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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
ENTERPRISE DATA MANAGEMENT (IT621)
UNIT 4 INDIVIDUAL PROJECT
BEVERLY WOOD
November 20, 2021
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
Table of Contents
ABSTRACT
...........................................................................................................................................
8
PROJECT OUTLINE & REQUIREMENTS
........................................................................................
9
ABOUT THE COMPANY
................................................................................................................
9
CURRENT ECM CONCERNS
.......................................................................................................
10
CONTENT REQUIREMENTS
......................................................................................................
10
CONTENT CATEGORIES
.............................................................................................................
12
STRUCTURED CONTENT
......................................................................................................................
12
UNSTRUCTURED CONTENT
...............................................................................................................
13
WOOD’S ELECTRONICS CONTENT
.........................................................................................
14
REGULATIONS
.............................................................................................................................
15
PROTECTING DATA
....................................................................................................................
16
DATA DISCOVERY & CLASSIFICATION
............................................................................................
17
DATA ENCRYPTION
................................................................................................................................
17
GOVERNANCE, RISK, & COMPLIANCE (GRC)
...............................................................................
17
PASSWORD HYGIENE
.............................................................................................................................
18
AUTHENTICATION & AUTHORIZATION
........................................................................................
19
DATA SECURITY AUDITS
......................................................................................................................
19
ANTI-MALWARE, ANTIVIRUS, & ENDPOINT PROTECTION
...................................................
19
POLICIES
.......................................................................................................................................
20
ACCESS CONTROL POLICY
...................................................................................................................
21
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DATA PROTECTION
................................................................................................................................
22
ACCEPTABLE USE
....................................................................................................................................
22
DEFINING ENTERPRISE CONTENT MANAGEMENT
...........................................................
23
THE RISE OF ECM
....................................................................................................................................
24
ECM FUNCTIONS
.....................................................................................................................................
24
ECM SUMMARY
........................................................................................................................................
25
THE NEED FOR ENTERPRISE CONTENT MANAGEMENT
.................................................
25
SECURING CONTROL WITH ECM
............................................................................................
26
DOCUMENT MANAGEMENT
...............................................................................................................
27
RECORDS MANAGEMENT
....................................................................................................................
28
DIGITAL ASSET MANAGEMENT
........................................................................................................
29
WEB CONTENT MANAGEMENT
........................................................................................................
30
BUSINESS PROCESS MANAGEMENT
...............................................................................................
31
PAYMENT CARD INDUSTRY DATA SECURITY STANDARD (PCI DSS)
.................................
31
AN IDEAL ECM SOLUTION
........................................................................................................
31
ECM COMPONENTS
....................................................................................................................
32
THE COMPANY’S NETWORK
....................................................................................................
34
REQUIREMENTS
..............................................................................................................................
36
CONTENT REQUIREMENTS
......................................................................................................
36
PROJECT REQUIREMENTS
.......................................................................................................
36
IMPLEMENTATION LIFE CYCLE
...................................................................................................
38
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
CURRENT
......................................................................................................................................
40
IMPLEMENTATION STAGES
......................................................................................................
42
REQUIREMENTS
......................................................................................................................................
42
PLANNING
..................................................................................................................................................
42
DEVELOPMENT
........................................................................................................................................
42
REVIEW
.......................................................................................................................................................
43
IMPLEMENTATION
.................................................................................................................................
43
MAINTENANCE
........................................................................................................................................
43
SUCCESSFUL IMPLEMENTATION STEPS
...............................................................................
43
TIMELINE
......................................................................................................................................
48
INFORMATION INFRASTRUCTURE EVALUATION
...................................................................
49
LIST OF COMPANY CONTENT
..................................................................................................
49
BUSINESS CONTENT
..............................................................................................................................
51
PERSUASIVE CONTENT
........................................................................................................................
51
TRANSACTIONAL CONTENT
..............................................................................................................
51
FOUNDATIONAL CONTENT
.................................................................................................................
51
CONTENT MANAGEMENT TOOLS
...........................................................................................
52
EVALUATION OF THE CONTENT LIST
............................................................................................
55
CONTENT MANAGEEMENT PROCESS IMPROVEMENT
.....................................................
57
CURRENT CONTENT MANAGEMENT SYSTEM
....................................................................
57
IMPROVEMENTING CONTENT MANAGEMENT
...................................................................
58
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IMPROVEMENTING WAREHOUSE MANAGEMENT SOFTWARE
...........................................
58
IMPROVEMENTING SHAREPOINT
...................................................................................................
59
DATA GOVERNANCE EVALUATION
..............................................................................................
61
DEFINING DATA GOVERNANCE
...............................................................................................
61
DATA GOVERNANCE IMPORTANCE
.................................................................................................
62
ADVANTAGES & DISADVANTAGES OF IMPLEMENTING DATA GOVERNANCE
...............
63
THE DATA GOVERNANCE EVALUATION PROCESS
..............................................................
63
DATA QUALITY
.........................................................................................................................................
64
DATA MANAGEMENT
.............................................................................................................................
64
DATA POLICIES MANAGEMENT
........................................................................................................
65
BUSINESS PROCESS MANAGEMENT (BPM)
.................................................................................
66
DATA RISK MANAGEMENT
..................................................................................................................
67
DATA GOVERNANCE IMPROVEMENTS
.......................................................................................
71
References
........................................................................................................................................
72
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
ABSTRACT
Today it is of upmost importance for all enterprises to manipulate Enterprise Content Management across the entire company. The reason for this is because without even realizing it, companies generate a vast amount of information or content each day. Additionally, how companies go about managing information or content could face extensive lawful, professional, and corporate penalties if the information or content is not managed in the correct manner.
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PROJECT OUTLINE & REQUIREMENTS
In the world we live in today, enterprise content management is vital for all companies to have. Enterprise content management are established strategies, processes, and tools that companies manipulate to capture, organize, track, and deliver sensitive information to their stakeholders (suppliers, employees, customers, etc.) whenever the need arises. Enterprise content management ensures that all departments within the company can access necessary information when the information is needed to complete work efficiently, as well as make more informed decisions.
ABOUT THE COMPANY
Wood’s Electronics is an online business that offers a variety of electronics to their customers. This company began as a home-based business about five years ago and has since grown to be a medium sized enterprise. Business started picking up about a year ago or so, more than ever, these electronics were in high demand. This meant the company needed a better location to perform its business operations, along with warehouses to store
and ship products. Consequently, the company expanded out into an office space, and purchased a warehouse. Since the company branched out, they have added another office location and a warehouse. The demand for the company’s electronics seems to increase daily, and so does their customer base. Because of the high demand in products, and the increase in customers, the company is having difficulties with managing the massive amounts of data, content, and information comes with the increase in customers and orders.
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Since, the company started out, there has been various technologies, techniques, and tools executed as an attempt to manage the information or content within the company
successfully. These attempts have not yet been successful. The company’s content and information are not accessible in all departments, and content sharing occurs in some departments, not all. In addition to these issues, the existing ECM is currently housing only approximately forty-two percent of the company’s information or content securely.
CURRENT ECM CONCERNS
The existing ECM within the company is believed to be improperly managing the content and information. Content cannot be accessed within all departments of the company or by all authorized users and sharing files and/or content can only be done in a few departments. Furthermore, the ECM is only storing 42% of the company’s content and information securely.
