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www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved Mapping Knowledge Containers A Records Management Perspective John O’Brien, BA, CRM, MALT Director, IRM Strategies Hong Kong www.irmstrategies.com Information Resource Management & Knowledge Systems Architecture jobrien.irmstrategies.com 011-852 6192-1086
www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved At a time when the amount of data created annually rivals total accumulation of human knowledge, IDC has estimated that US Fortune 500 companies lost $12 billion “due to an inability to locate information resources”. They have the information, but these organizations do not “know”.
www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved At a time when the collection of data far exceeds that collected in past years, 700 children have died after flawed child protection decisions within the BC Ministry of Family & Child Services. The information was there, but again, the organization did not “know”.
www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved Increasingly, stakeholders seek accountability for corporate failure to know. Sarbane-Oxley Act of the United States –one example of regulatory response –affects global business partners –establishes need for auditable records management programs including “litigation hold” mechanisms. Failure to know is unacceptable.
www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved Global players, and their partners, face increased visibility and scrutiny (official and unofficial). Organizations competing in the global market must prepare to comply with the documentation requirements of international standards such as ISO 9000 suite of quality standards. Recordkeeping is key to knowledge generation and transparency in governance.
www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved But … Recordkeeping is widely disdained as drain on productive labour, a bureaucratic nuisance. Accurate recordkeeping is often seen as not part of doing the “real work”. To maintain productivity, managers have ignored, sometimes encouraged, falsification of records. Courts have been ill equipped to address the complexities of modern information resources.
www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved Workers have been “liberated” from earlier stuctured generation and management of corporate information resources. Desktop applications such spreadsheets, databases and word processing enable “unstructured” creation of information DM Systems control the creation of records within established workflows It is all good for knowledge resource development... BUT –Record generating systems proliferate … –Record keeping systems are needed
www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved Knowledge must be made explicit to be “managed”. Once made explicit, knowledge is contained in some form of record. Recordkeeping systems manage the records, regardless of the media in which content is stored. Records management is fundamental to knowing.
www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved Knowledge - [is] a body of understanding and skills that is constructed by people and increased through interaction with other people and with information. AS-5037-2005 “Knowledge Management – A Guide Released October 2005
www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved Knowledge management - [is] a trans-disciplinary approach to improving organizational outcomes and learning, through maximizing the use of knowledge… is concerned with innovation and sharing behaviours, managing complexity and ambiguity through knowledge networks and connections, exploring smart processes and deploying people-centric technologies. AS-5037-2005 “Knowledge Management – A Guide Released October 2005
www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved RIM OD ITS Three disciplines in a KM Frame Development of learning communities of practice that value recordkeeping as a part of corporate knowledge building Transforming organizations Information technologies support information content management with people- centric systems; that incorporate sound RM “transparent to the user” Enabling learning communities Recorded information managers identify what exists, why, and for how long; information assets and liabilities are managed with attention to cost/revenue implications. Knowing what we know KM
www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved Divergent needs - Predictable, repeatable, auditable results –Formalized procedures, records as evidence (ISO 9000) risk-averse, self-protective, command & control cultures Innovation and responsive re-alignment to meet consumer demands –Communities of practice, change capable processes, records as a source of knowledge learning and inquiry models that seek to engage productive change and harvest knowledge
www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved As we move to harvest knowledge resources, we must be aware that these same resources require management apart from knowledge building. It is time to reverse the historical shift away from a common understanding and respect for recordkeeping. Well structured records management programs are a form of insurance and cost reduction that underpins knowledge management programs.
www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved Accurate, reliable records are fundamental to: improving the quality of products / services (results) transparency and accountability for results demonstrable compliance with the rule of law (WTO, ISO, etc.) the credibility of the business organization Managed according to a plan, records become a strategic resource serving multiple purposes. When records exist outside of a management plan, they can be a liability of disastrous proportions.
www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved Recorded Information Management is – a way of knowing about what information resources exists and the assets and liabilities that are inherent in them. The relative values of information resources can –be identified, encoded and mapped to –enable an overall plan for the management of content, regardless of the media in which it is preserved. All recorded information holds potential value as a knowledge asset and potential risk as a liability. Our goal in mapping knowledge resources is to identify and consciously manage both.
www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved Practically speaking - Managing “knowledge resources” –must fit within the legal, fiscal, ethical and overall business position of the organization –that position is supported, or destroyed, based on revelations found in organizational records Mapping knowledge resources –is key to analysing and forecasting the implications for building assets and managing liabilities –includes recorded information, systems and people
www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved Knowledge Mapping - is an ongoing quest within an organization (including its supply and customer chain) –to help discover the location, ownership, value and use of knowledge artifacts, –to learn the roles and expertise of people, –to identify constraints to the flow of knowledge, and –to highlight opportunities to leverage [or get an exponential benefit from] existing knowledge. Denham Grey, http://www.smithweaversmith.com/knowledg2.htm http://www.smithweaversmith.com/knowledg2.htm
www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved Knowledge Mapping - Involves: –Developing a picture of knowledge needs –Mapping recorded information and other k-sources to business context and business processes –Defining those resources through the use of metadata Is enabled by the records inventory process common to Records Management.
