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Records and Information Governance: where is Records Management going?

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Recommended citation: Serra Serra, Jordi. "Records and Information Governance: where is Records Management going?". In: 14es Jornades Catalanes d’Informació i Documentació (COBDC), Barcelona, 4 Mach 2016.

Serra Serra, Jordi. "Documents i governança de la informació: cap a on es dirigeix la gestió documental". A: Taula rodona: Governança de la informació. 14es Jornades Catalanes d’Informació i Documentació (COBDC), Barcelona, 4 de març de 2016 (http://cobdc.net/14JCID/?page_id=312).

Publicado en: Datos y análisis

Records and Information Governance: where is Records Management going?

  1. 1. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Records and Information Governance: where is Records Management going? Jordi Serra Serra Master’s Degree in Records and Information Management in Business (MGDIE) University of Barcelona Round table: Information Governance 14es Jornades Catalanes d’Informació i Documentació (COBDC) 4 March 2016
  2. 2. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Current situation Evolution in nature and needs of organizations
  3. 3. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Current situation Evolution in nature and needs of organizations
  4. 4. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Evolution in records format Interoperable data IT IT Record eMail Born digital record Structured data (transactional) Web contents Social networks Structured data (open) Structured data (linked)
  5. 5. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Today's IT evolution axes Mobile Cloud Social Big Data RM
  6. 6. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Current situation Evolution in nature and needs of organizations Social pressure Industry pressure
  7. 7. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Social pressure  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. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 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. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 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. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Conflict of dynamics + Value (more usability for users) - Risk (more security for organization) Multiform Composed Ubiquitous Agile
  11. 11. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Current situation Evolution in nature and needs of organizations
  12. 12. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 “My recordkeeping system is safe and effective”... ...Really?
  13. 13. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Limitations of traditional RM model  Overly formal and self-demanding (perfectionist)  Discreet perspective (focus on small-data)  Based on borders and in/out actions (custodialist)  Too centralized (system like unique tool) 13
  14. 14. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Consequences of this practices  Low percentage of effective coverage  Poor reliability and security levels  Little value-added for end-users  Too long-term ROI
  15. 15. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Percentage of companies with records manager on staff 30% 46% 48% 50% 70% 54% 52% 50% 0% 20% 40% 60% 80% 100% Retail Manufacturing Energy services Financial services They have They don't Iron Mountain (2016)
  16. 16. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Low percentage of effective coverage
  17. 17. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Poor reliability and security levels 85% of US employees acknowledge that they use personal email to send corporate records. 37% of companies declare that social network’s interactions that are considered essential for the company are not captured nor preserved. 54% of organizations don't include social networks in their records management policies. John Newton, AIIM (2016)
  18. 18. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Poor reliability and security levels 65% 20% 35% 80% 0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% IT Department Legal Department Unconfident with company's recordkeeping system Confident with company's recordkeeping system Baseline Magazine (2015) •Cost and sustainibility of data archiving system •Features of data archiving solution •Easy to use solution for end users and administrators •Compliance with laws and regulations •Reduction of potential lawsuits (litigation) •Speed and accuracy in data recovery (eDiscovery)
  19. 19. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Little value-added for end-users Iron Mountain Survey (2015) Do you feel records management techniques as tools to face up 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%
  20. 20. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Too long-term ROI Memòria d’arxius 2013. Departament de Cultura, Generalitat de Catalunya.
  21. 21. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Far from meeting employer’s expectations 0% 20% 40% 60% 80% Ability for change management Experiencie in internal training Ability for innovative thinking Employers that feel it important RM that feel able to deal with “Next generation information management professionals” AIIM & Iron Mountain (2015)
  22. 22. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Decreasing volume of paper Memòria d’arxius 2013. Departament de Cultura, Generalitat de Catalunya. Grows 33% Stable 28% Decrease 39% 2014: global growing of 10% 2015: global decreasing of 6% (21% in companies up from 5000 workers) Information Governance: too important to be left to humans. AIIM Industry Watch, 2015.
  23. 23. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 A profession at risk? Records manager IT and data analysis departaments Legal and eDiscovery departaments Recordkeeping tasks automation Paper extinction  “While there are signs that the natural habitat of the records and information manager is desappearing, the future looks bright for those willing to adapt”. Sue Trombley, 2016
  24. 24. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Records management evolution drivers for 2016 New regulatory requirements New eGovernment Law in Spain Public accountability and transparency regulations Coming European data protection rules ("right to oblivion" management) New opportunities from standards Updating of ISO 15489 and ISO 16175 Updating ISO 9000 family (documented information) Further development of ISO 30300 family Growing organization's priorities Security breaches affecting business Advocacy and legal risks of non-compliance (sanctions and litigation) Loss of reputation and competitive advantage Capacity and increasing demand for data analysis