CONTENT REQUIREMENTS
Although Wood’s Electronics is great at maintaining the day-to-day operations to successfully run the business, issues have emerged when it comes to managing the company’s data since the expansion occurred. The CEO, CIO, and IT specialist have decided that a certified consultant with experience in developing ECM systems and with establishing a Data Governance Policies and Procedures Manual is necessary to hire. The consultant will perform an assessment on the company’s information system. Then the findings and results will be discussed with the appropriate individuals. The consultant will Page 9
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also provide recommendations as to what is believed to be the best approach to fixing the issues of the ECM system. This assessment is necessary so that the company’s executives can gain more insights on whether to upgrade the current ECM or to just replace the whole system. The requirements of the Enterprise Content Management System are as followed:
ECM shall improve the productivity across the entire company
Content shall be stored so that it is easily accessible to all departments within the company.
ECM shall securely store all the company’s content, as well as properly categorize all content and information
ECM shall enable all departments and authorized users to share files
The proper resources have been assigned to this project, and some goals have been
set which include:
Ensure consultant evaluates the structure of the company’s information system and the processes used to manage content and information.
New processes for managing content will be determined and developed
The data governance policies and procedures of the company will be assessed, and new policies and procedures will be developed.
The first step of the evaluation is to categorize all the content requirements of the company. The content requirements include the following categories and regulations that may apply to the company’s content. A review was conducted, and the following results were obtained.
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CONTENT CATEGORIES
Whether data is structured or unstructured, it is the lifeblood of all companies, and should be at the core of all decisions which a company makes. Below, the two primary categories that were identified upon conducting a review of the company’s documents, storage locations, and through meetings with employees, and the IT team and specialist.
Both structured and unstructured content can be machine generated or generated
by humans, and both forms of content are everywhere we look each day of our lives.
STRUCTURED CONTENT Structured content is content or information that is organized in a predictable way and is usually classified with metadata. Structured content exists in formats created to captured, stored, organized, and analyzed. This content is organized neatly to ensure its easily accessible. Structured content is a technology-agnostic way of organizing and tagging
content in consistent, predictable ways.
Below some of the categories of structured content found within the company has been defined.
Customer Database:
this database consists of the names, addresses, phone numbers, and payment information of all customers.
Supplier Database:
this database consists of the names of the suppliers, contact details, and the contract numbers.
Accounting Database:
this database contains all the financial information pertaining to the company.
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Human Resource Database:
this database consists of employee records, payroll information, training materials and plans, plus other company plans.
Website:
this includes all content found on the company’s website. UNSTRUCTURED CONTENT
Unstructured content is around every day in all our lives, whether we think so or not. Unstructured content is not organized into a data format and has no pre-defined data model. This means that unstructured content cannot be kept within a database and computers have a hard time analyzing this type of information. Unstructured data is typically in a basic text format.
Numerous researchers such as [ CITATION Ars14 \l 1033 ][ CITATION Gra11 \l 1033 ][ CITATION Lau13 \l 1033 ], among others state that only 20% of a companies generated content and/or data is structured, the additional 80% is unstructured content.
Some of the unstructured content found within most companies includes content such as:
Emails
Text Documents
Spreadsheets
Documentation that pertains to formal meetings
Order Forms
Paper Documents
WOOD’S ELECTRONICS CONTENT
STRUCTURED
UNSTRUCTURED
Contracts
Graphics/multimedia files
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
Invoices
Folders
Reports
Web Pages
Spreadsheets
Application Program Files
Presentations
Employee Communications
Table #1 <company content>
WOOD’S ELECTRONICS CONTENT
Both structured and unstructured content, along with the company’s information shall be housed or stored securely within the company’s ECM system once implemented. All
content and information will be easily accessible across the company, in all departments for
all employees at the precise moment it is needed. Allowing all departments to access the content will increase the overall productivity across the company, as well as improve customer satisfaction.
Furthermore, an ECM solution ensures all business processes and the information that relates to each process is supplied and readily available to the company’s employees. ECM systems come equipped with the appropriate functionalities and features to complete various tasks which are necessary in supporting the information of the company in an effective and lucrative manner.
REGULATIONS
There are several regulations and policies which companies must comply with. Below are the regulations and policies which this company complies with.
Sarbanes-Oxley Act:
is centered around policies, procedures, and processes that protect information related to the financial and personal records of all investors. [ CITATION Gra12 \l 1033 ] states that during Page 13
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research it was found that companies must construct and employ processes that report to the Security Exchange Commission Compliance.
Mail, Internet, or Telephone Order Merchandise Rule:
this related to sellers must ship items within the advertised time frame, or if a time frame is not provided, then within 30 days. If a seller cannot ship an item within the time frame, the seller is required to get consent from the purchaser in delaying the shipment or if a refund is wanted.
Privacy Act 1988: companies that collect information such as the names, addresses, birth dates, social security numbers, etc. from their customers to protect this sensitive data from theft, misuse, interference, loss, unauthorized access, and disclosure.[ CITATION Pro21 \l 1033 ]. It is also stated that when a company no longer needs to have this information, then they are required to properly destroy it. This can be accomplished by shredding documents or storing data in a more secure area.
The General Data Protection Regulation:
set of rules that pertain to protecting personal identifiable information of an individual.
The Payment Card Industry Data Security Standard (PCI DSS):
this is a set of security standards that aims to secure credit and debit card transactions against theft and fraud. This is a requirement for any business which processes credit or debit card transactions. Some of requirements established by the PCI SSC includes several commonly known best practices
such as
Installing Firewalls
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Encrypting Data Transmissions
Using anti-Virus Software
[ CITATION PCI \l 1033 ]
PROTECTING DATA Data security refers to protecting a company’s data and preventing data loss through unauthorized access. This includes protecting data from attacks that can destroy, modify, or corrupt data. Data security also ensures that the company’s data is readily available to anyone within the company that has been granted permissions to access the data within the system.
There are several technologies and practices available for companies to utilize which can enhance data security. However, applying just one technique will not provide a sufficient security for the company’s data. To ensure data is secure properly, companies need to apply various techniques which will enhance the strength behind securing the data within the company. Some common data security solutions and techniques have been defined below.
DATA DISCOVERY & CLASSIFICATION
To properly protect a company’s content, information, and/or documents, the aspects which must be known includes what type of data is needing to be protected, where it is all stored, and what it is used for. There are tools that will assist companies with these tasks such as Data Discovery and Classification tools.
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Data discovery is knowing what data a company has. Data classification allows companies to construct a solution regarding its security concerns which is ascendable, by recognizing what data is confidential or restricted, and is required to be protected. These types of security solutions allow labeling files on endpoints, file servers, and cloud storage structures, enabling data to be visualized across the entire company, so the appropriate security policies can be employed.
DATA ENCRYPTION
Data encryption
is the practice of transforming data from a readable format to an unreadable encoded format. Data encryption can stop hackers from gaining access to confidential and restricted content, information, and documents. It is important for most security plans and is obviously required by several compliance guidelines.
GOVERNANCE, RISK, & COMPLIANCE (GRC)
GRC is a method that assist companies with enhancing its data security and compliance:
Governance
establishe
S
regulations and policies which companies implement across the entire organization as a way of guaranteeing compliance and data protection.
Risk
includes evaluating possible security threats, as well as makes sure
the company is equipped to handle these threats properly. Page 16
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Compliance
confirms that the company’s processes are in line with business standards when managing, accessing, and manipulating data.
PASSWORD HYGIENE
One of the easiest methods for data security is confirming users have passwords that are robust and distinctive. Without significant management, users will exploit passwords that are common, easy to guess, or use the same password for various applications or services. Accounts with weak passwords can easily be compromised in a matter of seconds. A simple solution is to require passwords to be between 10 and 20 characters long and requiring passwords to be changed every 90 days. Theses solutions still are not enough, and companies need to consider multi-factor authentication (MFA) solutions which
force users to utilize a device that is associated to them or biometrics to gain access into the
company’s systems. AUTHENTICATION & AUTHORIZATION
Authentication methods such as OAuth must be set in place within an organization.
