eMail and Records Management with IBM Classification Module

1. eMail and Records Management with IBM Classification Module Jon Dellaria, IBM Certified ECM Information Technology Specialist

2. What is Classification? Definition: Class.i.fic.a.tion [klas-uh-fi-key-shuhn] – n – the act of assigning an element (a document for example) to a category.

3. IBM – Leadership in Text Analysis and Classification • IBM has a 50+ year history in text analysis and discovery • As early as 1957, IBM published pioneer research done on text classification (and related topics, such as text search, and automatic creation of text abstracts) • IBM invests ~$50M annually in research and development for search and text analytics • 200 people actively engaged in R&D • IBM holds over 200 patents in information access with more each year

4. Accuracy Consistent Participation & Enforcement Multiple Methods High Context Based Classification Complex Policies Rules Based Classification Simple Rules Authoring Templates Manual Classification Cost Savings Productivity Low High Low Options for Implementing the Classification Process

5. IBM Classification ModuleImplementing the classification process in ECM & more • Intelligent applications of policies via automatic, advanced classification • Combines the best automatic methods: context sensitive and rule-based • Flexible automation levels accelerate adoption and acceptance • Incorporates user feedback in real-time to improve understanding • Integrated to IBM ECM architecture or use as a free-standing service • 12 languages – and 3 more on the way! ICM

6. Advanced Classification is Key to Compliant Information Management

7. Advanced Classification: The Facts Implications Facts Humans provide, at best, marginally better accuracy in executing classification, in controlled tests Compliance professionals hold the incorrect assumption that humans are the best option for piece by piece decision-making 1 1 Business users find forced manually classification “burdensome” and at least 50% will not participate Results of human-reliant filing are inconsistent and inaccurate, resulting in effective accuracy of 50%, at best 2 2 Every manual classification forced on your users will cost your organization 17 cents in productivity Wide-spread adoption of archiving or records management in your organization will lead to large, measurable productivity loss 3 3 Deploying an archiving or records management initiative is increasingly important, large scale and difficult problem Unstructured content makes up 80% of the volume of information in the average enterprise and that segment is growing 30% annually 4 4

8. Critical Dimensions of Classification Automated Manual X 92% 50 – 80% Accuracy 46% $ 0.17 < $ 0.01 Cost (per doc) Consistency 100% <50% Increasing Volume

9. Participation Impacts Accuracy Participation in Manual Filing; by Month • National Archives and Records Administration Study • Electronic Records Management initiative focused on user driven records declaration • 6+ month study • 60% drop-off in participation in months after training • End users frequently outright refuse to categorize content • Manual classification and an emphasis on “user training” is outdated, providing inconsistent and inaccurate results Inconsistent participation from humans is the critical factorin evaluating different classification methods

10. Manual Classification With paper With rudimentary electronics Today’s advanced electronics

11. Rules-based Classification To: Bob Smith <Bob.Smith@hotmail.com> From: Bill Roker <broker@financialadv.com> Subject: Market Movement Bob, Hope you’re doing well. I’ve got a sure thing going with the stock we spoke about on the phone. I think its time to pull the trigger for my client. The client’s name is John Doe. His social is 123-45-6789. He’s totally on board and he’s excited to take advantage of this new offer. Talk to you tomorrow, Bill Bill Roker 212-555-1234 Financial Advisors, Inc. Simple Rules: Does the body contains the phrase “sure thing”? Did the CFO send the email? Complex Policies: Does the body contains the phrase “sure thing” in the same sentence as “stock"? Did the sender belongs to the “broker” email group and send an email externally using the phrase “sure thing” in the body? Metadata extraction: Does the body of the email have anything that matches the pattern “XXX-YY-ZZZZ”?

12. Rule-based Classification’s Achilles’ Heel:Rule Maintenance, Accuracy and Cost Accuracy Changes in business Effort to adjust rules to new environment Time

13. Context Sensitive Classification Category 1 Category 2 Statistic-BasedCategorization Category 3 Unclassified text

14. Context Sensitive Classification Simple rules or keyword based analysis can be too coarse to make fine distinctions between long-form texts with very different intent

15. Choosing the Right Classification Method • Combined approaches provide the maximum accuracy from automation, at a slight productivity cost • Automated methods slash the costs • Manual methods have high costs associated to them • Manual methods suffer from lack of participation, hampering their overall viability Accuracy Consistent Participation & Enforcement Multiple Methods High Context Based Classification Complex Policies Rules Based Classification Simple Rules Authoring Templates Manual Classification Cost Savings Productivity Low High Low

