Efficient Document Management System for TNA Staff

1. User personas – a way of discussing how people might use new services Document Management System personas Version 4 5 October 2016

2. The profiles or ‘personas’ reflect TNA colleagues’ use of information and document management systems. They are based on personas developed by IT Operations for other applications. • By developing these personas, we have identified a number of high level requirements for a document management system. Each persona reflects at least one of these requirements. Some requirements, such as ease of use, may be shared by many personas but are not highlighted every time. • Additionally three characteristics of use have been identified. The document management system should be able to support these. Requirements Retention and export (“record”) Integration with other systems Confidentiality Integrity Availability and sharing Speed/ease of use Email management Contacts management Search and find Characteristics of use Frequency of use Structured working Flexible working (remote working)

3. Ellen, the credit manager : Best case scenario: I can painlessly generate my figures in Excel and share them with budget holders. I have confidence in the data I am processing. Ellen has worked at TNA for a number of years and is a key member of the Finance team. Mostly uses email for communication. Needsto look at documents and several of TNA’s finance systems to resolve queries or problems. Intergrity and reliability is important to the team as they often work with large complicated documents like linked spreadsheets. Almost always works from the office so just needs access to a desk computer. Requirements • Data integrity, to trust information • Requires integration with Finance system via Excel • Generally needs confidentiality but has to share with certain departmental heads Use • Frequent use • Structured, scheduled use Worst case scenario: The figures in one of my spreadsheets don’t look right, but I don’t know what has caused this. I can’t find out what has happened to correct the problem so I’m going to have to start all over again.

4. Best case scenario: The flexible working set up makes working out of the office so easy. When at external meetings, I am always able to access everything I need and contact anyone I need. This helps the reputation of the organisation. Lena, the income generator: • Lena heads the Commercial Delivery department and is responsible for ensuring that The National Archives continues to grow its income streams. In the current economic climate, there is a stronger dependency on the department and directorate as a whole to deliver its existing projects effectively and further expand TNA’s commercial arm. • She often works out of the office when meeting with clients and so is reliant on her blackberry and laptop. Both are fundamentally flawed as she cannot open attachments on the Blackberry and even if she can use a secure wifi, it is slow and cumbersome to connect the laptop,. In the past she has found it embarrassing when meeting potential clients unprepared and unable to view contracts and large image files as a result of the security restrictions. • She have oversight of teams are responsible for useful customer data and she is keen that they make more use of it for marketing and customer research to inform their products and services. She knows that they need to be careful to protect the personal data of our customers, as any breach of the Data Protection Act would cause serious reputational damage. • Requirements • Needs quick access to email and documents when working out of the office. • Use • Flexible, remote working Worst case scenario: It’s embarrassing when I meet external contacts. Things that I should be able to do such as opening attachments or making calls I can’t do. It doesn’t look good for TNA when I’m trying to generate us income! We look backwards.

5. Best case scenario: The new mobile options mean that my team can access the network from site offisite and out of hours. It’s so easy to use, we don’t have to waste time sending staff and contractors on training courses and the service partners can link into to see shared documents through their own systems, but TNA still retains control of them. Allan the estates manager: Allan has worked in the Estates team for 3 years. Allan is responsible for developing and maintain the building and facilities. He and his team spend much of the day working at various locations around the site and he also travels externally for meetings with his counterparts in other organisations . The current set-up feels too slow and complicated. He works mainly in his mailbox and wants to keep emails to track what have been agreed but finds it difficult to find the time to save emails in a separate system. He often sends documents as attachments instead of links as the service partners find it extra work to log in to • the TNA system instead of their company’s system. This limits his team’s effectiveness, both in the office environment, and behind the scenes. The service partners should only have limited access to certain files of documentation like Estates statutory records, and not the records of the whole organisation so he hopes a new system could offer alternatives. • Allan feels that he is not enabled to do his job as well as he might. Key concerns are that he couldn’t access key building management information out of hours or in the event of an emergency from offsite, which could affect a business recovery operation or people’s safety. • He would ideally like the new system to be easy and intuitive to use, he has a high turnover of contractors and services partners whose primary focus is not paperwork and may not be experienced in using computers. Additionally, he notes that some contractors are put off from using TNA systems even when onsite, as this requires being separately logged in. • Requirements • Ease of use • Confidentiality of information • Retention of statutory records • Use • Structured, consistent working for statutory records Worst case scenario: The access and security controls are all wrong. Contractors may have been able to access confidential tender documents but I can’t access important documents I need.

6. John the records specialist: Best case scenario: I can work from anywhere in the organisation easily continue where I left off. John is a record specialist working in the ‘MEMREX’ team within ARK. He has worked at The National Archives for fifteen years and has seen many changes particularly to the tools he uses to carry out his everyday work. He has a deep interest in his subject and knows the related records in the archives inside out. John needs quick access to his emails and documents to deal with research enquiries and contact colleagues. He is adept at advanced searching, being familiar with searching archive catalogues. He uses a number of different PCs throughout the day, whether at his desk, in the remote contact centre or the reading rooms. He creates public presentations and sometimes completes these at home. John receives some quite personal information from members of the public conducting family research, and so needs to keep this private. He writes guides and conducts research but prefers work in progress not to be available to others in case they misinterpret a draft as a finished document. Requirements • Confidentiality Use • Quite flexible around the office, and occasional home use. Worst case scenario: The system does not give me enough feeling of control over the information I create, so I prefer to just use my Documents folder on my computer.

