MGT 3200 Information Management

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MGT 3200 Information Management
Course Leader Heather Maguire Room D303 Phone
46311273/0407704644 Email maguireh_at_usq.edu.au

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Unit Details

• Workshop/Seminar Monday 01-04pm
• Heathers contact hours
• Monday 09 am 12 noon
• Tuesday 11 am 02 pm
• Please note Wednesday, Thursday and Friday I
  will be at Wide Bay campus but can still be
  contacted by phone [phone] or email.
• Text Kennedy, J and Schauder, C, 1998, Records
  Management A guide to corporate records
  keeping, Longman Australia Ltd

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Whats it all about?

• Module 1 - Introducing Information Management
• Module 2 - Assessing Records/Information
  Management Needs and Developing Solutions
• Module 3 - Corporate Recordkeeping in the
  Australian Environment
• Module 4 - Records Appraisal and Disposal -
  Strategies and Tools
• Module 5 - Creating and Capturing Full and
  Accurate Records
• Module 6 - Classification and Indexing for
  Retrieval
• Module 7 - Constructing a Thesaurus and
  Classification Scheme
• Module 8 - Managing Active Paper Records
• Module 9 - Selecting and Implementing Automated
  Records Management Systems
• Module 10 - Electronic Document Management -
  tools and Technologies
• Module 11- Developing a Vital Records Protection
  Plan
• Module 12 - Storage of Inactive Records

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MGT3200 - Assessment

• Assignment 1 - due 26 April!!, 2004 - 20
• As Information Manager for a large,
  multi-national, private sector organisation
  prepare a report outlining the need for
  establishment of effective and efficient
  information management practices, what that may
  mean and how that might be incorporated into the
  organisation
• Assignment 2 - due 28 May 2003 - 30
• Following on from Assignment 1 prepare a report
  outlining the various components you would see as
  essential to the new records system.
• 3-hour end of semester exam - 50
• Same format as 2003. Part A - 15 short-answer,
  Part B - 35 essay type questions where you have
  a choice of five from seven or eight questions.
  Each answer worth seven (7) marks

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Using websites

• It will be essential for you to become familiar
  with a range of websites during this course.
  Because the area is so dynamic, websites provide
  the most up to date and relevant information in
  relation to a wide range of aspects of this
  course. A useful collection of Australian and
  international web sites is located at
• List of Information Management websites
• USQ Library RM List of web resources
• Other useful sites include
• Extended list of RM websites
• National Archives
• Public Records Office of Victoria
• Australian Standards Online Library more
  Online database services Australian Standards
  Online

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Records Management Association of Australia

• RMAA
• One of three professional bodies involved in the
  records management profession (also ASA and ACS)
• student membership available
• provides Informaa magazine for up-to-date
  information
• membership information packages

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Why a course about information management?

• The success of organisations depends to a large
  extent on their ability to acquire/create,
  process, manage and distribute information
• Records/information management education has not
  grown proportionately with the volume of records,
  therefore
• Many organisations currently hold more
  information than they can process or manage
  efficiently

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Records Management Standards

• Codes which define strategies and benchmarks to
  encourage high level performance
• Used to measure the effectiveness of records
  management systems and programs

AS 4390 1996 (Australian Records Management
Standard) Parts 1 6 Worlds first standard
on records management
ISO 15489 - 2001 (Information and Documentation
Records) Parts 1, General Part 2 Technical
Report First international standard on RM
based on AS4390-1996
AS ISO 15489 2002 (Information and
Documentation Records) Parts 1, 2 Australian
adoption of international standard
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Consolidation knowledge of standards
ACTIVITY 1.1

• Activity 1.2
• SR 1.3 - Stephens and Roberts AS4390-1996
• SR 1.4 Steemson- AS ISO 15489
• SR 1.5 Cumming differences between AS43990
  and AS ISO 15489
• Locate AS ISO 15489 in the USQ Library catalogue

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Records Administration? Information Management

• The terminology records management/records
  administration is currently changing to
  information management to encapsulate the wider
  role played by this organisational function.

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What is Records/Information Management?

