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.

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.com
@ChrisW_thinkdox

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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. •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. 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. 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. 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. Focus on information findability with strong document
classification
grasshoppers dufflepudskangaroos
things-that-jump
fictionalmammal, insect

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

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. 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. 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. 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. Thank you
Have 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

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