2. Information Management Capacity Check NRCan Case Study: A Baseline for Success ERPANET Workshop – Antwerpen – April 2004 Bob Provick – Library and Archives Canada

3. 2 Agenda The IMCC and Methodology – A Quick Review Case Study: The NRCan Experience Audit/Evaluation - Preservation – What’s the Hook? Questions and Discussion

4. 3 Intellectual Property The IM Capacity Check Tool may only be used in accordance with the following:  The IM Capacity Check Tool has been designed for the use of federal departments and agencies, or other parties working on their behalf. This condition does not preclude third party organizations providing chargeable services utilizing this product in support of the federal government IM Capacity Check self-assessment. Third parties may utilize the IM Capacity Check for self-assessment but no third party may use this product for commercial gain outside the intended use for the federal government.  Use of the IM Capacity Check Tool must acknowledge and identify BearingPoint (formerly KPMG Consulting LP) as the owner of this product. Departments and agencies have the right to adapt the product, and could do a self-assessment on their own or engage the services of consultants to help them carry out an assessment. Any adaptation must still continue to acknowledge and identify BearingPoint (formerly KPMG Consulting LP) as a source of this product.

5. Elements of IM Capacity 4

6. Element Descriptions  Portfolio Management  Project Management  Relationship Management  IM Community  Expert Advice  IM Tools  Technology Integration Organizational Capabilities – Defines the criteria to assess an organization’s capacity to develop the people, process and technology resources required for sound IM.  External Environment Organizational Context – Defines criteria to assess an organization’s capacity to support, sustain and strengthen IM capabilities.  Culture  Change Management Management of IM – Defines criteria to assess an organization’s capacity to effectively manage activities in support of IM as it relates to the effective delivery of programs and services.  Leadership  Strategic Planning  Roles and Responsibilities  Principles, policies and standards  Program Integration  Risk Management  Performance Management Compliance and Quality – Defines the criteria to assess the organization’s capacity to ensure its information holdings are not compromised.  Business continuity  Compliance  Information quality  Security  Privacy Records and Information Life Cycle – Defines the criteria to assess the organization’s capacity to support each phase of the records and information life cycle.  Planning  Collect, create, receive and capture  Organization  Use and dissemination  Maintenance, protection and preservation  Disposition  Evaluation User Perspective – Defines the criteria to assess the organization’s capacity to meet the information needs of all users.  User satisfaction  User awareness  User training and user support 5

7. 6  Capacity 1 – Initial (No systematic or formal approach exists for this capacity. Processes and practices are fragmented or non-existent. Where processes and practices exist, they are applied in an ad-hoc manner.)  Capacity 2 – Defined (Processes and practices are defined to varying degrees and are not applied consistently. Basic management controls and disciplines for the capacity are in place.)  Capacity 3 – Repeatable (Processes and practices are defined, well understood and used consistently across the organization. Processes and practices are also well documented.)  Capacity 4 – Managed (A well-defined framework exists for this capacity. Process and practices are measured and managed to ensure delivery of desired results. Process and practices are embedded in the values of the organization and are coordinated in an integrated manner.)  Capacity 5 – Optimizing (Focus on continuous improvement of the capacity. The concepts of innovation, organizational learning and continuous improvement of the capacity are incorporated into the values of the organization and are consistently applied.) Level/Scale Descriptions

8. Core project team Experts in: IM Program delivery Information technology Organizational context User context Organizational managers who are knowledgeable of the organization’s IM practices Project planning 1 Data Collection 2 Action Plan 5 Validation 4 Consolidate findings 3 Overall methodology and timeline for assessment (cont’d) Project Team: 1 - 2 days Project Team: 0.5 - 1 days Project Team: 2 - 2.5 days Project Team and Senior Management:.1- 2 days 3 – 4 months 7

