notion that technology actually solves problems. Many companies buy into this belief, go out and buy the “sparkling” object and then build a business problem around this technology. Instead, business leaders, along with IT, should look at their processes from an end-to-end perspective first. By looking at your business drivers first, you can clearly see where technology gaps exist. In our Q&A with Doculabs Vice President and Conference Chair Joe Shepley (on page 26), he advises, “Map out what the steps in your value chain are, and then take stock of what technology is supporting/ enabling each step today and how well it’s doing so. The advantage of this approach is that it keeps you focused on business processes rather than lists



of technology you own, and it decreases the likelihood that you’ll chase after shiny new technology just because it’s the next big thing.” Don’t feel too bad: This is an engrained belief system and one hard to eradicate. However, there is a powerful paradigm shift occurring right now. What I mean by this is that today’s truly innovative companies are asking the hard questions: Who are we as a company? How can we serve our mission/goals/customers better? How can we work better as an organization to meet those goals? This is not easy, especially when you’re fighting day-to-day fires, but with shrinking IT budgets, it’s what separates you from the pack. Look at your maturity as an organization—within your strategy and in the make-up of your talent/ employees. Maturity includes every last stakeholder and everything that defines you as a business. It comes from your mission, your attitudes and your beliefs. Ask yourself: What is our approach? What is our thought process? How are we organized? Where are we going? A business leader I recently interviewed said it best: “The strategy is based on business need and our guiding business principles.” Innovative leaders—and I talk to many on a weekly basis—are taking this charge to create a sea of change and to impact the industry as we’ve never witnessed before. This paradigm shift in corporate culture and business vision is founded upon the leaders that have the courage to ask these hard questions. Until next time,


Demand More From Your DOM/CCM Solutions As companies strive to keep pace with customer demands, they demand more from DOM/CCM solutions and technologies that can grow and expand with their unique needs. Harness the benefits of a single CCM platform Since most enterprise organizations have some kind of DOM and/or CCM solution already in place, the most important question is how well the business (user) can get the right communication (document, data and message) to the right customer at the right time via the right channel with the right quality — without overreliance on IT to deliver on this promise. Depending on the level of DOM/CCM in place, the main issues encountered with these solutions stem from the existing organization and systems, including: • Consolidation/sharing across departments/functional areas • Enabling multichannel delivery and new channels (social/mobile) • Regulatory compliance / corporate consistency • Reducing dependence on IT • Legacy modernization • Maximizing resources (doing more with less) • Improving results and controlling costs With a common platform that seamlessly supports high-volume batch, on-demand and interactive document applications, enterprise business teams can centrally design and manage, administer and deploy document resources, data and definitions for all types of business documents and users ~ ensuring that all outgoing communications achieve consistent results and corporate identity. By unifying inbound and outbound communications and processes linked to enterprise systems, your organization interacts with customers as one company with one voice. Securing these key capabilities ensures you can flexibly meet current needs and address future requirements: Consolidation of ECM, BPM, CRM: Closing the loop between inbound and outbound communications is mission-critical for customer-focused operations, including the document-centric business applications required to maintain two-way communications that are consistent, relevant and effective. Create and manage content, templates and documents for batch and online document production for interactive in-document editing and ad-hoc reporting. Any type of message can be delivered anywhere in any format and stored, regenerated or reformatted as needed. Cross-channel eDelivery with Print: Secure, fast, confidential, traceable and legally binding eDelivery with PDF and dynamic

HTML business documents must be available to customers via e-mail, browser and mobile — with printing always an option. Targeted Messaging: Selecting content in e-documents enables focused delivery, relevancy and integrated feedback loop, including Intelligent Document Capture with integrated human workflow to link incoming events, documents or messages to a customer and trigger a response. Mobile, Handheld & Social Support: Cross-platform support defines business applications once and deploys to many via fully integrated social channels. Simplified Integration: Because most DOM/CCM solutions require integration with data systems and business applications, updates and integration must occur without “breaking” the solution — after all, facilitating change is essential in a customer environment. Loose coupling via SOA-based compiler and platform-independent Adapters drastically reduces the time and effort to integrate with applications and back-end systems. When a DOM/CCM system is implemented or changed, the right system that enables business users to efficiently respond to customer needs with relevant, accurate communications will almost immediately deliver benefits in productivity, effectiveness, quality, speed and customer satisfaction, with emphasis wherever the company desires it most.



Gerald Edwards Mr. Edwards is director of IT for a large New York City-based health insurer. He manages electronic data interchange (EDI), content and document management teams that deal in diverse aspects of EDI, document composition, document management, imaging, optical character recognition/intelligent character recognition, business process management and web-based applications. He has over 30 years of experience as a consultant and employee across numerous industries.

David Davis Mr. Davis is a director for INTERQUEST. He has more than 25 years of experience in the printing industry, where prior to joining INTERQUEST, he held technical and managerial positions in the newspaper, book and corporate publishing sectors. He is the author of numerous industry reports, publications and educational programs on a variety of industry topics. Mr. Davis is a frequent speaker at industry events and contributes regularly to a variety of trade publications.

