Archive

Posts Tagged ‘ACM’

A clouded view of Records and Auto-Classification

When you see Lawrence Hart (@piewords), Christian Walker (@chris_p_walker) and Cheryl McKinnon (@CherylMcKinnon) involved in a debate on Records Management, you know it’s time to pay attention! 🙂

This morning, I was reading Lawrence’s blog titled “Does Records Management Give Content Management a Bad Name?”, which picks on one of the points in Cheryl’s article “It’s a Digital-First World: Five Trends Reshaping Records Management As You Know It”, with some very insightful comments added by Christian.  I started leaving a comment under Lawrence’s blog (which I will still do, pointing back to this) but there are too many points I wanted to add to the debate and it was becoming too long…

So, here is my take:

First of all, I want to move away from the myth that RM is a single requirement. Organisations look to RM tools as the digital equivalent to a Swiss Army Knife, to address multiple requirements:

  • Classification – Often, the RM repository is the only definitive Information Management taxonomy managed by the organisation. Ironically, it mostly reflects the taxonomy needed by retention management, not by the operational side of the business. Trying to design a taxonomy that serves both masters, leads to the huge granularity issues that Lawrence refers to.
  • Declaration – A conscious decision to determine what is a business record and what is not. This is where both the workflow integration and the auto-classification have a role to play, and where in an ideal world we should try to remove the onus of that decision from the hands of the end-user. More on that point later…
  • Retention management – This is the information governance side of the house. The need to preserve the records for the duration that they must legally be retained, move them to the most cost-effective storage medium based on their business value, and actively dispose of them when there is no regulatory or legal reason to retain them any longer.
  • Security & auditability – RM systems are expected to be a “safe pair of hands”. In the old world of paper records management, once you entrusted your important and valuable documents to the records department, you knew that they were safe. They would be preserved and looked after until you ask for them. Digital RM is no different: It needs to provide a safe-haven for important information, guaranteeing its integrity, security, authenticity and availability. Supported by a full audit trail that can withstand legal scrutiny.

Auto-categorisation or auto-classification, relates to both the first and the second of these requirements: Classification (using linguistic, lexical and semantical analysis to identify what type of document it is, and where it should fit into the taxonomy) and Declaration (deciding if this is a business document worthy of declaration as a record). Auto-classification is not new, it’s been available both as a standalone product  and integrated within email and records capture systems for several years. But its adoption has been slow, not for technological reasons, but because culturally both compliance and legal departments are reluctant to accept that a machine can be good enough to be allowed to make this type of decisions. And even thought numerous studies have proven that machine-based classification can be far more accurate and consistent than a room full of paralegals reading each document, it will take a while before the cultural barriers are lifted. Ironically, much of the recent resurgence and acceptance of auto-classification is coming from the legal field itself, where the “assisted review” or “predictive coding” (just a form of auto-classification to you and me) wars between eDiscovery vendors, have brought the technology to the fore, with judges finally endorsing its credibility [Magistrate Judge Peck in Moore v. Publicis Groupe & MSL Group, 287 F.R.D. 182 (S.D.N.Y.2012), approving use of predictive coding in a case involving over 3 million e-mails.].

The point that Christian Walker is making in his comments however is very important: Auto-classification can help but it is not the only, or even the primary, mechanism available for Auto-Declaration. They are not the same thing. To take the records declaration process away from the end-user, requires more than understanding the type of document and its place in a hierarchical taxonomy. It needs the business context around the document, and that comes from the process. A simple example to illustrate this would be a document with a pricing quotation. Auto-classification can identify what it is, but not if it has been sent to a client or formed part of a contract negotiation. It’s that latter contextual fact that makes it a business record. Auto-Declaration from within a line-of-business application, or a process management system is easy: You already know what the document is (whether it has been received externally, or created as part of the process), you know who it relates to (client id, case, process) and you know what stage in its lifecycle it is at (draft, approved, negotiated, signed, etc.). These give enough definitive context to be able to accurately identify and declare a record, without the need to involve the users or resort to auto-classification or any other heuristic decision. That’s assuming, of course, that there is an integration between the LoB/process and the RM system, to allow that declaration to take place automatically.

The next point I want to pick up is the issue of Cloud. I think cloud is a red herring to this conversation. Cloud should be an architecture/infrastructure and procurement/licensing decision, not a functional one. Most large ECM/RM vendors can offer similar functionality hosted on- and off-premises, and offer SaaS payment terms rather than perpetual licensing. The cloud conversation around RM however, comes to its own sticky mess where you start looking at guaranteeing location-specific storage (critical issue for a lot of European data protection and privacy regulation) and when you start looking at the integration between on-premise and off-premise systems (as in the examples of auto-declaration above). I don’t believe that auto-classification is a significant factor in the cloud decision making process.