9. CAPACITY12345 Roles and Responsibilities The extent to which IM roles and responsibilities are clearly defined, understood and accepted. Appropriateness of the organization and governance structures to support IM. IM roles and responsibilities are not well defined. The organization and governance structures are not appropriate for the management of IM initiatives. IM roles and responsibilities are generally defined but not well understood. Some overlaps and gaps exist vis-à- vis roles and responsibilities. Minimal governance structures exist in support of IM. The IM governance structure may be fragmented or inappropriately positioned within the organization. IM roles and responsibilities are clearly defined and understood, and generally aligned with the organization’s objectives. Little or no overlaps or gaps in IM responsibilities exist. The governance structure is appropriately positioned within the organization. Effective governance structures are in place. Changes to IM roles, responsibilities, organization and governance structures are made quickly and pro-actively following regular consultation with stakeholders. An IM champion is responsible for ensuring the integration of IM practices across both administrative and program areas. IM roles, responsibilities, organization and governance structures are continuously reviewed and updated to reflect changing business and technology environments. Step 3.1 - Assessing the Capabilities- “As Is” and “To be” assessment Current capabilities are assessed based on key elements of the IM Capacity Check, and criteria provided for each key element. The capabilities depicted within the criteria represent different states or plateaus that the organization may strive to achieve. The descriptions are incremental. The capability descriptions are based on generally recognized best practices, but have been customized to reflect the Government of Canada context. The Organization identifies which level of "maturity" would be the most appropriate in support of its business needs, priorities and consistent with its capabilities. A rating system of “1” to “5” is used. A rating of “5” does not necessarily mean “goodness”, but rather, maturity of capability. The ideal maturity rating for any area is dependent on the needs of the Organization. Existing maturity Future capability Where the organization may strive to be in the future 8

10. Step 3.1 - “As-Is” and “To-Be” Assessments overview 12345 Organizationbal Context Culture Change Management External Environment Organizational Capabilities IM Community IM Tools Technology Integration Portfolio Management Project Management Relationship Management Management of IM Leadership Strategic Planning Principles, Policies and Standards Roles and Responsibilities Program Integration Risk Management Performance Management Compliance and Quality Information Quality Security Privacy Business Continuity Compliance Records and Information Life Cycle Planning Collect, Create, Receive and Capture Organization Use and Dissemination Maintenance Protection and Preservation User Perspective User Awareness User Training and Support User Satisfaction Expert Advice As-Is:To-Be: Legend Disposition Evaluation 9

11. Step 5 - Contents of Assessment Report Executive Summary Key Themes Summary of Findings Highlights of Findings Projects Action Plan Background Overview Objectives of the Capacity Check Key Characteristics Key IM Elements Examined The Mechanics of the Capacity Check Project Objectives, Scope and Process Overview Summary of IM Capacity Check Assessment findings/ opportunities (by criteria) Lessons Learned Appendix A - Background Information Interviews Workshops Documents Reviewed 10

12. 11 What you get!  Does: Assessment of all high level elements of IM Assessment of your current state of IM and desired future state Gap Analyses Identification of best practices to leverage Engages all stakeholders in process Results in a prioritized action plan that speaks to Senior Managers  Does Not: Tell you how to move from one level to the next (what not how) Cost the effort required to move to desired state Make the Business Case for IM (what not why)

13. 12 Case Study: The NRCan Experience

14. 13 The objectives of the assessment at NRCan were as follows:  To assess the state and capabilities of current IM practices within NRCan against a common standard/best practices.  Identify priority areas for improvement.  Set the foundation for an IM Business Case and related cost.  To test the IM Capacity Check tool and identify lessons learned through the implementation process. IM Capacity Check Pilot at NRCan Objectives…

15. 14 IM Capacity Check Pilot at NRCan Context… Clear mandate to disseminate information about natural resources and sustainable development Science-based organization Many domains requiring long-term access to data/information Need to create new knowledge Demographic issues Information management lacking resource issues awareness of importance Increased focus on information government-wide

