Why are records all over the place and what to do about the mess
He did it. Banana! What? Hmm... Idiots No wayNot
Now!
Planning, Designing, Executing, and Controlling Findability of Records
The Minions is © 2016 Universal Studios.
• My first content organization project was to rationalize a shared drive for one of the Franchises. There were about 150K files, up to 4 folder levels. One Big Mess.
• I ran reports with a home grown script to create a list of records which identified who’s record it was, created date, last date modified, last date used. The list could be used to identify the content and the actions.
• I engaged the different supervisors with the content list and had them come up with categories. I Then gave them the list to rationalize. They went thru it and categorized the records with “Keep”, “Delete” “Category” and “Document type”.
• I deleted 30K files and moved 10K over to various Libraries in SharePoint and archive 100K files This took a whole year to complete. Once installed… They didn’t use it!!!
• While there is much to learn from the content rationalization process and great tools that make it easy to perform for terabytes or data I decided to work to understand the real problem.
Doing vs. Understanding Content Rationalization I thought They thought
Banana!
No way
Not Now!
What? Banana!
What?
Banana!
No way
What?Stupid
Elisa Munoz
1. What’s the problem ?
• Key issues in the Records Management Process
• What else is going on?
2. Identifying the Root Causes
• The 8 Steps Lean Method Applied
3. Gaining Inspiration• The Waste Management Process Improvement
• Mint simple access to multiple systems of records
• The World Bank Migrations Matrix & Visual Report
4. A proposed model for User Centered Findability Management
• Plan, Design, Execute, Control• (Plan)Operating Hierarchy Management
• (Plan)Standard Records Categorization
• (Plan)System of Record Map
• (Plan)Migration Plan
• (Design)Rationalization / Migration Process
• (Design)Unified User Experience
• (Execute) MOC (Key information employees need to know)
• (Control) Cost Savings Report
6. Conclusions
7. Q&A
Why are records all over the place and what to do about the mess Elisa Munoz
What’s the problem?
CaptureUsage
& RetrievalDisposition Risk Reduction &
Cost Savings $$
Elisa MunozKey Issues found across the Records Lifecycle
Stupid
Multiple Locations
DuplicatesUnsure to Retain &
Afraid to Trash
High Storage Cost
High E-Discovery Risk/Cost
Inconsistent Categorization
Difficult to Find
Hum
Keep it all just in case
What?
Paper and digital cost duplication
What has priority?
Inconsistent Naming
Recreating records that can’t be found
Organizations RecordsRMP
ProcessStandards Systems & Tools
Change Management
Inconsistent (timing /incomplete)
Lack of a Records Handover Process
Unknown dependencies
Recent Records
Records required to operate & Maintain which are needed for the Life of the Asset
Unappropriated Records Management tools
Who’s hurting the most?
Is there even a Process?
Multiple Checklists & wrong information
Lack of Standards about Change Management, Record keeping roles, Processes, Tools & Records Classifications, Operating Hierarchy
Are there standards? What about the
systems and tools?
What else is going on?
Multiple Sources of Record
Is there appetite for change?
Not Now! There is much change going on.
Why is this a priority?
Hum
Internal & external sharing
Not sure where it goes
Not reliable
Make my own copy
Organization Silos
Records Flow unconsciousness
Unplanned Activities
Unshared visioning
Competitive against each other
“Difficult to Find”1. CLARIFY PROBLEM• Regulated business needs to provide proof of
compliance, or else execute the actions required by the regulatory agency.
• Operations needs access to records in order to operate and maintain
• E&C Contractors need past records to modify an asset• However, records cannot be found or are incomplete at
the time where they are need it.• Records then need to be produced and actions re-done
which duplicates cost. • 40% of corporate users reported they cannot find
the information they need in their intranet systems (KM World)
2 - BREAK DOWN THE PROBLEMOrganizational Goal:• Employees find 100% of the records needed when they need• Cost & Risk Reduction through implementation of RM
Standards• Current State • There is not a Findability program aimed o achieve the
organizational goals where findability and cost savings are tied
• Silo organizations trying to solve different parts of the problem
3 – SET THE TARGET• Identify the Enterprise Findability Management model &
implement it
4 – ANALIZE THE ROOT CAUSE
5 – DEVELOP COUNTERMEASURES• The solution requires identifying countermeasures at
every step of the management process and what are adequate the organizational synergies
6- IMPLEMENT COUNTER MEASURES
7 - MONITOR RESULTS
8 - STANDARIZE AND SHARE RESULTS
The 8 Steps lean Method Applied: Difficult to Find
Plan- Lack of big picture or foresight- Lack of Standard Hierarchy- Lack of Records
categorization- Lack of SOR information- Lak of understanding re:
who needs what records- Lack of Change
Management Planning- Lack of Leadership SupportDesign- Silo approach to records management. No enterprise design to solution
Execute, Monito- Same as above
While projects are being executed they do not map to the Management Process
Capture• Inconsistent Naming• Inconsistent Classification• Inconsistent or outdated
operating hierarchy• Duplicates• Multiple locations• Lack of Source of Record• Lack of information • Lack of Standards Use & Retrieve • Difficult to find• Not Reliable• Continue to duplicate
The issues in “capture” make it difficult to find and once it is made difficult the problem tends to reproduce due to the lack f findability and reliability creating a vicious cycle.
