Improving business valuefrom your

information management systems

Process-centric Governance and Information Architecture

Copyright © 2014

Simon Rawson

Principal Consultant, PowerMark Solutions

simon@powermark.net.au

0430 986 682

• Why• What• How• Who• Feedback• Characteristics of successful projects

Agenda

“Information governance, or IG, is the set of multi-disciplinary structures, policies, procedures, processes and controls implemented to manage information at an enterprise level, supporting an organization's immediate and future regulatory, legal, risk, environmental and operational requirements.

IG encompasses more than traditional records management. It incorporates privacy attributes, electronic discovery requirements, storage optimization, and metadata management.”- Wikipedia

• Governance, risk and compliance approach – a defensive model

The Purpose of Governance

To Put It Simply…

• Yogesh Bhatt, Arunachalam Thirunavukkarasu, March 2010. “Information Management: A Key for Creating Business Value.” The Data Administration Newsletter. http://www.tdan.com/view-articles/12829

Information Management SWOT

• Print• Transactional documents (invoices, purchase orders etc)• Learning Management Systems (LMS) content• Contracts and other legal information• Procurement information / documentation about products or services

your organisation acquires• Product / service accreditations• Human Resource information management (eg. Certifications and

training etc)• Board and senior management (reports, spreadsheet models etc)• Internet-based references and resources• Extranets / partners’ information management systems

How Well Do Your IM Systems Cover

.

Collaboration

Records Management

Taxonomy and Business

Classification

Process Maps

Content

Types

ECM Strategy

and Governance

Plan

Governance Framework

(Roles, Responsibilities,

Principles)

Communications Strategy

Change Management

Strategy

Risk and Compliance

Strategy

Education & Training Strategy

Information&

Process Architecture

Benefits Realization

Strategy

Maintenance & Review Strategy

.

Accessibility Security

Privacy

Information and Process Architecture Model

Policies & Governance Channels and Audience Infrastructure

Classifying Content and Building Taxonomies and Information Architecture

Review Business

Classification Scheme

Identify Key Business Processes,

Participants and Capabilities

Identify Process Inputs, Outputs and

Support Content

Identify Metadata

Review Business

Classification Scheme

UpdateInformation Architecture

Step 1: Desk Review

Step 2: Workshops and Participants

Step 3

Step 4Update BCS

Quality System Content Relationships

Taxonomies and

metadata models tie content together facilitating search, navigation

and content

maintenance

Sample Process Map – Context Maps

Sample Process Flow Diagrams

PROCESS: MAKE OFFER

MEDICAL REQUIRED?

MAKE OFFERSOURCE CANDIDATE

PROCESS

LETTER OF OFFER REQUEST FORM

DOCTOR’S APPOINTMENT

GM TO APPROVE PAC

CEO/GM

LETTER OF OFFERPOLICE CHECK

HEALTH DECLARATION

EMPLOYEE

EMPLOYEE DATA GENERATED

YES

Sample Worksheet Relating Processes to Transactional and Reference Content

• Note – An Excel-based Benefits Register is available to those who want it

Sample Issues/Recommendations List

Sample Key Document Register

1• Initial

2• Repeatable

3• Managed

4• Measured and Mapped

5• Optimised

Process and Information Maturity Model(Extended from CMMI Model)

• Your Business Case must remain open to new potential benefits• Strategic benefits are hard to quantify. Operational benefits are easy to

quantify taking a process-centric approach• Relate IM initiatives to your strategic plan• Capture the wins – provide a way for these to be identified, measured

and recorded• Report wins regularly to senior management• Provide a way to capture feedback and suggestions for improvement• Establish a Benefits Register, and a process for review and action

taking…• …with roles and responsibilities in the Governance Plan (naturally)

Process Summation

Sponsor

Strategic Oversight

IMWorking Group

Governance Structure – Project 1

• SharePoint internet / intranet• Executive sponsorship• Corporate strategy exec led subcommittee owns intranet strategy• Intranet Working Group

– Responsible for day to day matters– IT is one of many participants

• Process and lifecycle oriented information architecture• Operating and active support framework (Working Group)…• …but departmental responsibility for outcomes

• 3 day governance review focussing on business processes yielded 85 recommendations for substantial process improvement

Key Principles – Project 1

Large ECM/KM Project Structure – Project 2

Current Content Archival and Migration (J: Drives) to Cloud and ECM

1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013

Files Updated by Year

Nu

mb

er o

f F

iles

Deletion candidates Offlinearchive

‘Online’archive

ECMmigration

ECM Primary Outcomes• Enterprise Content Management platform

– Foundation configuration• Business content (documents, images, audio-visual)• Document approval workflow• Records management and taxonomy• Document management / retention for business applications

