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!!!