• ..the field of management responsible for the
  efficient and systematic control of the creation,
  receipt, maintenance, use and disposition of
  records, including processes for capturing and
  maintaining evidence of and information about
  business activities and transactions in the form
  of records
• AS ISO 15489 2002, Part 1

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ELEMENTS OF A COMPREHENSIVE RECORDS MANAGEMENT
PROGRAM
Records Management Needs Analysis
Records appraisal and disposal planning
Management of records creation and capture
Management of inactive records
Recordkeeping Systems
Management of active records
Vital records protection programme
Training programmes
Policy and procedures documentation
Ongoing review of systems, rules and procedures
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The Role of Information Management

• Reduce corporate risk by
• Defining recordkeeping needs relating to business
  activities
• how and when records should be created and how
  long they should be kept
• Develop business rules and standards to support
  the creation and capture of complete and accurate
  records
• Develop systems and controls to ensure the
  capture of complete and accurate records
• Develop systems and services which will provide
  efficient and appropriate access to records
• Set up processes to monitor compliance with
  external and internal recordkeeping requirements
• Ensure organisation is appropriately prepared for
  audits of records by external regulatory bodies
  such as ATO and ASC

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Importance of records/information management
Right information to support decision making
Need to control volume of information being
created and stored
Right information for operational purposes
ORGANISATIONAL SUCCESS
Right information as evidence of policies and
activities
Right information as litigation support
Legal, ethical and professional responsibilities
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Records Management as a field of study
Records Management
Archives Administration
Information Management
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Consolidating the role of records/information
management
ACTIVITY 1.1

• Activity page 1.21 of study book
• SR 1.4 Coulsons professional responsibility
  argument
• Answer the questions

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How is records/info mgt changing?

• Increase in number of records kept
• Increased recognition of importance of records

Regulations demanding more scrupulous accounting
eg FOI, Evidence Act
Proliferation of client-server office environment
and sharing of information across dispersed
locations

• New problems in ensuring that all organisational
  records are captured

• Need for new systems and procedures to ensure
  integrity and safe storage of electronic records

Increasing importance of electronic records
Emphasis on BPR and quality management

• Search for new, more cost effective and efficient
  ways

Devolution of records management function to end
user

• Need to educate ALL staff in effective record
  management procedures

Dynamic organisational structures and changing
nature of employment ie protean careers and
associated problems with capturing and
maintaining corporate memory and development of
knowledge management as a business strategy

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Changing perceptions of records/ information
management
Increased accountability
Information Advantage
Increased management commitment to implementing
systems and controls
Organisational memory
Need for records managers and archivists
to rethink future or become irrelevant
Need to work with IT specialists
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Consolidating concept of change in
records/information management
ACTIVITY 1.1

• Activity 1.1 Page 1.4 of Study Book
• SR1.1 - Stephens 10 megatrends in records
  management
• SR 1.2- Barrys integration in records management

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Records/Information Management Personnel
LARGE ORGANISATIONS
Professional Staff Records Managers -Major
coordinating role responsible for the
development of policy, systems and procedures
may have direct responsibility, advisory or mixed
roles
Para-professional Staff Responsible for the
day-to-day running of records management services
and activities such as correspondence filing
systems, EDMS or secondary storage - may include
analysts working for records manager
Clerical Staff Undertake tasks such as filing,
retrieving, and processing records for storage
These roles are often filled as part of the
duties of the office manager and selected
clerical and secretarial staff in smaller
organisations
Small organisations
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AS ISO 15489 Authorities and Responsibilities
within the organisation

• Senior Management
• Assigned the highest level of responsibility fo
  ensuring a successful records management
  programme
• Support is translated into the allocation of
  resources at a lower level
• Promotes compliance with records management
  procedures throughout the organisation
• Records Management professionals
• Primary responsibility for the implementation of
  AS ISO 15489
• Establish overall records management policies,
  procedures, and standards
• Managers of business units or organisational
  groupings
• Responsible for ensuring that their staff create
  and keep records as an integral part of their
  work and in accordance with established policies,
  procedures and standards
• Provide the necessary resources for the
  management of records and liaise with records
  management professionals on all aspects set out
  in AS ISO 15489

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AS ISO 15489 Authorities and Responsibilities
within the organisation (cont)

• Others with records-related duties
• Include staff responsible for security, statt
  responsible for designing an dimplementing
  systems using information and communication
  technologies and staff responsible for compliance
• All staff
• Create, receive and keepr ecords as part of their
  daily work, and should do so in accordance with
  established policies, procedures and standards
  including disposign of records only in accordance
  with authorised disposition instruments.