16. 15 IM Capacity Check Pilot at NRCan Resources… 15 Project Team members Representation from IM (corporate and sectors), IT, NRCan-on-line, Audit, Libraries, Library & Archives Canada 13 individual interviews 2 workshops – 37 participants together 6 validators Timeline – May 13 to July 26 –Project Planning (May 13 – 27) –Data Collection (June 3 – 21) –Consolidation of Findings (June 24 – July 2) –Validation (July 4 – 12) –Action Planning (July 15 – 26)

17. 16 IM Capacity Check Pilot at NRCan Background…  I-Governance framework development underway.  Clean-up Procedures and Disposition of Information Held in Private Offices.  IM Readiness Survey  NRCan Metadata Standards  NRCan Best Practices for Information Management  IM Requirements for NRCan’s Personal Information Holdings  IM Compliance Assessment and Risk Analysis  Subject Classification Structure being developed.  ATIP Information Collection Guidelines  IM Issues Action Plan  Program Integrity for both IM and IT  Draft IM Policy and Access to Knowledge Policy  RDIMS Readiness at NRCan  IM in an Electronic Environment E-Mail Guidelines

18. 17 Summary of IM maturity levels at NRCan The chart indicates the “As Is” and “To Be” capability level for each of the 30 criteria of the IM Capacity. The “as is” level represents the current assessment of NRCan’s capabilities for each criterion. The “to be” level represents the desired capability level that could realistically be achieved within the next three years. A higher capability level is not any better than a lower capability level. The ideal capability level for any criteria is dependent on the needs and goals of the organization. 12345 Organizational Context Culture Change Management External Environment Organizational Capabilities IM Community IM Tools Technology Integration Portfolio Management Project Management Relationship Management Management of IM Leadership Strategic Planning Principles, Policies & Standards Roles & Responsibilities Program Integration Risk Management Performance Management Compliance & Quality Information Quality Security Privacy Business Continuity Compliance Information Life Cycle Planning Collect, Create, Receive & Capture Organize, Use & Disseminate Maintain & Preserve Dispose User Perspective User Awareness Expert Advise User Training & Support User Satisfaction As-Is:To-Be: Legend “To be” levels at level 4 or higher represent those management practices where NRCan needs to excel. These are: Culture, and Information Quality. Level 5 reflects best practices, and is therefore the exception.

19. 18 Top Priority Opportunities Enhance and formalize IM Leadership within the Department. Establish a current Departmental vision for IM. Develop a business case for the IM Portfolio. Build the momentum to enable a transformation to an IM culture. Strengthen the IM capacity and further develop the IM competency.

20. 19 Top Priority Opportunities (cont’d) Establish a formal Governance and Accountability framework to clarify and promote IM roles and responsibilities. Develop, update and implement formal framework of IM policies, principles and standards. Develop effective IM tools for users and IM practitioners. Formalize a departmental strategic planning process for IM. Develop and implement a corporate IM communications strategy.

21. 20 Summary of Priorities and Opportunities (cont’d) Major Change To facilitate the prioritization of the projects, we have graphed them in the chart below, based on two factors: level of effort to implement, and expected impact that the initiative will have on NRCan. Those of low effort and high impact may be likely candidates to begin with, to gain some initial successes. IMPACT EFFORT low medium high low medium high Clarify IM roles and responsibilities Building IM Capacity Formalize IM Leadership IM Policy and Standards Framework Cultural Transformation Administrative Question Mark IM Tools Strategic Planning Framework Business Case for IM Portfolio Communications Strategy IM Vision Building IM Competency IM Tools Low Hanging Fruit

22. 21 Opportunities Timing Short Term Long Term Medium Term Year 1Year 2Year 3 IM Leadership Cultural transformation Business Case for IM Portfolio IM Tools IM Polices & Standards IM Roles & Responsibilities Build IM Capacity IM Competency/Skills Development Communications Strategy Strategic Planning Framework IM Vision Transition Map – Strengthening the IM Foundation - Work Started Sustainability