Requiring multi-factor authentication is extremely urged when any internal or external user ask for classified or vulnerable content or information.
In addition, companies should have a well-defined authorization outline in place to ensure each user has the appropriate access permissions needed to perform their functions
or job details, nothing more than that. Regular evaluations and automated tools must be Page 17
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manipulated to update permissions and delete authorization for users which are no longer associated with the company.
DATA SECURITY AUDITS
The company needs to conduct security audits every couple of months. This will assist in identifying the gaps and vulnerabilities across the organization. Having the audit conducted by a third party or outside vendor is a good idea, however conducting the audit in house can be done. More importantly, if or when the security audit reveals issues, the company must dedicate time and the necessary resources to concentrate and rectify the issue.
ANTI-MALWARE, ANTIVIRUS, & ENDPOINT PROTECTION
The most common course of modern cyberattacks is malware, therefore, companies need to ensure that endpoints such as employee workstations, mobile devices, and servers, have been properly protected. A fundamental way to ensure this is by implementing antivirus software, however, even this approach is not enough to correctly deal with modern threats such as file-less attacks.
Endpoint protection platforms (EPP) yields a more thorough approach to endpoint security. It mixes antivirus with a machine-learning-based assessment of abnormal performance on the device. This will assist companies with detecting attacks which were not identified. Usually, platforms also offer endpoint detection and response capabilities to help identify gaps on endpoints as they happen, examine these gaps, and react by securing and reforming the endpoints which were involved.
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
POLICIES
Company policies are principles that concentrate on the well-being, security, and responsibilities of all individuals within a company. Policies are also manipulated as a guide
for government requirements to ensure that companies are following the laws set by the government. Policies should be put in writing, and state what is expected from the individuals who work within the company. Policies are important for all companies to have. The reason for they are so important include:
Ensures the company is complying with laws
Helps defend against legal claims
Ensures all employees are being treated fairly and the same
There are several policies which companies can utilize. Some of the policies which this company has set in place have been defined in the table below.
COMPANY POLICIES
NAME OF POLICY
DESCRIPTION
ACCESS CONTROL
Guidelines based on accessing the company’s
content within its systems.
DATA PROTECTION
This policy specifies how the company’s sensitive
information and content is to be protected.
ACCEPTABLE USE
This able policy ensures that users are utilizing
content, information, and the company’s network
in an appropriate manner. It also ensures
constraints are set in place.
Table #2 <company policies>
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ACCESS CONTROL POLICY
All resources must be password protected.
The company’s system shall have an administrator who is responsible for handling the day-to-day operations within the system including creating and maintaining accounts for authorized users.
Access to the system is controlled by individual user access accounts. Group access accounts are not allowed.
Access to Wood’s Electronics information systems is allocated based on the user’s role requirements, not on the status of the user.
Criteria used to grant access privileges shall be based on the principles of “least privilege”. This means that authorized users can only access data which is necessary for them to complete the details or tasks assigned to their role within the company
DATA PROTECTION
All devices within the company that is connected to the system shall have firewalls and anti-virus software installed.
All devices shall be setup so automatic updates download
Sharing passwords and login credentials is prohibited
When a new hired employee starts, training that relates to protecting data and security shall be a requirement.
Passwords shall be eight characters long and include at least one upper case
letter, one number, and a special character.
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Passwords shall be changed every ninety days
Data which is stored and/or transmitted shall be encrypted.
All personal information or data is required to be processed lawfully and only collected for legitimate purposes.
Information which is backed up shall not be accessible to employees.
Employees shall have permissions set in place that pertains to their position
within the company.
Ensure all devices belonging to the company can be tracked if lost or stolen
Any password which is a default password shall be changed
ACCEPTABLE USE
Passwords are to be kept private and changed every ninety days
Company devices are not to be connected to public wifi
Two factor authentication is to be used
social media sites are restricted
incoming and outgoing emails shall be scanned
Do not copy another user’s email, data, programs, or files without having obtain written permission
Storing personal photos, downloading videos or music, online shopping, is prohibited on company devices.
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
DEFINING ENTERPRISE CONTENT MANAGEMENT
According to AIIM, ECM can be defined to as “the technologies used to create, manage, customize, deliver, and preserve information to support business processes”[ CITATION Vom11 \l 1033 ]. However, since their initial definition was introduced, AIIM has updated their way of defining ECM to include strategies and methods.
[CITATION Lau13 \l 1033 ], the authors of Enterprise Content Management, claim that “other than the AIIM research team, other individuals have given thorough definitions of ECM”. For instance, [ CITATION Gra11 \l 1033 ] defines ECM as “the strategies, processes,
methods, systems, and technologies which are essential in capturing, creating, managing, utilizing, publishing, storing, preserving, and discarding content within a company””. Based on the diverse characterizations or definitions available, ECM is considered to be a built-in model of information management that brings together content management, document management, document imaging, and records management[ CITATION Gra11 \l 1033 ].
[CITATION Lau13 \l 1033 ] also stated that while conducting research, they determined that “ECM was seen as an element of knowledge management, which controls a
company’s unambiguous knowledge”. THE RISE OF ECM
Enterprise Content Management systems bring together an array of content management solutions that control or manage web content, files, documents, digital assets, and images. The goal of an ECM solution is to deliver a platform for recording, saving, exploring, revising, following, sharing, and delivering content in all formats to small or large
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
companies of all kinds. ECM has also obtained support from some of the government regulations such as the USA Patriot Act, the Sarbanes-Oxley Act, and several uncommonly known regulations in individual businesses. Some of the regulations include requiring companies to keep documents for a certain amount of time and make all documents in a digital format which are required to be movable as well. Some regulations require companies to observe the incoming and outgoing employee emails. Having numerous regulations to comply with, more and more companies are embracing ECM systems to gain assistance with compliance, as well as with managing the company’s information or content. ECM FUNCTIONS
An ECM solution has several functions which companies can take advantage of. Listed below are the primary functions of an ECM solution
Data Entry (scanning, recognition, entering web forms)
Content storage and backing up the content
Content categorization and markup
Search and indexing
Presenting content to the user
Collaboration on content
Access control
Version control
Content publishing
Business process management
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
ECM SUMMARY
ECM combines areas such as the document and knowledge management with workflow and the business processes of a company and is said to be a method that companies manipulate to get assistance with controls the information or content. This consist of documenting knowledge creation, the company’s business processes, and sharing
documents and/or content across the entire company [ CITATION Vom11 \l 1033 ]. THE NEED FOR ENTERPRISE CONTENT MANAGEMENT
Companies which manage their content should not be faced with challenges when attempting to accomplish tasks because there are numerous tools available that companies can take advantage of to get assistance with managing content correctly. Companies have various reasons as to why the decision was made to implement an ECM system, some of the more common reasons have been provided below.
Companies generate an abundance of information and content
The company’s main office digitalizes all information and content
Company supports remote working
Wood’s Electronics is organized when it comes to managing its content, documents, and information. However, due to the high demand of the company’s electronics, and the company’s expansion, the need for a more effective way to manage all this data that includes the payment information of the customer’s, billing addresses, business strategies, training material, etc., along with documents such as company invoices,
and purchase receipts from the suppliers, has emerged. Furthermore, the company also Page 24
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
keeps record of all employees (past and present) for financial purposes. These records contain information such employee’s full names, social security numbers, date of birth, addresses, and their banking details. This information will also need to be handled in the correct manner.