7. Sarah the flexible worker: Best case scenario: There’s nothing I can’t do when I’m out that I can’t do in the office.I can communicate with people in other organisations as easily as my TNA colleagues. • Sarah’s role involves a fair amount of travel and she regularly works out of the office, visiting other government departments across the UK, and sometimes from home. • Sarah is reliant upon remote mobile services access. She has a laptop and Blackberry that she can use to access mobile services when away from the office but currently gets frustrated by the speed and reliability of the service. This is particularly the case when it comes to large documents that don’t always save correctly.IT helpdesk are unable to log in to her laptop remotely, which restricts their ability to understand issues that she isn’t very good at explaining over the phone. • Sarah wants to be able to open links to documents that colleagues have sent her by email, while offsite. • Sarah frequently needs to be able to send and receive documents from other government departments but the only practical way of doing so currently is via email. This is sometimes convenient, but sometimes mail is blocked, and it fills up her mailbox quickly. • She wants to be able to file important emails on the move straight after reading them. To have to wait by the time she returns to the office means they pile up and she has to reread them to remember which to file. Sarah uses the CRM, but this means some email has to be saved twice: in the document management system as a long term record, but also in the CRM as evidence of activity. • Requirements • Able to share and receive documents from outside organisations. • Contacts management • Use • Flexible working; is comparatively rarely in the office. Worst case scenario: It’s so restrictive and slow when I’m working away from the office. I basically have to print everything in advance. My emails really mount up as I have to wait until I’m back to the office to action them.

8. Margaret, the director: • Best case scenario: • I can find the information I need and trust that it is up to date. The system is fast and easy and I rarely need to ask for help. Margaret is a director at TNA. She has a PA to support her in administrative tasks, such as filing email. She works almost exclusively out of her email system, and sends and receives a high volume each day. Margaret needs to have good oversight of the work of her departments. She has many demands on her time, so she wants very fast and easy access to appropriate areas and, and to use shortcuts to see the areas of interest in departmental files. She makes use of the links that staff send in emails, but too often is frustrated if they have forgotten to give me read or edit access. She wishes to be able to open these links on her mobile device too, to access them when out of the office or in meetings. She sometimes needs to search for information but finds search slow, and produces a lot of irrelevant results, such as documents much older than ones she is interested in. Given TNA’s role as advisors on Information Management to government, any mistakes in managing their own information could cause serious reputational damage. Requirements • Email management • Generally needs confidentiality but needs to share with certain other staff members or people in other government departments. • Very fast access to information. • Find and saerch information Use • Flexible working, often out of the office. Worst case scenario: My PA spends half his time filing my email, yet it is still all over the place, and I can’t find what I’m looking for even when I know it’s there. The filing of my departments is too complicated and varied so I don’t find important documents that I need.

9. David the Knowledge & Information Manager: Best case scenario: We can assure the SIRO that we have control of our information really use it and we know that we are compliant. Best of all, we have been able to spend more time using the information to develop our systems and processes David is responsible for corporate information management for TNA. This includes the systems administrator role for the documents management system (c.600 users) and a registry of thousands of paper files created before they started using the documents management system. He manages the structure and content, provides guidance, and implements information governance and reviews records for transfer under the Public Records Act. To do this effectively he needs the capability to manage disposal to ensure we keep the records for long enough to support business decisions; select important records for transfer from the archives; whilst not keeping the ephemeral. • It’s the kind of job where you can be asked anything at anytime and he needs good search tools to find the answers. David needs a lot of information from the system like Audit trails and reporting functions that allow him to have oversight of the system and identify issues before they become problems. The current system is good at providing most of the metadata and these records management functions, but it can be a timeconsuming processs to draw out reporting data to exploit it effectively. • The current system has lots of funtionality which he is used to, but knows it is not the easiest system for new or infrequent users. If the new system was more intuitive it would be easier for users, meaning that they would need less training, guidance and support and be more likley to use it. • Requirements • Search and reporting, to get data about overall use for monitoring compliance • Ability to carry out actions in bulk with diminishing marginal effort • Apply retention, and export/delete accordingly. • Use • Very frequent use, and specific administrator activities Worst case scenario: It’s neither easy for staff to use, nor can it enable us to manage the records. We need to constantly monitor the system to ensure it is being used properly. This poor system may hurt TNA’s reputation; we are supposed to lead in this area.

10. Max the Document Services Operator: Best case scenario: If I receive a link to some guidance I need to read or my performance review form , I can just click on it and do it . I don’t need to do anything special, you wouldn’t know it was part of some big corporate system. Max works in one of the respositories. He and his collegues are responsible for getting the Archives documents safely to the members of the public that have requested them to safely return to their correct location. He receives the printed request tickets and collects the documents from the many miles of archive shelving. To speed this up he uses a trike which enables him to carry a lot more. Max uses computer systems for logging returned documents, but rarely needs to create or edit documents in the corporate filing system. The main example is performance reviews, which are conducted twice a year. The rota system and the nature of the job means that computer access is only occasional; sometimes during breaks. Requirements • A highly intuitive and easy to use system, with a minimum training overhead Use • Very infrequent use • Quite structured and consistent use Worst case scenario: It just looks so complicated and takes so long to use. I don’t know where to start … so I don’t.