1

Establishing a Global ECM Program at a Fortune 500 Company

Charley Barth, Global Director ECM, Cummins

Geoff Lynch, Business Architect, Allegient LLC

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

April 2016

Public

3

Introduction / Reflections §  Started 1 year ago with nothing (no staff, no budget, no program, no tool) §  This line of work is not for the lazy (constant care and feeding is needed) §  Running an ECM program will not make you popular (prepare to make enemies) §  People will struggle to understand the concept and its benefit (prepare for weird stares) §  Don’t forget paper and include it in your governance/business case §  Many times it takes a crisis or bad news to get the needed attention in this space (For

Cummins, it was an internal audit that got the CEO’s attention) §  So many moving parts and players in a fortune 500 company. (Collaboration with CIO, CISO,

Data Management, IT, Training, Legal, Compliance, & CAO on a weekly basis is a must) §  Utilizing SharePoint platform (wish us luck…) §  Don’t ever give up, you are doing the right thing by your company!

Disclaimer: There is more than one way to skin a cat and more than one way to start an ECM program. Take from the presentation what you like and apply it to your own situation but understand that every ECM program will have it’s own unique journey!

Public

4

Agenda

Deliverables Defined: §  ECM Business Case §  Audit Response §  Implementation Plan (suspended) §  ECM Roadmap

§  Content Catalogue (suspended) §  ECM Governance §  Domain Capability Model §  Current status/Roadmap

Public

Background Defined: §  Who is Cummins? §  What does ECM mean? §  Why do we need ECM? §  What will be different? §  Where do you begin? §  Vision/Mission §  Our partner §  Methodology

5

§  Cummins is a Fortune 500 company (#154) §  Founded in 1919, with 55,000 employees globally §  $19.1 Billion in revenue in 2015 §  Cummins is a global power leader that designs, manufactures, sells and services

diesel engines and related technologies around the world §  Cummins serves its customers through its network of 600 distributor facilities and

more than 7,200 dealer locations in over 190 countries and territories

Public

Who are we?

6

Where are our engines/products?

§ Automotive (Dodge, Nissan)

Public

§ Marine (Sea Ray, Regal Yachts)

§ Construction (Caterpillar, Komatsu)

§ Agriculture (John Deere, Versatile)

§ Fleet (Kenworth, Peterbilt)

§ Power Gen (Google, Microsoft)

7

What does ECM mean to Cummins?

Public

Governance to ensure and improve: •  Searchability •  Security •  Compliance

Across all repositories: File Shares, Team Rooms, Cummins Connect, SharePoint, E-mail, OneDrive, Paper, etc.

For the full lifecycle of our content: Create, Edit/Collaborate, Post and Share Final, Archive, Expire/Destroy

Create

Edit and Collaborate

Post and Share Final Archive

Expire and Destroy

Searchability Security Compliance

8

Why does Cummins need ECM?

Problem: How Cummins

manages content today?

What is our roadmap to get there? (tools, policies, procedures)

Unenforceable policies

Niche systems

Digital Records Center, CMI File Plan

Tiered approach, Provisioning and

Governance

Align with IT transformation

efforts

Situation: Cummins future

growth relies heavily on our ability to

share, safeguard and leverage

content

Solution: Holistic approach to

managing our content as an asset and growth

enabler

Unsecure content

Public

9

Multiple tools and storage platforms within the ECM space

Thousands of taxonomies that change frequently (employee based) & no File Plan

Data Classification and retention is a challenge

Data loss prevention (DLP) can be burdensome

Poor search experience across various platforms. (multiple searches to find info)

No provision process for content tools

Workflow creation is confusing and requires developers

Public

Specific Reasons…(current state)

Collaboration challenging across time zones and disparate platforms

10

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

Public

11

Cummins ECM Vision and Mission

Vision

Enhancing our productivity and collective knowledge through proactive enterprise wide management of content

Mission

•  Enabling employees with the right content

•  Ensuring our content is secure and compliant •  Improving productivity by promoting smart content and automated compliance •  Reducing cost, waste and variation with our information based processes

Public

“Strengthen relationships and increase knowledge” “ECM Organizes the Business”