Dave Smith Mr. Smith is the research director and lead analyst for collaboration at Aragon Research. He covers topics such as social business, unified communications, web and video conferencing and video content management. He has over 20 years of experience in collaboration and has helped thousands of enterprises with their collaboration strategy. Previously, Mr. Smith was a research analyst at Gartner, where he covered collaboration and web conferencing.

Kaspar Roos Mr. Roos is a director for InfoTrends production software services group, which focuses on providing technology, business and market insights to clients active in the customer communications management, digital marketing & media and production workflow markets. He manages a global team and is based in London, United Kingdom. He has extensive experience in market research, market sizing and forecasting and competitive analysis.



By Bob Larrivee



A Frightful Awakening


With October just past us, a month known for tricks, treats and scary things lurking about waiting to frighten you, it is always a good reminder that it is not a time you want to have a frightful awakening with



regard to your business information. Security breaches, loss of information and an inability to find your information in support of litigation or audit are not the types of surprises you want.

The fact is simply this: No business or employee is exempt from taking responsibility for properly managing their information assets. Every bit of information created or collected as part of business operations is considered a corporate asset. Intellectual property, customer information, employee information and correspondence are all examples of corporate information assets that need to be managed in accordance with corporate information security policies. In some industries, breaches and unauthorized access must be reported. For example, in the US, breaches of patient information must be reported to the

that regardless of what business you are in, your information and the infrastructure supporting your information management practices must be managed securely. What you do not want is the frightful awakening of finding your business listed as a breached organization. Consider the related compliance requirements around your information and your business. What are the governance policies related to how and where it is managed and recommended security measures, if they are available? Do you have policies in place regarding use of collaborative tools, like cloud applications, and their appropriate use with inter-

not unusual to overhear conversations about new product directions or even design flaws. All of this is corporate information and all of it should be managed properly. Mobile workers using tablets, laptops, etc. display information anytime, from anywhere, which includes the close quarters of an airplane. Do you have security screen filters attached that prevent prying eyes from seeing what they should not from the adjoining seat? Corporate information security is the responsibility of every employee. The corporation is responsible to establish policies, provide the tools, train the employees and monitor the environment to ensure information is protected. Employees are responsible to ensure these policies are understood and adhered to at all times. Security does not end at the repository or the building entrance and exit. Security must extend beyond the building and enterprise walls. It must include every employee and consider external parties who interact with your organization at every level. If you are dealing with a contractor or supplier, they too must adhere to your security policies. The point of a frightful awakening regarding information loss is too late. If you think that your policies, tools and employees provide the levels of security you require, that is great, but how do you know for sure? Monitor your information management environment and look for ways to improve. My guess is that you will find some. O

Every bit of information created or collected as part of business operations is considered a corporate asset.

US Department of Health and Human Services (HHS). At the time of writing this article, I found just under 1,000 listings of reported breaches that range from paper to lost or stolen removable media, to unauthorized server access. Additionally, the Identity Theft Resource Center cites that more than 621 breaches have occurred in 2014 so far. They further indicate that more than 77 million records have been exposed. The breaches here range from private to public sector, covering a wide range of markets, like higher education, healthcare, government, financial and so on. The point being

nal and external parties? Do you need encryption capabilities both at the repository and transit levels? Do you monitor your environment for inappropriate use and potential breaches, and what actions are taken if a suspected breach is indicated? When it comes to security, how are your employees trained? Are they updated periodically to ensure that they understand the importance of information security to your organization and the security tools provided? For example, use of encryption technology to protect ditgital media and information is a part of the bigger picture. Many times, disussions of a confidential nature are conducted using smartphones in public places, like airports, where conversations can be overheard. During conferences, it is

BOB LARRIVEE is director of custom research at AIIM and an internationally recognized subject matter expert and thought leader with over 30 years of experience in the fields of information and process management. To contact Mr. Larrivee, follow him on Twitter @BobLarrivee or email fall.2014


By Laurence Hart




We have all been there. The current content management system (CMS) doesn’t seem to be doing the job anymore. People are unhappy, and there doesn’t seem to be any further productivity to be squeezed from the system. People are asking for a new system. This is natural, but it’s often the wrong move and should be evaluated carefully. There are many things that can be wrong with a CMS solution, the software being the least of them. Has the business evolved since the initial deployment? Has anyone running the CMS asked the business what has changed? Can the solution built on the CMS be modified? Has information technology (IT) kept up with the maintenance of the software or let it languish? Is the interface the wrong shade of blue? (I have heard that feedback.) Before doing anything, take a step back and find out what is really going on with the CMS solution. IT initially hears about a problem when complaints start arriving. That is a bad sign, as issues tend to fester before they surface to IT. People view IT as non-responsive and wait to bring up issues until they are fed up and want a change. The first thing to do is to sit down with the business and talk to them. Have them show you what is not working well and what is working well. Go to their office and have them explain in depth. Ask them how things would work in a perfect world. Once you have that story, it is time to look at the current system. While the vendor will tend to say what you want to hear, talking to them is still the fastest way to an answer. They know their product well and will work with you to answer your questions. If they seem reluctant to help, suggesting to them that you

will have to get a new CMS if this cannot be resolved always gets their full attention. Show the vendor the current system, and then tell them how the business would like things to work. Ask them if there are new features since the initial solution was built that can be leveraged. Do not get distracted by shiny features that people haven’t requested. Those may be useful features, but if people cannot get their core jobs done, it does not matter. When the vendor starts mentioning future features, make note of them and ask to see an official roadmap. Remember that features are not real until they are delivered, and any release date greater than six months out is likely to slide.

