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AMCTO presentation on moving from records managment to information management


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This presentation was given to AMCTO zones 1 and 4/5. It presents how to use the records classification as the core for a faceted classification schema that can be used to enable workflow and processes across the organization.

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AMCTO presentation on moving from records managment to information management

  1. 1. Use your records management success to build an internal Google Don’t just protect records, ease user frustration Christopher Wynder Director of Client Services ThinkDox @ChrisW_thinkdox
  2. 2. 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& DSales CEO HR After R& DSales CEO 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?!
  3. 3. 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
  4. 4. This is not about better search it is about putting the right buckets of information at their fingertips at the right time Conversational What internal users need is specific and related to their work. Internet search is scattered across multiple areas. 1 Contextual 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
  5. 5. 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
  6. 6. 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.
  7. 7. 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
  8. 8. 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.
  9. 9. Are the same needs that users have the larger document corpus User 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.
  10. 10. 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
  11. 11. 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 = = =
  12. 12. 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 findability Records 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.
  13. 13. 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
  14. 14. It may be different systems to you but for users it is a continuum organization-owned content stores Departmental controlled content stores IT’s vision of information sources Individual corporate data Individual personal data DATE ? End users vision of information ERP/CRM ERP/CRM
  15. 15. 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 Department data Personal Filter Information movement Key IT control 9am DATE ? 5pm The average user’s day How many different applications are they using How many times are they breaking compliance ERP/CRM
  16. 16. 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. Energy Actions 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.
  17. 17. 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 Use Archive or retire
  18. 18. Take advantage of existing systems to build a user friendly system Classification 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 Use Archive or retire
  19. 19. •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
  20. 20. Information security and findability share a common core Findability is the combination of good search through metadata and linking metadata to user work habits Be tidy: Delete old data, lock down high risk data
  21. 21. 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.
  22. 22. 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.
  23. 23. Focus on information findability with strong document classification grasshoppers dufflepudskangaroos things-that-jump fictionalmammal, insect
  24. 24. Define the complete view of what people do to extend content descriptors Persona Business Process Users Workflow New cases Case management Check schedule Follow-up Schedule meeting Check for information Review previous Monitor action Request action Review reports Service Management BPM case module CRM case # Workflow Confirm by SMTP Social Services
  25. 25. Refined the process maps with the actual information they need DATE CRM Constituent 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?
  26. 26. 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 lifecycle Generate Record Use Forget or store ? Organize Re-Organize Specific ECM requirements
  27. 27. Build the additional fields based on system users work 9am DATE ? 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 Record Where is the information from that content being recorded? Office documents, applications Organize What 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 the information source used again. What do users really need, what can you securely provide them.
  28. 28. 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 agenda AgendaOrganize
  29. 29. 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: 8x3 Humans 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.
  30. 30. 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.
  31. 31. 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. Regulations organization- wide data Similarities Departmental data Key considerations for ECM
  32. 32. Thank you Have questions or want a copy of the presentation: Email me: Don’t want to email me: See our websites presentation page We are on twitter and LinkedIn @Thinkdox @ChrisW_thinkdox
  33. 33. 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