23. 22 Key Priority IM Project Opportunities IM Governance Framework Business Planning Information Life-Cycle Management IM Tool Set IM Awareness & Communication IM Community Development IM Skill Development Strategy IM Security & Privacy Review Information Holdings IM Monitoring

24. 23 IM Governance Framework Goal: Developing a structured approach by assigning governance and accountability of IM and information stewardship throughout all levels of the Department. Benefits: Using resources more effectively, improving decision making, increasing awareness of committee mandates and responsibilities throughout the IM life-cycle, clarifying of accountabilities, and complying with MGI requirements. Key elements: qFormalizing a department wide approach to committee management qDefining committee mandates, timetables, roles and responsibilities qIntegrating efforts across committees qCommunicating throughout department and with stakeholders qComplying with MGI framework Proposed action items: qEstablishing and implementing I-Governance framework and communicating its associated matrix of accountabilities. qStrengthening IM leadership by establishing IM Steward/Champion and formalizing an IM vision for the Department. qIntegrating and evaluating IM roles and responsibilities as part of senior management and staff accountabilities. qCreating a recognition and reward program for IM stewardship. Risks of not doing it: qInconsistent management of horizontal issues will increase risk associated with delays, lack of decision making, lack of visibility qInability to leverage investment of resources, knowledge across the Department to meet business goals qNot complying with the MGI Formalizing IM Governance model Assigning governance and accountability of IM and information stewardship throughout all levels of the Department. Staff: 3.25 FTE Prof Services: $0K Status of Progress: Low- Medium Effort Impact

25. 24 IM Capacity Check Pilot at NRCan Benefits Assess the state and capabilities of current IM practices at NRCan against a common standard / best practices Establish a mechanism to identify reasonable “end state” Identify priority areas for improvement Provides lead towards developing IM, IT, NOL Strategy Use key results for supporting an IM Program Prioritization of current and planned activities Brought people together as a community Positions NRCan to improve their IM capacity Increase awareness and understanding of IM issues Highlight risk areas and provided basis for mitigating risk Established the basis for costing IM to meet legislative and business requirements In house capability to re-assess

26. 25 IM Capacity Check Pilot at NRCan Lessons Learned… Broad buy-in before starting is key Common understanding of IM is useful and could help in debate at assessment stage Involve people with knowledge and opinions about IM throughout the project…need a full mix of participants Involve key business people and senior management Best if momentum continues – keep timeframes tight, yet reasonable Ensure all participants are clear about time commitments Truly need to review what you have in place and build from this common point Communicate, communicate, communicate

27. 26 IM Capacity Check at NRCan Key Next Steps for 2004-2005: Separate IM – IT Advisory Committees departmental Infostructure Committees Create an Accountability Matrix Employee IM Awareness Initiative (including protection/safeguarding info) Workgroup on preservation and disposition of paper and electronic records

28. 27 Audit/Evaluation - Preservation What’s The Hook?

29. 28 Audit/Evaluation – Preservation What’s The Hook? The IMCC self-assessment approach for IM works at all levels in an organization. The IMCC approach can be used to inform the development of an IM audit/evaluation program for any organization Several IMCC criteria relate directly to the issues of preservation e.g. security, quality, compliance, maintain/preserve/protect, risk management and evaluation…..

30. 29 Audit/Evaluation IM Criteria in the GoC – A Work in Progress IMCC self-assessment criteria MGI Policy compliance indicators Performance measurement indicators for the management of information

31. 30 Questions - Discussion Bob Provick Senior Project Officer Government Records Branch Library and Archives of Canada Telephone: (613) 947-1511 Fax:(613) 947-1500 E-mail: bprovick@archives.cabprovick@archives.ca

32. 31  Where you can find stuff on the web www.archives.ca www.archives.ca/06/060 e.html  How to get in touch with our Call Centre imgi@archives.ca or (613) 944-4644