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

2. 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?

3. 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)

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

5. The Structured Environment

6. 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

7. Records
Management
Database
Management
Web
Content
Management
Publications/
Communications
Management

8. The Unstructured Environment

9. 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

10. 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:\

11. 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

12. 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

13. Records
Management
Database
Management
Web
Content
Management
Publications/
Communications
Management

14. 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).

15. 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

16. forms
‘publications’
Web pages

17. Records
Management
Database
Management
Web Content
Management
Publications/
Communications
Management

18. Where are we heading?

19. 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”

20. 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.

21. 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.

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

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

25. 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

26. 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

28. From web sites…
…To portals

31. 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

32. 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(?)

33. 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.

34. 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.

35. Database
Management
Records
Management
Web Content
Management
Publications/
Communications
Management

37. Admin
records mgt

38. ?

39. records management positioned?
How well is
records management positioned?

40. 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.

41. Database
Management
Records
Management
Web Content
Management
Publications/
Communications
Management

42. 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.

43. 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

44. 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

45. 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?