This process can be avoided. There are many steps that an effective IT organization can take to stay ahead of these situations and earn the trust of the business. First, talk with the business regularly. Once a quarter, sit down and talk to them. Review the systems and ask how they are working. Include power users, not just managers. Bring in food to make it a relaxed setting. Second, walk the floor. If you are in the area, drop by and talk to people. Get informal updates. Let people see that you care. Third, keep up with the software. The biggest mistake I see people make is to fall behind on patches and upgrades to their CMS. This inevitably leads to an upgrade process that is so massive that it turns into a migration effort. Avoid this at all costs. There are times when it is entirely appropriate to move to a new CMS. Not all vendors can grow their software to support the direction that your business evolves. The key is to make sure that any change is made to serve the business, not because IT didn’t put in the work to keep the current system relevant. If lazy CMS management is the real problem, be ready to change systems every few years and for the waste in time and money that will follow. O

If lazy CMS management is the real problem, be ready to change systems every few years and for the waste in time and money that will follow. If the vendor has the right answers, work with them to present a plan of action to the business. Focus on what can be done in the short-term. If new features are on the horizon for the product, discuss how the business can prepare in advance to be ready when those features are available. Make sure the business understands that changing the CMS could take a year or more. Full requirements, vendor selection, deployment and migration of existing content takes time. It is also not cheap. Partner with the business so they can make a balanced decision. The business doesn’t care about the vendor. They just want to be able to do their jobs.

LAURENCE HART is a proven leader in content and information management, with nearly two decades of experience. Follow Mr. Hart on his blog, Word of Pie, or on Twitter @piewords. fall.2014


By Scott Bannor

THE CUSTOMER COMMUNICATION CONTINUUM: Taking Advantage of the New Way of Doing Things


he farther we’ve come, the farther it seems we have to go. It wasn’t all that long ago that the people in your print operations couldn’t tell exactly how a specific document would look until they printed it. Today (assuming your operations/production staffs have taken advantage of current technologies), people throughout your organization can view proofs before documents are printed. And you can get accurate reports that identify the status of each document in any given job—whether it was printed, if



there were duplicate or missing pages and, in some cases, whether the data included in the document (this pertains mostly to transactional documents) was accurate. So, you probably have a good handle on the management of your print operations just in time for things like web, email, smart phone and mobile delivery to come along and present new challenges. Just like in the “good old days,” it’s great to be able to deliver documents via these various channels. But it’s quite another story when you need to know with absolute certainty that

the documents were done right, contain accurate language and data and also project the exact same messages across all channels. Let’s face it; consistent, coherent messaging across all delivery mediums is a critical concern of your marketing department. But have you considered the importance of ensuring accurate language in documents that have regulatory implications? Do you have processes and procedures in place to absolutely insure that these documents are being reviewed and approved in an audited and controlled way? And do

you have real-time insight into the process? Do you know the status of each form or document—whether it’s under development, in production or being delivered? In our on-demand, the consumer-wants-it-now world, a batch report that you can see tomorrow might not be good enough.

folks who actually own customer communications—in control of the process. And another thing, addressing customer needs is paramount to effective communications. This adds considerable complexity to the situation. You not only have to make sure the data and content your documents deliver are accurate, you have to deliver them via whatever channel and through whatever medium each customer demands. So at the front end of the process, you have the requirement of putting business users in control of the design, data and content of your customer communications and ensuring that it’s all correct, while at the back end—the delivery—you have to provide data and content according to what the recipient demands, be it hard copy, email, web, smart phone or mobile device. But I’m not quite through. We all know that documents can serve multiple purposes. Some just deliver information. But others both deliver information as well as request the recipient to supply additional information. This is obviously the case with most forms. I’ve talked with lots of folks who claim that their process is “completely digital.” But when you dig a bit deeper, you find that their “completely digital” process ultimately depends on paper.

