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Article history: Enterprise Content Management (ECM) solutions provide robust functionality to control and analyze
Available online xxx information. ECM solutions help reduce search times, manage data, and enable institutions with regu-
latory compliance. The correlation between impact on a business process through ECM implementation
Keywords: stage is demonstrated and been shown to follow reported hypothesis by Reimer (2002). The objective of
Enterprise Content Management (ECM) this article is to provide (1) a typical architecture of an ECM, (2) identify key challenges in implementation
Information governance
and (3) implementation road map strategy.
ECM architecture
© 2014 Elsevier Ltd. All rights reserved.
ECM roadmap strategy
http://dx.doi.org/10.1016/j.ijinfomgt.2014.12.008
0268-4012/© 2014 Elsevier Ltd. All rights reserved.
Please cite this article in press as: Hullavarad, S., et al. Enterprise Content Management solutions—Roadmap strategy and implementation
challenges. International Journal of Information Management (2015), http://dx.doi.org/10.1016/j.ijinfomgt.2014.12.008
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Author(s) Focus/main theme ECM solution typically consists of four essential components
Reimer (2002) ECM basic structure and (Fig. 1); – (1) User interface –a process through which information
fundamentals (digital or non-digital) is brought into ECM. This is accomplished
Rockley, Kastur, Manning (2003) Development of unified either by converting hard copy documents by image capture scan-
(Meicher, 2013) content methodology ning or by uploading electronic version of information into ECM.
Smith and McKeen (2003) ECM information governance,
The information consists of documents in the hard copy format or
(Meicher, 2013) benefits, content stewardship
Nordheim and Paivarinta (2006) Strategic development and digital format (generated by Microsoft/Mac, or by Google Docu-
(Meicher, 2013) ECM implementation method ments).
Nordheim and Paivarinta (2004) ECM customization (2) Information governance – This is a key ECM functionality that
(Meicher, 2013)
separates ECM from other digital archival systems. The incoming
O’Callaghan and Smits (2005) ECM development
(Meicher, 2013) information is now designated at this stage as an official record.
Munkvold (2006) (Meicher, 2013) Improvement opportunities for ECM solutions offer a capability to assign a record with functional
ECM area specific records and retention rules. ECM automatically deletes
Paivarinta and Munkvold (2005) ECM impact, objectives, such records after the records retention duration, which, thus, pro-
content management,
vides regulatory compliance.
enterprise information
architecture (3) Attributes – ECM is equipped with features meant to achieve
specific business purposes. Data archive provides a systematic
approach to archive and retrieve the information using select
process; and covering legal liability. Such quantitative estimations keywords; Intelligent Data Capture – for converting image based
tend to be complicated due to various factors agreed to by industry information to a computer readable format by optical character
and academic peers (Irani, 2002). To our knowledge, after reviewing recognition; Workflow – an automated process based on a pre-
existing literature, this is the first empirical evidence that reinforces configured logic where information flows through different stages;
Remer’s hypothesis (Reimer, 2002). Research in ECM concepts Integration/Data processing – a built in information management
including knowledge, data and information resource management, solution to connect different data streams; and Information disposal
and compliance are still a nascent field (Brocke, Simons, & Cleven, – a deletion time affixed to certain information to be automatically
2011). Brocke (2007) provide a good timeline of ECM research and applied in order to delete the documents to be in compliance.
development in the field. Table 1 (adapted from Brocke, 2007) (4) Repository – ECM systems provide a secure approach to
shows the selected contributions in ECM development. store the information for on demand access. There is a variety of
Please cite this article in press as: Hullavarad, S., et al. Enterprise Content Management solutions—Roadmap strategy and implementation
challenges. International Journal of Information Management (2015), http://dx.doi.org/10.1016/j.ijinfomgt.2014.12.008
G Model
JJIM-1383; No. of Pages 6 ARTICLE IN PRESS
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information storage protocols that allow information to be stored nature of the business and culture of the organization. The business
on arrayed disks to allow for enhanced data security. The reposito- needs should sufficiently cover the following aspects;
ries can be on-site or through the cloud (cloud storage is discussed
in following section). • Assessment of existing technology infrastructure/environment,
readiness.
3. ECM implementation stages • Change management.
• Immediate and long term training considerations.
The primary goal of an ECM implementation roadmap strategy • Information security and alignment with regulatory compliance.
(Fig. 2) is to specify the information governance for the life cycle of • Taxonomy and metadata requirements for data classification and
the information based on establishing an amalgamated and inter- retrieval.
operability space, and reducing the content classification burden • Records management and information governance.
for the end user. A well-developed ECM implementation strategy • Storage capacity needs – on premise and cloud.
covers the following; • Disaster recovery strategy.
• Encompasses the majority of records, both paper and electronic, These needs include identification of tactical benefits including
unstructured and structured. improving internal and external collaboration, enhancing con-
• Meets the needs of a wide variety of stakeholders throughout the tent quality and maintaining consistency, standardizing workflows,
organization. producing organizational metadata attached to content objects,
• Enables the organization to respond to legal discovery. and provisioning for regulatory requirements.
• Automates business processes, removing the inconsistency of An information governance team comprising representatives
manual processes. from all stakeholder groups should act as a catalyst to enforce con-
• Up-to-date with respect to technology. sistent governing policies, such as the adoption of an organization
file plan or classification scheme; use of taxonomy; and application
AIIM recommends the following steps for success in implemen- of retention, disposal, and archival rules. A minimal gap between
ting an ECM system: (1) Concept of Operations, (2) Information perceived benefits and user adoption is a clear indication of a well-
Governance Framework, (3) Business & System Requirements, (4) planned roadmap.
Classification Scheme, (5) User Interface & Environment, (6) IT
infrastructure, (7) Roll-out, and (8) Post implementation. These 3.2. ECM design and development
can be broadly grouped under three categories; (1) Organizational
Requirements, (2) Access and Collaboration Requirements, and (3) ECM solutions are not plug-and-play and can be customized
Functional Requirements (Fig. 3). based on application data and content. Every business process is
different with varying inflow of information originating internally
3.1. Roadmap strategy and externally. Albeit, ECM solutions for the broader category
of business types (viz., healthcare, finance, education, insurance,
Long before considering an ECM solution, organizations need to research & development) – provide some basic functionality
assess their business needs, which are inherent and specific to the that are specific to an industry, a certain degree of product
Please cite this article in press as: Hullavarad, S., et al. Enterprise Content Management solutions—Roadmap strategy and implementation
challenges. International Journal of Information Management (2015), http://dx.doi.org/10.1016/j.ijinfomgt.2014.12.008
G Model
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customization is necessary. The likelihood of ECM success depends for aid in identifying possible missing features during the course of
heavily on the outcome of connected workflow execution order deployment.
and process schedules. The following features are worthy of Training of personnel and keeping pace with upgrades on the
consideration in designing the ECM; deployed ECM solution should be part of product support. Some
ECM providers require that power users, who are in an ECM admin-
• Documents are routed in a standard, controlled, and prompt man- istrative capacity, receive standardized testing certification. It takes
ner. an extra effort by an ECM implementation team to develop training
• Accommodate exceptions by assigning specific users with rights methods that are carefully customized for user preference (video vs
to add or exempt stages on an ad hoc basis. PowerPoint presentation) to engage the personnel through stages
• Forward documents without delay to each successive phase. of testing, upgrades, and later extending other ECM functionalities.
• Allows documents to be prioritized in each queue. If there is no Implementation is often hindered by incompatibility between
priority assigned, the documents are sorted by the date and time the ECM platform and the existing technology environment. The
they enter the lifecycle. ECM solution should be compatible to the existing software appli-
• Monitor and measure the time to complete a process. cations in use for routine job functions, such as editing documents,
• Audit queues for periodic review for quality assurance. storing data files, searching, and electronic record fabrication, and
• Processes can be easily added or adjusted at the document, preservations tools. In many cases, projects fail dismally because of
process, group, or enterprise level by specified users or adminis- a poor (or no) initial needs assessment not including a broad stake-
trators. holder pool; not developing a good deployment plan; or not having
• Customization of both the routing and the user interface without executive support.