Records Lifecycle Management Cycle
WORK IN PROGRESS FOR DISCUSSION PURPOSES ONLY
Elisa Munoz
Inspired by Waste Refuse & Recycling Process Improvement
Door to Door Collection
Transportation SeparationConversion
•Windrow and Compost
•Recycle Products
•Land field
City $$
Critical Path
Collection & Separation
TransportationQualityCheck
Conversion
•Windrow & Compost
•Recycle Products
•Landfield
•Other
City $$$$$$
Who cares!
Elisa Munoz
Requires:1. Categorization of waste goods2. Standard Containers3. Communications & Education Campaign
Old Process 2012
New Process 2013
Banana!
Critical Path
Banana!
Stupid
A LEAN process would REDUCE WASTE, MAKE IT EASY & COST EFFICIENT, and would
enable MORE BUSINESSfor the city.
Key information People need to know to collect and separate (Waste Mgmt.. Context)
Where to place it
Whatgoods
How to place them
Why?
• Clear Glass
• Aluminum & Steel
• Paper & Cardboard
• Rigid Plastics (#1-7)
• Clean • Whole• Loose• No bag• Before 6a.m.• Close Lids• Lid opening facing
the street• 3 feet in between
carts
Elisa Munoz
The Blue Bin• Help the city make
money that benefits you
• Reduce your taxes
• Support your natural environment
What not to place on the Recycling Bin
Click for the Tulsa Recycling
Program
Inspired by Mint Elisa Munoz
The benefits of a unified experience are:
• Findability• Efficiency• Reliability• Adoption• Cost Savings
Inspired by the World Bank People’s Migration Matrix Elisa Munoz
Click for World People’s
Migration Data Visualization
• Collecting data to show how records are being organized might be a key communication and monitoring strategy.
• Visualization of the data is very powerful and might turn records clean up and migration into something more exciting!
A proposed Model for User Centered Findability Management
Organize / Design
Execute Projects
Control
Processes
Prioritization
Unified User Experience
Systems of Records
Project Plans
Content Rationalization& Migrations
Systems of Records
Implementations
Cost & Recourses
R&I Standard
Operating Hierarchy
Management
Content Rationalization& Migrations
Metrics
Voice of the Customer /CM
Systems of Records Metrics
Annual Audits
FindabilityMeasurement What are
the projects to make it happen?
How do we track
and Measureresults?
Change Management
Records Category
Management
Who needs to be in the
table?
What is the Path Forward?
Share Results
KS/OA/OE/E&C/FI/lM
KS/OA/E&C/OE/RIM
KS/RIM/OA/FA
Records Categorization Stnd.
Operating Hierarchy Standardization
Systems of Record Maps
User Roles & Personas
Identify Findability & Cost Savings
Opportunities
Future State Visioning
Change Management
Stakeholder Planning
Leadership buy in
Change Management
Operating Hierarchy
Systems of Records
How the “Mess” could be organized?
Plan & Identify
KS/RIM/OA/FA
KS/RIM/OA/FA
KS/RIM/OA/FA
Elisa Munoz
A proposed Model for User Centered Findability Management
Examples
Elisa Munoz
Plan & Identify : Operating Hierarchy Standardization Elisa Munoz
• The Operating Hierarchy is the organizing structure for how the business operates its assets.
• The organizing hierarchy standard can only be figured our if the organizations collaborate in a common information architecture.
Operating Hierarchy
Inconsistent
Multiple Loose Standards
Lack of System of Record
Operating Area
Operating Group
Franchise
GGS
Facility PipelineFacility Type Pipeline Type
StatusStatus
Equipment Appurtenances Segments
KS GISOPS MAEquip. Type
Equip. class
Oil Industry Example
Organizations that helped identify the standard hierarchy
Plan & Identify: Records Category Standards Elisa Munoz
RIM KS IMBUSINESS
Records / Data Categorization
Process
Record Category
Record Subcategory
Record Type
Data Types
Document Type
Retention Schedule
Process Owner
User Roles
Inconsistent
Multiple Loose Standards
Lack of System of Record
Organizations that can help identify a complete Records Categorization
• The Operating Hierarchy is the organizing structure for how the business operates its assets.
• The Organizing Hierarchy standard can only be figured our if the organizations collaborate in a common information architecture.
© 2014 The Williams Companies, Inc. All rights reserved.15
A Record
Operating Area
Franchise
Facility
Pipeline
Record Category
Record Subcategory
Document Type
Retention
Operating
Hierarchy
Classifications
Standard
Records
Categorization
Plan & Identify: Records Categorization Standards
• If we did a good job identifying the
Standard Operating Hierarchy and the
Standards Records Categories then, we
should be able to categorize any data or
document in a consistent manner across
systems of record.
