Governing Records Management in the Information Age John McDonald For: ARMA – NCR Chapter May 21, 2002

Questions What are we governing? How should it be governed and by whom? What are the implications… On existing governance structures? On the records management community?

Definition of Records “A record is information created, received, and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in the transaction of business.” (Information and Documentation – Records Management, ISO 15489, 2001)

Understanding records begins with… Understanding business processes Understanding business processes begins with… Understanding the business

The Structured Environment

task Mandate B u s i n e s s P r o c e s s Functions Organization Structured Environment Mandate Land Management Rural Land Development Urban Land Development Lands Registration applications review Land Use Analysis Regulation Internal Resource Management Functions Organization National Land Management Directorate urban development division rural development division Office of the Registrar of Lands Research and Mapping Directorate Policy and Monitoring Directorate Corporate Services Directorate Ministry of Lands task review approval notification B u s i n e s s P r o c e s s transactions capture records content context structure Repository preserve access Accountability Instrument Information Source

Records Management Database Management Web Content Management Publications/ Communications Management

The Unstructured Environment

Accountability instrument Unstructured Environment Mandate task review approval notification B u s i n e s s P r o c e s s transactions Land Management Rural Land Development Urban Land Development Lands Registration applications review Land Use Analysis Regulation Internal Resource Management Functions records records records content context structure capture capture capture Organization National Land Management Directorate urban development division rural development division Office of the Registrar of Lands Research and Mapping Directorate Policy and Monitoring Directorate Corporate Services Directorate Ministry of Lands Repository Information source Accountability instrument preserve access

Mandate Functions Organization Unstructured Environment records Land Management Rural Land Development Urban Land Development Lands Registration applications review Land Use Analysis Regulation Internal Resource Management Organization National Land Management Directorate urban development division rural development division Office of the Registrar of Lands Research and Mapping Directorate Policy and Monitoring Directorate Corporate Services Directorate Ministry of Lands Functions Mandate actions records C:\

Mandate Functions Organization Unstructured Environment records Land Management Rural Land Development Urban Land Development Lands Registration applications review Land Use Analysis Regulation Internal Resource Management Organization National Land Management Directorate urban development division rural development division Office of the Registrar of Lands Research and Mapping Directorate Policy and Monitoring Directorate Corporate Services Directorate Ministry of Lands Functions Mandate actions records Shared Drive

Mandate Functions Organization ERKS Unstructured Environment records Land Management Rural Land Development Urban Land Development Lands Registration applications review Land Use Analysis Regulation Internal Resource Management Organization National Land Management Directorate urban development division rural development division Office of the Registrar of Lands Research and Mapping Directorate Policy and Monitoring Directorate Corporate Services Directorate Ministry of Lands Functions Mandate actions records capture preserve access Accountability instrument Information source ERKS

Records Management Database Management Web Content Management Publications/ Communications Management

The web environment These next slides illustrate the evolution taking place in the design and use of web sites (very important when considering the design and application of IM solutions).

task Mandate W o r k P r o c e s s Functions Organization repository Web Environment Mandate Land Management Rural Land Development Urban Land Development Lands Registration applications review Land Use Analysis Regulation Internal Resource Management Functions Organization National Land Management Directorate urban development division rural development division Office of the Registrar of Lands Research and Mapping Directorate Policy and Monitoring Directorate Corporate Services Directorate Ministry of Lands task drafts (review) final draft (approval) approved product (dissemination) W o r k P r o c e s s transactions Info object content context structure capture repository information source accountability instrument preserve access

forms email ‘publications’ Web pages

Records Management Database Management Web Content Management Publications/ Communications Management

Where are we heading?

On-line Business Delivery “Customer-centric services” “Customer relationship management” “Web-enabled business processes” “achieving competitive advantage in the global economy” “Knowledge-based government” … supporting a “knowledge-based society”

Organization Function/activity Business process B u s i n e s s V i e w Organization Function/activity Business process Law Mandate Accountability task task task task These next slides are probably familiar to some as they were used in the TBS IM study to illustrate the close intimate relationship between business processes and information. For this session they are being used to illustrate the relationship between business processes and the on-line environment.

Organization Function/activity Business process B u s i n e s s V i e w Organization Function/activity task Business process Accountability Law task Mandate task task task task This slide emphasizes the importance of knowing that business processes do not stop at the boundary of the organization. By extension, this means that IM also does not stop at the boundary of the organization. We may be facing the day when we will be having to give advice not only to public servants but also citizens regarding the care and management of the (largely electronic) information generated as a result of their participation in given government administered business processes.

Records Activities - Create Activities organizations do to manifest records - bring them into existence - in order to support program/service delivery create, collect, generate, receive

Records Activities - Use Activities organizations do with their records to support program/service delivery access, exchange, transmit, disseminate, share

Records Activities - Preserve Activities organizations do to their records to ensure that they are authentic, reliable, available, understandable, and usable for as long as required for program/service delivery and accountability retain, protect, store, describe, migrate, dispose

Systems Laws Business Process Standards/ practices People Records View create Standards/ practices People Business Process use A w a r e n e s s/ U n d e r s t a n d i n g O w n e r s h i p/ A c c o u n t a b i l i t y preserve

From web sites… …To portals

Better!! Good! Information Management and Knowledge Management 4. KM/intellectual assets linked to strategic direction 5. KM culture 9. KM integration with jobs & workplace 7. Capture tacit knowledge & insight 8. Collaborative environment & culture 10. Extend KM to partners & customers 6. Identify subject matter experts Better!! Information Management and Knowledge Management Data and information accessibility is a critical issue but its not the only issue Information Management 3. Improved information access 1. Policies, guidelines, authoritative sources 2. Policies & discipline for physical data stores Good! Copyright: Gartner Group, 2000

Implications Substantial investment in on-line government, e-commerce is driving transformation of the web environment. Increased intimacy between business process and customer is driving increased concern about building trustworthy environments. Employee demand for services that are consistent with those provided to customers is driving transformation of intranets(?)

Implications Development of transaction-based web- enabled internet/intranet applications will drive workflow into the unstructured environment(?) Increase in internet/intranet-enabled business applications will drive recognition of need for integrated comprehensive IM/IT infrastructure.

Implications Recognition that de facto record of business is electronic will drive development of tools for managing information in electronic form. Transformation of internet/intranet environments will drive recognition of role and impact of records and record keeping.

Database Management Records Management Web Content Management Publications/ Communications Management

Admin records mgt

?

records management positioned? How well is records management positioned?

Strengths Records managers understand: The attributes of records authenticity. The relationship between records and business processes (and the business). What it means to document decisions, actions, etc. How to build trustworthy record keeping environments. How to provide access/retrieval services for records (and information) in context. How to protect the integrity of records (and other valued information-based assets) through time.

Database Management Records Management Web Content Management Publications/ Communications Management

But… We need greater understanding of business processes. We need greater understanding of workplace behaviour. We need standards and practices. We need technologies. We need the right mix of knowledge, skills and abilities. We need to build partnerships. We need to assume a leadership role.

What do we need to do? Define/confirm the nature of the work Define accountability relationships Define competencies Develop training/education and recruitment strategies Develop rewards and recognition programs Develop performance measures

The Implications Need for change and change management Need for collaboration and partnership Need for inter-disciplinary approaches Need for leadership Need for governance models

Questions What are we governing? How should it be governed and by whom? What are the implications… On existing governance structures? On the existing records management community?