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Records/Information Management and Organisational
Structure
City Council
BUSINESS SERVICES
PLANNING AND DEVELOPMENT
COMMUNITY SERVICES
OPERATIONS
Property and Engineering Environmental
Engineering Parks and Recreation
Children and Family Services Aged and Home
Support Services Maternal and Child Health Social
Planner
Records Management Finance Rates and
Valuations Administration Information
Systems Human Resources
City Development Strategic Planning Local
Laws Environmental Health
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Records/Information Management and Organisational
Structure (2)
PRIVATE SECTOR ORGANISATION
PRODUCTION
MARKETING
SALES
FINANCE
HUMAN RESOURCES
CORPORATE SERVICES
INFORMATION SYSTEMS
RECORDS MANAGEMENT???
ADMINISTRATION
INFORMATION UNIT
CORPORATE KNOWLEDGE UNIT
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What is a record? AS4390
recorded information, in any form, including
data in computer systems, created or received and
maintained by an organisation or person in the
transaction of business or the conduct of affairs
and kept as evidence of such activity
Paper
Electronic
Microflim
Audio
Video
Documents
Correspondence
Forms
Maps
Plans
Drawings
Photographs
Data from business systems
Word processed documents
E-mail messages
Digital images
Spreadsheets
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What is a record? AS ISO 15489

• ..information created, received, and maintained
  as evidence and information by an organisation or
  person, in pursuance of legal obligations or in
  the transaction of business

Compare the two definitions of a record. What do
you think may have caused the change in
definition?
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Important aspects of the definition of a record

• Definition is technology-neutral
• Records created or received by the organisation
  will be maintained by the organisation
• Records support business activity and act as
  evidence of that activity

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What is recordkeeping?

• ..making and maintaining complete, accurate and
  reliable evidence of business transactions in the
  form of recorded information
• Standards Australia, AS4390, 1996, pt 1, p 7,
  4.19
• EVERYONES RESPONSIBILITY!!
• senior management
• business unit and functional managers
• records managers
• system administrators
• individuals who create or maintain records

Note that the term recordkeeping is not used in
AS ISO 15489 instead the term records system is
used
Record system .. An information system which
captures, manages and provides access to records
through time (AS ISO 15489 - 2002)
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Components of records systems

• Individuals who create or maintain the records
• policies, procedures and practices
• documentation presenting policies, procedures and
  practices, including procedures manuals and
  guidelines
• records themselves
• specialised information and records systems used
  to control the records
• software, hardware, and other equipment and
  stationery used in recordkeeping

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Essential attributes of records AS 4390 1996
(1)

• Compliant - must comply with regulatory and
  accountability environment in which organisation
  operates
• Adequate - for the purposes for which they are
  kept adequate evidence
• Complete - must contain not only the content, but
  also the structural and contextual information
  necessary to document a transaction
• Meaningful - contextual linkages must carry
  necessary information to correctly understand the
  transactions that created and used them
• Comprehensive - records should exist for all
  business transactions for which any kind of
  requirement for evidence exists

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Essential attributes of records AS 4390 (cont)

• Accurate - must accurately reflect the
  transactions that they document
• Authentic - must be possible to prove that
  records are what they purport to be and that
  their purported creators have indeed created them
• Inviolate - must be securely maintained to
  prevent unauthorised access, alteration or
  removal

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Essential Characteristics of Records AS ISO
15489

• Authenticity
• records can be proven to be what it purports to
  be, to have been created or sent by the person
  purported to have created or sent it and to have
  been created or sent at the time purported
• Reliability
• the record contents can be trusted as a full and
  accurate representation of the transactions,
  activities or facts to which they attest
• Integrity
• the record is complete and unaltered
• Useability
• the record can be located, retrieved, presented
  and interpreted and capable of subsequent
  presentation as directly connected to the
  business activity or transaction that produced it.

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Classifying Records

• According to content
• Administrative records
• Accounting records
• Project records
• Case files
• According to type of use
• Transactional documents
• Reference documents
• According to Value to the firm
• Vital
• Important
• Useful
• Nonessential

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Classifying Records (cont)

• According to Location of use
• External records
• Internal records
• employer/employee communications
• interoffice/interdepartment communications
• records of importance to accounting department
  and government departments
• According to value of the record
• Business
• Legal
• Regulatory
• Cultural

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What is a document?

