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Liquid archives: Background changes and trends in today's Records Management (conference)

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This conference analyzes the current state of records management in relation to the needs it faces today. This state is analyzed from four factors: society, organizations, technology, and the profession, and within the last factor five variables are considered: the crisis of traditional records management, new opportunities in the framework of information governance, new developments in regulatory context, service models for records management, and the evolution of the professional profile.

Esta conferencia reflexiona sobre la situación actual de la gestión documental en relación con las necesidades a las que debe dar respuesta. Se analiza este posicionamiento desde cuatro factores: la sociedad, las organizaciones, la tecnología, y la profesión, y dentro de este último factor se contemplan cinco variables: la crisis de la gestión documental tradicional, las nuevas oportunidades en el marco de la gobernanza de la información, las novedades en el contexto normativo, los modelos de servicio de gestión documental, y la evolución del perfil profesional.

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Liquid archives: Background changes and trends in today's Records Management (conference)

  1. 1. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 “Liquid archives” Background changes and trends in today's Records Management Jordi Serra Serra Master’s Degree in Records and Information Management in Business (MGDIE) University of Barcelona Inaugural Conference of II Cycle of Archival Section (School of History) celebrating 75th anniversary of the University of Costa Rica August 26, 2015
  2. 2. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Manage uncertainty  One of most characteristic features of current thinking is uncertainty (Zygmunt Bauman). Current thinkers agree to work with fuzzy boundaries (spatial, conceptual, chronological...). This approach hits also on designing records management systems, which become:  Organic: they can modify structures and create new ones from current uses, never quite predictable.  Hybrid: they merge elements from different disciplines, and add every kind of innovations without distinction according to the providing discipline.  Evolutionary: never finished, they are always adapting to the changes in organizations and the environment.
  3. 3. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Two questions What Society demands to records management? Can today’s profession meet this demands?
  4. 4. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Factors
  5. 5. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Factors
  6. 6. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Society  Immediacy (if not online, don’t exist)  New rights relating to information  Greater accountability (publicly available)  Dilution of information ownership (reusing)  Strengthening of identities (heritage)
  7. 7. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Main driving factors for evolution  Immediacy (if not online, don’t exist)  New rights relating to information  Greater accountability (publicly available)  Dilution of information ownership (reusing)  Strengthening of identities (heritage)
  8. 8. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 New dimensions of access and use Reactive access Proactive access (public availability) Use in original context Use in a different context (reusing) TRANSPARENCY
  9. 9. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 New dimensions of access and use: main challenges Interoperability and integration (systems/CRM) Proactive access (public availability) Semantic processing (open/linked/big) Use in a different context (reusing)
  10. 10. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Factors
  11. 11. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Organizations  Multiform  Composed  Ubiquitous  Agile
  12. 12. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Conflict of dynamics + Value (more usability for users) - Risk (more security for organization)
  13. 13. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Impact on records management  Ever-increasing volume of data to manage  From formal to real (effective) compliance  From formal to real (effective) security  It’s not about assets, it’s about service  Integrated (connected) systems with decentralized implementation  Collaboration and invisibility (providers as customers)
  14. 14. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Factors
  15. 15. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Technology  New software (open & free)  New formats (data and more data, structured and linked)  New forms of distribution (cloud computing and pay per use)  New forms of interaction (federation, consumerization, mobility)
  16. 16. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Strategic trends in IT 1. Commit to the cloud 2. Mobilize everything 3. Make the business social 4. Digitize anything that moves 5. Extreme Information Management OccupyIT (2015)
  17. 17. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Cloud computing On premise IaaS PaaS SaaS Application Platform Infrastructure  User needs adapting  Safer continuity  Best long-term cost  Faster deployment  Easy to upgrade  Best short-term cost
  18. 18. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 A new opportunity On premise IaaS PaaS SaaS Development effort Analysis and change management effort IT IT
  19. 19. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 The map of entities to manage has become more complex ... Record eMail Born digital record Structured data (transactional) Web contents Social networks Structured data (open) Structured data (linked)
  20. 20. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 ... or maybe not Interoperable data IT IT Record eMail Born digital record Structured data (transactional) Web contents Social networks Structured data (open) Structured data (linked)