• We will have poor data in the systems of
record until we implement Operating
Hierarchy & a Standards Records
Categorization
Elisa
Munoz
Record Category A Records Map(Future State Recommendation)
SUBCATEGORY A
SUBCATEGORY BDocument Type A
SUBCATEGORY CDocument Type BDocument Type C
SUBCATEGORY DData Entity A
SUBCATEGORY FData Entity C
SYSTEM A
LIBRARY B
LIBRARY C
SYSTEM B
SYSTEM E
SUBCATEGORY EData Entity B
System of Record
Plan and Identify: System of Record Map Elisa Munoz
Plan and Identify: Future State & Migration Mapping
SUBCATEGORY A
SUBCATEGORY C
SUBCATEGORY D
SUBCATEGORY E
SUBCATEGORY F
Library A
Library CLiveLink
Shared Drives
BuzzsawJob BooksJob Boxes
Shared DrivesSharePoint
System BSharePoint Sites
Shared DrivesFile Cabinets
My Career ManagerHard Copies
Record Category A Migration Planning(Future State Recommendation)
System of Record
Sources or tools to be eliminated
SYSTEM A
LIBRARY C
SYSTEM B
SYSTEM E
1st -2nd Quarter 3rd -4th Quarter
Cost Savings $$
Elisa Munoz
Design: Findability Management – Standard
Records Management StandardComponents
PeopleCross Functional Employee Knowledge of what constitutes a Record on specific Category
Operating Areas Functional Areas Roles and Responsibilities
ProcessCapture, Organize, Store and Dispose * Use Standards Operating Hierarchy & Records Categorization
Follow the Record Standards & Procedures
TechnologyApproved
Technology OnlySYSTEM A LIBRARY B & C SYSTEM C SYSTEM D
DataTraceable, Verifiable, Complete
1 or more years RIM Retention
Schedule
Required to Operate Safely &
Reliably
Required to meet regulatory compliance,
audit & assurance Process
OtherDigital
Follow RIM Retention Procedures & Schedules
Recommended Components for a Findability Management Standard
The Enterprise Business Process / Value Stream
Change Management
Unified User experience Intranet SharePoint Portals Collaboration Administration Consumption
Communications TrainingUser Experience/Findability
MeasurementHistorical vs
Future
Elisa Munoz
19 Presentation name (edit footer in slide master pages) | 1/1/14
Identify Target Content
Cleanup ROT Analysis of Content
Apply Standards Metadata
Migrate Validation
Technology enabled reporting using Analysis/Migration Tool
CommunicateTo Personnel
KS/ RIM / IM Role
Business Resource
Design: Content rationalization Process
• A content rationalization tool is key for enterprise clean up and migration efforts• The Business needs to be available to perform the analysis• Tool Investment makes sense when there is Systems of Records Map and Leadership buy.• Isolated clean ups only help temporarily• RIM/KS/IM need to work together to track metrics and automate system reports
Banana!
Design: A Unified/ Simplified Use Experience to help users access the systems of records at adequate level.
• A unified experience aims to make it easy for the users to access the record categories in their system of record
• Establishing information levels in portals helps users
• A shared resource might need to access all records in an operating area,but a Field Technician only needs facility information
• Do not mix information levels
• Create an iconography
Execution: Change Management / Key information Employees need to know
Where to Store?
WhatRecords
How to Store them
Why?
• Subcategory A
• Subcategory B
• Subcategory C
• Subcategory D
• Enforced by PO
• By Assigned Individual
• Follow Checklist
• During/end of process
• Per Procedure
• Verify completion
Elisa Munoz
The System Of Record
• Helping the company save money benefits you!
• Makes it easy to find & reduces the time anybody spends looking for this record.
• Reduces the cost of recreating records that cant be found.
• Deleting records that are not needed eliminates risk and e-discovery cost
Banana!
Which records are Not included.
F, G, Z & D
How to Access?
The Unified Experience
Recordsmoving
Rationalized 2MM/ 3.0TBDeleted 200K/170GBArchived /22GBMigrated 200K
CS recurring savings $200CA E-Discovery= $2MM
Subcategory A
Subcategory A
Subcategory A
Subcategory A
Subcategory D
SYSTEM A
SYSTEM B
SYSTEM D
Content Rationalization and Migration Metrics
• The content rationalization process is what we do when we go through specific areas of the organization to migrate, clean up and clear the mess. It can be more manual or supported with tools like Active Navigation.
• However, cleaning up will not solve the problem for why records are all over the place and people and organization continue to create a mess
• The reasons why corporate records become a mess are multiple. Many issues happen in the records lifecycle, but other can be found when analyzing the management process.
• Perhaps, the mess can be fixed if company managed “Findability” as a common goal across organizations and if we are able to communicate to employees what records go where, how they should be stored, and why.
• Leadership buy and Change Management are key pieces in the Planning step of the management process.
• Multiple organizations have a part in all steps of the Findability Management Proposed Process
Conclusions Elisa Munoz
What?
Why are records all over the place and what to do about the mess
Elisa M. [email protected]
Planning, Designing, Executing, and Controlling Findability of Records
Questions?
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