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Measuring IM Capacity in Public Sector Institutions

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IM 'Case for Action', National Archives of Canada, 2002 (A. Lipchak, J. McDonald, ... IM the weak link in e-government. Preserving digital information ... – PowerPoint PPT presentation

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Title: Measuring IM Capacity in Public Sector Institutions


1
Measuring IM Capacity in Public Sector
Institutions
  • ERPANET WORKSHOP
  • Antwerpen
  • April 14, 2004
  • Andy Lipchak
  • INFOTEGRITY CONSULTING

2
Information Management
  • Records Management
  • Archival Management
  • Library Services
  • Information Access and Privacy Administration
  • Web Content Management
  • Information Systems (I IT Architecture,
    Database Management, Data Analysis/ Management)

3
(No Transcript)
4
Overview
  • Current IM environment in the Government of
    Canada
  • Importance of measurement and evaluation in IM
  • Methodologies and tools for assessing IM capacity
    and effectiveness
  • A Vision for IM

5
Information
  • Is the defining resource of governance
  • Enables the achievement and assessment of
    effectiveness, transparency, accountability and
    trust
  • Must be managed as an asset
  • Is increasing in volume and complexity

6
IM Reviews
  • IM Situation Analysis, 2000 (J. McDonald)
  • Information Commissioner of Canada Reports
    (2001,2003)
  • Auditor General of Canada Reports
  • Access to Information Review, 2002
  • IM Case for Action, National Archives of
    Canada, 2002 (A. Lipchak, J. McDonald, S.
    Campbell)

7
The E-Records Challenge
  • Electronic information fragile and increasingly
    complex
  • Canada ranks high in e-government
  • IM the weak link in e-government
  • Preserving digital information
  • Moving from paper mountain to data stream

8
Changing the Management and IM Culture
  • Internal administration ? user needs
  • Centralization ? shared decision-making
  • Structures and processes ? relationships and
    results
  • Risk avoidance ? risk management
  • Hoarding information ? sharing
  • Managing IT ? managing and exploiting data,
    information and knowledge

9
Management Accountability Framework -- Canada
10
IM Leadership and Initiatives
  • Chief Information Officer Branch
  • Library and Archives Canada
  • Management of Government Information Policy (MGI)
  • Framework for Management of Information
  • Renewing the IM community
  • IM Champions

11
Department Level IM
  • Improving IM policies, processes and governance
  • Focus on assessing IM capacity
  • EDRMS
  • 6 Million (Cdn.) available for IM projects

12
Measurement and Evaluation
  • Essential for defining and determining success
    improving individual and organizational
    performance
  • Provides feedback on problems, adjustments
  • Supports planning and budgeting
  • Establishes benchmarks
  • Justifies investments
  • Demonstrates compliance

13
What Should We Evaluate?
  • Value and use of information internal
  • Value and use clients and users
  • Information and knowledge sharing
  • Information quality and integrity
  • IM governance and accountability
  • IM policies, standards and practices
  • Legal and policy compliance
  • Costs and risks of IM
  • IM skills and competencies
  • Use of technology

14
IM Readiness Check
  • IM Vision
  • IM Governance
  • IM Culture
  • IM Strategies and Plans
  • IM Infrastructure
  • IM Resources
  • IM Competencies
  • IM Practices

15
IM Review Guide
  • Management of IM Function
  • Management of Recorded Information Life Cycle
  • Management of IM Project Life Cycle
  • Management of Information Products/Services Life
    Cycle

16
MGI Compliance Check
  • Enhancing Public Trust
  • IM in Planning Cycle
  • Collect, Create, Receive, Capture
  • Organize, Use, Disseminate
  • Maintain, Preserve
  • Dispose

17
MGI Compliance Check
Requirement Paper Elec-tronic Web
Enhancing Public Trust
IM in Planning Cycle
Create, Collect, Receive and Capture Information
Organize, Use, Disseminate Information
Maintain, Preserve Information
Dispose of Information
18
The Information Management Capacity Check (IMCC)
19
Elements of IM Capacity
IMCC Library and Archives of Canada
20
IMCC Element Descriptions
Organizational Context Defines criteria to
assess an organizations capacity to support,
sustain and strengthen IM capabilities.
Compliance and Quality Defines the criteria to
assess the organizations capacity to ensure its
information holdings are not compromised.
  • External
  • Environment
  • Culture
  • Change Management
  • Business Continuity
  • Compliance
  • Information quality
  • Security
  • Privacy