  21. 21. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Factors
  22. 22. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Profession RM crisis RM to IG Regulatory framework Service model Professional profile
  23. 23. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Profession RM crisis RM to IG Regulatory framework Service model Professional profile
  24. 24. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Records Management is death… as we know it! J. Mancini, 2015
  25. 25. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 An example 0% 20% 40% 60% 80% 100% Records storage EDRMS Business S. eMail?
  26. 26. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 … Another example
  27. 27. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 … And another example  Dilemma about information ownership  Extensive replication of information  Broader context for information  Ability to record sensitive aspects of business processes
  28. 28. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Two spheres Communications (spontaneous) Documents (declared as records by users) + Trust -
  29. 29. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Limitations of traditional RM model  Overly formal and self-demanding (perfectionist)  Discreet perspective (focus on small-data)  System based on borders (custodialist)  Too centralized (system like unique tool) 29
  30. 30. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Consequences of this practices  Low percentage of effective coverage  Low reliability and security levels  Little value-added for end-users  Too long-term ROI
  31. 31. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Consequence: people don’t use it Iron Mountain Survey (2015) Do you trust in records management techniques as tools to face information risks, and do you think they meet your needs? Do you know the records management system of your organization, and who are their responsibles? If yes, do you meet regularly with those responsibles for learning, advice, etc.? Yes 15% No 85% Yes 58% No 42% Yes 31% No 69%
  32. 32. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Profession RM crisis RM to IG Regulatory framework Service model Professional profile
  33. 33. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Main driving factors for evolution  Consumerization  Mobility and renouncement to ownership  Change in the nature of work  Effective security requirements, not merely formal
  34. 34. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Evolution towards a new model  Overly formal and self- demanding  Based on borders  Too centralized  With little value-added  Low reliability and security levels  Good faith + Broader and detailed control  Cross information processing, integrating and aggregating different systems and sources  Guidelines for IT systems design  Automated capture and RM tasks (Dropbox model: only save, search and share)  Cross control + Paperless management + Digital preservation as standard
  35. 35. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Examples of this evolution  Obama’s 2011 Presidential Directive on Managing Government Records  CAPSTONE approach (NARA)  eMail accounts  Pre-accessioning  Big Buckets and new structures to classify  BYOD and CYOD policies  AILM Model
  36. 36. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Information Governance  Information Governance is a framework of people, principles, processes and tools, that defines why, when and how information is managed within an organisation, in order to maximise its value, fulfil obligations, reduce costs and reduce risk. George Parapadakis, 2014
  37. 37. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Revolution or evolution? Records management Information governance Information governance Records management
  38. 38. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 What activities includes Information Governance? Source: eDiscovery Journal
  39. 39. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Which areas includes Information Governance? Records management (RIM) Compliance Information technology Legal (eDiscovery) Privacy And process management!
  40. 40. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 An example of evolution: appraisal techniques  Few and too abstract methodological references.  Growing doubts of its utility looking at the continued increase in storage and processing capacity of information systems.  Doubts also by the low efficiency and effectiveness of current procedure.
  41. 41. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Paradigm shift: appraise to preserve • “The traditional media-centric space-reduction paradigm has been augmented by another paradigm, one that organizations today believe is even more important. It is content-centric and its focus is risk reduction.” Cohasset Associates
  42. 42. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Appraise by… Value / Use • Primary values • Secondary values Constraints • Risks • Cost / benefit
  43. 43. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Another example of evolution: RIM systems design Records series mapping Information systems mapping Data mapping
  44. 44. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Profession RM crisis RM to IG Regulatory framework Service model Professional profile
  45. 45. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 An opportunity: ISO 30300 family  Customer/user oriented  Leadership, responsibility, involvement and accountability of agents  Focused on processes  Integration into the whole of organization’s management systems  Continuous improvement
  46. 46. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Another opportunity: the ISO 15489 revision  Consideration of process analysis as a basic source to identify records requirements.  Consideration of dynamic records, data-based systems, and the relativity of RIM system boundaries in datacentric environments.  Explicit consideration of relationships with other standards.  Planned integration with long-term preservation systems and functionalities.
  47. 47. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 And another one: the new ISO 9001:2015  Strengthens the need to establish recorded and auditable metrics for achievement of objectives.  Strengthens the process approach, and especially the integration of quality management system with the overall management of business processes.  Strengthens the approach based on risks and opportunities.  Evolves from recorded procedures to recorded information (not to keep documents, but the control).
  48. 48. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Profession RM crisis RM to IG Regulatory framework Service model Professional profile
  49. 49. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 RIMS OAISPolicies Understanding the role of RM (RIM) system inside the organization
  50. 50. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 RIMS OAIS Policies Understanding the role of RM (RIM) system inside the organization
  51. 51. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 RIMS OAIS Policies Understanding the role of RM (RIM) system inside the organization
  52. 52. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 RIMS OAISPolicies Understanding the role of RM (RIM) system inside the organization
  53. 53. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 System’s architecture: a matter of model  In place RM  Internal RC  External RC Document center Document center Records center Document center Records center
  54. 54. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Organizational model for RM (RIM) system maintenance Service delivery Manager Guidelines Tools Services provided by an internal department, using resources partially outsourced, or fully outsourced. Always own. Mandatory according to ISO 30300. Developed by an internal department, or provided by an external consulting company, including periodic maintenance. Tools provided by an internal department (on-premise or SaaS), or as rules embedded in business information systems.
  55. 55. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Several organizational models for RM (RIM) system maintenance Service delivery Manager Guidelines Tools Service delivery Manager Guidelines Tools Service delivery Manager Guidelines Tools Service delivery Manager Guidelines Tools Service delivery Manager Guidelines Tools
  56. 56. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 The future is nomadic: consultancy Effectiveness Efficiency ContinuityCompliance We will We need
  57. 57. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Opportunities for RIM projects Projects Operational level Strategic level RIM system design and implementation RIM Shared: in-case actions Solutions for specific business processes Solutions for teamwork and collaboration RIM headed: cross actions Solutions for end-user office work ECM Solutions for RIM and digital archiving
  58. 58. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Integrating three kinds of projects RM/RIM system design and implementation project IT solution development project Business process reengineering project
  59. 59. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Always with an unavoidable service: long-term digital preservation REPOSITORY Replication Refreshing TRUSTED REPOSITORY Integrity checking Access control PRESERVATION REPOSITORY Characterization and packaging Migration Emulation and virtualization
  60. 60. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Profession RM crisis RM to IG Regulatory framework Service model Professional profile
  61. 61. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Come back to endless discussion... What’s a ”Records Management Professional”?
  62. 62. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Traditional barriers in countries where archival science is the original professional context  Social image  Organizational location  Competences distribution  Training and collaborative skills  Systems ownership  Unwillingness to action
  63. 63. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Main driving factors for evolution  Blurred borders: cooperation with other professionals and joint projects.  Acceptance of invisibility: respect to competences distribution and greater autonomy to business systems and end-users.  Conceptual and methodological strength, and use of really effective tools.  Differentiation between business records management and cultural heritage management as two strongly specialized areas.
  64. 64. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Focused records manager profileAuditing Consultancy Development Process management Records management Business analytics RM
  65. 65. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Extended records manager profileAuditing Consultancy Development Process management Records management Business analytics RM
  66. 66. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Hybrid records manager profileAuditing Consultancy Development Process management Records management Business analytics RM BPM ERP
  67. 67. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Hybrid process analyst profileAuditing Consultancy Development Process management Records management Business analytics RM BPM ERP
  68. 68. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Full hybrid profileAuditing Consultancy Development Process management Records management Business analytics RM BPM ERP CRM BI
  69. 69. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Third line Second line First line The metamorphosis of records manager Records manager Records auditor Records controller Records quality manager Records architect Records capture officer Records preservation officer Records accessibility officer Frans Smit, 2013 “Cloud” “Onpremise”
  70. 70. Inaugural Conference - University of Costa Rica - Jordi Serra Serra - August 26, 2015 Thank you Jordi Serra Serra serra@ub.edu http://www.mgdie.net/en/ http://bd.ub.es/pub/serra/

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