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Digital Document Management April 5, 2005 Wess Jolley, CRM, Records Manager 1 Pre-Session Handouts Business Card Slides The Document Life Cycle: Definitions, Supporting Technologies, and Applications ECM 101 Poster Ten Steps to a Successful ECM Implementation RECORDS MANAGEMENT Part V: Digital Document Management Wess Jolley, CRM Records Manager Dartmouth College Problem Statement: Dartmouth College is failing to effectively manage the vast majority of the institution’s electronic information. We are currently failing to manage our digital content AS RECORDS Are we unusual in this? No. Results of this failure… Legal liability Lack of administrative control Inefficiency, inaccuracy, lost productivity Uncontrolled growth And some really bad long-term headaches! Loss of information of enduring value (archival data) A crowded “virtual attic” Our names becoming swear words to our successors! The Records Management Training Cycle Part 1: Managing Records in an Office Environment Part 2: Using Records Management Services Part 3: Vital Records Identification Protection, and Disaster Recovery Part 4: Introduction to Digital Records Part 5: Digital Document Management (Today!) Introductions Your Name Department Job What makes you interested in digital record issues? Session Outline for Today Review: Structured and Unstructured Data Document Management Technology z Overview z Features BREAK! z Record Declaration z Record Classification z Implementation Issues What Dartmouth is doing about this… Some practical advice (while you’re waiting…) Questions and Discussion Review Structured and Unstructured Data Digital Document Management April 5, 2005 Wess Jolley, CRM, Records Manager 2 Structured vs. Unstructured Content nStructured Content ¾ Large, mainframe databases ¾ Institution or workgroup wide data repositories ¾ Examples: FAS, BANNER, HRMS, Oracle Financials ¾Verdict: Mostly under control Structured vs. Unstructured Content nUnstructured Content n These are “Documents”… In YOUR computer! ¾ “Documents are the containers in which information is presented for human processing” n 85% of the all digital records in any organization n 7.5 billion per year (2004) n Here is where our challenge lies! Structured vs. Unstructured Content n Unstructured Content is everything… In YOUR computer! ¾ Word documents ¾ Spreadsheets ¾ Small databases ¾ Desktop Pub. Documents ¾ Electronic forms ¾ E-mail ¾ Document Images ¾ Graphics ¾ Digital photographs n Even Web Sites! ¾ Formerly on centralized servers, under central control ¾ Now can be created, served and maintained at the user level Structured vs. Unstructured Content n Why “unstructured content”? n The records exist outside of any centralized control of the institution n They aren’t in central repositories n They aren’t in any well-defined or consistent cataloging scheme n It’s almost impossible to apply retention and disposition controls n They are INVISIBLE to the institution n At least with paper, it’s visible, you can see it, and you have to do SOMETHING with it! Structured vs. Unstructured Content Structured Unstructured Production Databases Documents “Fluid Files” “SNAPSHOT” V. 3.5 2/1/2005 V. 2.0 2/1/2005 V. 4.0 2/1/2005 Who has responsibility? (A Historical Perspective) Technology Infrastructure Structured Data Unstructured Data nEarly Implementation IT Users IT Who has responsibility? (A Historical Perspective) Structured Data Unstructured Data nToday IT Users Personal Computers Users Server & Network Infrastructure IT Document Management Technology Overview Evolving Terminology Document Management (DDM) Imaging Workflow In Process Documents Collaboration Records Management (DRM) Declared Records Inactive Materials Compliance Reference Historical Retention Content Management (ECM) Web Sites Digital Assets Policies Procedures Resources Digital Document Management April 5, 2005 Wess Jolley, CRM, Records Manager 3 Defining ECM and EDM/ERM n Electronic Content Management: The Technologies and tools used to capture, manage, store, preserve and deliver content across the enterprise. ECM tools and strategies allow the management of an organization’s unstructured information, wherever that information exists. n Digital Document Management and Digital Records Management: Subsets of ECM, which focuses on utilizing a technological infrastructure to enable business processes, support information workflows, and manage records through their life cycle. Digital Document Management and Digital Records Management TIME VALUE Document Creation DIGITAL DOCUMENT MANAGEMENT •“Active Stage” •Dynamic Documents •Authoring •Capture •Workflow •Collaboration •Version Control The “Records Declaration” (At least by this point!) Record Disposition (Destruction or Preservation) ADMINISTRATIVE LIFE Access Frequency Usage Patterns Administrative Use Fiscal Value Legal Protection DIGITAL RECORDS MANAGEMENT •“Inactive Stage” •Stable Documents •Legal Protection •Preservation •Retention Scheduling •Legal Holds •Structured File Plans •Destruction Process/Audit Records Declaration Storage Security Search Delivery Retrieval Classification ALPHABET SOUP!!!! nFrom here forward, we’ll use the term Digital Document Management to mean both DDM and DRM The Big Picture... Courtesy of AIIM Document Ingestion and Creation Selecting and implementing technology to keep the information safely stored. Getting the information where it needs to be! Ensuring it remains available as long as it is needed… Bringing it all together... Digital Document Management April 5, 2005 Wess Jolley, CRM, Records Manager 4 DI SP OS E How data gets in to your repository: Born Digital n Documents you create and declare n Received digital documents from outside n E-mail (including attachments) n Converting Paper to Digital! How data gets in to your repository: Document Imaging Document Imaging: Process n Prepare document n Scan n Check for quality and accuracy n Index into the Document Management System ¾ Metadata ¾ Manual ¾ Automated ¾ Full Text n Save both document and index (metadata) to Repository Why Document Management? nWe have CONTENT... Now what do we DO with it??? ¾Organize ¾Categorize ¾ Search ¾View ¾ Index ¾Annotate ¾Retain ¾Dispose ¾Define access rights ¾Create “virtual files” nWe bring it under control nWe create STRUCTURED data Document Management Application Architectures n Thin Client ¾Web Browser n Thick Client ¾Desktop Application Document Management Technology Features Document Management: Organize and Categorize1 1Screen Shots Courtesy of Laser Fiche http://www.laserfiche.com Document Management: Search Digital Document Management April 5, 2005 Wess Jolley, CRM, Records Manager 5 Document Management: View Document Imaging: Example Features n Annotate n Highlight n Redact n Rotate n Darken n Lighten n Scale n Print n Etc. Check this Address! Document Imaging: Views Document Imaging: OCR (and Full Text Indexing) Digital Workflow n Automating your business processes Quality Control Junior Clerk Senior Clerk Supervisor >5K <5K Take a Break! n Be back in five minutes... Document Management Technology The Record Declaration Digital Document Management is about two things… 1. Declaration 2. Classification Nothing Else Matters… The “Record Declaration” Defined n “Freezes” the record (It is no longer editable) n Distinguishes a record from a non-record or a “working paper” n Record should move to a repository n The maintenance of the information becomes a departmental (and institutional!) responsibility Digital Document Management April 5, 2005 Wess Jolley, CRM, Records Manager 6 Declaration, in a DDM perspective… n Put a document under e-Records Management Control n The document is no longer editable and can no longer be deleted outside of the retention schedule n Analogous to deciding whether on not to file a paper document Declaration Options nRelies on user “will” nCould miss valuable records nYou will never know which records you missed nDifficult to implement, unless you can define a step in a workflow or use clearly defined metadata Cons nEasy to implement nNo reliance on user nNo missed documents Pros Manual Declaration Automatic Declaration Declaration – Automatic nDeclaration triggered by some system event such as: ¾A step in a workflow ¾ Intercepting a sent e-mail ¾ Placement in a monitored folder ¾ Triggering date of creation (or period afterwards) ¾Anything else you can think of! Declaration – Automatic n A step in a work flow Invoice Received Junior Clerk Senior Clerk Supervisor >5K <5K Processing DECLARE A RECORD! Scanned ? Declaration – Automatic E-mail Example n Subject Lines n Recipient List n Complex Logic n Pros ¾ Easy to implement n Cons ¾Only works for SENT e-mail n Semi-Automatic: Force User to chose every time they click “send” (optional bail out?) Declaration – Automatic By Folders Example nMonitored Folders nPreconfigured Folders and Profiles nDeclared upon ingestion n Pros ¾ No reliance on user ¾ Easy to implement n Cons ¾ All possible folders must be set up in advance ¾ It equates to manual classification Declare! Declare! Declare documents in these folders Declaration – Automatic By Folders Example Correspondence Drafts Meeting Minutes Working Papers Document Management Technology Classification Classification Defined n The application of a predetermined File Plan and associated Retention Schedule to declared documents in a document management system n Putting documents into record series n “Place a document in a bucket” n Automatic or Manual n Analogous to deciding where to file a paper document Digital Document Management April 5, 2005 Wess Jolley, CRM, Records Manager 7 Classifying a Document Student Records Applications Disciplinary Rec. Development Donor Corr. Staff Development Travel Records File Plan (Record Series) DECLARED Records Retention Rule 1 Retention Rule 2 Retention Rule 3 Retention Rule 4 Retention Rule 5 Retention Rule 6 Retention Rule 7 Retention Schedule Classification Options nRelies on user “will” nVulnerable to “Pick the Default Every Time” nVariations in users interpretations nDifficult to implement nDoes not allow for user interpretation Cons nEasy to implement nWorks well when done right nAllows for user interpretation nNo reliance on user nAccuracy and consistency Pros Manual Classification Automatic Classification Classify – Automatic nMetadata or content based n Pros ¾ Easy to implement ¾ Simple, instant n Cons ¾ Depends on Metadata quality and consistency (abbreviations, spelling, etc.) nGood metadata is tightly controlled (data entry, automatic generation) n Bad metadata is uncontrolled (such as e-mail subject lines) Classification – Manual Options nBrowse File Plan ¾Navigate (browse) anywhere in file plan ¾ Presents greatest choice, greatest effort nQuick List ¾ Pre-configure a list of selections for a user/group ¾Add some logic ¾Minimal Choice, low effort ¾ The list has to be right… Finance Finance Legal Legal Admin Admin Safety Safety Declare! Declare! This becomes your file plan! Classification – Manual By Folders Example Declare! Declare! Correspondence Meeting Minutes Invoices Applications The “Holy Grail” of Classification: Content Based Auto Classify n Software that “reads” a document, reduces to core concept n Compares document concept to File Plan n Finds the best match n Builds a taxonomy on the target subject n Self-learning and dynamic n It doesn’t exist—yet (accuracy still around 70%) Example of Declare and Classify nDeclare a document ¾Voluntary “Declare” Button nClassify ¾Manual – Browse the file plan – Select from designated pick list ¾Automatic – Email containing a specific word in the subject line Declared Record Declare… Declare… Retention and Disposition Fiscal Record Requests Disposition Receipts Select from File Plan: This rcord has been Declared and copied to the Records Repository. OK OK Document Management Technology Implementation Issues Digital Document Management April 5, 2005 Wess Jolley, CRM, Records Manager 8 Ten Steps to a Successful E-Records Implementation 1. Build supporting organizational structures 2. Build institutional awareness 3. Establish supporting policies 4. Enshrine the new policies 5. Build/Strengthen RM Foundation 6. Develop implementation strategy/plan 7. Map business processes 8. Implement RM Technology 9. Conduct the initial pilot 10. Enterprise roll-out Effort vs. Reward for End Users n Effort ¾ Declare the document ¾ Classify the document n Reward ¾ NONE! n Resistance ¾ This is my document ¾ It is too much work ¾ The Five Second Rule n “Filing a document into a records repository is an unnatural act” (R. Medina, 2000). Planning a declaration strategy nWhen do we want to declare? nWhen is the best opportunity to declare? nWhen is a user most likely to agree with a declaration? Planning a Classification Strategy nDo we have reliable metadata? nHow/when can we grab the metadata? nWhat kind of rules can we construct? nHow reliable will those rules be? nHow vulnerable are we to bad metadata? Planning an Overall Strategy nWhat is our user attitude? Should we even consider manual steps? n Process Sensitivity. What will be the impact on the work process? n Criticality. How important are these records? What Dartmouth is Doing about this… What we want to avoid… n Ad hoc implementation nHuge variety in software applications and strategies n Large maintenance burdens nMultiple small site licenses n No ability to share, combine, and grant access to repositories What we want to achieve… nA technological infrastructure to which the institution is committed nA strong support network nAbility to achieve quick deployment nAn institutional strategy! The Digital Document and Records Management Task Force nMembership nMethods nGoals nHow you can help! Digital Document Management April 5, 2005 Wess Jolley, CRM, Records Manager 9 Some Practical Advice …while you’re waiting Some practical advice nStart thinking NOW about the future nDream big! ¾ Systems that incorporate both paper and digital documents into one repository ¾ Systems that combine structured and unstructured data Some practical advice n Start building support for change ¾ Staff, reporting structure, top administration. TALK about it! ¾ Become a Digital Records Evangelist! n Begin getting the infrastructure in place ¾ Document repository servers ¾ Network security protocols n If you’re really chomping at the bit, talk to me! PDF Handouts http://www.dartmouth.edu/ ~recmgmt/Forms/Forms.html What We Have Learned... Review: Structured and Unstructured Data Document Management Technology z Overview z Features z Record Declaration z Record Classification z Implementation Issues What Dartmouth is doing about this… Some practical advice (while you’re waiting…) Questions and Discussion Graduation! ¾ Barbara L. Birdsey ¾ Deborah A. Carr ¾ Bruce R. Denis ¾ Deborah A. Doscinski ¾ Ryan A Dougher ¾ Edwin R. Leavitt ¾ Diane Preston ¾ Darsie Riccio ¾ Adam L. Vivian ¾ Lisa Wallace Congratulations to the Class of 2005!!!