The Building Blocks of a
Successful ERM Program –
Round II
Earl C. Rich, CRM
Diana Burdick, PMP
Agenda
• Last Time - How To (theoretical)
–
–
–
–
Records Inventory
Taxonomy
Knowledge Audit
Content Architecture
• This Time - How Did We (practical)
– Document Management - Collab
– Records Management - VRD
– Scanning & Processing - ES & OCC
ECM
Metadata /
Content Architecture
Knowledge Audit
Taxonomy
Records Inventory
Structured
Data
Unstructured
Data
How Did We Build It?
Implementation
• Collaboration
– EDMS (active docs)
– Content Architecture
– Taxonomy
• Vignette Records and Documents (VRD)
–
–
–
–
ERMS (static docs)
Content Architecture
Taxonomy
Imbedded retention schedule
Collaboration - EDMS
• Two main types of Content architecture
– Project
– Non-project
• Custom apps and workflows via simple configuration
• Consistent metadata fields (taxonomy)
Collaboration - EDMS
• Content Architecture (Project)
– Interviews with District project management staff
– Reviewed shared network drives, personal computer
storage schemas and paper filing schemes
– Review of classifications used in previous team rooms
– Review of the records inventory audit
• The results showed that most staff inherently used similar
filing schemes, but with slightly different terminology
Content Architecture - Project
Finance
POs
Invoices
Budget
Contracts and
Agreements
RFP/RFQ
SOWs
Contract
Correspondence
Department
Projects
Project # and
Name
Project Documents
Memos
Letters
e-mail
Presentations
Photographs
Studies
Meeting Agendas,
Minutes and Notes
Governing and Basin
Board Documents
Recaps
Routine Reports
Action Items
Project Management
Status Reports
Schedule
Issues
Collaboration – Project Architecture
Collaboration – Project Architecture
Collaboration –Project Architecture
Projects
Collaboration – Project Architecture
Project # and
Name
Collaboration – Project Architecture
Finance
POs
Invoices
Budget
Contracts and
Agreements
RFP/RFQ
SOWs
Contract
Correspondence
Project Documents
Memos
Letters
e-mail
Presentations
Photographs
Studies
Meeting Agendas,
Minutes and Notes
Governing and
Basin Board
Documents
Recaps
Routine Reports
Action Items
Project
Management
Status Reports
Schedule
Issues
Collaboration – View as Web Folder
Collaboration - EDMS
• Content Architecture (Non-Project)
– Interviews with District administrative and management
staff
– Reviewed shared network drives, personal computer
storage schemas and paper filing schemes
– Review of classifications used in previous team rooms
– Review of the records inventory audit
• The results showed that most staff inherently used similar
filing schemes, but with slightly different terminology
Content Architecture
Non-Project
Correspondence
Accomplishments and Goals
Contracts and Agreements
Staff
Finance
Department
Admin
Forms
Library
Governing and Basin Board
Documents
Meeting Agendas, Minutes and
Notes
Photos
Presentations
Collaboration –Non-Project Architecture
Collaboration –Non-Project Architecture
Collaboration –Non-Project Architecture
Collaboration –Non-Project Architecture
Collaboration - Security
• By default, all users that exist within AD have read
access to all areas in Collaboration
• Documents can be shared and linked across multiple
areas without replication of the document
• Security can be as tight as needed, down to document
level
– All HR records are managed within Collaboration
• Collaboration can be accessed externally and with nonDistrict staff if needed
Content Architecture - Security
ECM Staff
Project Manager
Finance
POs
Invoices
Budget
Contracts and
Agreements
RFP/RFQ
SOWs
Contract
Correspondence
Department
Projects
Project # and
Name
Project Documents
Memos
Letters
e-mail
Presentations
Photographs
Studies
Meeting Agendas,
Minutes and Notes
Governing and Basin
Board Documents
Recaps
Routine Reports
Action Items
Project Management
Status Reports
Schedule
Issues
Correspondence
Content Architecture - Security
Accomplishments and Goals
ECM Staff
Admin Staff
Contracts and Agreements
Staff
Finance
Department
Admin
Forms
Library
Governing and Basin Board
Documents
Meeting Agendas, Minutes and
Notes
Photos
Presentations
Collaboration - EDMS
• Taxonomy
– Provides standardized metadata for similar information
– Assists in searching (Garbage In = Garbage Out)
– Provides different methods to locate and utilize
information (document type, subject, geographical
location, etc…)
– Catalogs the multitude of different terms used to
describe the same item (referential thesauri)
Collaboration–Taxonomy:Departments
Collaboration–Taxonomy:Record Types
Collaboration–Taxonomy:Vendors
Collaboration–Taxonomy Admin
Content Architecture/Taxonomy
Statistics - Collaboration
• 2.5 million documents in Collaboration (late 2009)
– Current average of 2,000 documents per week
– 1.11 TB of space
– Largest uploaded file is 1.8GB
• Return time from searches:
– Simple search: instantaneous
– Metadata search (2,000 requested): 6 seconds
– Full text search (2,000 requested): 1.5 minutes
• Number of users:
– 1812 (AD)
– Average of 100 users per day
VRD - Electronic Records Management
• FilePlan
– Folder structure to support management of records
– Assists in searching
– SWFWMD utilizes a combination of Organizational and
Functional classifications
• The results from the development of the
Collaboration content architecture and records
inventory
FilePlan
FilePlan
Taxonomy
Scanning Integration
Integration of Collaboration and VRD
• The use of a standardized content architecture and
metadata allows for mapping in VRD’s file plan
• Users can declare documents as records in
Collaboration which map directly to VRD’s file plan
Collaboration – Declare a Record
Collaboration – Record Link
VRD – Record Details
Collaboration Physical Records
Statistics - VRD
• 2.87 million documents in VRD (since 2012)
– Current average of 8,000 documents per quarter
– 4.52 TB of space
– Largest uploaded file is 1.3GB
• Return time from searches:
– 622 Documents: 6 seconds
• Number of users:
–
–
–
–
Records Management: 2
Non-Records Management Editor: 1
Viewer: 1
System Accounts: 15
Challenges
• Change
– Users LOVE change (sarcasm)
– Users revert to known processes such as email, PC drives
• Recycle Bin
– We had to develop a mechanism to “undelete” documents without
performing a full database restore
• Access control
– Users LOVE not having full control (sarcasm)
– Records Management secretly deletes all records
– Implement at the highest level possible to control architecture
• Competing Applications
– IT LOVES SharePoint (not sarcasm)
– Why use ECM when other applications allow document storage?
ECM Definitions
• Structured Data – Information residing within managed databases
• Unstructured Data – Information stored within unmanaged
environments
• Records Inventory – Audit of current information maintained or received
• Taxonomy – Functional grouping of similar pieces of information into
logical categories
• Knowledge Audit – Examination of current methods used to track or
manage unstructured electronic data
• Content Architecture – Standardized, generic filing structure for mass
distribution that can be customized to meet business needs
• ECM – A holistic approach to the management of ALL data (paper,
micrographic, structured and unstructured electronic data)