1 The Impact of Digital Preservation on Organizations: A Policy Perspective Erpatraining Policies for Digital Preservation John McDonald January 29-30, 2002

2 Objectives To use a Canadian government study on information management as a case study to illustrate: The complexity of the digital landscape that exists in many modern organizations. The challenges presented by this landscape for the development and implementation of information policy (and, by extension, digital preservation policies). The potential of capability and maturity models to help us move forward.

3 The IM Situation Analysis Study A one year study (2000) sponsored by Treasury Board Secretariat and the National Archives (the lead agencies responsible for government-wide IM). Triggers? Government On-line. The ‘ ’ issue. The preservation of electronic corporate memory Method Interviews with program officials at all levels and IM specialists from a variety of disciplines. Review of experiences around the world.

4 The IM Situation Analysis Study - Results Establishment of an IM unit in Treasury Board Secretariat to address life cycle management of information (emphasis on digital). Heightened profile for role of National Archives and National Library (both institutions recently merged). Development of Treasury Board Policy on Management of Government Information (MGI).

5 The MGI Policy Federal government departments/agencies required to manage information throughout its life cycle. All forms of recorded information are covered. Accountability assigned to a senior executive.

6 The MGI Policy (cont.) Institutions must make plans to: Implement an IM program. Integrate information management into the design of government activities... Include human and financial resources needs and IM requirements at an early stage … Optimize the use of existing information and make plans for its use beyond immediate business needs. Maintain the authenticity, integrity and currency of information for as long as the information is required.

7 The MGI Policy (cont.) To support this commitment for electronic information, government departments/agencies must: Integrate the management of electronic information into IM programs; Create and use metadata … to provide context and allow easy access and retrieval and understanding of the information over time and through changes in technology…; Assign accountability and establish control mechanisms to ensure the authenticity of electronic information through time.

8 The MGI Policy The MGI policy is an integral component of an overall infrastructure for the management of information. Digital preservation is an integral component of the infrastructure.

9 Understanding the IM infrastructure is based on... … understanding the organization and its business

Organization Function/activity Law Accountability Mandate Business process task Business View task

12 Understanding the IM infrastructure …begins with understanding the activities performed on information

13 Create Information Activities organizations do to manifest information - bring it into existence - in order to support program/service delivery create, collect, generate, receive

14 Use Information Activities organizations do with their information. access, exchange, transmit, disseminate, share

15 Preserve Information Activities organizations do to their information to ensure that it is authentic, reliable; available, understandable, and usable for as long as required. retain, protect, store, describe, migrate, dispose

Business Process Enabling Laws and Policies IM Infrastructure Policies Systems Standards/ practices People create use preserve Mandates and Accountabilities

18 Considerations u Two kinds of policies: u Those that pertain to information activities (create, use, preserve) u Those that pertain to the management of the infrastructure u Both kinds may be resident in the same policy instrument. u Policy addresses all of the activities performed on information. u Preservation is an integral component of the activities performed on information

19 BUT!!! Its one thing to have a policy and a vision of an infrastructure Its quite another to see them implemented consistently

20 Impact of the organization on policy development u The complexity of the landscape and the diversity of the communities responsible for information management can present a considerable challenge. u The landscape comprises three environments: u structured environment u unstructured environment u web environment

Mandate Land Management Rural Land Development Urban Land Development Lands Registration applications review Land Use Analysis Regulation Administration 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 reviewapprovalnotification B u s i n e s s P r o c e s s transactions task Structured Environment repository preserve access Accountability Instrument Information Source Info objects content context structure Info objects capture

22 The Structured Environment Highly structured business processes; assigned accountability; rigorous approach to systems design and development. Emerged from the heavily controlled ‘mainframe’ environment that supported large application systems. Policies in place to govern systems development and management but they may not account for assignment of accountability for retention and long term preservation. Standards and practices in place for systems development and data management but they may not account for digital objects as evidence or the requirements for their long term preservation.

23 The Structured Environment Database specialists are in place to manage the integrity of data, but they may not understand ‘information management’ concepts such as authenticity, evidence, and preservation.

Database Management Web Content Management Records Management Publications/ Communications Management The People Dimension Archives Library Services

Info object actions Land Management Rural Land Development Urban Land Development Lands Registration applications review Land Use Analysis Regulation Administration 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 Unstructured Environment C:\

26 The Unstructured Environment Poorly defined work processes few rules of the road; weak accountability. Personal computers emerged from a garage to serve as ‘personal support utilities’. Program managers are complaining about the e- mail issue but not prepared to deal with it. Issues extend across the life cycle - not just retention and preservation. Records management policies in place, but: Few assign accountability for electronic records management. Many address paper records only.

27 The Unstructured Environment Electronic record keeping systems are available but they are still ‘new technology’. The absence of records management controls threatens the ability of archives to appraise information objects for their archival value. Records managers and archivists are in place, but struggling to build and implement solutions

Database Management Publications/ Communications Management Web Content Management The People Dimension Library Services Records Management Archives

29 Web pages publications and communications forms

30 The web environment Policies pertain to ‘publishing’ and ‘communications’. Standards and practices based on web content management (re: publishing and communications). Systems are in place (based on content management software) but may not address retention and preservation adequately.

31 The web environment Program managers view the web as a publishing and communications tool; sensitivity about value and long term preservation may be poor. Web masters govern the environment but may not be familiar with authenticity requirements and the long term preservation of web content. Librarians and communications staff may be ‘in the loop’ but sensitivity to long term preservation issues may not be high (because the information may be of short to medium term interest). Relatively few are thinking about the implications of the evolution to a transactions-based environment.

Library Services Database Management Archives Web Content Management Publications/ Communications Management The People Dimension Records Management

33 Some Questions u Should digital preservation policies stand on their own or should they be integrated into broader IM policies? u how should the scope of digital preservation policies be defined? u How do we ensure that policies are relevant to the reality of the landscape just described? u How can we assess the impact of the often complex landscape on the policy development process? u How can we undertake such an assessment when we are dealing with a ‘moving target’?

34 Getting to there from here? The role of capability models

35 Capability Models First developed for the software industry. Later adapted by the financial management community. More recently used to assess e-government initiatives. Studies in 2002 resulted in: The development and testing of an IM Capacity Check by the National Archives of Canada The preparation of a research paper by the Public Policy Forum on capability models for records management The establishment of an initiative by the International Records Management Trust and the World Bank to develop a maturity model for use in developing countries All of the above address preservation including the preservation of information in electronic form.

36 Capability Models - Example Level 1: An infrastructure for managing information is not in place. Information is created, used and retained based on protocols established by individuals or work groups. Level 2: An infrastructure is in place for controlling the retention, protection, and disposition of information. However, the relationship between the management of information and business needs is weak. Level 3: An infrastructure is in place to ensure that information is created to support business activities, that information is able to be accessed and retrieved effectively and that it is retained and disposed of according to corporately approved standards and in compliance with laws and policies. The relationship between information management and business needs is strong. Level 4: An infrastructure is in place to ensure that the right information in authentic and reliable form is provided to the right person at the right time in the right format at a reasonable cost. Level 5: An infrastructure is in place to exploit information to meet the needs of a knowledge-based organization and its clients and partners.

37 Maturity Models To what extent is an assessent of the maturity/capability of the organization’s infrastructure (including policy)... … dependent upon an assessment of the maturity levels of the business of the organization itself?

38 Summary One size may not fit all. Distinct policies may be required for distinct environments (though ideally based on general corporate-wide policy rooted in business-driven principles). Multiple standards may be required to respond to distinct needs of individual environments. Human resources tools and techniques may be required to address the distinct communities supporting the environments. Work underway on capability and maturity models may help.