Emails long ago evolved to be around about eighty-percent plus of business correspondence. Most records managers also realize that most of us aren’t managing emails well and that this has left a potentially lethal compliance and legal hole to plug.

I have written numerous papers and posts on the need to manage emails, such as:

The need to manage emails differently to paper;

Managing Emails, how hard can it be?;

I am willing to bet you are still not managing your emails effectively;

How to simplify Electronic Document & Email Management;

Why are your staff still manually capturing & classifying electronic documents & emails?

The need to manage Emails?;

Six reasons why organizations do not manage Emails effectively;

When I review them today, they are just as relevant as they were years ago. That is to say, despite the plethora of email management tools now available, many organizations still do not manage their emails effectively or completely.

The Manual Model

As an recent example we had an inquiry from the records manager at a US law firm who said she needed an email management solution but it had to be a ‘manual’ one where each worker would decide if and when and how to capture and save important emails into the records management system.  She went on to state emphatically that under no circumstances would she consider any kind of automatic email management solution.

We have to provide multiple options, such as GEM and the Button, because that is what the market demands but it is common sense that any manual system cannot be a complete or consistent solution. If you leave it up to the discretion of the end user to decide which emails to capture and how to capture them, then you will inevitably have an incomplete and inconsistent store of emails.  Worse still, you will have no safeguards against fraudulent or dishonest behavior.

Human beings are, by definition, ‘human’ and not perfect. We are by nature inconsistent in our behavior on a day to day basis; we forget things and sometimes we make mistakes. We are not robots or cyborgs and consistent, perfect behavior is beyond us.

As humans, we cannot be trusted to always analyze, capture and classify emails in a one-hundred percent consistent manner.

The problem is exacerbated manifold when we have hundreds or even thousands of inconsistent humans (your staff) all being relied upon to behave in an entirely uniform and consistent manner. It is ludicrous to expect entirely uniform and consistent behavior from your staff and it is bad practice and just plain foolish to roll out an email management system based on this false premise. It will never meet expectations. It will never plug all the compliance and legal holes and you will remain exposed no matter how much money you throw at the problem (e.g., training, training and re-training).

The Automatic Model

The only complete solution is one based on a fully-automatic rules or AI driven model whereby all incoming and outgoing emails are analyzed at the email server level according to a set of business rules tailored to your specific needs. This is the only way to ensure that nothing gets missed. It is the only way to ensure that you are in fact plugging all the compliance and legal holes and removing exposure and risk.

The fully automatic option is also the most cost-effective by a huge margin.

The manual approach requires each and every staff member to spend (waste?) valuable time every single day trying to decide which emails to capture and then actually going through the process time and time again. It also requires some form of a license per employee or per desktop. This license has a cost and it also has to be maintained, again at a cost.

The automatic approach doesn’t require the employee to do anything except know how to search for emails in your EDRMS. It also doesn’t require a license per employee or desktop because the software runs in the background talking directly to your email server. It is a low cost, low impact and asynchronous solution.

The automatic model increases productivity and lowers costs. It also provides a complete and entirely consistent email management solution and at a significantly lower cost than any ‘manual’ model. So, why is it so hard to convince some records managers and /or business owners to go with the fully automatic solution?

Who Decides?

This is not a decision that should be left up to the records manager. Emails are the business of all parts of any organization; they don’t just ‘belong’ to the records management department. Emails are an important part of most business processes particularly those involving clients and suppliers and regulators. That is, the most sensitive parts of your business. The duty to manage emails transects all vertical boundaries within any organization. The need is there in accounts and marketing and engineering and in support and in every department.

The decision on how to manage emails should be taken by the CEO or at the very least, the CIO with full cognizance of the risks to the enterprise of not managing emails in a one-hundred percent consistent and complete manner.

Its Risk Management

In the end email management isn’t in fact about email management, it is about risk management. If you don’t understand that and if you don’t make the necessary decisions at the top of your organization, you are bound to suffer the consequences in the future.

Are you going to wait for the first lawsuit or punitive fine before taking action?

How to manage the process via Natural Language

We have a large number of customers using our product RecFind 6 as a Records Management System and with new customers, the question always arises about how to best organize information in the RecFind 6 database to make it as easy as possible to manage and access. As the Metadata, Data Model and Business Processes in RecFind 6 are 100% configurable, every customer ends up with a unique configuration. As well as managing records, the end result also needs to be an Information Management System.

There is no one-solution that suits all. Some records managers want the shared drives structure replicated in the database. Some want everything filed under a strict hierarchical classification system or Taxonomy. Some IT Managers want the whole process simplified so end users clearly know where to file stuff and where to find stuff. Different managers in a single customer site will often disagree about how the information should be managed. It is usually up to us to come up with an agreed and workable compromise. There is no “one size fits all” paradigm here.

