Governance and Stewardship for Records Management. RMAA Conference Adelaide 2009 Presented by Miranda Welch CRM

Transcription

1 Governance and Stewardship for Records Management RMAA Conference Adelaide 2009 Presented by Miranda Welch CRM

2 Introduction

3 What s This All About? Consistent struggle for RM programmes to be recognised, trusted and valued. Data managers face similar issues to records managers. Can we leverage the governance and stewardship practices from data management to our advantage?

4 What Are Your Main Challenges? Top five challenges: Executive level support Findability of information User compliance with recordkeeping policies and procedures Relationship with IT Quality and integrity of information

5 Exploring the Similarities Records Management & Data Management

6 What Similarities? Records 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 in the form of records. (ISO 15489, p. 3) Data Management The description, creation, modification, use and control of data in information systems. (ISO/IEC TR 10032, p. viii) The activities of defining, creating, storing, maintaining and providing access to data and associated processes in one or more information systems. (ISO/IEC TR 10032, p.3)

7 What Similarities? Objectives of Records Management To manage organisational information so that information can support subsequent activities and business decisions as well as ensuring accountability to present and future stakeholders. (ISO 15489) Objectives of Data Management Shareability of resources; minimise cost of supporting an information system over its lifecycle; optimum use of standardization effort. (ISO/IEC TR 10032)

8 What Similarities? Records Management (from ISO glossary) Metadata management Access Tracking Records Storage Disposition Data Management (from ISO/IEC TR glossary) Metadata management Access control Audit trail Storage resource management Information lifecycle management

9 What Common Issues? Common RM concerns: Multiple siloed repositories Excessive duplication Inconsistent security and access rights Obsolete or redundant information Incomplete or inconsistent capture of information Common DM concerns: Unclear understanding of who owns the data Different naming conventions Different security and access rights across systems Redundant data Incomplete or inconsistent management reporting

10 So What Does This All Mean? Poor quality information negatively impacts on: Shareability of information Compliance and management reporting Risk mitigation / management Governance and accountability

11 Governance and Stewardship

12 What is Data Governance? Data managers have developed practices to improve data quality. Data governance helps an organisation control valuable information assets and enables more effective use of assets Governance includes a formal process known as stewardship

13 What Does Stewardship Mean? Data stewardship formalises accountability for managing data resources on behalf of others and in the best interests of the organisation. Stewardship does not equate with ownership. Data stewards ensure that data is of high quality across its lifecycle.

14 Who Are These Data Stewards? Stewards: Network of interested stakeholders from across the business Drawn from the business IT facilitate and support the process, do not direct it Stewardship ensures that the business is accountable for the quality of information produced.

15 What is Meant by Information Quality? The focus of a stewardship programme is information quality. Key quality concepts: Accuracy Reliability/completeness Trustworthiness Usability

16 How is this Relevant to Records Management? RM does not have methodologies or practices around governance and stewardship. High quality information in the unstructured domain is just as critical to business health as having high quality data.

17 How Does it Work? Executive Level Sponsorship Information Governance Council Domain Specific Stewardship Groups Domain Specific Stewardship Groups Information Stewards Information Stewards Information Stewards Information Stewards

18 What is a Domain? An area over which control is exercised. Subsets (buckets) of enterprise information. Most common approach for data management is to define domains by subject area. A horizontal view of organisational information.

19 How Does it Work? Executive Level Sponsorship Information Governance Council Domain Specific Stewardship Groups Domain Specific Stewardship Groups Information Stewards Information Stewards Information Stewards Information Stewards

20 How Will This Help You? Collaboration and consultation across all levels of the business. RM professionals working alongside IT as facilitators and advisors. Provides a range of compliance and enforcement options.

21 What Will You Be Doing? Supporting role: Subject matter experts (retention schedules, metadata, categorisation, archival requirements) Facilitators Raising issues or concerns for consideration Assessing and monitoring compliance Implementing solutions (alongside IT) Training

22 Mitigating the Challenges

23 Top Challenges Executive level support Findability of information User compliance with recordkeeping policies and procedures Relationship with IT Quality and integrity of information

24 Executive Level Support An integrated information quality initiative more likely to attract executive support. Cross functional teams spread the word across the business and upwards. Executive sponsor provides visibility at executive level.

25 Findability of Information This is a quality issue stewardship groups should address. Identify root causes for findability issues and determine solutions.

26 User Compliance Currently limited options available to records managers to enforce compliance. Under stewardship model: Stewards (the business) define the quality of information they need to use in their daily work Stewardship groups act as enforcers

27 Relationship with IT RM and IT operate together in a facilitative, advisory and support capacity. Promote points of similarity rather than points of difference.

28 Quality and Integrity of Information The focus is on improving the quality and integrity of all business information: Accountability placed with the business Eliminate the root causes that lead to poor quality information

29 Conclusion

30 Why is This So Exciting? Governance and stewardship present a possible way forward to a collaborative, consultative and integrated information environment. Stewardship is a way of interweaving recordkeeping with normal business functions, in conjunction with the users and creators of that information.

31 A New Way Forward? First and foremost records are created, received and used in the conduct of business activities. (ISO 15489, Part 1, p. 6) A stewardship programme could provide a level of stability into an ever-changing information management environment.

32 References ISO (2001). Part 1 Information and documentation records management ISO/IEC TR (2003). Information technology reference model of data management Welch, Miranda (2009). Information governance and stewardship for records and information management. School of Computer and Information Science, UniSA. Master of Business Information Management.