Finally, I wanted to bring another element to this discussion. There is another RM disruptive trend that is not explicit in Cheryl’s article (but it fits under point #1) and it addresses the third RM requirement above: “In-place” Retention Management. If you extract the retention schedule management from the RM tool and architect it at a higher logical level, then retention and disposition can be orchestrated across multiple RM repositories, applications, collaboration environments and even file systems, without the need to relocate the content into a dedicated traditional RM environment. It’s early days (and probably a step too far, culturally, for most RM practitioners) but the huge volumes of currently unmanaged information are becoming a key driver for this approach. We had some interesting discussions at the IRMS conference this year (triggered partly because of IBM’s recent acquisition of StoredIQ, into their Information Lifecycle Governance portfolio) and James Lappin (@JamesLappin) covered the concept in his recent blog here: The Mechanics on Manage-In-Place Records Management Tools. Well worth a read…

So to summarise my points: RM is a composite requirement; Auto-Categorisation is useful and is starting to become legitimate. But even though it can participate, it should not be confused with Auto-Declaration of records;  “Cloud” is not a functional decision, it’s an architectural and commercial one.

Advertisements

I buy, sell, market, service… When did ECM become a Monte Carlo celeb?

P1030993sI am writing this at 40,000 feet, on a morning flight to Nice, final destination Monte-Carlo, for what promises to be a very busy 4-day event. The European leg of IBM’s Smarter Commerce Global Summit runs from 17-20 June at the Grimaldi Forum in Monaco, and in a strange twist of fate I am neither a speaker nor an attendee. I am staff!

The whole event is structured around the four commerce pillars of IBM’s Smarter Commerce cycle: Buy, Sell, Market and Service. Each pillar represents a separate logical track at the event, covering the software, services and customer stories.

Enough with the corporate promo already, I hear you say, where does Enterprise Content Management come into this? Surely, SmarterCommerce is all about retail, transactional systems, procurement, supply chain, CRM and marketing campaign tools?

Yes and no. It’s true that in the fast moving, high volume commercial transaction world, these tools share the limelight. But behind every new promotion, there is a marketing campaign review; behind every supplier and distributor channel, there is a contract negotiation; behind every financial transaction there is compliance; behind every customer complaint there is a call centre; and behind every customer loyalty scheme, there is an application form: ECM underpins every aspect of Commerce. From the first approach to a new supplier to the friendly resolution of a loyal customer’s problem, there is a trail of communication and interaction, that needs to be controlled, managed, secured and preserved. Sometimes paper-based, but mostly electronic.

ECM participates in all commerce cycles: Buy (think procurement contracts and supplier purchase orders and correspondence), Sell (invoices, catalogues, receipts, product packaging, etc.), Market (collateral review & approval, promotion compliance, market analysis, etc.).

But the Service cycle is where ECM has the strongest contribution, and its role goes much beyond providing a secure repository for archiving invoices and compliance documents: The quality, speed and efficiency of customer service, relies on understanding your customer. It relies on knowing what communication you have previously had with your customer or supplier (regardless of the channel they chose), it relies on understanding their sentiment about your products, it relies on anticipating and quickly resolving their requests and their problems.

As a long-standing ECM advocate, I have had the privilege of leading the Service track content at this year’s IBM Smarter Commerce Global Summit in Monaco. A roller-coaster two month process, during which we assembled over 250 breakout sessions for the event, covering all topics related to commerce cycles, and in particular for customer service: Advanced Case management for handling complaints and fraud investigations; Content Analytics for sentiment analysis on social media; Mobile interaction monitoring, to optimise the user’s experience; Channel-independent 360 degree view of customer interaction; Digitising patient records to minimise hospital waiting times; Paperless, on-line billing; Collaboration tools to maximise the responsiveness of support staff; and many more.

A global panel of speakers, with a common goal: putting the customer at the very centre of the commercial process and offering the best possible experience with the most efficient tools.

More comments after the event…

BPM and ECM: The war that never was!

Today I read a very well written and entertaining post from Adam Deane, titled “BPM and ECM – The War Begins”

Unfortunately it’s the “Dad’s Army” (aka the vendors…) view of the war. In the real world (Line-of-business) ECM and BPM have made peace years ago and for the last 20 years there have been very few ECM implementations without process elements, and vice-verse, very few BPM implementations that don’t involve documents, forms, images, or other forms of interaction with the knowledge workers and the customers. The only “pure-play” BPM solutions that don’t involve elements of ECM are straight-through-processing and application integration projects.

The “war” Adam is describing is a SuperMarket war:  Inevitably you need to eat both protein and fruit… Will you buy your ECM and BPM rations from IBM, Oracle, EMC, Microsoft, your local FairTrade Co-op (is that Alfresco?) Or will you support the local economy by shopping at the smaller local pure-play traders buying separately from the butcher’s, the baker’s and the greengrocer’s?

As a consumer, it’s always good to have a choice! 🙂

George

%d bloggers like this: