closing capability gaps in information & records management

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Challenges in Closing Information & Records Management Capability Gaps Dial-in (712) 432-1001 Passcode: 414181606#

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Welcome and Introductions Dave Sanchez of Concept Searching Juan Celaya of COMPU-DATA Case Study Questions and Wrap Up

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Company founded in 2002 Product launched in 2003 Focus on management of structured and unstructured information Privately held and profitable – no funding Growth rate of 35% in 2008 and in excess of 100% for 2009 Founders and management team with company since inception Technology Automatic concept identification, content tagging, auto-classification, taxonomy management Only statistical vendor that can extract conceptual metadata 2009 and 2010 ‘100 Companies that Matter in KM’ (KM World Magazine) KMWorld ‘Trend Setting Product’ of 2009 Locations: US, UK, & South Africa Client base: Fortune 500/1000 organizations Managed Partner under Microsoft global ISV Program - “go to partner” for Microsoft for auto-classification and taxonomy management Microsoft Enterprise Search ISV , FAST Partner Concept Searching • Don Miller • (408) 828-3400 • donm@conceptsearching.com David Sanchez * davids@conceptsearching.com * 1 (713) 893-1743

Information & Records Management Capability Gaps that Increase Costs : 

Information & Records Management Capability Gaps that Increase Costs David Sanchez * davids@conceptsearching.com * 1 (713) 893-1743 Lack of Information Transparency: e-Discovery and FOIA Government and Private Sector directives to tag content for retrieval Untagged Data Assets = Untapped Resources Time Gap between Information Requests and Discovery is Directly Proportional to Volume of Data Assets Non-Compliance with Records Management Policies Sarbanes-Oxley and Government RM Retention Schedules Record Declaration process is manual Data Stored in Wrong Location & Information not Preserved in Accordance with Regulatory Guidelines Increasing Volume of Unplanned Data Exposure Events Privacy Act Program (PII), Protected Health Information (PHI), HIPAA, Payment Card Industry (PCI), etc… Organizational Confidential and Sensitive Information Problems

Data Privacy and Security Exposure Events : 

Data Privacy and Security Exposure Events By Sector Source: Open Security Foundation David Sanchez * davids@conceptsearching.com * 1 (713) 893-1743

Data Privacy and Security Exposure Events : 

Data Privacy and Security Exposure Events By Type Source: Open Security Foundation David Sanchez * davids@conceptsearching.com * 1 (713) 893-1743

Data Privacy and Security Exposure Events : 

Data Privacy and Security Exposure Events Government Source: Open Security Foundation David Sanchez * davids@conceptsearching.com * 1 (713) 893-1743

Why is this Difficult? : 

Why is this Difficult? Physical or Cognitive Properties of an Individual or Human Social Behavior which Influence Functioning of Technological Systems Metadata Tagging Records Retention Code Access Rights Document Library 1 Document Library 2 Document Library 3 Document Library 4 Server Content with Appropriate Metadata, Retention Codes, and Rights Management Templates Human Factors David Sanchez * davids@conceptsearching.com * 1 (713) 893-1743

Why is this Difficult? : 

Physical or Cognitive Properties of an Individual or Human Social Behavior which Influence Functioning of Technological Systems Limiting Factor = Human Behavior Metadata Tagging Records Retention Code Access Rights Document Library 1 Document Library 2 Document Library 3 Document Library 4 Server Content with Appropriate Metadata, Retention Codes, and Rights Management Templates Why is this Difficult? Human Factors David Sanchez * davids@conceptsearching.com * 1 (713) 893-1743

How do Organization’s Typically Address These Capability Gaps : 

How do Organization’s Typically Address These Capability Gaps Customize system interface to force manual application of metadata Pros: data assets now have metadata Cons: high customization costs, increase in end-user labor costs, less end-user productivity, non-standardized application of metadata across enterprise Hire temporary staff to add metadata to data assets Pros: data assets now have metadata Cons: temporary staff = $$$$$ and results in non-standardized tagging Acknowledge that it is a problem and do nothing Alternatives David Sanchez * davids@conceptsearching.com * 1 (713) 893-1743

Concept Searching: Addressing the Technology Gap not the Behavior : 

Solution: conceptClassifier for SharePoint Automatic Content Type Updating Concept Classifier for SharePoint Appropriate Storage & Preservation Increase Information Retrieval Precision for e-Discovery Semantic Metadata Tagging Concept Searching: Addressing the Technology Gap not the Behavior David Sanchez * davids@conceptsearching.com * 1 (713) 893-1743

Taxonomy Management & Automatic Metadata Tagging in SharePoint : 

Taxonomy Management & Automatic Metadata Tagging in SharePoint e-Discovery & FOIA (moss.conceptsearching.com) Auto-classification to multiple vocabularies Faceted Searching Taxonomy Browsing Records Management Aligning Vocabulary to Records Retention Codes Record Declaration Process – tagging documents with retention codes Information Management – Data Privacy & Security Compliance PII, PHI, and PCI tagging Sensitive content (FOUO, Secret, Internal Use Only – contracts, labor rates, etc…) Live Demonstration David Sanchez * davids@conceptsearching.com * 1 (713) 893-1743

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We Make Metadata Work For You Automatic Conceptual Metadata Generation Automated Classification Taxonomy Development & Management Proven to reduce taxonomy development by 80% Microsoft Integration Runs natively in SharePoint 2007 and SharePoint 2010, Microsoft Office Applications, SharePoint Search and FAST, Windows Server 2008 R2 FCI Fully integrated with SharePoint Content Types Content Type Updater Automatically changes the Content Type based on presence of organizationally defined metadata found within the document Identification of confidential/privacy data Ability to identify records based on the records retention schedule and route to the records center Technology Downloadable in 30 minutes – no programming required Fully SOA compliant, delivered as Web Parts, based on open standards Highly scalable David Sanchez * davids@conceptsearching.com * 1 (713) 893-1743

Concept Classifier for SharePoint : 

Concept Classifier for SharePoint David Sanchez * davids@conceptsearching.com * 1 (713) 893-1743

Closing Information & Records Management Capability Gaps : 

Closing Information & Records Management Capability Gaps Uses Taxonomy Manager to create and manage organizational taxonomies, ontologies, and metadata environment; Employs conceptClassifier for SharePoint as an Automated Metadata Population Service; Applies content types base on metadata; Uses content types derived from metadata to drive individual and group access to data assets using inherent SharePoint Security; Uses content types derived from metadata to drive migration of data assets to proper document libraries where RMS templates are automatically applied to restrict data asset usage. Leveraging Metadata as an Enabling Asset David Sanchez * davids@conceptsearching.com * 1 (713) 893-1743

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Juan J. Celaya President/CEOSenior Business & IT Consultant jcelaya@cdlac.com Office: 281.292.1333 www.cdlac.com blog.cdlac.com

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Company Overview Who are we? CDI is a successful information management integrator based in Spring, Texas (North of Houston) with offices in Miami, FL and Stafford, VA. We have been in business for over 22 years with 18 of those focused in Content and Data Integration (CADI™), enterprise search, classification, capture and data management. We are a small business and designated as a certified Texas HUB contractor. What do we do? Integration, software development and reseller of best-of-breed products for ECM solutions focused in Search, Automatic Classification, Capture and Business Automation (Workflows). We work with Government and private industry customers in delivering successful departmental and enterprise solutions. Who do we serve? Medium to large organizations in government, health care, manufacturing and oil industries.

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During this Presentation we will: For the case study: Summarize the issues facing U.S. Army researchers and records managers. Describe our approach in resolving those issues within the constraints of a DoD environment and discuss the software tools that comprise the solutions. Discuss the challenges in identifying and managing millions of documents. Review how automatic classification and meta data tagging enhances search in this environment. Address business outcomes and benefits in automating processes. For conceptClassifier: Describe how the concept Classifier is being applied as part of the JSRRC project. Present Concept Searching’s technologies also working outside of the SharePoint® environment. Presentation Overview

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Army Records Management Provide oversight and program management for the Army's Records Management Program. Establish programs for records collection and preservation from garrison, training, contingency, and war time operations. Operate and sustain the Army Electronic Archive and provides the means to identify, collect, index and retrieve important Army records, in hard copy and electronic media. Management Information Control (AR 335-15) U.S. Army Challenges Records Management Records Schedule Hundreds of Record Series with around 4,000 individual record instructions. End users faced with myriad choices when categorizing records. Results in improper classification. Neglect to use schedule at all. Affects retention durations. Reduces impetus to retain record materials. Reduced consistency in tagging records to schedules. New rules and procedural training. Hundreds of locations and data environments.