This flies in the face of current movements to reduce IT’s role and put business users in control of the process. So where do you begin? As Glinda told Dorothy, “It’s always best to start at the beginning.” I’m not saying that it’s best to begin building your customer communication infrastructure again from scratch. But it might be advisable to start at the point where all the channels you use (as well as future ones) converge. Back where the data is and where the document is created. This seems to indicate a return to the days when document design, approval, production and distribution were solidly in the hands of IT people. This flies in the face of current movements to reduce IT’s role and put business users—the

A common example of this is found among insurance companies. They routinely make various forms available for download on their website. In some cases, the forms are fillable PDFs. In many of these cases, filled forms can be printed but cannot be saved. In other cases, the forms aren’t fillable and have to be printed. In either case, the forms have to be printed in order to be signed. The data on these “completely digital” paper forms is collected via a scanning process. Unfortunately, in many cases, the scanning technology employed can’t read the form and rejects it. Rejected forms then have to be “re-digitized” via a manual process. Obviously these “completely digital” processes are, in fact, only half digital. And a lot of time and effort is lost supporting them. Needless to say, the proliferation of mobile technology offers a dramatic new way of approaching this entire part of the process. Luckily, we live and work in an era when technology has made for dramatic changes throughout the entire customer communication continuum—inception, design, approval, multi-channel delivery and data collection via a fully digital process. Even better, we live in a time when it’s possible to have real-time insight into every aspect of the process. O

SCOTT BANNOR began his career in digital communications in 1980 and has held sales, marketing and product management positions with a number of industry leaders. He joined OBRIEN in December 2012. Contact him at

Read Conclusion:

By Holly Muscolino


How Mature is Your Organization?


s the economic recovery progresses, organizations continue to seek ways to control costs and boost employee productivity in order to grow or maintain profits. At the same time, the savvy organization is looking for opportunities to boost revenue growth through innovation, bestin-class technologies and process reengineering. Still, some organizations have little visibility into the total cost of printing and document processes. Print and document management policies, if any exist, are often ad hoc, without collaboration or coordination between disparate functions and business units. Paper and manual processes frequently bridge the gap between incompatible business systems. IDC research



has shown that information work is inherently document-intensive and that information workers waste a significant amount of time contending with challenges related to working with documents. In research conducted at the end of 2013, respondents indicated that 55% of all documents that their company used each day were paper-based versus in an electronic format. IT managers have the opportunity to mitigate these challenges. An IDC survey of CIOs in the United States and Western Europe ranked increasing productivity high on the list of business initiatives that were expected to drive IT investment, along with reducing costs and improving business processes. One way to achieve this is to develop or acquire new competencies related to both print and electronic document

workflows. Cloud-enabled offerings are contributing to rapid changes in output device architecture and capabilities as well as to print management, content management and mobile print and scan offerings. These technologies facilitate changes that go beyond streamlining existing processes to transforming business models. IT managers and their colleagues must develop a holistic understanding of their organization’s current status in terms of print and document management and a roadmap to effectively leverage new technologies and business models consistent with company strategy and culture. Print and document management refers to policies, processes and technologies that govern document life cycle from creation and capture, through workflow and management, to production and delivery, of both print and electronic documents. A print and document management initiative may be internal or outsourced to a third-party managed print services (MPS) provider. In any case, the organization must have clear objectives and a strategy to attain optimal benefits.

Therefore, a method of assessing print and document management maturity is needed as a planning tool and as a way to determine an organization’s progress in adopting print and document management tactics. The IDC Print and Document Management (PDM) MaturityScape describes five stages of maturity. This maturity model enables an organization to assess its print and document management maturity, uncover maturity gaps across business units, use the baseline to define shortand long-term goals and plan for improvements, prioritize managed print and document service engagements and/or print and document management technology, staffing and other related investment decisions and to evaluate managed print and document services providers and offerings. O

For more information on IDC’s Print and Document Management (PDM) MaturityScape, visit To contact Ms. Muscolino, follow her on Twitter @hmuscolino.


2 1 Ad Hoc

Enterprise management of printing resources and document workflows is fragmented across the procurement, IT and line-of-business functions. The enterprise has no formal initiatives to manage printing devices, device deployment or device usage and lacks a consolidated view of print- and document-related costs.


The enterprise has established a specific initiative to track and maintain corporate printing resources, though at the departmental, business unit, site, regional or division level. This provides greater visibility into print volume and costs but does not address end user requirements or device optimization.

4 3 Repeatable

The enterprise has optimized device types, numbers and locations for best device utilization and cost savings while considering end user proximity, workflow and requirements for print/copy/scan/fax. This initiative occurs at the departmental, business unit, site, regional or division level and requires management support. A governance structure and change management program is implemented to steer the organization toward meeting PDM objectives. Metrics are gathered on an ongoing basis and are used to incrementally improve the capability.


The enterprise deploys print and document management throughout the organization. Device and usage optimization expands beyond the walls of the corporation to include support, tracking and optimization for home, remote, mobile, branch and satellite workers. The organization takes a holistic approach to print and document management. At this stage, the organization is also starting to look at ways to not print at all and to convert paper-based workflows into digital workflows.


The enterprise has reengineered specific line-ofbusiness and/or vertical document-intensive workflows. This effort may involve the deployment of technologies such as intelligent capture, enterprise content management (ECM), business process management (BPM) and integration with enterprise applications. Service levels are aligned with business goals.





NG fall.2014





reviously, I wrote about the paradigm shift in document management, and judging by the response, I hit a nerve. What I hit on was a small part of the struggle we face to do what is right for our firms, stay on the cutting edge of technology, guard against obsolescence and apply our decreasing budget dollars optimally. There are many facets to this in document management, leaving plenty to write about. Today, however, our focus is on capture, specifically next-generation capture. I’m not talking about a follow-on upgrade but new implementation, meaning new licenses and new approaches. There will be more discussion, for sure, touching on all areas on the document continuum, but let’s examine if it’s worth the investment right now to implement the next generation of capture. What I am referring to is the new product suites from heavyweights, like EMC, IBM, Kofax, Kodak, etc., who are all coming out with new tools to revolutionize capture. It could be said that a new generation of startups is also entering the fray with mobile applications, tablets, phablets and other hand-held devices, but they have nowhere near the base, nor credibility, in the space that the “big guys” enjoy. Personally, after accounting for remote check deposits to my bank, and the myriad of social platforms

wanting photos of the ham sandwich I ate for lunch, I remain a bit skeptical about the business applications of mobile capture. So, let’s keep that discussion aside for another day. What we’re talking about is the applications connected to high-end production scanning where the “big guys” dominate within the corporations who need capture—banks, insurance and other established brick-and-mortar enterprises. That advantage is also the biggest problem. Here’s why.

toolsets under the guise of, “If we build it, you will come.” They would love for us to sign up from all of our various industries so that they can complete the sentence: “...and process more healthcare claims,” “...and process more applications for car loans,” “and process more applications for admittance/membership, “and, ...and, ...and.” They want use cases, but they can’t generate them without us. They don’t have the industry vertical knowledge anymore. On the client side, there are other impediments. Similar to my company, which provides healthcare insurance, the capture process is mature and not a process where we want disruptions. Like every industry, we’re offering web self-service and promoting electronic document submission, so our volume for paper capture is decreasing. It’s still there, but does it warrant half a million to million dollar expenditures to be made better? What’s more, vendors cannot promise vertical solutions they don’t have so it falls on us to make it all work. The maturity is just not there. So, I would tell the “big guys” that companies have no appetite for long, open-ended development without a clear use case that warrants the new capability. No more adventure projects with no definitive, demonstrable end point. If you want a piece of our market, you need vertical solutions, not just a toolbox. Otherwise, we’ll need to sit this one out. O

Join our conversation on the paradigm shift in document management at our annual event, the DOCUMENT Strategy Forum, May 12-14, 2015 in Greenwich, CT. The new platforms are giving the promise of template-less scanning, coupled with the ability to “learn” forms, while easily making themselves more reliable and accurate. As they continue to train themselves, the new products promise data mining potential, as well as the ability to learn responses to typical inquiries and, subsequently, automate those responses. This promises less dependency on information technology (IT), reduced low-skill manpower for tasks such as metadata tagging and indexing, reduced customer service call handling times to solve inquiries and... There it is—there is no “and” yet. The vendors have developed impressive

GERALD EDWARDS serves as an Advisory Board member for the DOCUMENT Strategy Forum. For more information on our annual conference, visit fall.2014




The state of transactional printing BY DAVID DAVIS We are just wrapping up studies of transactional printing in North America and Western Europe. I will focus on North America in this article, but many of the macro trends in the market are playing out in Europe as well, though with variations according to country-specific demographics, laws and cultural considerations. In North America, we find increasing disparity between third-party (commercial) transactional printers and in-house operations. The differences, which seem to be accelerating in recent years, are being driven by market consolidation, which, in turn, is caused by electronic diversion.



Transaction mail is declining, but by how much? From 2010 through 2013, the rate of decline in Standard Mail improved to about -0.6%. The drop off in First-Class business mail volume has shown little to no improvement, declining at a rate of -3.8%. (Source: USPS data, INTERQUEST)


t’s no secret that transaction mail is declining and no great mystery as to why. United States Postal Service (USPS) reports show that during the recession, FirstClass business mail, which is dominated by transactional mailings, was initially more resilient than Standard Mail, but in the years immediately following, the decline in First-Class business mail has continued at a higher rate than Standard Mail. From 2010 through 2013, the rate of decline in Standard Mail improved to about -0.6%. The drop off in First-Class business mail volume, however, has shown little to no improvement as the economy has stabilized; from 2010 through 2013, it declined at a rate of -3.8%. In fiscal year 2013, First-Class Mail generated about 55% of USPS revenue and accounted for about 43% of its mail volume, while Standard Mail accounted for about 32% of revenue and 52% of volume. For its full fiscal year, First-Class Mail revenue declined by -3.1%, while Standard Mail revenue increased by 1.6%. Total mail volume declined by -2.4% in 2013, with FirstClass Mail volume dropping by -4.2% and Standard Mail volume increasing by 1.5% over the prior year.

The decline in transaction mail is caused by an increase in the adoption of electronic delivery; an increasing portion of consumers prefer it, and companies are jumping at it in order to save the costs associated with printing and mailing. In 2012, households paid more monthly bills electronically (6.7) than by mail (4.8). Since 2000, the average number of bills paid electronically more than quadrupled in the US, while payment by mail dropped about 45%. Third-party and in-house transactional printers we survey cite electronic diversion as the leading trend in the market. We typically interview and survey the largest transactional printers (commercial and in-house) in order to capture a large slice of the market. Despite continued declines in First-Class business mail, however, nearly three-quarters of the commercial providers we surveyed recently expect some growth in their transactional print volume over the next three years; only 16% project a decline in their transactional print volume, and 12% expect their print volume to be flat. By contrast, in-house transactional printers cite a decline in print volume as the second leading trend in

the market, after electronic diversion. According to one large in-house operation, “Insurance policies are converting to electronic delivery—we have had a 30% decrease in policy volume since 2008; payment alternatives and eBills have also suppressed documents.” Third-party providers know where their volume growth is coming from: an increase in outsourcing and from other commercial competitors exiting the market. Consolidation is causing transactional volume to be shifted increasingly to large third-party operations, which can afford and justify more efficient, but expensive, equipment, such as inkjet presses and white paper factory production lines. Many in-house operations are simply hunkered down: Their equipment is amortized; their bill and statement designs have been simplified and standardized; and they are reluctant to ask for capital expenses in the face of declining print volume. Life will remain tough for thirdparty and in-house operations as volume declines. Commercial providers will face increasing price competition, and in-house operations will face a stepped-up desire on the part of upper management to move away from print. This is not to say in-house operations are doomed. They are not: Many companies prefer to maintain control of all of their communications for a variety of reasons. Neither will the majority of in-house operations be permanently shut out of the rapid transition toward inkjet and full-color printing. We are already seeing inkjet offerings geared more for lower volume operations, including high-quality cut-sheet inkjet models. O

DAVID DAVIS is a director for INTERQUEST, a market and technology research and consulting firm in the field of digital printing and publishing. Its most recent study of transactional printing is “Digital Transactional Printing in Europe: Market Analysis & Forecast (20142019).” A companion North American study will be published in November 2014. For more information, contact INTERQUEST at 434-979-9945 or visit fall.2014


Content Strategy Q&A

with John Knotts & Joe Shepley

EDITOR’S NOTE: One of the questions I receive the most from readers is, “How do you build content and/or document strategies in the enterprise that will succeed?” To address this important question, I sat down with John Knotts, a strategic business advisor to enterprise document management, and our 2015 DOCUMENT Strategy Forum Conference Chair, Joe Shepley, to answer your direct questions on the content strategy.




John In strategic planning, document or other strategy, one of the key activities in the planning development is developing a strengths, weaknesses, opportunities and threats (SWOT) assessment. The purpose of the SWOT—a really good one—is to identify the strengths and opportunities that can overcome the weaknesses and threats facing the organization. In the SWOT for a document strategy, I would recommend examining all of the storage options for document and content management, which are employed today by your company and which you might employ. Also, examine the compliance and regulatory risks you’re facing today. These items will fall into one of the four categories, and when you examine the whole of the analysis, you will find ways to strategically respond or deal with the issues that might arise. Another helpful strategic planning tool/approach to use when developing your document strategy is scenario planning. Here, you take some of the threats or weaknesses that are more likely for your document domain and build potential scenarios that allow your planners and leaders to discuss and examine the subject in greater detail.

Joe A document strategy is not a “once and done” effort but constantly evolving. Typically, a best practice is to revisit your strategy every year, looking back to evaluate what’s been accomplished, looking forward to see what needs to change, adjusting based on progress and changing context and, then, revising the roadmap (and getting a recommitment and support from leadership). Doing so doesn’t fully insulate the strategy from the rapid pace of organizational and technological change, but it gives you a good chance of keeping pace with these changes. fall.2014





One of the biggest hurdles is the problem of ownership. In other words, there is usually no single, clear owner of the document strategy at the C-level. This stems from the fact that the document life cycle cuts across the entire organization chart, with some folks feeling pain, other folks needing to do the work to fix it, other folks being expected to pay for the fix and, yet, other folks standing to gain the benefits from the fix. Getting everyone aligned to create, support and execute a strategy is understandably difficult. Now, some organizations are further along than others and have evolved structures that help overcome these challenges associated with document strategy, but many still struggle to align these conflicting stakeholders to ensure everyone is working together toward the common goal of improved document management.

Have you heard that documents are going away? Many people see their companies going more and more digital, and they see the word “document” meaning something that is paper. Paper is going away. Regardless how you feel about that statement, many people think, “Why waste your time on a document strategy?” It boils down to how you define what is a document. If you see it as a form or written communication on paper, then some people would wonder, “Why waste your time?” However, even when organizations redefine documents to encompass physical and electronic containers of information, the various silos often come up with their own strategy, so you end up with several competing document strategies or, worse, document, communication, digital, social, etc. strategies.


ATTEND OUR EVENT For more information on how to build content strategies, register for our annual event, the DOCUMENT Strategy Forum, May 12-14, 2015 in Greenwich, CT, at


Joe Forms management fits into the document strategy in two ways. In the more general sense, the document strategy needs to address how forms will be used to meet corporate goals (e.g., customer satisfaction, operational efficiency, cross-sell marketing, etc.). More specifically, the document strategy needs to lay out what tactical initiatives are going to be done in the forms space at the organization (e.g., inventory, optimization, barcoding, electronic delivery, e-signatures, etc.).

John First off, a form is a type of document—it is a template that is designed to capture input for preservation, either in its current form or to be consumed into a content management system of some sort. Everything, including forms management, fits into the enterprise document strategy. There isn’t a “special” location; it should simply be considered when putting the strategy together and examined for potential gaps when designing the strategy.


Missed Our Web-Exclusive

Q&A? 28


} Who Really Owns the Strategy?

} How to Sell Your Strategy

} The Top Tangible Goals & Major Obstacles of Your Strategy

} Building a Strategic Framework

} How to Partner with Your IT/Development Resources } The Difference Between Tactical and Strategic



Joe The best way to make sure you have the proper coverage of your business processes when deciding on what technology to buy is to first focus on your value chain, i.e., the core business activities that generate the products and services you offer. You need to map out what the steps in your value chain are, and then take stock of what technology is supporting/enabling each step today and how well it’s doing so. Then, you can see

where you have gaps, overlaps, redundancies, etc. and address them accordingly. From there, you take a look at the supporting processes (like HR, IT, finance, etc.) and do the same. The advantage of this approach is that it keeps you focused on business processes rather than lists of technology you own, and it decreases the likelihood that you’ll chase after shiny new technology just because it’s the next big thing.


If you know what systems and software support what, you can identify risk associated with these items. If they are crucial to the operation of one function, or support several functions, then these become more critical. Also, look at the current version and where the newest software version is today. If you get too far behind, the vendor will stop supporting the software, and then, you are in real trouble. Lastly, examine how much you have engineered or tweaked the software and

systems to meet your needs. The more you have adjusted the performance of the software and systems, the harder it is to upgrade and change out the new system. Look also at the redundancy of the information technology across the domain. How many programs do the same thing but are only slightly different for different reasons or customers? If you measure these systems in this manner, you can start to look at them as a whole picture and start to develop a multigenerational plan for refresh, replace and removal.


Joe What’s key to making sure your communications speak to your full range of stakeholders is to first understand where they’re coming from, i.e., what’s their point of view? What are their concerns? What are their goals? Once you understand this, it’s easier to decide how to communicate the document strategy and vision to them, e.g., from a more technical perspective, using business categories, with reference to compliance or risk benefits, etc.



Start with a taxonomy by incorporating every word and phrase that everyone uses today. Where there are overlaps, discuss them as a group and come to a final consensus. Then, publish the taxonomy to the organization as the agreed-upon terms and definitions. Some socialization is required.



Mr. Knotts is a results-oriented business professional working out of the San Antonio, TX area. He leads strategic transformations and has extensive experience in strategy, change, process, communication and many other areas. To contact Mr. Knotts, visit his blog at

Mr. Shepley brings more than 12 years of operational and technology experience to his consulting engagements at Doculabs. He also currently serves as the conference chair for the DOCUMENT Strategy Forum. To contact Mr. Shepley, follow him on Twitter @joeshepley or email fall.2014


By Kaspar Roos

Customer engagement management (CEM) is the practice of optimizing the lifetime value of customers. CEM is significantly influenced by customer communication practices and has seen rapid growth and adoption in recent years. InfoTrends estimates the customer communications software market to be worth $870 million in 2013 and growing at a 9.9% CAGR to $1.4 billion in 2018. 30




To deliver an exceptional customer experience that delights customers and turns them into loyal brand advocates. Multi-channel synchronicity is a key concept here, ensuring that experiences across multiple channels are joined up and follow customers’ preferences.

hile strategy formulation can be complex since the technological changes are happening at such a fast pace, executing on the strategy is actually often much harder. InfoTrends conducted a large study in 2013 to learn more where the issues lie and how to overcome them. Complexities in information technology (IT), challenges in funding, dealing with a steady stream of legislative changes and organizational re-alignments (especially with marketing) were some of the key barriers mentioned. Based on the study, InfoTrends came up with a set of recommendations for end users that want to follow some

“best practices” when it comes to implementing customer engagement management solutions—namely to form a Center of Excellence and implement a centralized Engagement Hub. The Center of Excellence should be a cross-functional or cross-departmental team that consists of key stakeholders that assume responsibility for customer communications. This could be marketing people, digital/ web folks, print operations and others. When new CEM initiatives are developed or new communications are deployed, this team should evaluate the plans and messages and ensure they are aligned with the corporate communications objectives at corporate level. There also needs to be a healthy level of “internal policing,” e.g., making sure there is consistency in style, branding and messaging. We also recommend that this team develops customer experience measurement metrics and maps them on business outcomes. The other key recommendation is to look at implementing a centralized Engagement Hub. This can be conceptualized as some sort of gateway through which (ideally) all in- and outbound communications should be funneled, which can then be tracked, analyzed and archived. This archive can then


To drive business growth by using data analytics, social media listening and other tactics to better understand and influence customers’ buying behavior. Optimizing the lifetime value through upsell/cross-sell and higher customer retention is of fundamental importance. To reduce communications costs by enabling business users to take control. Many businesses have been feeling the pinch of rising legislative pressures, combined with the tightening of IT budgets. As a result, organizations are often faced with long lead times when it comes to updating or modernizing their communications.