• ..structured units of recorded information,
  published or unpublished, in hard copy or
  electronic form, and managed as discrete units in
  information systems
• (Standards Australia, 1996, AS4390, Pt 1, p 6,
  4.12
• .. recorded information or object which can be
  treated as a unit (AS ISO 15489 2002)
• ..
• ..
• Not all documents created and received by
  organisations are records as defined by
  AS4390-1996 eg background documents relating to a
  business activity

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What are archives?

• those records which are appraised as having
  continuing value
• (Standards Australia, AS4390, 1996, pt 1, p 6,
  4.5)
• eg annual reports, certificates of incorporation,
  deeds, patents etc.
• records may be classified as archival because of
• the uniqueness of the information contained
• the importance in documenting a company history
• the information yielded regarding operations and
  past actions
• archives may serve a number of purposes eg
• preserve company history for posterity
• heighten public image by permitting public use of
  archives
• maintain relevant information for legal,
  administrative or fiscal purposes
• Archives may also refer to archival authority ie
  the agency or programme responsible for
  selecting, acquiring and preserving archives,
  making them available and approving destruction
  of other records

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Whats delaying the paperless office?

• More paper eating technology eg photocopiers,
  facsimiles etc
• proven durability and permanence of paper
• friendly interface provided by paper
• lack of technology needed to read information on
  paper
• convenient transportability of paper
• many people tend to trust paper more

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Trends in electronic records
Steps in Handling Records Creation Distribution
Usage Storage - sender Storage - receiver
1900 Typewriter Hard copy Peruse hard
copy Hard copy Hard copy
1960 Word Processor Hard copy Peruse hard
copy Hard copy/ electronic Hard copy
2000 Computer software/scanner Electronic/hard
copy Peruse from screen Electronic/hard
copy Electronic/hard copy
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Approaches to Records/Information Management

• Life Cycle Approach
• Traditional approach based on paper records
• 5 or 8 sequential steps in the life of a record
• Records Continuum Model
• Arose from increase in electronic records
• Four dimensions (not necessarily sequential)

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Life Cycle approach to Records/Information
Management
Permanent Storage
Records Creation
Records Disposition
Records Distribution
8
1
7
2
3
6
4
5
Records Utilisation
Records Storage - Inactive
Creation Distribution Usage Maintenance Disposal
Records Storage - Active
Records Transfer
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Records Continuum approach to Records/Information
Management
Archives
Corporate Memory
Practical operations within the dimensions may
take place simultaneously
Tagging
Creation
First dimension - creation as part of
communication processes Second dimension -
tagging with metadata including how they link to
other records
Third dimension - formal system of storage and
retrieval ie the corporate memory Fourth
dimension - collective memory eg state govt
archives
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Records Continuum Model

• ..the whole extent of a records existence.
  Refers to a consistent and coherent regime of
  management processes from the time of creation of
  records (and before creation, in the design of
  record keeping systems) through to the
  preservation and use of records as archives
• Standards Australia, 1996, AS4390-1996, Pt 1, p
  7, 4.22
• Crucial questions using this approach
• What records need to be captured to provide
  evidence of an activity?
• What systems and rules are needed to ensure those
  records are captured and maintained?
• How long should records be kept to meet business
  and other requirements?
• How should records be stored?
• Who should have access to them?

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Records/Information Management and Knowledge
Management

• Leading companies have formally recognised this
  effort to manage and cultivate intellectual
  assets within the organisation, known as
  knowledge management, as key to future
  competitiveness and profitability
• (Industry Week, 1999)
• ..as companies strive to successfully implement
  knowledge management theory into practice,
  information professionals including records
  managers have the opportunity to redefine their
  roles and prevalent attitudes on their
  competencies.
• (Information Outlook, 1988)

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Whats needed to make KM work?

• Comprehensive information or data resources
• integrated technology platform
• collaborative corporate environment
• creative or innovative information specialist

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Cultural problems faced by KM initiatives
People think relying on others reduces their own
reputation
People not inclined to share their brightest ideas
People see themselves as experts and refuse
collaboration
Difficulty in translating tacit to explicit
knowledge
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Module 1 Consolidation

• For next weeks session complete Self Assessment
  Activity on Page 1.26 of your study book
• Also read through assignment 1