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. Munozmunoz.elisa@gmail.com

Planning, Designing, Executing, and Controlling Findability of Records

Questions?