U.S. Army ChallengesJSRRC : 

U.S. Army ChallengesJSRRC Joint Service Records Research Center (JSRRC) Validates veteran’s war-related claims for the Veterans Administration. Primarily on Post-Traumatic Stress Disorder (PTSD), but also Agent Orange exposure and others. Reviews cases for ALL services from WWII to present day. Required research, among others, of DoD field documents that relate to the specific individual and event. Literally tens-of-millions of documents. No categorization or indexing of documents. Plethora of data sources. Today – millions of electronic files in multiple formats are being generated daily. Usefulness of data – Not determined. Manual identification – Not feasible. For JSRRC – Finding a needle in the hay stack! Goal – Standardize and consolidate field & internally generated data providing a common research interface.

CDI’s Solution Philosophy : 

CDI’s Solution Philosophy For JSRRC Develop ability to integrate documents and data from myriad disparate sources utilizing CADI™ framework. Utilize conceptClassifier to classify Army documents into discrete, searchable segments. Leverage the classification implementation to enhance search allowing for better results for the end users. Implement the infrastructure that can be leveraged to move forward with Records Management, FOIA and Declassification organizations at RMDA. For Records Management Combination of Army process changes and implementation of technology tools. Streamline Records into fewer functional series. End user has minimal or no role in categorizing record. Utilize Army’s ARIMS & SharePoint to attribute initial metadata. Utilize conceptClassifier & conceptTaxonomyManager to correctly identify appropriate disposition based on content and metadata.

Primary Solution Components : 

Primary Solution Components Base Infrastructure: conceptClassifier conceptTaxonomyManager conceptSearch Application Infrastructure: DigitalAsset Finder™ Professional Services for integration and implementation of solution.

JSRRC Solution : 

JSRRC Solution Consolidate existing data sources: Access databases Applications Network shared drives

JSRRC Solution : 

JSRRC Solution Infrastructure built to support initial two environments: Environment #1 Windows based 3-server group. DigitalAsset Finder™, conceptSearch with Distributed Query Server, conceptClassifier & conceptTaxonomyManager Initial configuration for support of 200 terabytes of index-able data. Microsoft Office & other text based files. PDFs and searchable PDFs. Image files (Tiff, JPG and others). Environment #2 Windows based server DigitalAsset Finder™, conceptSearch, conceptClassifier & conceptTaxonomyManager. Currently supporting over 5 million records and growing Microsoft Office & other text based files. PDFs and searchable PDFs. Image files (Tiff, JPG and others). Structured data with no file reference.

JSRRC Solution : 

JSRRC Solution Creation of taxonomies used to: Enhance Search Categorize or Identify documents Some of the taxonomies created include: Unit Names Dates Document Types (Names & Content) Locations Results include: Consolidation of information into distinct groups allowing a focused approach to the required research. Controlled vocabulary that can be applied to the data sets as requirements evolve. Access to information that previously was impossible to reach due to the resource requirements needed to collate the raw data. Collaboration among researchers increase as they share information by contributing their knowledge to existing data for future reference and retrieval.

Data Process Pipeline : 

Data Process Pipeline File Filter Process File type File size Folder name Archive content processing. File Synchronizer PDF Generation conceptClassifier conceptSearch Classification db Search Indexes Classification Metadata Assigned Search Indexes Independent of the data location

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Taxonomies are no longer a third-party add-on Integral feature of SharePoint 2010 via the Term Store conceptClassifier fully supports SharePoint 2010 Term Store as the primary location for taxonomy definitions with no need to Import/Export Changes to the taxonomy structure using SharePoint tools will be immediately visible in conceptClassifier and vice versa Ability to automatically extract all meaningful concepts from content and apply all semantic (conceptual) metadata automatically Metadata provides capability for hierarchical navigation via the SharePoint 2010 Refinement Panel Automates the management, validation, and testing of classification processes from conceptClassifier’s Taxonomy Manager Facilitates the ongoing taxonomy and Term Set maintenance through easy-to-use taxonomy features designed for subject matter experts David Sanchez * davids@conceptsearching.com * 1 (713) 893-1743