12

Our trusted partner §  Business Insights: Highly trained Business Analysts skilled in facilitation,

analysis, and interviewing §  Clear Perspective: Cross industry knowledge of ECM solutions, as well

as knowledge management expertise with large companies in our industry §  Technology Expertise: Deep knowledge of the target technology

(SharePoint) §  Culture of “All-In”: Fully Engaged, Fully Dedicated, and willing to meet us

at both our Indianapolis and Columbus offices §  Bonus: Based in Indiana and related experience in the manufacturing

sector with other large, global companies

Public

13

Methodology to establish ECM program

Vision & Mission… Trusted Partner… Best practices… Armed w/ Requirements

Public

1. ECM Business Case 2. Audit Response 3.  Implementation Plan 4. ECM Roadmap 5. Content Catalogue 6. ECM Governance 7. Domain Capability Model

§  Based on the above, we determined we needed these 7 deliverables to start:

14

ECM Business Case

Why do we need it?

What’s included?

Approach §  Conduct Voice of the Business (VoB) interviews §  Utilize productivity research as a foundation (Forrester, Gartner, Microsoft, Irish Defense) §  Validation of expected benefits by independent teams (HR, Corp Development)

§  Provides the business justification for ECM §  Executive Sponsorship ensuring that the program has the right visibility and support §  Ensures Prioritization with competing efforts

§  Funding to ensure support of planning and execution efforts

§  Hard Savings from reduction in hardware and software licensing expenses §  Productivity Gains realized from efficiency improvements across 4 criteria: Search, Security,

Compliance, Reduced waste

§  Audit Risk Mitigation to address high level findings from the RIM audit

Public

15

Voice of Business (VOB) Interviews

Public

Concerns with solution and policy Adoption were at the top of the list: •  So many related projects with starts & stops, there was a general sense that this is a repeat of

previous efforts (which were not fully realized). •  Need to balance the businesses pleading for stronger policy enforcement and education with a

request not to impact their productivity. •  This change will be less about the system solutions and more about the cultural change –

growing, stretching, & maturing the organization – therefore, training & communication will be vital.

In Addition: Searchability The lack of quality search results was a common frustration throughout the organization

Retention Focus on delivering simplified retention management, making it digestible, actionable, and not just "for Legal"

Security Continue to ensure appropriate handling of Intellectual Property documents.

16

ECM Business Case – Numbers

Search (ECM) Security (ECM) Compliance (ECM) Reduced Waste (ECM)

2018 2.4 0.24 0.08 0.24 2017 2 0.2 0.08 0.2 2016 0.67 0.07 0.08 0.07

0 1 2 3 4 5 6

Pro

duct

ivity

gai

ns e

xpec

ted

ECM Business Case – Numbers Productivity gains total $6.31M over 3 years

Public

17

Productivity scenarios §  Individual, Team, Enterprise Productivity

–  Reduced time to locate a document –  Improved information synchronization –  Single version of the truth vs. multiples

§  Estimated losses*= 7.5 hours per year §  Total productivity gains over 3 years = $5.07M

Search Ability

Public

*Per Information Worker (IW)

§  Improved Info Protection Technology –  Reduced occurrences of inadvertent leakage of info –  Expanded data loss prevention (DLP) & IRM tools –  Default classification built in, reduces misclassification

§  Estimated losses*= 0.5 hours per year §  Total productivity gains over 3 years = $0.51M

Security

§  Improved Compliance with our policies –  Better protection of reputation and sensitive information –  Reduced costs for litigation & discovery services –  Retention built into solution, docs destroyed on time

§  Total productivity gains over 3 years = $0.24M

Compliance §  Enterprise Productivity, User adoption

–  Single platform for legacy content migration –  Reduced Training costs –  Get rid of paper records that are timed out –  Reduced travel costs via virtual teams

§  Total productivity gains over 3 years = $0.51M

Reduced waste

18

ECM Audit Response

Why do we need it?

What’s included?

