Looking for fraud in digital footprints: sensemaking with chronologies in a large corporate investigation

During extended sensemaking tasks people typically create external representations that integrate information and support their thinking. Understanding the variety, role and use of these is important for understanding sensemaking and how to support it effectively. We report a case-study of a large, document-based fraud investigation undertaken by a law firm. We focus on the construction and use of integrated representations in the form of chronologies. We show how these supported conjecture recording, focussing on time-periods, identifying gaps, identifying connections and reviewing interpretations. We use our findings to highlight limitations of a previous analysis of representations in sensemaking which regards this as schema definition and population. The findings also argue for search tools designed to identify date references in documents, for the support of ad-hoc event selections, and the support of linking between integrating representations and source documents

E-discovery viewed as integrated human-computer sensemaking: the challenge of 'Frames'

In addressing the question of the design on technologies for e-discovery it is essential to recognise that such work takes place through a system in which both people and technology interact as a complex whole. Technology can promote discovery and insight and support human sensemaking, but the question hangs on the extent to which it naturally extends the way that legal practitioners think and work. We describe research at UCL which uses this as a starting point for empirical studies to inform the design of supporting technologies. We report aspects of an interview field study with lawyers who worked on a large regulatory investigation. Using data from this study we describe document review and analysis in terms of a sequence of transitions between different kinds of representation. We then focus on one particular transition: the creation of chronology records from documents. We develop the idea that investigators make sense of evidence by the application of conceptual ‘frames’ (Klein et al’s, 2006), but whilst the investigator ‘sees’ the situation in terms of these frames, the system ‘sees’ the situation in terms of documents, textual tokens and metadata. We conclude that design leverage can be obtained through the development of technologies that aggregate content around investigators’ frames. We outline further research to explore this further

Conceptual misfits in email-based current awareness interaction

Purpose - This research aims to identify some requirements for supporting user interactions with electronic current-awareness alert systems based on data from a professional work environment. Design/methodology/approach - Qualitative data was gathered using contextual inquiry observations with twenty-one workers at the London office of an international law firm. The analysis uses CASSM (‘Concept-based Analysis of Surface and Structural Misfits’), a usability evaluation method structured around identifying mismatches, or ‘misfits’, between user-concepts and concepts represented within a system. Findings - Participants were frequently overwhelmed by email alerts, and a key requirement is to support efficient interaction. Several misfits which act as barriers to efficient reviewing and follow-on activities are demonstrated. These relate to a lack of representation of key user-concepts at the interface and/or within the system, including alert items and their properties, source documents, ‘back-story’, primary sources, content categorisations and user collections. Research limitations/implications - Given these misfits we derive a set of requirements to improve the efficiency with which users can achieve key outcomes with current-awareness information as these occur within a professional work environment. Originality/value - The findings will be of interest to current-awareness providers. The approach is relevant to information interaction researchers interested in deriving design requirements from naturalistic studie

Discovery-led refinement in e-discovery investigations: sensemaking, cognitive ergonomics and system design.

Given the very large numbers of documents involved in e-discovery investigations, lawyers face a considerable challenge of collaborative sensemaking. We report findings from three workplace studies which looked at different aspects of how this challenge was met. From a sociotechnical perspective, the studies aimed to understand how investigators collectively and individually worked with information to support sensemaking and decision making. Here, we focus on discovery-led refinement; specifically, how engaging with the materials of the investigations led to discoveries that supported refinement of the problems and new strategies for addressing them. These refinements were essential for tractability. We begin with observations which show how new lines of enquiry were recursively embedded. We then analyse the conceptual structure of a line of enquiry and consider how reflecting this in e-discovery support systems might support scalability and group collaboration. We then focus on the individual activity of manual document review where refinement corresponded with the inductive identification of classes of irrelevant and relevant documents within a collection. Our observations point to the effects of priming on dealing with these efficiently and to issues of cognitive ergonomics at the human–computer interface. We use these observations to introduce visualisations that might enable reviewers to deal with such refinements more efficiently