– Extended capability (business intelligence, web content management, forms and business process workflow, online modelling)

• Organisational change– More effective and efficient business processes– Training– Communications– Behavioural change

• Support– Deployment & migration support during implementation– Governance and support model, processes and tools– Business and technical support

Deploy to

Business Unit

Infrastructure in production

Content migrated / archived

Desktop configured

Tech & bus support operational

Training complete

Bus Unit Migrates to

ECM

Business Unit Deployment

BAU

• Sponsor / owner• Producer / publisher• Communications – marketing• Organisational change and culture - HR• Authors / editors – departmental• Analyst – process / business requirements• Records and info management staff – IA, taxonomies BCS etc• Department representatives

Roles

• Every process can yield feedback• Feedback may be complaints, compliments,

observations about issues, requests, or suggestions• Feedback needs to be directed to the right people

for response• Managing feedback is a process in its own right• Suggestions for improvement can come from the

mailboy all the way to the MD

• Few organisations have good processes or a culture for turning feedback into action

Managing Feedback

• Design a process for effective management of feedback– Draw a process diagram– What metadata do you need to support the

process?– Suggest performance metrics

• Group discussion about organisational / cultural factors which need to be addressed

Group Exercise: Process Design

Suggested Feedback Process Model

ACTION

Suppliers

Staff

Customers

Business Partners

Business Process Change Request

Benefits Register

Description of the Benefit

to be Achieved

Person Responsi

ble for Realising

the Benefit

Description of Current

Situation/Performance for the

Business Processes

Current Cost/ Performance Measure of

the Business Process

Target Cost/Perfor

mance Measure after the Planned Change

Target Date for

the Benefit to be

Realised

Triggers or events that will cause the

Benefit to be Realised

Type of Contribution to the Business

Assessed

Value of the

Benefit or

Saving

Comment about the Assessed

Value

Strategic and

Corporate Objectives

and Outcomes supported

by the Benefit

Contribution of this

Benefit to Achieving

the Strategic and

Corporate Objectives

and Outcomes

Value of the Benefit Realised and Date

Achieved

Reduce the amount of paper used to distribute information to staff.

Chief Information Officer

All information to staff is distributed in hard copy.

2,000 reams of paper per year are used to distribute information to staff at a total cost of $11,000.

All information to staff is distributed on the Intranet and via e-mail.

June 2002

Intranet and e-mail systems deployed. All staff are trained in and have access to the Intranet and e-mail systems. All information to staff is published on the Intranet and distributed via e-mail.

Financial -Cost Reduction

$11,000 pa

Reduce administrative costs by 10% per year.

Value of benefit contributes a 0.01% p.a. reduction in administrative costs.

Satisfy an increasing demand for information without increasing costs

Chief Information Officer

Requests for information taken by phone are sent by mail. Requests are also made in person over the counter. Demand is increasing by 10% per year.

100 items of information are requested per day (26,000 per year) and cost $5 per item to satisfy or $130,000 per year.

2,600 items of information accessed via the website in first year.

June 2000

Website established and documents published. Availability of website is advertised via ‘phone-hold’ message, and branch signage.

Financial - Cost avoidance Quatnity -Increased productivity

$13,000 pa

Increased demand for information satisfied without increasing resources.

Reduce administrative costs by 10% per year.

Value of benefit avoids increases in administrative costs to satisfy increasing demand for information.

7,800 items of information accessed via the website in the first year with $39,000 value of costs avoided. Benefit achieved June 2000.

The Common Characteristics of Highly Successful ECM / KM Projects

• Survey of 90 initiatives in 80 organisations

Production 30%

Product Development 25%

Customer Service 25%

Competitive Intelligence/Strategic Planning 10%

Enterprise-Wide 5%

Sales Processes 5%

Project Management 5%

Intellectual Capital Management 5%

Key Findings

• 65% all projects aimed at revenue generation or process improvement

• 35% aimed at efficiency and cost reduction

• Of high performing projects, only 5% aimed at cost reduction

Common Characteristics

• Plan your approach (76% high impact projects had a detailed strategy. 87% low performing projects didn’t have a strategy)

• Consistent information architecture and metadata model, plus key SME’s identified

• Invest in content maintenance (84% high impact projects)

• Plan for change (no low impact projects had ongoing change management measures)