SECURING CONTROL WITH ECM
As stated by [ CITATION Nai08 \l 1033 ], an array of content in formats such as images, text documents, web pages, spreadsheets, emails, and multimedia were introduced by the new digital era. And with the vast amount of content companies generate increasing by the day, controlling the content can be a difficult task to accomplish. Over the years, several approaches on how companies can create and control the content that they generate and consume has been introduced and reflected upon from a record keeping and document management point of view. When it comes to ECM strategies,
companies need to address explicit requirements that fall in one of six categories which are:
Document Management
Records Management
Digital Asset Management
Web Content Management
Business Process Management
Payment Card Industry Data Security Standard (PCII)
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
DOCUMENT MANAGEMENT
Document Management is the utilization of a computer system and software to save, control, and track documents, pictures, and even images of information that originated in paper format and was captured by utilizing a document scanner. Document management systems enable users to revise and control documents, but they generally have a shortage of functionalities that help control information records such as record retaining and disposal. Some of the key features document management include the following:
Check In/Check Out and Locking:
manages real-time revisions made documents so the modifications made by one person does not overwrite or override modifications made by another individual.
Version Control:
provides details on the creation of the document such as who created the document, when it was created, and the differences between the original document and the most recent version
Audit Trail:
provides details that pertain to the revision history of a document. This includes who made the revision, when it was revised.
Rollback:
users are able to return a document back to a previous version in the case of an error occurring or premature release. With document management information is easily accessible to multiple users concurrently from a central location. The information is always up-to-date and readily available. The time spent searching for a certain document as well as the cost to store the content, documents, and/or information is reduced due to physical storage locations no longer being necessary. Page 26
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
Document Management was designed to save companies time and money, and provides document security, access control, centralized storage, audit trails, and streamlined search and retrieval. RECORDS MANAGEMENT
ISO Standard 15489: 2001 defines Records Management as “the area of management held accountable for the effective and organized control of the formation, invoice, upkeep, utilization, and disposal of company records, which also includes the process for capturing and preserving proof of and the information about the business activities and transactions which are in the form of a record”. A record is information that was constructed, gathered, and/or preserved within a company or by an individual while communicating on a business level, or conducting business related operations of any sort. Records are physical entities, digital content, or information benefits the company. Some of the more common records found within a company consist of:
Emails
Contracts
Training Material
Elements that involve executive actions to occur such as controlled emails and other forms of communications.
The company’s agenda or schedule
Elements necessary to communicate the company’s requirements such as policies, procedures, and/or guidelines.
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
Elements which support the financial commitments of a company such as contracts, invoices, and purchase agreements. DIGITAL ASSET MANAGEMENT
Digital asset management is a business process used to arrange, save, and retrieve rich media. It also handles digital rights and permissions. Rich media assets include photos, music, videos, animations, podcasts, and other multimedia content [ CITATION Jon21 \l 1033 ]. Digital Asset Management is simply a set of database records. WEB CONTENT MANAGEMENT
Web Content Management is a platform that supports preserving, monitoring, modifying, and reconstructing the content found on web pages. Generally, content is stored in a database and compiled utilizing a docile language such as XML or .NET. Users work with the system at the front via a standard web browser. From here the user can revise and manipulate the various sections of the layout. Users can also add and manage web pages without being skilled in areas such as information system development and/or application coding. Furthermore, users will not be expected to be experienced with coding or HTML expertise. To accomplish this the ECM will need to have some or most of the following functionalities listed below.
Automated templates that can be modified easily on one platform and then transferred across the entire system
Modifiable content
Extensibility Page 28
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
Web standards which are updated on a regular basis
Simple workflow for processes such as delegation, revising, and authorization for release
Content Life cycle Management, which occurs from the creation to deletion of the content
Web page version control
To put it in terms that may be easier to understand, web content management are the methods, techniques, tools, etc. manipulated to create, update, and maintain a website.
BUSINESS PROCESS MANAGEMENT
As defined by Gartner, Business Process Management (BPM) employs methods to discover, model, measure, improve and optimize business strategies and processes. Some of
the benefits of business process management include but are not limited to the following:
Improved productivity and cost reduction.
Superior employee and customer experience
Business processes that are scalable
Better simplicity
Depends on development teams less often
PAYMENT CARD INDUSTRY DATA SECURITY STANDARD (PCI DSS)
The Payment Card Industry Data Security Standard is a set of security standards[ CITATION PCI \l 1033 ] aimed to guarantee that the companies who handles credit card payments and/or information do so within an environment that is secure.
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
AN IDEAL ECM SOLUTION
The ideal ECM solution for Wood’s Electronics will implement requirements that will help the company to achieve its goals, as well as continue to operate a successful business. Below some of the requirements of the ECM solution have been listed. These requirements have been determined based off the needs, goals, processes, and processes of the company.
The ECM solution shall provide functions which track and control the revisions of the documents.
The ECM solution shall assist with classifying documents, policies, and adhere to a retention schedule and policy.
The ECM solution shall provide functions which improves employee productivity in all departments of the company.
The ECM solution shall provide automation capabilities so the company’s business processes can be accomplished via automation.
The ECM solution shall provide automatic alerts or notifications.
The ECM system shall allow central repositories to be created to store all the company’s sensitive information.
The repository within the ECM system shall be secure, manageable, and shareable.
Furthermore, an ECM solution ensures all business processes and the information that relates to each process is supplied and readily available to the company’s employees. ECM systems come equipped with the appropriate functionalities and features to complete Page 30
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
various tasks which are necessary in supporting the information of the company in an effective and lucrative manner.
ECM COMPONENTS
Enterprise content management contains components that companies utilize to securely house and control all its information or content. These six individual components are said to be the building blocks which hold the existing functionalities of an ECM model. Provided in the table below are the six ECM components and the appropriate definitions.
ECM COMPONENTS
COMPONENTS
DESCRIPTION
CAPTURE
An ECM solution ought to have the ability to capture any file formats
from any real position, and instinctively categorize the company’s
documents.
MANAGE
ECM guarantees the company’s processes are enhanced, forcing
productivity by diminishing the amount of time that is wasted.
INTEGRATE
ECM solutions must combine all the company’s critical business
applications, such as Workday, Microsoft, and many others[ CITATION
Com21 \l 1033 ].
ACCESS
ECM solutions must allow users to access vital information quickly and
easily. The individuals who need access this material should have the
ability to access it easily and from any location.
MEASURE
ECM solutions must allow users to observe and describe the information
and actions in the solution, minus getting the IT and/or database
administrators involved[ CITATION Com21 \l 1033 ].
STORE
A perfect ECM solution offers cheap dismissal of the company’s
information and contains maintenance policies that automatically run
behind the scenes[ CITATION Com21 \l 1033 ].
Table #3 <ECM components>
Companies that have an ECM solution implemented which combines elements of each individual component listed in the table above will have superior benefits that includes:
Conserves time
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Lowers data entry errors by reducing paperwork
Provides access to a complete, real-time outlook pertaining to the company’s information, content, and documents within its systems.
Enhances the overall productivity across the company by utilizing workflow
automations.
THE COMPANY’S NETWORK
To ensure the transmission of information between both company offices and the two warehouses are secure a VPN will be provided within the network. A VPN is utilized to help preserve the user’s confidentiality while browsing the web, by appearing to be a shield
of privacy, concealing the computer’s IP address, making it so cyber criminals are not able to steal the user’s information or identity [ CITATION Jos21 \l 1033 ]. VPNs allow work to be completed by employees at locations other than the company office. The company’s network also consists of the following IT resources.