Approach §  Affirm validity of the finding §  Define Method how you will specifically resolve and/or mitigate the finding §  Assign Targets Dates which are generous and achievable for completion

§  Review the Audit Response with the appropriate oversight organizations §  ACT to complete your response actions in the allotted time

§  Required audit response, aligned with the implementation roadmap §  Gain trust from the Executive Leadership §  Authority to act

§  Established credibility for the new program

§  Establish ECM Strategy and Governance Model §  Develop and Implement ECM Policies §  Establish Global Processes and Procedures to support ECM Policies

§  Implemented a ECM Training Curriculum

Public

19

Implementation Plan (suspended)

Why suspended?

What was included?

Approach Forward

§  Transitioned this effort into an ECM Roadmap effort

§  Realization that the governance structure was Federated §  Functional Areas would be guiding the work to achieve Governance compliance §  Took a step back and focused on a higher level schedule and scope roadmap

§  Allowed for time to be spent on more critical deliverables

§  Originally targeted to be a Microsoft Project Plan of all related tasks to complete §  Project Plan to be detailed for all technology and migration efforts

Public

20

ECM Roadmap

Why do we need it?

What’s included?

Approach

§  Provides all interfacing organizations a single view of the key tasks / milestones to achieve ECM success

§  Data and visualization combined allows ECM to define priority initiatives and communicate those initiatives to other organizations and executives

§  Contains the prioritized milestones and tasks for the next 18 months §  Easier to follow than a formal project plan, with tasks organized into 10 distinct swim lanes §  Each milestone / task includes additional meta data that can optionally be filled out (notes,

RACI, status, etc.)

Public

Answer:  How  does  Cummins  Capitalize  on  this  opportunity?

ECM  ROI  starts  showing  net  postive  in  2  years

Answer:  How  will  this  enable  me  to  produce  more?

Value  vs.  Effort

Answer:  What  do  I  get  out  of  this?

Define  Functional  Excellence  Roadmap  for  ECM  (S-­‐Curve)

Establish  Benchmark  against  competitors  (John  Deere,  CAT,  etc.)

Cummins  is  benchmarked  to  ECM  capabilities  within  Manfacturing  (best  practice)

S-­‐Curve  for  ECM  needs  to  be  defined

Cummins  unique  structure  cnnot  be  changed  (hierarchy)

Industry  /  Best  Practices  that  we  can  align  with  initially  on  a  regular  basis  -­‐  IDENTIFY

THE  PROGRAM

Leadership  in  Info  Management  leads  to  productivity

Budget  for  ECM  typically  outlays  company  our  size.

What  is  the  employee  benefit  from  ECM  adherence?

Answer:  what  if  I  don't  follow  /  comply  /  and  create  my  own  work  around?

Executive  Enthusiasm  for  EXM

STRATEGY

Define  long  term  /  short  term  ECM  strategy  (1-­‐5  years)

Identify  strategy  for  ECM  with  Joint  Ventures

Critical  Path  for  ECM  and  process

Enable  changes  in  work  behavior:  -­‐  pull  to  Internet,  -­‐  NB  info  in  new  technology

§  Started by conducting a Facilitated Brainstorming Session with key ECM leaders

§  Placed over 200 Post-It notes with ideas, tasks, and concepts on the walls throughout the conference room

§  Photographed, scribed, digitized, and prioritized the notes

§  Used content from Facilitated Brainstorming Session to build the Roadmap

21

ECM Roadmap Example / Demo

Public

22

Content Catalogue (suspended)

Why suspended?

What was included?

Approach Forward

§  Referenced required categories within the Governance Plan

§  Determined that ownership of the Content Catalogue belonged to another organization (i.e. the team who was building out SharePoint)

§  Cummins IT and Enterprise Architecture group took on ownership

§  MindJet Mind Manager visual artifact §  Original plan was to use this effort to document key attributes and locate official terms §  Serves as a pre-cursor to information architecture work within SharePoint

Public

23

ECM Governance

Why do we need it?

What’s included?

Approach

§  makes sure that documents are kept in compliance with company classification and retention policies.

§  ensures that the solution strategy is aligned with business objectives and priorities

§  establishes clear decision making authority, escalation procedures, and helps avoid content sprawl

§  Establishes the preliminary Governance structure, processes, and items to govern. §  Establishes ECM Governance Model Hierarchy and a Tiered approach to Content Systems §  Identifies which tags / attributes are required vs. preferred (added from Content Catalogue)

Public

§  Utilized Federated Governance Model as the best approach to manage these practices.

24

ECM Governance Model

Key features of a Federated Content Governance model:

• Lean, Centralized Content Governance organization (ECM)

• ECM owns the principles and policies, and provides guidance to the BU/ABO/functions

• BU/ABO/Functions manage the governance of local content/content systems

• BU/ABO/Functions control majority of their content operations with coordination from ECM

• Best Practice: Used by Enterprise Data Mgmt.

ECM

EBU PSBU

DBU CBU

Public

25

ECM Governance Model Hierarchy

Executive Content Governance Board (Planned for 2016)

ECM Team

Strategic Content Governance Board (Planned for 2017)

•  ECM Policy •  Compliance Tracking •  Change Management

Approval

•  ECM Compliance •  Annual Reporting •  Change Management

Requests

Content System Owners

ECM Ambassadors

SharePoint Center of Excellence

ECM Governance

Public

26

Board roles and responsibilities

§  Enterprise File Plan Adoption §  ECM Governance waiver (final approval/denial) §  Mandatory metadata tags (Big 8) §  Enterprise Retention schedules (email, chat)

Public

§  File Plan changes (add/remove) §  Initial vote on ECM Governance waiver §  Mandatory metadata tags (add/remove) §  Content and Doc types in Cummins Connect

q  Provide Executive Sponsorship, oversight and direction

q  Represents key stakeholders of ECM q  Review state of the ECM program (Paper and

Electronic) q  Meet annually or semi annually

Votin

g to

pics

K

ey

Res

pons

ibili

ties q  Ratification of policies and guiding principles

q  Formal approval of changes to ECM policy and governance

q  Formal approval of variance and compliance with ECM Governance

q  Meet quarterly

Executive Content Gov. Board Strategic Content Gov. Board

27

Council Structure (Dream Team)

Data Classification working group

Information Architecture working group

Retention Policy working group

Background

Sensitive Data working group

Executive Content Governance Board (ECGB)

Led by: VP Ethics &

Compliance CIO CAO VP Envision

Cummins General Counsel CTO VP Quality

Strategic Content Governance Board (SCGB) Led by: Director

Enterprise Content

Management CBS IT Digital

Communications SharePoint CoE Global Web Center CISO Data

Management Document

Management

*Potential ECM working groups that feed into the SCGB

Public

28

ECM Governance Tiered Approach

Public

Technology

Usage

Tier

Purpose

TIER  1 TIER  2 TIER  3“Drafts  /  Working  

Papers”Short  Term

“Collaborative  Content”

“Records”Long  Term

Individual Team Archive  /  Legal

OneDrive/OneNote

(Office365  Storage)

Personal  laptop  &  network  drive    

Cummins  Connect  MyFiles

SharePoint/WatchDox

Current  Cummins  Connect  

Network  SharedDrives

Cummins  Digital  Record  Center  (DRC)

DocumentumWindChill  

• Internal  Use  Only • All  4  Classifications  (through  provision)

• All  4  Classifications  (mostly  C  /  RC)Data  Classification

• 3  Year  Retention  (Default)  (path  to  request  the  reclassification  of  the  document  to  a  longer  retention  period)

• 3  Year  Retention  (Default)  (path  to  request  the  reclassification  of  the  document  to  a  longer  retention  period)

• All  Retention  (WWRS)                        (but  mostly  5  years  or  greater)

Retention

Information  Life  Cycle

Information  Life  Cycle

29

5 step approach to streamline ECM governance

Governance Processes

Documentation Review Compliance Communication Change Management

Public

30

ECM Governance Content Tags (BIG 8)

Mandatory Tag

Description

Generated by §  Content/Data Classification

§  Per CORP-00-24-00-00 §  E.g. Internal Use Only

§  System/Provisioning process §  User Override

§  Content Retention §  Per CORP-07-11-00-00 §  E.g. ACT+7 years

§  System/Provisioning process §  User Override

§  Subject/Document title §  Document Title/subject §  E.g. 2016 Six Sigma metrics

§  System §  User Override

§  Author §  Document Creator §  E.g. Charley Barth

§  System §  User Override

§  Creation Date §  Date document is created §  E.g. 11/19/2015

§  System §  User Override

§  BU/Location/Function §  Unit document belongs to §  E.g. EBU/Africa/Finance

§  System/Provisioning process §  User Override

Mandatory Tags apply to all content systems

Public

31

ECM Domain Capability

Why do we need it?