Organizational Capabilities Defines the
criteria to assess an organizations capacity to
develop the people, process and technology
resources required for sound IM.
Records and Information Life Cycle Defines the
criteria to assess the organizations capacity to
support each phase of the records and information
life cycle.
  • Portfolio Management
  • Project Management
  • Relationship
  • Management
  • IM Community
  • Expert Advice
  • IM Tools
  • Technology Integration
  • Maintenance,
  • Protection and
  • Preservation
  • Disposition
  • Evaluation
  • Planning
  • Collect, Create, Receive and Capture
  • Organization
  • Use and Dissemination

Management of IM Defines criteria to assess an
organizations capacity to effectively manage
activities in support of IM as it relates to the
effective delivery of programs and services.
User Perspective Defines the criteria to assess
the organizations capacity to meet the
information needs of all users.
  • Leadership
  • Strategic Planning
  • Roles and Responsibilities
  • Principles, Policies and Standards
  • Program Integration
  • Risk Management
  • Performance
  • Management
  • User Satisfaction
  • User awareness
  • User Training and User Support

21
  • 3. Management of IM
  • Leadership
  • The extent to which senior management is aware,
    understands, demonstrates commitment to a clear
    vision and set of strategic objectives.
  • Strategic Planning
  • Quality of strategic, business and operational
    plans for IM, and the linkages between plans,
    costs, benefits, resources and controls.
  • Principles, Policies and Standards
  • Existence of framework to effectively support
    IM. Degree to which IM principles, policies and
    standards exist, are understood and applied.
  • Roles and Responsibilities
  • Extent to which roles, responsibilities,
    performance, and accountabilities are clearly
    defined, understood and accepted.
    Appropriateness of the organizational and
    governance structures to support IM.
  • Program Integration
  • Extent to which the organizations programs and
    projects proactively and efficiently integrate IM
    principles, policies and standards.
  • Risk Management
  • Mechanisms for identifying, measuring, and
    monitoring relevant risks for IM.
  • Performance Management
  • Extent to which the achievement of financial and
    operating results are embedded into the
    performance management framework for IM.
  • 1. Organizational Context
  • Culture
  • Recognition by the organization that
    information is a strategic corporate asset
    requiring stewardship. Degree of support and
    reinforcing behavior that is consistent with
    these values.
  • Change Management
  • Mechanisms to facilitate the adoption of change
    within IM and related initiatives.
  • External Environment
  • The extent to which the organization conducts
    environmental scans and assesses their possible
    impacts on IM.
  • 5. Records and Information Life Cycle Management
  • Planning
  • The extent to which information life-cycle
    requirements are incorporated in the development
    of policies, programs, services and systems.
  • Collection, Creation, Receipt and Capture
  • The extent to which information collection,
    sharing and re-use are optimized and decisions
    are documented.
  • Organization
  • The extent to which information is identified,
    categorized, catalogued and stored to effectively
    and efficiently support the business process.
  • Use and Dissemination
  • The extent to which the organizations
    information can be located, retrieved and
    delivered to provide users with timely and
    convenient access.
  • Maintenance, Protection and Preservation
  • The extent to which the long-term usability and
    safeguarding of information is ensured.
  • Disposition
  • The extent to which organizational retention and
    disposal plans are followed to ensure the timely
    disposition of information, subject to legal and
    policy obligations.
  • Evaluation
  • The extent to which an organization can assess
    the overall compliance and performance of its
    information management program.
  • 2. Organizational Capabilities
  • IM Community
  • The extent to which IM specialists have the
    competencies and capacities to meet the
    challenges of IM on a sustained basis.
  • Expert Advice
  • Extent to which expert advisors are available
    and utilized for objective commentary and
    independent advice for supporting IM.
  • IM Tools
  • The extent to which IM tools efficiently and
    effectively support IM.
  • Technology Integration
  • The degree to which IM enabling technologies
    are integrated across the organization to support
    the delivery of information, programs and
    services.
  • Portfolio Management
  • Extent to which mechanisms to plan, track, and
    evaluate the overall IM project portfolio are
    available to staff.
  • Project Management
  • Extent to which mechanisms to manage projects in
    the organization exist to ensure the optimal
    design, development and deployment of IM
    initiatives.
  • Relationship Management
  • The extent to which mechanisms or processes
    exist to facilitate partnerships and
    consultations between organizations and other
    stakeholders in support of effective IM.
  • 4. Compliance and Quality
  • Information Quality
  • The extent to which processes for ensuring
    information are accurate, consistent, complete
    and current.
  • Security
  • Extent to which mechanisms ensure information is
    protected from unauthorized access, use and
    destruction.
  • Privacy
  • Mechanisms to ensure that an individuals rights
    to privacy in the collection and disclosure of
    information are respected.
  • Business Continuity
  • The existence of mechanisms to ensure timely
    information recovery, restoration of essential
    records and business resumption.
  • Compliance
  • The extent to which audit and review processes
    are in place to ensure awareness of and
    compliance with applicable IM legislation,
    policies and standards.
  • 6. User Perspective
  • User Awareness
  • The extent to which information users are aware
    of organizations information products and
    services.
  • User Training and User Support
  • The availability of user training and support
    programs to facilitate the access and use of
    information.
  • User Satisfaction
  • Mechanisms to measure, evaluate, and learn from
    user feedback on information products and
    services.

22
Element 5 -- Records and Information Life Cycle
Management Planning The extent to which
information life-cycle requirements are
incorporated in the development of policies,
programs, services and systems. Collection,
Creation, Receipt and Capture The extent to
which information collection, sharing and re-use
are optimized and decisions are
documented. Organization The extent to which
information is identified, categorized,
catalogued and stored to effectively and
efficiently support the business process. Use and
Dissemination The extent to which the
organizations information can be located,
retrieved and delivered to provide users with
timely and convenient access. Maintenance,
Protection and Preservation The extent to which
the long-term usability and safeguarding of
information is ensured. Disposition The extent
to which organizational retention and disposal
plans are followed to ensure the timely
disposition of information, subject to legal and
policy obligations. Evaluation The extent to
which an organization can assess the overall
compliance and performance of its information
management program.
23
Records and Information Life Cycle (excerpt)
Capacity 1 2 3 4 5
Maintenance, Protection and Preservation The extent to which the long-term usability and safeguarding of information is ensured. No consideration has been given to ensure the long-term usability and safeguarding of information. Consideration has been given and some methods put in place to safeguard information from improper disclosure, use, disposition or destruction. Communication of maintenance procedures is internal only. The organization has developed an approach that incorporates established principles for maintaining, protecting and preserving information, regardless of format. These are communicated to internal users and some external stakeholders. Information of enduring value to the Government of Canada has been identified and steps taken to ensure its long-term availability. Consideration has been given to the impact technological change may have on the usability of information. The organization has a formal set of principles, policies and standards for maintaining, protecting and preserving information. These principles, policies and standards are in wide-spread use throughout the organization. External stakeholders and clients are aware of, and comply with, this framework. The organization regularly collaborates with stakeholders and reviews its information assets and associated legal and policy obligations to determine if current information maintenance and preservation principles, policies, and standards are appropriate immediate corrective actions are taken as necessary.
Capacity 1 2 3 4 5
Disposition The extent to which organization-level retention and disposal plans are followed to ensure the timely disposition of information, subject to legal and policy obligations. No consideration has been given to disposing of information. Consideration has been given and some methods put in place for the appropriate disposal of information. The organization has limited coverage of Records Disposition Authority for all records under its control. The organization has developed an approach to information disposal which adheres to retention and disposition plans, Records Disposition Authorities, and other legal and policy obligations. Information of historic value is transferred to the National Archives and surplus internal and external published information is transferred to the National Library. The organization has a formal set of principles, policies and standards for disposing of information. These principles, policies and standards are in wide-spread use throughout the organization, and with key stakeholders and clients. The organization has comprehensive coverage of Records Disposition Authority for all records under its control. The organization regularly collaborates with stakeholders and reviews its information assets and associated legal and policy obligations to determine if current information disposal principles, policies, and standards are appropriate immediate corrective actions are taken as necessary.
61
24
As-Is and To-Be Assessments Overview
1
2
3
4
5
Culture
Organizational Context
Change Management
External Environment
IM Community
Organizational Capabilities
Expert Advice
IM Tools
Technology Integration
Portfolio Management
Project Management
Relationship Management
Management of IM
Leadership
Strategic Planning
Principles, Policies, 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, Capture
Organization
Use and Dissemination
Maintain, Protect, Preservation
Disposition
Evaluation
User Awareness
User Perspec- tive
User Training and Support
User Satisfaction
IMCC-Library and Archives Canada
25
IMCC Strengths
  • Enables identification of current and desired
    capacity (gap analysis)
  • Includes all important management elements
  • Identifies priorities and provides a high level
    road map, links to resources
  • Involves a variety of people