  25. 25. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Information Governance  Information governance is the specification of decision rights and an accountability framework to encourage desirable behavior in the valuation, creation, storage, use, archival and deletion of information. It includes the processes, roles, standards and metrics that ensure the effective and efficient use of information in enabling an organization to achieve its goals.  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 Debra Logan, 2010
  26. 26. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 What activities includes Information Governance? Source: eDiscovery Journal
  27. 27. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 What activities includes Information Governance? Records management (RIM) Compliance Information technology Legal (eDiscovery) Privacy And process management!
  28. 28. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Evolution of Information Governance areas
  29. 29. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Current trends Effectiveness Automation (De)centralization Datification Outsourcing
  30. 30. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Current trends Effectiveness
  31. 31. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Effectiveness  Moving from formal solutions (policies and procedures) to practical solutions to ensure the effectiveness of the system (tools and controls).  Ensuring minimum compliance over a broad range rather than maximum compliance over only a focal (limited) range.  Enhancing control over information at the creation time and in the original environment (before the formal capture through declaration as record).  Keeping and updating constantly indicators to measure the ROI of the system and the value it provides to the users and to the organization.  Automating intensively the records management actions.
  32. 32. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Current trends Automation
  33. 33. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Automation Day to day practice in a lot of companies Current trends Ask end users to capture (mostly manually) the relevant records Automated rules-based capture (RBR) Train end users to choose the right classification code from an static classification scheme Use of autocategorization and automatic classification systems Ask end users to fill manually more than three metadata for every record or case file Use of file analysis tools, templates and automatic generation of metadata Ask users to make specific actions to classify, describe or dispose records Embed classification, description and disposal actions into usual end-user actions (through collaboration tools or using a Dropbox model) Concentrate efforts to appraise and destroy original records Appraise having in mind a broader and flexible framework of records uses (processability) Limit the range of records management actions to the records that is affordable to keep and control from a single centralised system Extend the scope of the RM system, embedding RM procedures into information silos and ERP’s Build the records management platform before having control over creation environments Begin using collaboration environments and making transparent to users the records management infrastructure
  34. 34. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Automation • This requires two changes in RM systems design: • Structuring (datifying) the system to make possible the automation of more processes and tasks. • Moving towards a rules-based records management (RBR) to avoid subjectivity and not compliant actions. • This leads to previously consolidate their theoretical bases (and make it stronger than today).
  35. 35. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Current trends (De)centralization
  36. 36. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016  “Focus all the attention onto a single RM platform only gives the illusion of Information Governance maturity”.  “Knowing where our information lives is the first step to proficiently governing our organisation’s information assets”. RecordLion, 2016
  37. 37. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Model 0: information silos
  38. 38. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Model 1: records center SGD
  39. 39. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Model 2: in place RM SGD SGD SGD SGD SGD
  40. 40. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Model 3: integrated in place RM SGD SGD SGD SGD SGD SGD
  41. 41. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Current trends Datification
  42. 42. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016  “We’ve entered a new era of RIM, with big data at the forefront.”  “Data analysis has become a twisting Mobius strip, looping back not only how we look at data but also how we manage data itself.” Kon Leong, 2016
  43. 43. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Datification  Exponential growing of the capacity to collect and process data.  Crisis of the document-like-object: ◦ Unique data principle ◦ Data reuse in different contexts  Data analysis is still giving less results than it could ... because of mismanagement of information by organizations.  Records management should evolve from managing discrete entities (documents-like- objects) to managing information flows.
  44. 44. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Agents mapping Process mapping Impact on RM systems design Records series mapping Systems mapping Data mapping
  45. 45. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Current trends Outsourcing
  46. 46. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Outsourcing Direction Design and implementation Rules management service Storage and preservation service Control and audit service System update service Direction Design and implementation Rules management service Storage and preservation service Control and audit service System update service Direction Design and implementation Rules management service Storage and preservation service Control and audit service System update service Direction Design and implementation Rules management service Storage and preservation service Control and audit service System update service Direction Design and implementation Rules management service Storage and preservation service Control and audit service System update service Direction Design and implementation Rules management service Storage and preservation service Control and audit service System update service
  47. 47. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 The future is nomadic: consultancy Effectiveness Efficiency ContinuityCompliance We will We need
  48. 48. Information Governance – 14es Jornades Catalanes (COBDC) – Jordi Serra Serra – March 2016 Thank you Jordi Serra Serra serra@ub.edu http://bd.ub.es/pub/serra/ http://www.mgdie.net/es/ Recommended citation: Serra Serra, Jordi. "Records and Information Governance: where is Records Management going?". In: 14es Jornades Catalanes d’Informació i Documentació (COBDC), Barcelona, 4 Mach 2016.

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