Firewalls
Virtual Private Network
Managed Switches
Wireless Routers
Servers including:
Domain Name Server (DNS)
Front-End Exchange Server
Simple Mail Transfer Protocol Servers (SMTP)
Intrusion Detection/Prevention System (IDSs, IPSs)
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
NETWORK INFRASTRUCTURE
Figure 1: NETWORK INFRASTRUCTURE
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
REQUIREMENTS
CONTENT REQUIREMENTS
The content requirements have been defined in a previous section of this document labeled “Securing Control with ECM. All company content and information need to be managed and will fall under the categories listed in the section “Securing Control with
ECM”. These categories will efficiently manage the various types of content generated by the company or that the company receives daily. The company’s content which should be easily accessible across all departments of the company includes text documents, spreadsheets, emails, PDFs, photo, and videos, which can be generated internally or received from outside of the company. Content and information should also be searchable, accessible, and categorized and indexed correctly.
PROJECT REQUIREMENTS
The requirements for this specific project have been listed below.
1.
Assess the company’s ECM and network structure, then prepare recommendations related to improvements that are necessary to be made.
Section One
of the document provides a detailed description of the company and its existing ECM system.
Section Two
of the document assesses how the company currently handles its information or content.
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
Section Three
offers’ ways to improve the current structure of the company’s information or content.
Section Four
of the document provides details on the variances of the governance assessment, as well as defines the policies of the company.
Section Five
of the document will contain the consultant’s recommendations as to whether the existing ECM should be upgraded or to replace it altogether. 2.
IT specialist, Company Executives, and stakeholder will meet to begin developing a Content Management & Data Governance, Policies, & Procedures Manual. This manual will be created using different information sources such as:
Information collected during assessments that have been conducted.
Information collected when conducting research
Details from tracking the modifications or improvements necessary for the current ECM and its future expansion.
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
IMPLEMENTATION LIFE CYCLE
Content and information are necessary attributes that every company generates. Not one company or organization can escape using, transforming, and storing any type of data or content. Companies constantly are manipulating, altering, and/or storing content or
information that relates to and is vital for the business to be successful. Constructing an ECM strategy is important to provide integrity to all content and information within the company’s system. Diminishing risks to supply a dynamic environment removes many errors and redundancies. Once the ECM system has been set in place, the lifecycle of a document shall be integrated and accepted. The ECM system should assist with simplifying the information lifecycle. The lifecycle of any document is the core of enterprise content management. The lifecycle monitors the course of any inhouse file, record, and/or document from capture and finishes with the final deletion of the file, record, and/or document. Companies manipulate ECM solutions to gain complete control over ECM is a complicated strategy which companies manipulate to gain complete control over the information within the company. Consequently,
planning the implementation of an ECM solution is extremely important to the overall process being successful[ CITATION Chi20 \l 1033 ]. Having the right ECM solution ready to go before the project is about to kick off is highly recommended. Otherwise, the project will be derailed in so many ways and for many reasons. To determine what ECM solution is best for a company, the company’s decision makers must know what the goals and priorities of the company consist of. When implementing an ECM solution, some tips, or guidelines that companies can pursue which guarantees the implementation process is a success include:
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
1.
Plan the implementations with a Content Management System: when forming the implementation plans for the ECM solutions, take a step back and evaluate the planning process to confirm the process is being conducted in the way it was intended[ CITATION Nor06 \l 1033 ]. An interface which aids with arranging workflows and controlling the entire implementation process is available when manipulating a content management system for the purpose of getting help with implementing an ECM solution. Planning the implementation of the ECM solution can lower the risk of interference occurring. 2.
Communicating the possibilities: having all the company’s stakeholder on
the same page helps make the implementation process much easier. Everyone engaged with the ECM solution implementation process needs to be ready for an interruption to occur at any given time, therefore concentration should remain on the outcome of the implementation process.
3.
Outline the company’s objectives and abilities: to gain assistance with identifying or establishing the company’s business process that are generally supported by a content management system, companies can think
of the ECM solution to correctly manage its documents during the workflow
cycle (from capture to deletion). 4.
Take one step at a time:
companies executing the entire ECM system all at once is not necessary. Instead, companies should start off with a single method in a precise area and concentrate on getting the tasks within this Page 37
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
area completed then continue by implementing the necessary functionalities one at a time.
5.
Request a Presentation: being able to visually see how the system operates and the various functions and features available to use allows companies to see the ECM system can handle its content and information in a successful and effective way. 6.
Employ Positive Training:
learning any new system and all the uniquely designed tools and features it is equipped with can become a problem for some individuals. Therefore, companies can foster a plan that pertains to user acceptance and offers step by step instructions and tips that can be followed to successful learn the system operations inside and out.
CURRENT
Even though Wood’s Electronics employees collect and generate data and/or content daily, organizing data and content is one area that is new across the company. Flash drives have been used to keep and collect content and information between all individuals within the company. Documents can be modified and reproduced. However, when a document gets modified, the modifications stay with the original owner of the document. The standard way to accomplish this was for the individual owners to keep documents that can be modified and to arrange the documents and other content in which they are using frequently on their desktops and place them also into appropriately named folders. When employees pass documents, documents get altered and then saved prior to passing the document on to other individuals. Page 38
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
These behaviors display disorganized sharing, recovery, and storing for all of the company’s content, documents, and information. These behaviors offer unreliable tracking, dismissal, and incompatible data that should have never been altered or modified to begin with. Unmanaged content/documents/information can cause mistakes being made outside of the company, embarrassing the whole organization.
ECM IMPLEMENTATION STAGES & CONSIDERATIONS
Figure 2: ECM STAGES AND IMPLEMENTATION CONSIDERATIONS
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
IMPLEMENTATION STAGES
Each stage that is part of the implementation process is defined below. It is crucial for the members of the project team to comprehend each stage so that each individual can continue to be productive and be a part of the project being a success.
REQUIREMENTS
All the company’s content categories will be evaluated and documented. Requirements that pertain to storing and securing the company’s content will be determined.
PLANNING
All stages of the project will be planned. The project manager will conduct numerous meetings with the project team and the stakeholders as well to go over the project plans and schedule.
DEVELOPMENT
During this stage, the Data Governance Policies and Procedures Manual will be established with the consultant assisting some of the company’s executives and IT specialist.
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
REVIEW
The CEO, CIO, IT specialist and manager, and the consultant will go through the first draft of the manual to provide recommendations that will benefit the company and will offer assistance and guidance so the final draft of the manual can be developed.
IMPLEMENTATION
The activities that will take place during this implementation process consist of the
following:
Create the ECM and Data Governance Policies and Procedures Manual
Develop and test the ECM system and infrastructures
Create and administer training materials to all individuals that will use the system and policies.
MAINTENANCE
Maintenance will be performed for the duration of the system. The primary system will be assessed to determine if the implemented policies are effectively functioning and meet the goals of the project plan and the company. Any modifications which are deemed necessary will be made as needed for the duration of the system.
SUCCESSFUL IMPLEMENTATION STEPS
The decision makers of the company have decided that an ECM system is necessary
to implement so its various types of content and information can be correctly managed, Page 41
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shared, and stored. So, now selecting an ECM solution that best fits the needs of the company and meets the company’s expectations as well needs to be determined. The steps listed and defined below will assist the company in determining the most suited ECM system to implement and guide the implementation process as well. STEP 1: IDENTIFY THE COMPANY’S DRIVERS
Why does the company want to implement an ECM solution? The answer to this question is essential for a couple of reasons. First, if companies are not exactly sure what is driving the project, they may want to rethink the decision. Second, the drivers which the company has named may help set the company’s main concern for the project. For instance,
automating the process of received communications may be more significant to the company than retrieving content and/or information which has been scanned and stored within the system previously. Therefore, resources that concentrates on automation will need to be available and read to be used more than tools to simplify the process of retrieving scanned and stored content and/or information.
