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Use your records management success to build an internal Google

Don’t just protect records, ease user frustration

Christopher WynderDirector of Client ServicesThinkDoxchrisw@thinkdox.com@ChrisW_thinkdox

ECM needs to be more than just a set of folders for people to “put stuff in”The ECM/EDRMS needs to solve day-to-day problems to remain relevant to users.

Relevancy=risk reduction

Before

R&DSalesCEOHR

After

R&DSales

CEO HR

A year later

Do we have any tape?Someone needs to organize

this!

That looks great…but where do I put my

vacation request-is it HR or department?

Do we have any tape?

I thought we organized this?!

No, you can’t just buy Google

Google is not the best application for document search. The requirements are too different

Google is not the best internal search so why model your efforts after a challenger

This is not about better search it is about putting the right buckets of information at their fingertips at the right time

ConversationalWhat internal users need is specific and related to their work.

Internet search is scattered across multiple areas.

1Contextual

Internal information searches are based on work needs.

Internet search is a global beauty contest it is not about the substance it is about the surface.

2

Don’t just think about search, think about how the information you’re searching for is organized. Think findability.

People do not want to search – they want to get the needed content

Findability, n. (fahynd•uh•bil•i•tee)The property of being easy to find. A key concept in search and marketing. Ensuring findability requires users to effectively tag documents, and engines that effectively index those tags. It is facilitated through appropriate user interfaces for content creation and discovery.

Take a broad perspective on information organization.

Your people are important!

Organize at capture

Finding information requires attention at every point of the lifecycle

Information managers must ensure that classification and search matches end-user habits.

Content Lifecycle

Capture. Organize. Use. Archive or retire.

Administer.

Content must be classified as it comes into the organization.

Ease metadata addition through pre-

built lists.

Organize information through organization wide

descriptors. Ensure that the

descriptors are widely circulated

amongst end users.

The end users need to change their habits. IT

must invest its time in end user

training.

Archive or delete content that is not

accessed. Flotsam disrupts

search.

Finding information requires clarity on what a object is, where it is stored, who created it, and when it was created. All of these attributes are easiest to associate

with content when it is produced or added to a EDRMS.

Consider the risk of poor information management in Government:

Government agencies had the second highest number of information breaches last year. 36% of these were preventable through better overall document control.

A controlled vocabulary is a list of predefined and

authorized terms that assist in the categorization of content.

Expand the metadata beyond just records classification to ensure documents are accessed appropriately

The same reasons and value that lead to the ERM lead to….ERM value: Risk Management

Business

Users

Information

Visibility into information contained within “content.”

Visibility into age, and changes in information.

Control of information access.

Control over ILM

Appropriate access without additional layers.

Reduce the technological barriers to collaboration.

Reduce risk of breach. Ease compliance reporting.

Provide a platform for expanding the types of assets that can be tracked.

Are the same needs that users have the larger document corpusUser value: Findability

The Google problem: relevance and ranking

Standardize tags and search control by role.

Business

Users

Information

Multiple locations.

Indexing and ranking.

Versioning and modifying.

Search is difficult, it requires consistent metadata and resources for indexing

• Taxonomy tools enforce methods.

• Classification tools provide context.

• Next generation indexing and analytics combine context and content.

User shaped shaped query

Indexing & Document classification

SharePoint Networked drive

Email Archive

Compiled & Grouped

The information that is already collected with documents may be sufficient when organized correctly.

Focus on how people look for information

• Extend the compliance tools to take advantage of the role-based security to build organization-wide author lists for content.

• Extend ECM function throughout the organization.

• Limit the layers of classification. The simple layers that most organizations already have are sufficient. Author, date created, and title provide a basis to find the majority of information through either navigation or search-based methodologies.

• organization search is about finding a specific document. Users can do the sorting of close results if they are given the right fields to search on.

Take advantage of how the brain works.Semantic and ontology based classifications are built on

human learning patterns.

Weak recall

Weak recall

Strong recall

Object

Who

=

=

=

Documents consist of content that is used for particular business processes. There is no requirement for documents to be maintained for any period of time.

Records are a subclass of documents that must be treated differently. Specifically, they must be maintained in a format that can not be changed for a specific length of time.

Processes produce both documents and records.

Take advantage of this to guide document findabilityRecords management is both process and a discipline.

ISO15489 mandates that records must meet one of three criteria:

1. Historical significance.2. Mandated retention.3. Essential for disaster recovery.

In practice, records management systems are specialized content management tools for meeting basic criteria:1. Auditing of access and modification.2. Retention for specified periods.3. Workflows to ensure compliance.4. eDiscovery in response to litigation.5. Legal holds to ensure that records involved in

legal proceedings aren't deleted.

Take advantage of the metadata system to expand the descriptor library to user terms

Text

Date

List

Dynamic

“In progress”

Document

Folder

Template Tags

Confidential

Templates can be applied to either folders or documents

Tags can convey information or restrict

access

It may be different systems to you but for users it is a continuum

organization-owned content stores

Departmental controlledcontent stores

IT’s vision of information sources

Individual corporate data

Individual personal data

DATE

?

End users vision of information

ERP/CRM

ERP/CRM

Most user’s day is a series of Barely Repeatable Processes of sorting through information sources

Organizations need to define the value of information based on the width of use.

organization-wide data

Departmentdata

Personal

Filter

Information movement

Key IT control

9amDATE

?5pm

The average user’s day

How many different applications are they

using

How many times are they breaking compliance

ERP/CRM

How do you enhance TOMRMS (or any RM schema)

Expand using descriptors that describe work patterns

Facet Description Examples

Matter Objects, typically inanimate.

Desktops; Servers; Storage; Buildings.

EnergyActions and Interactions. “processes”.

Customer service; Quality control; Manufacturing; Research; Accounts payable.

Space Locations, departments,

Human resources; APAC; Guatemala; Building A2.

Time Hour, period, or duration

Morning; Q3; Financial close; Winter; 2011.

Typical records view of the information lifecycle

Classification works best when it matches the information sharing needs of the organization.

• Rigid organization-enforced taxonomy.

• Use governance: What is the organization’s security need for content?

• Retention rules

• Disposition workflow

• Audit of deletion schedules

Capture Organize UseArchive or

retire

Take advantage of existing systems to build a user friendly systemClassification works best when it matches the information sharing needs of the organization.

These capture features are the key:• batch metadata

addition

For all content these features are key:Document IDs: for version control.Records management tools: taxonomy, file plans, access control, audit features.

Applying Holds: Retention Policy Services, workflow review, and approval tools Search: cross-library searches using content attributes.

Records management tools available for all content:Archiving tools: backup to storage, automatic deletion dates.

Capture Organize UseArchive or

retire

•Authority file. •Broader term.•Category/Risk grouping. •Related term. •Modifier/Retention

•Narrower term. •Preferred term. •Scope note.

The controlled vocabulary is the basis of taxonomy and findability

Search and “usability” is a function of the alignment between index and user habits

Controlled Vocabulary

Thesaurus

Ontology

Controlled Vocabulary

Records

classifications

Usability

Information security and findability share a common core

Findability is the combination of good search through metadata and linking metadata to user work habits

Records management

Support work processes:

Workflow, group information

Info

rmati

on

Gove

rnan

ce

Be tidy:Delete old data, lock down high

risk data

Tag and define

(Metadata, audit trails)

Securing information

Finding Information

Unstructured information has several unique features

We have to provide the structure for the information

1. It doesn’t attach to a specific business process

2. No standards.

3. No centralized home

4. No centralized owner

5. No obvious description

Unstructured information rarely attaches to a specific system or process. It accumulates outside of the systems of record that typically maintain records and standard communication.

Documents rarely adhere to strict templates and users deploy informal and irregular writing and wording.

The information may – or may not – be restricted to a single repository.

The information may – or may not – have a designated owner who is still employed by the organization.

It may be impossible to determine what the information is about without a detailed investigation.

Focus on information findability with strong document classification

You don’t need a tree structure to capture everything

Records can be forced into a classification structure. Where there is a strong need to control access and retention. Records are binary: They are a record or they are deleted.

The larger store of information is different.

We need to use a post-coordinated system that enables us to classify documents in a variety of different ways.

Focus on information findability with strong document classification

grasshoppers dufflepudskangaroos

things-that-jump

fictionalmammal, insect

Define the complete view of what people do to extend content descriptors

Persona

Business Process

Users WorkflowNew cases

Case management

Check schedule

Follow-upSchedule meeting

Check for information

Review previous

Monitor action

Request action

Review reports

ServiceManagement

BPM case

module

CRM case # Workflow

Confirm by SMTP

Social Services

Refined the process maps with the actual information they need

DATE

CRMConstituent or Council

needs

Vacation request

Agenda/Budget

What information outside of their job description do users need to “get work done”

DATE

DATE

DATE

How many of these resources are up-to-

date?