programming by enabling Point-and-click configuration. The success of an ECM implementation lies in articulating the
perceived benefits and potential of system efficiency. To achieve
3.3. ECM deployment and training these benefits, organizations must involve all stakeholders in
selecting the ECM product and vendor, developing the imple-
The detailed deployment and validation plan is very critical to mentation plan, deploying the plan, and training users. Mapping
achieve timely implementation of ECM. The deployment should be the organization’s information management needs, culture, and
piloted in a test environment for learning any process-related bottle business processes and, then, threading those into an ECM imple-
necks before ECM is migrated to the production environment. There mentation roadmap strategy will enable organizations to weather
are industry standards on stress testing key functionalities, such as the storm of big data transformation and be in compliance.
large data handling or varied types of data inflow, – see Table 2
3.4. ECM solution implementation: lessons learned
Table 2 • Identify areas and realistic needs and then configure ECM solu-
Stress test features for validation. tions to meet the functional area needs not the needs of the ECM
Stress test type Process
solution – let the functional need drive the technology, not the
other way around.
Volume handling Assume 50% of employee login as users to ECM • Include all stakeholders early in the process and get buy-in.
handling at least 60% of total data/information
volume. Repeat for 2 different scenarios
• Analyze the content first to arrive at the decision to choose ECM
Processing power •Based on information load, write at least 250 technology.
scanned pages per minute • Be prepared to accept the fact that launching an ECM is just
•Response to user input – retrieval rate
the beginning of a long process that involves training, routine
•Recovery from server failure within 10 min
Test configuration •Multiple physical servers, hosted on VMWare
upgrades, certifications.
and running VMWare for failover • Define the quantitative expected outcomes for the organization.
•Dynamic reallocation of computing resources • Delineate security access controls, roles, and responsibilities.
across cluster • Document access and approval procedures.
Please cite this article in press as: Hullavarad, S., et al. Enterprise Content Management solutions—Roadmap strategy and implementation
challenges. International Journal of Information Management (2015), http://dx.doi.org/10.1016/j.ijinfomgt.2014.12.008
G Model
JJIM-1383; No. of Pages 6 ARTICLE IN PRESS
S. Hullavarad et al. / International Journal of Information Management xxx (2015) xxx–xxx 5
Please cite this article in press as: Hullavarad, S., et al. Enterprise Content Management solutions—Roadmap strategy and implementation
challenges. International Journal of Information Management (2015), http://dx.doi.org/10.1016/j.ijinfomgt.2014.12.008
G Model
JJIM-1383; No. of Pages 6 ARTICLE IN PRESS
6 S. Hullavarad et al. / International Journal of Information Management xxx (2015) xxx–xxx
Reimer, J. A. (2002). Enterprise content management. Datenbanken Spektrum, 2(4), Russell O’Hare is the Chief Records Officer for the University of Alaska System. He
17–35. holds four university degrees and is a certified records manager. He is responsible
Tyrvainen, P., Paivarinta, T., Salminen, A., & Iivari, J. (2006). Characterizing the evolv- for the university records information compliance program, approves university
ing research on enterprise content management. European Journal of Information retention and disposition schedules, and is the university Red Flag program admin-
Systems, 15(6), 627–634. istrator. He oversees the statewide records center, micrographic, and enterprise
content management offices.
Shiva Hullavarad is Enterprise Content and Electronics Records Administrator for
the University of Alaska System. He holds four university degrees and ECM/ERM Ashok K. Roy is Vice President for Finance & Administration/CFO of the University
practitioner. He is responsible for maintaining the ECM platform and provides over of Alaska System & Associate Professor of Business Administration at University of
sight for the implementation and management of the system. Shiva reviews and Alaska Fairbanks. He holds six university degrees and five professional certifica-
approves all ECM/ERM process changes and implementation requests submitted tions. Dr. Roy has also authored over 83 publications in trade and academic journals
by campus administrators. He has authored 81 technical papers and presented at including chapters in two encyclopedias.
national conferences.
Please cite this article in press as: Hullavarad, S., et al. Enterprise Content Management solutions—Roadmap strategy and implementation
challenges. International Journal of Information Management (2015), http://dx.doi.org/10.1016/j.ijinfomgt.2014.12.008