STEP 2: DOCUMENT THE COMPANY’S CURRENT STATE
Sometimes companies or individuals are hesitant to execute this step, considering that the company has been in business for some time, and the implementation team completely comprehends how each individual department within the company carries out its tasks. However, this confidence typically turns into a statement such as “We had no idea”
when the teams see the extensive lists of data types, documents, methods, and plans which are across the company, and discovered by employees or members of the implementation team.
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STEP 3: DEFINE THE PROJECT SCOPE
Once the company has finished its preliminary investigation, they may decide to involve the entire company or to only involve certain departments to ensure the implementation process is successful. Companies should take into considerations factors such as how fast the system needs to be up and running, any upcoming obligations within the various departments within the company, and how many resources the company can commit too now.
STEP 4: CLEARLY COMMUNICATE THE GOALS OF THE COMPANY
When a company wants to increase its overall efficiency, information such as how much they want to increase its efficiency, and within how many days needs to be included in the proposal. Also, how will this tie into the company’s goals? Companies should be aware of the goals so that progress can be measured based on reaching the goal and adjusting the implementation process when it is necessary.
STEP 5: DEVELOP A DETAILED ROADMAP
An ECM project can contain a single project or several individual projects that get combined so that a complete solution is developed. The company’s roadmap needs to cover the aspects of each individual project. This will include everything from reviewing the feasibility of the current technology, to generating a companywide content classification, to Page 43
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
fostering an outline for how to regularly apply metadata to data, to assessing the security requirements of the company’s data.
STEP 6: DESIGN THE SYSTEM
It is now the time to design the ECM system. An ECM solution that has been customized to fit the needs of the company will perform far better than an “off the shelf” universal system.
STEP 7: OBTAIN THE CORRECT TECHNOLOGY
The upcoming phase involves getting the correct technology which is necessary to construct the system which has been designed. Remember, this is only the seventh step in the implementation process, therefore, there is no hurry to start purchasing software or hardware quite yet. Usually, when purchases are made at this point, they are incorrect and pointless. STEP 8: IMPLEMENT & TEST THE SYSTEM
When the system is online and testing is being setup and prepared for execution, testers need to remember that each individual elements need to be ran through all the scenarios that have potential to occur to see how the system functions in various situations.
To get accurate results multiple rounds of testing needs to be conducted to ensure the system is optimized before it is made available for use.
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STEP 9: PROVIDE SYSTEM TRAINING
For the implementation process to be a success companies must ensure that all individuals connected or employed with the company and that interacts with the system is secure with their role that pertains to the system. Offering more training and guidance than
what is considered necessary is much better than not offering any training and guidance whatsoever. STEP 10: DELIVER EFFECTIVE SUPPORT
Once the system is live, and individuals are taking advantage of it, the IT staff must be ready to give efficient and effective professional support. Nothing will cause hostile responses quicker than abandoning an employee, leaving them unable to finish their duties when a challenge arises. Despite all the testing and adjustments made to the system, issues will still arise. Employees need to know and understand that issues are normal for any company system implementation project. Issues are not a reflection of the ECM system or the implementation process.
IMPORTANT TIP
After each of the above steps, what was just accomplished or not accomplished, but
attempted, along with what needs to be done, and the estimated date the implementation will be complete needs to be gone over with the stakeholders. Having a clear communication plan and utilizing this plan is the key to this project as well as any other project being a success. Without proper communications companies are risking things from
minor misunderstandings about the process to major misgivings about the project in Page 45
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general. When all individuals involved with the project are being kept in the loop of things that pertain to aspects such as changes made to the project’s scope, revising timelines, and changing requirements, people are much more patient with the occurring hiccups and in the long run are much happier with the end results.
TIMELINE
Figure 3: ECM IMPLEMENTATION PROJECT TIMELINE
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
INFORMATION INFRASTRUCTURE EVALUATION
According to The Journal of Computer Information Systems “conducting an evaluation on a company’s information infrastructure is extremely important”. Generally, an
information infrastructure has a variety of hardware, software, and processes that were constructed to carry out valuable functionalities to a vast number of clients, users, and/or customers. Assessing an ECM system requires several areas within the company to undergo an
assessment. This assessment must correctly concentrate on and tend to the fundamental ECM system components, no matter if the current system has a distinctive infrastructure and software that has been set in place to execute the ECM strategies, or if the company is handling its content in an unconfirmed manner.
LIST OF COMPANY CONTENT
The table below contains the company’s content which is currently manipulated and needs to be managed.
CONTENT LIST
CONTENT
SOURCE
UTILIZES
CAPTURE NOTES
Invoices
Accounting
Accounting
Invoice documents are received
manually as well as scanned. Reports
are captured via Excel Spreadsheets
Customer
Information
Website ordering
Shipping & Receiving &
Sales Department
Customer information is captured
when an order is placed via the
website. And electronically stored
within a database.
Supplier
Contracts
Human Resource
Human Resources,
Accounting, Shipping &
Receiving, & Sales
Departments
Contracts are captured manually, as
well as scanned into the system.
Suppliers provide necessary
information needed on the forms.
Human
Human
Human Resources and IT
Both Human Resources and the IT
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
Resources
Forms
Resources
Departments
department is responsible for
inputting, revising, and removing
access controls for all users.
Employee
Records
Human
Resources
Human Resources,
Accounting,
Administration, & IT
Departments
Employee records are captured
manually and scanned into the system.
All information found in an employee
record needs to be stored securely and
correctly managed.
Web Content
IT Department
IT Department,
customers
Web content is captured using an
automation process
Inventory Data
Sales & IT
Department
Sales, Accounting, and IT
Departments
Content is captured manually and by
barcode scanning. Shipping
Details
Human
Resources
Sales, Human Resources,
Accounting, & IT
Departments
Content is manually captured and
scanned into the system. Content is also
collected when a customer places and
order.
Payroll
Accounting
Accounting,
Administration, Sales,
Human Resources
Content is manually captured
Spreadsheets
IT Department
IT Department, Sales, &
Accounting Departments
Content is manually captured and
scanned into the system.
Text
Documents &
PDFs
Administration
Department
This content is utilized by
all departments at one
time or another
Content is manually captured and
scanned into the system
Table #3 <content list>
The Infrastructure Evaluation will assess all content to determine the fundamental components within the ECM. This will include certain hardware and software.
Being that Wood’s Electronics is an online company, a substantial amount of its content is generated by its suppliers, and shipping department. The company’s executives, management, IT staff and specialist, administration employees, along with other departments within the company generate a small amount of content. The company will need to consider having a warehouse management system implemented as well as the ECM system. The company’s content can be broken up into four categories or types which are Business, Persuasive, Transactional, and Foundational.
BUSINESS CONTENT
When a company creates its own documents and content that is used daily by employees, this content is labeled as the business content. Email, datasheets, mobile Page 48
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information, and content from the web, office files, and anything that is created each working day falls within this category.
PERSUASIVE CONTENT
For the company to appeal to an external demographic and audience, this category is important for Wood’s Electronics. This content can attract internal employees even if it is targeted towards the external audience, customers, and visitors that view the website and local retail stores. Feedback becomes part of the process and development and allows any visitor to participate on the content.
TRANSACTIONAL CONTENT
Workflow, business conducted “in the back”, and all content created by software that management produces makes up this type of content. This can include any electronic forms and records that are created.
FOUNDATIONAL CONTENT
This category supports record and retention management, archives, permissions, and workflows. It is the software and or hardware used to support the other three categories.