Improving the cost structure of sensemaking: analysing user concepts to inform information systems design

n many everyday contexts people interact with information systems in order to make sense of a domain of interest. However, what this means and how it can best be supported are poorly understood. In particular, there has been little research on how to develop system representations that simplify naturally occurring sense making processes by matching people’s conceptualizations of the domain. In this paper we draw on Klein et al.’s data-frame theory and Russell at al’s notion of cost-structures in sensemaking to propose an approach to understanding sensemaking that supports reasoning about system requirements. The two key elements of the approach are the identification of the process and the transformational steps within that process that could benefit from support to reduce costs, and the identification of primary concepts which are cued by information in the context of a given sensemaking task and domain, and around which users integrate information to form a structured understanding. Our general principle is that by understanding a sensemaking transformation in terms of its source data and the integrating structures it creates, one is better able to anticipate the evolving information needs that it tends to invoke. We test this approach with a case study of fraud investigation performed by a team of lawyers and forensic accountants and consider how to support the elaboration of prototypical user-frames once they have been invoked

Making sense of digital footprints in team-based legal investigations: the acquisition of focus

Sensemaking occurs when people face the problem of forming an understanding of a situation. One scenario in which technology has a particularly significant impact on sensemaking and its success is in legal investigations. Legal investigations extend over time, are resource intensive, and require the sifting and re-representation of large collections of electronic evidence and close collaboration between multiple investigators. In this paper, we present an account of sensemaking in three corporate legal investigations. We summarise information interaction processes in the form of a model which conceptualises processes as resource transformations triggered and shaped by both bottom-up and top-down resources. The model both extends upon and validates aspects of a previous account of investigative sensemaking (Pirolli & Card, 2005) and brings to the fore two kinds of focusing. Data focusing involves identifying and structuring information to draw out facts relevant to a given set of investigation issues. Issue focusing involves revising the issues in the light of new insights. Both are essential in sensemaking. We draw this distinction through detailed accounts of two activities in the investigations: reviewing documents for relevance and the creation and use of external representations. This provides a basis for a number of requirements for sensemaking support systems, particularly in collaborative settings, including: document annotation, dynamically associating documents of a given type; interacting with documents in fluid ways; linking external representation elements to evidence; filtering external representations in flexible ways; and viewing external representations at different levels of scale and fidelity. Finally, we use our data to analyse the conceptual elements within a 'line of enquiry‘. This provides a framework which can form the basis for partitioning information into hierarchically embedded enquiry 'contexts‘ within collaborative sensemaking systems

Effective ways to use nonpersonal information in healthcare: report from a workshop held at University College London 15-16 April 2004

New information technologies are being introduced in the UK National Health Service as resources for the acquisition of clinical knowledge. These are forcing working practices to adapt and are affecting and challenging perceived roles, relationships and expectations of patients and health professionals alike. Effective ways to use nonpersonal information in healthcare was a two-day workshop hosted by UCL Interaction Centre at University College London intended to provide a forum for practioners and researchers working in the area of clinical health information delivery to come together to discuss access to health information, and to consider how the various challenges and opportunities relating to electronic information provision can be managed most effectively. For the first day of the workshop, the theme for presentations and discussion was information provision for and access by health professionals. Talks were given by Julius Weinberg (City University, London), Roger Slack (University of Edinburgh) and Anne Adams (University College London). The theme for the second day was information provision and access by patients. Presentations were given by Mig Muller (NHS Direct), Jane Wilson (Whittington Hospital and Medi-notes), Andrew Herxheimer (University of Oxford) and Henry Potts (University College London). On both days, delegates formed into three groups for breakout sessions in which they discussed and reported back on: information quality and use, social and organisational context, and user requirements and training in relation to the respective daily theme (health practitioners/patients). This report summerises each of the presentations and the reports by the breakout groups

Social and interactional practices for disseminating current awareness information in an organisational setting.

Current awareness services are designed to keep users informed about recent developments based around user need profiles. In organisational settings, they may operate through both electronic and social interactions aimed at delivering information that is relevant, pertinent and current. Understanding these interactions can reveal the tensions in current awareness dissemination and help inform ways of making services more effective and efficient. We report an in-depth, observational study of electronic current awareness use within a large London law firm. The study found that selection, re-aggregation and forwarding of information by multiple actors gives rise to a complex sociotechnical distribution network. Knowledge management staff act as a layer of “intelligent filters” sensitive to complex, local information needs; their distribution decisions address multiple situational relevance factors in a situation fraught with information overload and restrictive time-pressures. Their decisions aim to optimise conflicting constraints of recall, precision and information quantity. Critical to this is the use of dynamic profile updates which propagate back through the network through formal and informal social interactions. This supports changes to situational relevance judgements and so allows the network to ‘self-tune’. These findings lead to design requirements, including that systems should support rapid assessment of information items against an individual’s interests; that it should be possible to organise information for different subsequent uses; and that there should be back-propagation from information consumers to providers, to tune the understanding of their information needs