Measuring IM Capacity in Public Sector Institutions

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Measuring IM Capacity in Public Sector
Institutions

• ERPANET WORKSHOP
• Antwerpen
• April 14, 2004
• Andy Lipchak
• INFOTEGRITY CONSULTING

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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)

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(No Transcript)
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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

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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

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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)

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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

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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

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Management Accountability Framework -- Canada
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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

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Department Level IM

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

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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

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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

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IM Readiness Check

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

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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

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MGI Compliance Check

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

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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
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The Information Management Capacity Check (IMCC)
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Elements of IM Capacity
IMCC Library and Archives of Canada
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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

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• 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.

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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.
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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.
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As-Is and To-Be Assessments Overview
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2
3
4
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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
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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

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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

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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

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IRMT Diagnostic ModelConsists 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
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(No Transcript)
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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

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Comments and Questions?

• Andrew Lipchak
• INFOTEGRITY CONSULTING
• Toronto, Canada
• Infotegrity_at_rogers.com

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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

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• 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