CONTENT MANAGEMENT TOOLS
There are several tools available to assist Wood’s Electronics with applying a warehouse management system and ECM system successfully. Warehouse Management Page 49
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systems are unconnected systems that can assist a company in handling all the operations that take place within a warehouse and assist companies with establishing its competitive edge. Utilizing a warehouse management system reduces labor costs and as a result improves customer service. Most warehouse management systems contain:
Inventory Management
Order Management
Order & purchase tracking
Shipping management
Sales & purchase management
Some of the different Warehouse Management System tools to consider when needing to implement a WMS includes:
Fishbowl Inventory
NetSuite WMS
HighJump
3PL Warehouse Manager
Astro WMS
Latitude WMS
[ CITATION Sof \l 1033 ]
Each of the above-mentioned warehouse management systems is equipped with additional features that are incorporated based on which system software the company has selected for supply chain management.
As for the ECM of Wood’s Electronics, the tools currently being used to capture, manage, store, preserve, and deliver the company’s content is SharePoint 2010. SharePoint Page 50
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2010 is an ascendable solution for ECM. It has the capabilities to provide a subset of selections and has a prolonged opportunity. Below some of the key benefits of using SharePoint 2010 have been provided.
Handles Digital Assets
Handles Documents
Handles Records and eDiscovery
Handles Enterprise Metadata
Handles Web Content
[ CITATION Ent11 \l 1033 ]
ADMINISTRATION DOCUMENT PROCESSES’ FLOW
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
Figure 4 ADMINISTRATION DOCUMENT PROCESSES' FLOW:
CONTENT MANAGEMENT PROCESSES & WAREHOUSE PROCESS FLOW
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
Figure 5: CONTENT MANAGEMENT PROCESSES & WAREHOUSE PROCESS FLOW
EVALUATION OF THE CONTENT LIST
The evaluation of the content list will embrace all business processes that could cause damage to the company, and include source, format, use, and any notes that pertains to how the content is or was captured. Each of the company’s departments will need to produce a content list and undergo interviews as part of the evaluation.
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
INFORMATION INFRASTRUCTURE IMPROVEMENTS CONTENT MANAGEEMENT PROCESS IMPROVEMENT
Wood’s Electronics currently utilizes an online inventory management software. This software can track a company’s entire inventory that is available as well as what has been ordered and needs to be stocked. Invoices and receipts are generated and even come branded with the company’s name and logo. However, the functions and/or features are not
available to generate emails to the customers that pertain to their purchase. Also, this software does not send out an alert when inventory items are running low.
Based on the evaluation, the company’s existing system needs to be updated or replaced altogether. The company needs to have a system that has the ability to maintain inventory levels in both warehouse locations, maintain all accounting records, supplier invoices, customer receipts, supplier and customer information (shipping details, and contact information), and have the ability to track products from warehouse to the customer’s doorstep. Additionally, the system should be scalable so the future needs of the company can and will be met.
CURRENT CONTENT MANAGEMENT SYSTEM
Wood’s Electronics uses SharePoint 2010 to manage its content. This application is scalable and easy to use. SharePoint 2010 offers the following benefits:
Manages Digital Assets
Manages Documents
Manages Records
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Manages Enterprise Metadata
Manages Web Content
Weaknesses include:
Needs large amounts of resources
Release cycles are slow
Cannot be used on mobile devices
Database is limited to 100Gb
Expensive
SharePoint 2010 is currently meeting the needs of the company. Areas that Wood’s Electronics would benefit from having improvements made include
Access to Office 365
Newer Version of SharePoint
Cloud Storage
Improved encryption
Having encryption improved will help the company maintain customer and supplier sensitive information, which consequently assist the company with staying in compliance with PCI DSS.
IMPROVEMENTING CONTENT MANAGEMENT
IMPROVEMENTING WAREHOUSE MANAGEMENT SOFTWARE
The current inventory management system is not meeting the needs of the company. The recommendation is to replace the current inventory management system with one called “Fishbowl”. Fishbowl has the appropriate features and functionalities that Page 55
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will help surpass the needs of Wood’s Electronics and is able to be integrated with additional systems. Listed below are the improvements that this inventory management system will deliver.
Generates Work Orders and Invoices
Monitors inventory levels multiple warehouse simultaneously
Compares budgeted and actual labor costs
Provides updates to inventory and accounting records/databases concurrently
Databases are kept up to date
Duplicate data entries are diminished
Sales trends are analyzed for each warehouse
Assist with shortages by alerting personnel about inventory items which are low.
Automatically reorders supplies
Tracks products from warehouse to customer
Integrates with shipping companies such as USPS and FedEx
[ CITATION Fis \l 1033 ]
IMPROVEMENTING SHAREPOINT
There are two options when it comes to improving SharePoint 2010. These options
are SharePoint 2013 and SharePoint 2016. Knowing the needs of Wood’s Electronics, the most suitable option to improve this area of concern is SharePoint 2016.
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SharePoint 2016 will give the company access to Office 365 applications. A Hybrid Cloud Search is a search experience which allows its users to conduct local and abroad to obtain accurate information and no downtime while patching.
The document library has been upgraded from 5,000 to 30,000,000. the size of file uploads has been increased from 2Gb to 10Gb. [ CITATION Nia15 \l 1033 ]
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
DATA GOVERNANCE EVALUATION
DEFINING DATA GOVERNANCE
Data Governance is a company-wide process for efficiently handling data and information. This consist of storing, manipulating, and accessing data, as well as destruction or retention of data. Data governance is the official implementation and administration of authority over the management of data and resources which relate to data. Implementing data governance can become a company’s best asset or a big liability. Data governance is the method, and practices companies manipulate to manage, employ, and safeguard its data. In this context, data can be either all or a subsections of the company’s hard copied assets. Identifying what data measures to a company is a best practice of data governance. When a company has successfully outlined data, they can then come up with ways data can be used across the organization to improve its business.
Protecting the sensitive data that pertains to the company and the customers of the
company, is another important aspect of data governance. This aspect needs to be a top priority within most companies today. Breaches occur daily and the government is passing laws such as HIPAA, GDPR, and CCPA that guard the sensitive data belonging to all individuals. A data governance plan fosters regulations to protect data and assist companies with adhering to compliance rules and guidelines.
[ CITATION Ott11 \l 1033 ] states that “Data Governance refers to the allocation of decision-making rights and related duties in the management of data in enterprises.” He then goes on to say that “Data Governance aims at maximizing the value of data assets in enterprises.”
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ISO27001/27002 defines governance as “the outline for the management, organizational structures and business processes, requirements, and conformity to these requirements, which guarantees that the company’s systems support and allow the success of its strategies and goals.” DATA GOVERNANCE IMPORTANCE
Data governance is important for companies for several different reasons. Some of these reasons have been listed below.
Provides protection against cyberattacks and security breaches
Integrated policies and systems diminish IT cost associated with data governance.
Lightens the data management load for the IT department
Compliance audits are easier to manage, and compliance standards are easier to maintain.
Data governance policies can be a viable benefit as companies grow. Companies operate on data, therefore a company that lacks appropriate planning and business information, will begin trailing the competition.
Business intelligence is driven by data for short- and long-term planning, which includes mergers and acquisitions.
Data governance keeps data growth under control and organized.
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ADVANTAGES & DISADVANTAGES OF IMPLEMENTING DATA GOVERNANCE
The table below provides some advantages and disadvantages of implementing data governance.
ADVANTAGES
DISADVANTAGES
CHALLENGES
Data governance can
assist with protecting
against destructive and
expensive cyberattacks
and data breaches.
Data governance
demands a company-
wide order for successful
implementation.
Data governance is part of a
bigger IT governance policy. The
two plans need to work in unison
for both to be successful
A good data governance
will lower the price of
administering data and
boost ROI of the
company’s data analytics
Good data governance
demands concentration.
Time will be taken away
from other tasks to
manage data.
Getting employees to care about
data governance can be a
challenge. Users need to be
motivated to get them on board
with a to new data governance
plan.
Data governance
diminishes the amount
of data management for
the IT department, and
distributes the
responsibility across the
entire company
Choosing the technology and
tools to administer a data
governance policy can be
complex. Use sources such as
Gartner to explore technology
and ask for recommendations on
systems that fit the company’s
strategy
Table #4 <advantages, disadvantages, and challenges of data governance>
THE DATA GOVERNANCE EVALUATION PROCESS
It is important to understand that data governance is the management of the policies used to administer the key areas of enterprise content management (data quality, data management, data policies, business process management, and risk management). This section of the report will examine the data governance currently in place in the organization in the listed areas. Data governance in this organization is not well-
documented and is informally implemented. Interviews and reviews of existing documentation and processes formed the basis of the discoveries in the following sections. Page 60
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As shown, there are many informal policies and procedures in place currently, but very little oversight and management of these policies and procedures.
DATA QUALITY
Data quality is concerned with the management of data to ensure data is accurate. There are currently only informal policies in the organization to address data quality. The IT staff understands there are issues with the main data sources in the organization, and there are occasional efforts to clean up the databases, but no formal plan is in place. There are no policies in place regarding the management of the data quality effort. STRENGTHS
WEAKNESSES
Stores and generates invoices
controls on-hand inventory
automatically
Provides the capabilities to
utilize tools such as Digital
Asset Management, Records
Management, Web Content
Management, Enterprise
Content Management
Outdated software
Not using tools which maintains
data quality
Deficiency in training employees
on data quality and lacks data
quality policies
Table #5 <strengths & weaknesses in data quality>
DATA MANAGEMENT
Data management is a system to authenticate, safeguard, store, and process data and manage the end-to-end information lifecycle. It consists of policies and procedures of how data is managed. Wood’s Electronics currently has no system, policies, or procedures to manage its data.
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STRENGTHS
WEAKNESSES
Only one individual is needed to
administer necessary updates.
Only the documents, policies, etc.
which need to be updated are
listed.
Documents the date and time
updates are made to all company
content or data.
Deficiency in training employees in
data management areas.
Lacks data management policies and
procedures.
Software is not compatible with
newer versions of the other software
such as Office 365.
Content, information, and/or
documents are not being secured Table #6 <data management strengths and weaknesses>
DATA POLICIES MANAGEMENT
At the present time, Wood’s Electronics manages its data policies, as well as all other company policies manually. Spreadsheets that contain a complete list which also is comprised of details such as dates in which a update took place, the date of the last modification made, and the person responsible for each policy.
STRENGTHS
WEAKNESSES
A data policy management system can be
properly managed and/or controlled by
one person.
All company policies are listed with the
appropriate details associated with each
policy.
Provides information related to the last
updates and/or modifications made to
the policies.
Software is outdated, therefore
cannot sync, or connect
Microsoft Office.
Data not secure
Table #7 <strengths and weaknesses>
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ENTERPRISE CONTENT MANAGEMENT & DATA GOVERNANACE POLICIES & PROCEDURES MANUAL
BUSINESS PROCESS MANAGEMENT (BPM)
AIIM defines business process management as “a way of looking at and then controlling the processes that exist within a company”. Business process management is a useful method to take advantage of when an emergency arises, or to ensure the processes are effective and operational. Consequently, this will result with the company being improved and more profitable. The phrase business process management addresses several different aspects such
as how business processes are examined, classified, modified, and/or observed so that they operate smoothly, and can be improved over time.
Business process management is considered as a business procedure, that is comprised of various techniques, and defined methods. It is about validating and institutionalizing better methods for completing work. Successfully employing BPM generally involves the following activities:
Arranging the present results, not duties, to confirm the correct focus continues.
Improving and tweaking processes prior to automating them; if this is not done before automation occurs then, all that has been accomplished was molding chaos so that it operates at a quicker speed.
Verifying processes and designating ownership in case the design and improvements merely disappear. Designs and improvements do seem to disappear as human nature starts to take over and the driving force starts to
decline.
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Regulating processes across a company so that they are known and administered, as well as provides a reduction in the number of errors that occur and diminishes risks.
Consent to relentless change so improvements can be widespread and reproduced over time.
Business process management is not an activity which is only completed once. This
activity needs to involve incessant evaluations of the company’s processes, as well as conducting the appropriate actions which will increase the total flow of processes. This will start an endless cycle of assessing and perfecting the company.
STRENGTHS
WEAKNESSES
Several of the company’s business
processes were developed by skilled
individuals and seem to be working
effectively.
SharePoint
Business Process
Management not being used
or adopted.
No tools in place to help
design and organize formal
business processes.
No access to resources to
address business process
management.
Table #7 <strengths and weaknesses related to BPM>
DATA RISK MANAGEMENT
Data risk management is a universal term for the various aspects of evaluating and controlling data protection. Data risk management is part of a more widespread data governance plan, and it integrates several important steps, including, but not limited to, the following:
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1.
Data Asset Observation:
many companies are not fully aware of the scope of the data assets which pose a GDPR compliance risk. Companies need to conduct a comprehensive examination of all the data assets within the organization and document the name, location, owner (if this information is
known), along with any other demographic data relating to the data set.
a.
Risk Assessment & Severity Modeling:
observation delivers information about the data assets but doesn’t offer any specifics that pertain to the content. Risk assessment inspects the content of a data
asset to verify whether it is comprised of any personal identifiable information (PII).
Severity modeling is a method of providing a risk scope to any form of accidental disclosure or data breach.
2.
Risk Classification:
this procedure categorizes all data assets in relation to the degree of sensitivity of the encompassed PII and the risk score. The categorizations will establish what form of data protection will be necessary
to apply to the data assets within a specific category.
3.
Data Protection & Security:
there are several different types of data protection that can be applied. For instance, an entire data asset could be kept or housed behind a firewall, encrypted or with restrictions placed so access to the asset is regulated, or even manipulating aspects of all three. This section of a data risk management policy includes the methods, activities, and specifications of the technology requirements for data protection.
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4.
Access & Permissions Management:
Various users may process personal identifiable information or PII data for many different purposes and in several different ways. Therefore, the various roles that make up a company’s executives, management team, and hourly employees will have different permissions set in place which will allow or restrict access to the company’s data. This ability integrates the policies and procedures which state the roles and defines the access permissions for all the various individual roles within a company.
5.
Staying in sync with IT security and Risk Management: One of the most difficult attributes when a company sets out to establish data security and protection is interoperating with the more common IT security, protection, and risk management groups. Because IT security configuration is likely to be more conventional with definite policies and procedures, the data security and protection processes must be supported to work with the overall security method.
This company does have security measures which have been implemented but not formally studied, and there is no disaster recovery plan whatsoever.
STRENGTHS
WEAKNESSES
All company locations have data
backups
The company’s IT department are
certified in cybersecurity or data
security, and certifications are
mandatory to be kept up to date.
The IT team have applied sufficient
Encryption is not being
used for data that does not move
through the system or network
(Data at Rest).
Updates are performed
but not managed correctly.
No formal policies have
been established.
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security measures
No control of risk
management policies and
procedures.
No formal assessment of
the company’s security needs.
No data backup plan.
No formal disaster
recovery plan.
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DATA GOVERNANCE IMPROVEMENTS
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What is Data Governance and Why Do You Need It?
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What is ECM?
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What is Enterprise Content Management?
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