26
Need to Keep in Mind
  • Takes 3-4 months
  • Language, concepts need clarification
  • Not intended for narrow focus review
  • Based more on perceptions than hard data
  • Managers may be defensive
  • Tells you what and how, but not why

27
Other Assessment Tools
  • Information Management Checklist
  • Privacy Impact Assessment Policy/Guidelines
  • Audit Criteria for Performance Information
  • Financial Capability Model
  • Australia DIRKS Manual
  • International Records Management Trust Records
    Management Capacity Framework

28
IRMT Diagnostic Model Consists of cells which
interrelate records life cycle, infrastructure
and capacity level (1-5)
  • Records Life Cycle
  • Capture and Registration
  • Classification
  • Storage and Preservation
  • Access
  • Tracking
  • Disposition
  • Records Infrastructure
  • Laws, Policies and Procedures
  • ICT-RM Integration
  • Business Function-RM Integration
  • Resources and Training
  • RM Program Management
  • Awareness, Ownership

5 4 3 2 1
29
(No Transcript)
30
Our Mission A Level 5 Organization
  • To explore strange new worlds (of digital
    preservation and IM)to seek out new life (for
    electronic records) to boldly go where no
    archivist no information manager has gone
    before.
  • -- Archives, The Next Generation

31
Comments and Questions?
  • Andrew Lipchak
  • INFOTEGRITY CONSULTING
  • Toronto, Canada
  • Infotegrity_at_rogers.com

32
For More Information
  • IM Situation Analysis http//www.imforumgi.gc.ca/
    products/fedproducts_e.html
  • Information Commissioner http//www.infocom.gc.ca
    /reports/2000-2001-e.asp
  • Auditor General of Canada http//www.oag-bvg.gc.c
    a/
  • Access to Information Review http//www.atirtf-ge
    ai.gc.ca/report2002-e.html
  • IM Case for Action http//www.archives.ca/06/docs
    /action_e.pdf
  • Management Accountability Framework
    http//www.tbs-sct.gc.ca/maf-crg/
  • Chief Information Officer Branch
    http//www.cio-dpi.gc.ca/cio-dpi/index_e.asp
  • Library and Archives Canada http//www.archives.c
    a/
  • Management of Government Information Policy
    http//www.tbs-sct.gc.ca/pubs_pol/ciopubs/TB_GIH/m
    gih-grdg_e.asp
  • Framework for Management of Information
    http//www.cio-dpi.gc.ca/im-gi/index_e.asp
  • IM Readiness Check http//www.cio-dpi.gc.ca/im-gi
    /fmi-cgi/analysis/analysis04_e.asp
  • IM Review Guide http//www.cio-dpi.gc.ca/im-gi/fm
    i-cgi/analysis/analysis05_e.asp

33
  • MGI Compliance Check http//www.cio-dpi.gc.ca/im-
    gi/fmi-cgi/analysis/analysis06_e.asp
  • IM Capacity Check http//www.archives.ca/06/0603/
    060301_e.html
  • Records and Information Life Cycle Management
    Guide http//www.archives.ca/06/0625_e.html
  • IM Checklist http//www.cio-dpi.gc.ca/im-gi/imple
    ment/check-contrôle_e.asp
  • Privacy Impact Assessments http//www.tbs-sct.gc.
    ca/pubs_pol/ciopubs/pia-pefr/siglist_e.asp
  • Audit Criteria for Performance Information
    http//www.oag-bvg.gc.ca/domino/other.nsf/html/00c
    rit_e.html
  • Financial Capability Model http//www.oag-bvg.gc.
    ca/domino/other.nsf/html/99cmtoce.html
  • The Financial Capability Model and the Records
    Management Function, J. McDonald, 2002
    http//www.ppforum.ca/ow/ow_p_mcdonald_03.pdf
  • DIRKS Manual Australia http//www.naa.gov.au/re
    cordkeeping/rkpubs/summary.html
  • International Records Management Trust
    http//www.irmt.org/
  • Information Management for Evidence-based
    Governance in the Electronic Age, A. Lipchak,
    2002 http//www.ppforum.ca/ow/ow_p_11_2002B_es.pd
    f
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