What’s included?

Approach

§  Provides visibility into the status and characteristics of the content repositories, leading toward meaningful dialog and prioritized action plans to further ECM

§  The Domain Model is a multi-level visual map of content repositories (both electronic and paper) within which content is created and stored

§  Components required: •  The collection of relevant attributes for the content repositories within a Microsoft Excel file. •  A Microsoft Visio diagram that is linked to the data within the Excel file

Public

§  Gather content repository attributes from the repository system owners §  Content repository should also have a single “owning” functional area §  Status of the functional area is inherited from the content repositories within that

functional area §  Data is only added into Excel, then Visio references that external Excel data for each

content repository §  Additional indicators display BU / ABO applicability

32

Domain Model Diagram / Demo

Public

§  Level 1 of the diagram includes a status shape for each functional area

§  Level 2 of the diagram includes a status shape for each of the content repositories within a functional area

Quality  

M/CIA C RM ScoE D P C

Green:0

C/U

Yellow:1

Red:0

M/CIA C RM ScoE D P C

       Content  Repository:

QSI

John  Phillips

Class  2:  Business  CriticalConfidential No

Owner:  

Criticality:Highest  DC : DLP  Plan?:

#  Users:30000

Yellow

C/U M/CC RD C

       Content  Repository:

3  < Example  Repository  Name>John  Doe

Confidential No

Owner:  

Criticality:Highest  DC: DLP  Plan?:

#  Users:30

Red

C/UPAPER

33

How do these items help ECM?

Public

Roadmap

Audit Response

These measured steps provide sufficient information to continue to the next level of decision making and planning.

Business Case

Domain Model diagram (Inventory)

Governance Plan

34

Workflow is intuitive and simple for all to create

What ECM will do for Cummins?

World Wide retention schedule depends on employee to apply

Retention schedule fully automated with-in the ECM tools

Data Classification applied inconsistently Data classification built into each ECM site and documented in provision process

Poor search experience across various platforms. (multiple searches)

Enterprise, federated search across all platforms (Hybrid search)

Workflow creation is confusing and requires developers

From To

Public

35

DLP built into ECM tool with automated notification to decision makers

What ECM will do for Cummins?

Multiple tools and storage platforms within the ECM space

Single platform for ECM and ECM storage

Thousands of taxonomies that change frequently (employee based)

Single, company wide file plan that will have longer life and ease search (function based)

No provision process for content tools Full provision process with stakeholders visibility, approval and involvement

Data loss prevention (DLP) tools inadequate and labor intensive

From To

Public

36

Lessons Learned §  Accept you will never achieve nirvana (don't let perfect be the enemy of good) §  Focus on smaller, manageable wins (based on the size of your ECM team) §  Find a trusted partner that will listen and is excited about your journey §  Do not forget about paper

§  Pick the right governance model for your company early on §  Deliverables may need to change in mid-project §  Resources may need to change as well – flexibility is critical §  VOB Interviews are not only for the purpose of gathering information, but to

begin to paint the picture of ECM improvements to come

Public

37

Update: Where are we today?

§ Digital Records Center roll out in Q2 2016 § Executive Governance board stood up Q3 2016 § SharePoint roll out in Q4 2016 § All related Policy reviewed and updated

Public

38

What’s Next, left to do?

§ Establish Strategic Governance Board § Apply ECM Governance to legacy systems § Continue to execute road map § Become paperless company (5 year goal) §  Increase value to company (knowledge center/

Cummins history) – Expand ECM team (ambassadors)

Public

39 Public

Thank you… and one more favor…

§ ECM Self-Assessment

40