be made accessible to business users who need holistic overviews of what has been communicated to customers. Increasingly, communications and digital experiences are becoming personalized, so when customers contact the organization with questions or want to continue an online experience as a conversation with a real person, having the ability to instantly go back in time to retrieve previous communications is absolutely essential. O

For more information on InfoTrends’ research in CEM, please contact fall.2014





In this age of the Internet of Things (IoT), everything that can be connected will be connected. This means that information and content will be shared in real time between connected things. Behind the IoT is an “Internet of People,” which is the “soul” of the IoT. Only the people, among all these “things,” have purposes, goals and intentions. It is human goals that establish a context for all activity: “Why are we doing this?” Content is shared between people and things in the context of a human purpose. For example, collaboration usually happens around some type of content, in a sequence of interactions between people, processes, behaviors, data or content, and objects or things. Yet, objects cannot collaborate, for they have no intentions. The context, or purpose, of the interactions comes from the people; it is human involvement that makes an interaction collaborative. fall.2014



So, how can collaborators ensure that the content they work with is the right content? A lot of human overhead goes into making sure that it is right. With few exceptions, content is “dumb.” It doesn’t know its purpose or what process it is a part of. It doesn’t know when it’s wrong or out of date. We spend countless hours tagging, tracking, revising and curating it so we can put the right document or data point into the right hands and at the right time to make a business process end in success. The stakes are high: Bad content can make you lose a deal, hire the wrong person or pay the wrong price. The need for good content, and the high cost of bad content, is a bottom-line issue across all industries and organizations. The more contextually aware content is, the more predictive it can be. This awareness can be embedded in the form of metadata and links to collaborators, process maps and other content, such as customer profiles, but some of this awareness has to come in the form of human judgment on the part of those who are using the content. Performers say, “You have to read the house” to know your audience and understand their body language. Today, in a social-networked world, we need to understand digital body language. One of the main reasons consumers opt out of content marketing campaigns



is that marketers don’t understand their context, their needs or their expectations—their digital body language. The “killer content” they sent out was an intrusion and out of context. It had the wrong tone or the wrong language, or it wasn’t delivered at the right time— for whatever reason, it didn’t produce a good customer experience. What needs to happen—and we see signs of it already—is for technology and business strategies to become more human. They need to be intuitive and very perceptive of the human context. Whether you’re a marketer conducting a campaign or a manager engaging employees, you have to read the house and understand the contextual ecosystem of the interaction matrix. This goes beyond user location or device. It’s about behavior and understanding people’s needs so you can provide the right flow of relevant messages that will really help them. Do you understand your customers or employees? How smart are your employee and customer engagement strategies? Do you constantly monitor behavior to perceive relevant contextual cues in order to respond in a relevant and contextual way? Are you reading the house? Then, when you do, are you agile enough to change your strategy in real time? Sometimes, all you have is bad content. It’s one of the things predictive

technology is intended to address, but you are the human node in this matrix. When you see an interaction go in an unexpected way, you have to be ready to drop the script, pick up the mic and respond to the situation that actually exists on the ground, not the one you planned on. You have go live, take the wheel and deliver the right content to the customer that is right here, right now. This is a story about a group of customer service people who did exactly that. Their proactive response led to a positive outcome for themselves and for their customer—me. Recently, I experienced an almost several hour delay on an airplane traveling from New York to San Francisco. It was a mechanical delay, and there was no explanation for it really. The issue in this delay was the time it took to actually get the mechanical log. I had a connection to make, which I was now going to miss. So sitting there on the plane, I decided to tweet my displeasure at the airline. Within a matter of minutes, I received a tweet from the airline apologizing for the delay. They engaged me in a Twitter conversation that resulted in being immediately booked on the following connecting flight. I tweeted my thanks and appreciation of their efforts. This situation represents how understanding behaviors and needs can lead to better customer experience, engagement and overall satisfaction. By understanding my sentiment and needs on social media, the airline responded in kind and pushed relevant messages to me in context of my situation and resolved my dilemma. I was, maybe, somewhat emotional, but the airline was perceptive of it. They were, in this case, intuitively human. My digital body language on Twitter was loud and clear. In saying that, organizations, whether they focus on employees or customers, have to go deeper in reading digital body language and targeting content to people in context. O

To contact Mr. Smith, follow him on Twitter @DaveMario or visit

























David Day, Product Marketing Manager, Output Management, Crawford Technologies Dennis Quon, Business Development Manager, Document Accessibility Services, Crawford Technologies Tim Nelms, Business Unit Manager, Archive Solutions, Crawford Technologies John Bourdeau, Product Manager, ECM Solutions, Crawford Technologies Jonathan McGrew, EDP, Marketing Communications Manager, Crawford Technologies



SPEAKER Gerhard Heide, Director, Global Market Strategy, Pitney Bowes

DOCUMENT Fall 2014  

DOCUMENT Fall 2014

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