16. RecordsManagement Advanced Classification Electronic Discovery 2 1 4 3 Enterprise Compliance VisionIntegrated Agile ECM Platform for Compliant Information Management IBM ECM Content Collection

17. RecordsManagement ECM Repository File plan: Marketing File plan: Legal IBM Classification Module File plan: Finance . . . File plan: Research &Development Review &Audit Reclassification & Records Management

18. US Army Email and Records Manager Pilot GOAL • Provide a means to address Army’s requirement for the successful records management of email • Challenges faced: • Lack of records management follow through from end users • Need to capture records and transactional activities from email • Need to capture records without user intervention 18

19. US Army Email and Records Manager Pilot Success Criteria for pilot: • Correctly capture and retrieve email provided • Ensure information is secure • Determine email can be accurately Auto Categorized by the IBM Categorization Module (ICM) • Goal of 90% or better accuracy • Show how ICM learns and improves accuracy over time • Place categorized record emails under correct Army records disposition 19

20. Army Email Pilot Concept of Operations (CONOPS)

21. Concept of Operations complete complete complete 21

22. Pilot Phases • Pre-Phase Activity • Teach the system by building the knowledge base (Corpus) • Phase I • Process the first run of sample .pst files • Review and Audit the results • Phase II (30 days later) • Process the second run of sample .pst files • Review and Audit the results • Phase III (30 days later) • Process the third run of sample .pst files • Review and Audit the results

23. Knowledge Base (Corpus) Training PST Inboxes Organized Email User 1 Email Record Category: Marketing User 2 Email Record Category: Legal Army Records Managers Record Category: Finance . . . . . . Record Category: R&D User n Email

24. Outlook Configuration

25. Building the Knowledge Base for Email Categorization

26. Reports

27. Training Knowledge Base - The Results Adjusted Data Raw Data

28. Pilot Project Pre-Phase Activities Build Categorization Knowledge Base • Work with Army Records Managers to define the most appropriate records categories and identify example mails for them • Goal: • Find examples of email records for each of the record categories • Find 15 – 20 examples for each category • Results: • 54 records categories were identified as being associated with the assigned offices • 28 categories have 15 or more examples • 26 categories have 14 or less examples 28

29. Record Category: 690 (Personnel) RecordsManagement Record Category: 37 (Budget and Resource Management) ... Record Category: 25-30y (Publication Reports) . . . eMailArchive Record Category: 1hh (Temporary Duty) SearchEngine Spam and Non Records Retention: 90day Army Email Pilot Phase I – III Auto Categorization Steps IBMP8 eMail Manager .PST Files IBMCategorization Module P8 ‘InBox’ Folder Review &Audit 1 Army Records Manager

30. Pilot Project Phase I – III Activities First Pass of Categorization (process .pst files) • Take the Knowledgebase created by Army Records Managers and apply it to the bulk of email • Measure categorization results returned and begin Audit and Review process Audit and Review process • Audit – Used to confirm the accuracy of categorization via a random sampling of categorized results. If necessary, the chosen category may be modified which serves to retrain the knowledgebase for the future • Review – items that do not meet the defined thresholds for categorization are available for further analysis and categorization by records personnel • The result of Audit and Review is improved the accuracy of the knowledgebase therefore improved categorization for future email ingest Post Audit/Review reprocessing of email to measure categorization improvements • Measure results for the completion of each Phase 30

31. Pilot Project Activities Focus on email from 16 different offices across Army Demonstrate ability to categorize emails across Army enterprise PST files from 398 pre-selected users 581,634 emails in total in Phase I 581,256 emails in total in Phase II 735,333 emails in total in Phase III 1,898,232 total emails through Phase III PST files transferred to the pilot system via secure connection 31

32. Phase I Categorization Results First Pass Post Audit/Review Phase II Categorization Results First Pass Post Audit/Review Phase III Categorization Results First Pass Post Audit/Review 32

33. Army Records Manager Observations • As a records manager with a 25-year background in federal and civilian records management, I believe the automatic categorization of information is the next logical evolution in managing the records of an organization. • The classifier correctly identifies categories of records based on information from office file plans. Since office file plans are incorporated within an agency records manual, the initial input for the system is nominal. The office file plan becomes the document classifier. • Because the classifier retains information on document retrieval activity, it may be appropriate for use in many other information management program areas, including the Freedom of Information and Privacy Act.

34. Demo 34

35. Thank You 35

36. IBM Records Manager with Army File Plan