www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved Records Management (Recorded Information Management) A management discipline and organizational function providing systematic control of the: –creation, maintenance, use, reproduction and disposition of recorded information, regardless of media, through a –range of managerial activities to meet business needs, accountability requirements and stakeholder expectations.
www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved Records must be: Fixed or static –unique element in a sequence of transactions –not subject to change –Confusion may arise if o nly the end result of a process is managed as a record. Information by-products of workflows are evidence of the basis for decisions and results Snapshots throughout the process should be fixed –Confusion may arise where Records are duplicated for wide distribution Identify the unique element as a record—not the copies. Copies must be managed in accord with the records strategy to avoid surprises. Copies used in a separate business process are, in fact, new records.
www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved Records must be: Reliable –a trustworthy reflection of the organizational context within which it was created. Records can be linked to an authority for their creation and one or more processes that protect their reliability. –Confusion may arise if only “official” records are managed Other recorded information many establish the context of a record and be required to ensure the authority of the record.
www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved Records must be: Authentic –Can be proven to be what it is held to be: verifiable –Application of seals, signatures, date-stamps and attachment to a file arrangement are features of the record keeping system that serve to authenticate records –Proof of origin and use within an established time and context is mandatory for a record to be authentic –Confusion may arise when Information content exists in duplicate forms, as in, paper and electronic documents. Organizations must take care to ensure a recordkeeping system that enables the record to be recognized as authentic in the present and future
www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved Govern Authority MANDATES BUSINESS AGENTS (People) RECORDS Memory Adapted from Geoff Acland-Bell, 1999 Responsible forEvidence of Reveal Accountability Establish Required Competencies of | Authentication
www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved Govern Relation MANDATES BUSINESS PEOPLE (AGENTS) RECORDS Reveal Accountability Establish Required Competencies of BUSINESS Relation Ambient Function Business Function Activity Transactions Adapted from “Towards a Framework for Standardising Recordkeeping Metadata: The Australian Recordkeeping Metadata” http://www.sims.monask.edu.au/research/rcrg/publicatinos/framework.html McKemmish, S., Acland, G. & Reed, B.http://www.sims.monask.edu.au/research/rcrg/publicatinos/framework.html Ambient Function Recordkeeping Function Recordkeeping Activity Recordkeeping Transactions RECORDKEEPING Collective Archives Corp. Archive/RKS Record Aggregation Record Object Social Institution Organisation/Corp. Body Person / Actor Org. Unit/Work Group
www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved Content Related Values –Administrative/Operational –Fiscal, Legal –Historical, Intrinsic (a unique aspect of the record) Retention & Disposition Plan –Total required retention = active + semi-active terms –Appraisal determines eventual disposition Media & Physical Characteristics –Paper, Audio/visual digital/analog, Tape, Microform, Photographic, Cartographic, Book, etc. –Aggregate dimensions Record Attributes
www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved Arrangement –Taxonomy –Relationships –Coding elements –Identifiers for class/eries, sub-class, item, etc. Designators –Vital record status –Intellectual property –Privacy impact –KM utility
www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved Methods Physical Inventory Survey Interview Concept Mapping –grounding existing k-resources in an understanding of knowledge needs Columbia Power RIM Program development Application, Assessment, Classification Project (AACP) for Community Based Health Care
www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved Copyright Interactive Strategies, Inc. 2005 Metadata flows from Mandates
www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved Copyright Interactive Strategies, Inc. 2005
www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved Thank you John O’Brien, BA, CRM, MALT Director, IRM Strategies www.irmstrategies.com Information Resource Management & Knowledge Systems Architecture IRM Strategies is a Hong Kong branch of Interactive Strategies, Inc. providing consultancy, onsite and distance education services in the Asia-Pacific Region jobrien.irmstrategies.com 011-852 6192-1086
www.irmstrategies.com © 2005, Interactive Strategies, Inc. All Rights Reserved Information Resource Management (IRM) Strategies is the Hong Kong branch of Interactive Strategies, Inc. www.irmstrategies.com Our Knowledge Systems Architects build the capacity of business teams, onsite and online in Hong Kong and throughout the Asia-Pacific region. IRM Strategies provides Certified Records Manager expertise, leadership and results oriented consultation and training. IRM Strategies: the leading edge, practically applied. Contact firstname.lastname@example.org for email@example.com
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