Whereas I fully support the principles behind most EDRMS standards (like ISO 15489) I also find myself agreeing with most end users who just want the whole process simplified and expressed in natural language, not as an arcane, complex, inconsistent and difficult to navigate hierarchical classification system.

The way you classify information should not dictate how you store, manage and retrieve information.

I have written a paper of this exact subject and although now somewhat old, it is still 100% relevant. You don’t need to agree with me, but please try to understand the message. End users want easy, fast access, not time-consuming complexity.

Let me tell you we solve the problem at Knowledgeone Corporation and manage our emails, electronic documents and shared drives with a hybrid system. We utilize a combination of RecFind 6 and shared drives. This is also a model we regularly recommend to our customers as an acceptable compromise; one that is simple to implement and one that always works.

I am a big fan of making information as easy as possible to capture and as easy as possible to retrieve (eDiscovery). This is especially important to the long-suffering end-user class who have no interest in becoming part-time records managers and who simply won’t use a system if it is too difficult to use and too time-consuming.

The biggest problem with complex, hierarchical classification systems is that no two people file the same way and even a single user will often file things differently over time. This in itself makes the act of finding something by browsing through a classification hierarchy a hit and miss affair.

At Knowledgeone Corporation, we implemented a hybrid model that uses a simply structured shared drive resource plus automated tools to ensure everything that should be captured is captured. This approach is also all about separating the functionality of the Authoring packages (e.g., Word, Excel, Outlook, etc.) from the functionality of the EDRMS. They have different roles to play.

We use our product GEM to automatically capture all work related emails and we use our product RecCapture to automatically capture all work-related electronic documents from our shared drives. We all use a common shared drive structure to write and store our original electronic documents.

We don’t use what you would call a formal taxonomy, we use what I call a ‘natural’ classification system. For us this means a classification system that perfectly reflects our business practices, processes and vocabulary. In our case, we are customer-centric so everything (apart from a little administrative and supplier stuff) is organized in customer or prospect folders and the lower levels are minimal, being things like Correspondence, Quotes and Orders.

The structure of our RecFind 6 database is mostly based on customer and prospect files; our Records Management System is also our CRM. Customers and prospective customers are our core business just as members and cases are the core business of unions. Every industry has a core business and, in my mind, this should always be reflected in the classification system used so that it perfectly aligns with the work practices, processes and ‘language’ of most staff. Whenever I consult with a new customer, I always try to first determine its core business and its natural language and then design the system around these.

Because we are customer centric, I need to be able to see everything about any customer or prospect in one place. For us this means focusing on the Entity record (the Entity table is where we store the basic information on each customer or prospect organization). As RecFind 6 is a relational database, we then store all related information in linked tables, all linked to and accessible from the Entity record with a single click.

Ease of Access for eDiscovery

In our RecFind 6 system, every piece of information I need to refer to is just one-click away once I view the customer’s entity record. Once I select the customer record, everything thing else I need to know is just one-click away and all links are viewable in a single screen.

We have configured our RecFind 6 security system around our management structure and that works fine for us. As a Director for example, most of the stuff I save (e.g., a letter, email or quote to a customer) is with a basic security code because everyone needs to be able to see it. However, as a Director I also have the right to save things with higher levels of security, e.g., Manager Director, with appropriate restricted access. Like all good security systems, it is simple but effective.

Our searching is also structured the same way. We have configured RecFind 6 to add the objects we need to search on as menu items in the search function just as we would do for any customer. We therefore have a Metadata search menu of Attachments (electronic documents, emails and images), Entities (Customers, Prospects, Partners and Suppliers), People, Incidents, Bugs, Quotes, Invoices, Timesheets, Support agreements, etc. We repeat this with Boolean searches. We make it as easy as possible and as logical as possible so our staff can find anything as fast as possible.

Most importantly, we provide multiple entry-points for searches. I can for example search directly for emails with a Metadata search, searching by a combination of Sender, Recipient, Date, Subject, Content, etc. Alternatively, I can search for customer emails from within the Entity record just by clicking on a single link for all emails and electronic documents for that customer.

You can search on any field and different classes of users can have different Metadata to both view and search on. The security system determines what each class of user (Security Group) can both see and then do with the information they can see. The members of each Security Group see only what they need to see and have only the functionality they need to get the job done

Following the above hybrid approach also means that you can still implement and manage all the recordkeeping principles such as retention and disposal schedules, location tracking, auditing, etc.

My point is that it is possible to meet the needs of all groups of users without frustrating any single group.  It just requires a hybrid approach and the configuration of the system to suit each class of user.

Making everyone happy is a lot better than making some people happy and some people unhappy. Why would you make users unhappy if you had a choice? Any Records Management System should also be an easy to use Information Management System.