Align the ECM and user information lifecycles to define the system requirements

Adoption and user workflow are linked together.

Solve the users’ key needs and you’ll solve your compliance concerns surrounding structured documents and records.

Capture Organize Use Archive or retire

System touchpoints

User information

lifecycleGenerate Record Use Forget or

store

?

Organize Re-Organize

?Specific ECM requirements

Build the additional fields based on system users work

9amDATE

?5pm

The average user’s day

How many different applications are they

using

How many times are they breaking compliance

ERP/CRM

Generate-How do users generate content-what are the

filetypes, what are the key applications

RecordWhere is the information from that content

being recorded? Office documents, applications

OrganizeWhat is the point of the content? Is the

information being shared? Is it for revenue generation? Does it need to be moved to other

people?

When..is the information source used again. What do users really need, what can you securely

provide them.

Build user journeys to detail the activities that require Information that the Organization owns.

County Clerk

County management

Agenda

User Journey of a Clerk’s day

The goal of a user journey is break down activities into actionable steps. Specifically we are looking to focus on those tasks that use-or should use the ECM.

Once we have a Straw man for set of user journeys we can build a attach the information sources to each step.

The user journey then provides guidelines to what IT needs to provide to users in the EDRMS

Check schedule

Follow-up

Confer CAO

Request information

Gather motions

Post agendaAgendaOrganize

Minimize the addition classification fields. The goal is to enhance the RM classification not replace

Plan for “real world”, work process focused terms based on G.R.O.W.

Marketing Joke: “What is the biggest state in the United States?”Punch line: Alabama.

The Answer: 8x3Humans work best when presented with a list of about eight items. We can typically keep that many items in working memory. Furthermore, we will typically drill through three levels of how detail.

Keep your taxonomy to three levels of detail, each with about eight items. The taxonomy for a facet, therefore, can have 83 – or 512 – items.

Categorize the non-records descriptors based on GROW fields

Contract negotiations

Billing

Contracts

Secondary office

Remote

CRM logs

Surveys

Direct interaction

Location

financials

Call list

Daily activities

Calendar

Hand-over

Workgroup

Potential taxonomy descriptors(GROW)

These could be the drop-down terms

Wide category

Remember this initial goal is about gaining control over documents. The long term goal is a living set

of descriptors that mirror business practices.

These are probably too specific. Additional personas will generalize these further to make them usable.

Fluid information movement requires good governance

• Start by determining how similar the key intra- and inter-departmental information movement patterns are. Do HR and Tresurary speak the same language.

• Governments with limited department structure and a single organization-wide deployment for their system (user profiles, classifications work for HR, Finance, Clerks) should prioritize a add-on fields that ease internal, day-to-day frustration.

• Where these needs diverge IT must carefully consider the compliance environment.

• Don’t forget about social. Governments need to have policy and process for when constituent information and conversation moves beyond “communication” to government action.

Regulationsorganization-wide data

Similarities

Departmentaldata

Key considerations for ECM

Thank youHave questions or want a copy of the presentation:Email me: chrisw@thinkdox.com

Don’t want to email me:

See our websites presentation page http://thinkdox.com/news/white-papers-and-presentations/

We are on twitter and LinkedIn@Thinkdox@ChrisW_thinkdox

https://www.linkedin.com/company/thinkdox-inc-?trk=biz-companies-cym

Managed metadata, taxonomies, ontologies, thesauri, etc. all have subtle differences but share some core elements:

• Authority file. Names that can be used. Descriptors and names are listed in authority files.

• Broader term. Terms to which other terms are subordinate.• Category/Risk grouping. Grouping of terms which are

associated, based on the content of document. • Related term. Terms which are similar to one another and

often exist in the same category. [typically the retention schedule]

• Modifier. A term that narrows the focus of another term. For example, the use of “Character” in the compound term “Stanton, Archibald – Character”.

• Narrower term. A term that is subordinate to another in a category.

• Preferred term. The term that is used for indexing among a group of related terms.

• Scope note. Direction on how to apply a term explaining usage and coverage.

The controlled vocabulary is the basis of taxonomy and findability

Search and “usability” is a function of the alignment between index and user habits

Controlled Vocabulary

Thesaurus

Ontology

Controlled Vocabulary

Records

classifications