issues in contemporary records management

Thursday, 1 October 2015

Monday, September 28, 2015 1 Footer Text

Issues in Contemporary Records Management

9.30-9.45 Welcome Dr Tadhg Ó hAnnracháin, Head of UCD School of History Dr Julie Brooks, UCD School of History Sarah Hayes, Chair, IRMS Ireland

9.45-10.30 Professor Julie McLeod (Northumbria University) Addressing contemporary records management issues through research and development

10.30-11.15 Zoë Smyth, (Northern Ireland Civil Service) Disposition - 'To die or not to die, that is the question’ 11.15-11.30 Tea/Coffee 11.30-12.15 Claire Johnson (CJ-IMC and Chair, IRMS Scotland) A report from the field: reflections on records management issues from current consultancy work 12.15-12.45 Conan Tormey (Allied Irish Bank) Records management in AIB – eating the elephant!! 12.45-13.45 Lunch

1 October 2015 2

Addressing contemporary RM issues through research & development Julie McLeod

Professor of Records Management, iSchool@Northumbria Issues in contemporary records management, IRMS/UCD event, Dublin, 1 Oct 2015

Outline What do we mean by research

& development?

Records management context – contemporary issues – R&D examples – approaches & research

partnerships – value and impact of research

Future opportunities

What is R&D? “creative work undertaken on a systematic basis in order to increase the stock of knowledge, including knowledge of humanity, culture & society, & the use of this stock of knowledge to devise new applications”

Frascati Manual (OECD, 2002, p.30)

What is R&D? “research is … a process of investigation leading to new insights, effectively shared”

HEFCE REF2014

Why do R&D? to answer a question test a hypothesis (re)solve a problem create new knowledge create common

understanding establish facts/reality improve decision making

… and move forward

Why do R&D?

“the basis of progress”

Davies (2005)

What type of R&D?

fundamental, no assumptions potential practical application specific objective, converting knowledge into products, processes, technologies

applied

strategic

blue sky

Who does R&D? Academics Students Research organisations

• Market research • Health research

Consultancy companies • IDC • Gartner • Forrester

Professional bodies • IRMS, ARA, ARMA etc

Practitioners Individuals

… we all do research

How do we do R&D? Surveys Case studies Historical research Action research Experiments Usability testing Ethnographic studies Delphi studies Design science Bibliometrics Mixed / multiple methods

RM context contemporary issues R&D examples approaches & partnerships value and impact


functional requirements records continuum model InterPARES projects macro appraisal

standards Derrida, Foucault, Harris, Cook, Yeo

Futureproof ‘big bucket’ approach

recordkeeping informatics AC+erm project Sharepoint in HE sector assessment, maturity & impact models/toolkits

RM context contemporary issues R&D examples approaches & partnerships

• research data management

• technology assisted sensitivity review

value and impact




value and impact

Access to research data – open data movement & funder

mandate DATUM projects

ww.northumbria.ac.uk/datum – DATUM for Health: RDM skills training

– DATUM in Action: planning and implementing RDM

Researcher-focused RDM – data management plan – appraisal of research data

• methodological; ethical; practical issues

– supporting infrastructure




value and impact

Public records - TNA – need to reduce cost of review,

increase throughput and maintain or improve quality

Technically assisted sensitivity review of UK digital public records feasibility project (Abacá) – develop tools to reduce costs &

methods for greater efficiency; demonstrate tools & methods work

Collaborations – Northumbria & Glasgow

Universities, TNA


Ac+erm (Accelerating the pace of positive change in ERM)

– United Nations’ Archives and Records Management Service (ARMS)

– decision-making leading to $300k saving – fleshing out an ERM roadmap

“The research is evidence based and trustworthy and gives the stakeholder perspective we need”

Bridget Sisk, ARMS Chief

https://www.northumbria.ac.uk/research/case-studies/record-keeping-strategies-for-the-digital-age/




















Ac+erm (Accelerating the pace of positive change in ERM)

– a book co-authored by academics in Canada and New Zealand

Oliver G. and Foscarini F. (2014). Records management and information culture: Tackling the people problem. Facet.

“The findings from AC+erm influenced the book from the outset.” The book’s focus “has been strongly influenced by one of the most relevant findings of the project, that is, the centrality of ‘people issues’… key findings have provided a very effective frame for [it].”

RM context contemporary issues R&D examples approaches & partnerships value and impact http://www.emeraldinsight.com/journal/rmj#

http://www.irms.org.uk/ resources/bulletin

http://www.tandfonline.com/toc/cjsa21/current

http://www.emeraldinsight.com/journal/rmj

http://www.irms.org.uk/resources/bulletin





Future opportunities

Many complicated and complex contemporary RM issues – a ‘wicked problem’

Different approaches – risk-based, proportionate,

technology assisted New, different partnerships Better sharing of R&D

Thank you “Research is to see what everybody else has seen, and to think what nobody else has thought”

Albert Szent-Gyorgyi “If I have seen further, it is by standing upon the shoulders of giants”

Bernard of Chartres, 12th century Sir Isaac Newton, 1676

“What we find changes who we become”

Peter Morville

Zoë Smyth, Northern Ireland Civil

Service

10/7/2015 23 Footer Text

Disposition – ‘To die or not to die, that is the question’

A report from the field: reflections on RM issues from current

consultancy work

Claire Johnson CJ-Information Management Consultancy

The view from the field …

Current Issues

• Digital (everything about it) • Big data: privacy • Line of business systems and retention • Incoming legislative change (especially EU

GDPR) • Data, Information and Records (the

starting and ending of stuff)

Where next?

Self and the market for IRM

• CPD? • New lands to explore? • I#M: business change through managing

information as an asset • Emergent themes?

Towards Nirvana or Nineveh?

Conan Tormey, Allied Irish Bank


Records Management in AIB - eating the elephant!!

Conan Tormey – Head of Records Management Oct 1st 2015

Records Management in AIB – Eating The Elephant !

Agenda Topic

Lack of Interest

Lack of Governance

No Value

Exam question:

WHY BOTHER?

Industry Challenges – Recognise anything

The Industry Elephant in the Room

Customer

Sale

s Te

am

Oversight & Control ?

Dis-Organised Un-Manageable

Replicated Costly

No Change Non-Compliant Non-Defensible

Understanding & Awareness Research & Analysis

Governance

Result

Key To Success !

How To Eat the Elephant

Challenges & Asks

Key Challenges

Problem being ‘ignored’ & ‘resisted’

Supporting areas slow to action due to workload prioritisation

Customers seeking ‘project’ automation / RM to resolve

Are we awaiting for the business to ask rather than leading

the change?

Key Asks

Embrace and embed the approved model as part of the day to day with supporting objectives, measurement and recognition.

Influence the Behaviour/Support our customers to apply & comply

Ensure all automated opportunities are aligned, maximised and exploited to include and meet the data & records agenda

Seriously consider a Centralised Solution over a Distributed

model

Accountability Model

Quality Measures

Tell the Story - Communications & Training

Pilot Result

Benefit to Business

Benefit to Customers

Robust Solution

Eating the Elephant in AIB

AIB - The Eaten Elephant

Accurate M.I. &

Reporting

Oversight & Control functions

Organised & Managed

Common Standard aligned to the Approved Model Technical Enablement Retention

Schedule

Record Register

Legal Review & Destruction Auth

Cert of Destruction

Destroy Destroy Destroy Destroy

RM Agenda

Sale

s Te

am

Vision – Back to Front

- Simplify : Convert our management of Records from being disparate and complex to an enterprise standard, with supporting IT landscape, for an easily multi-accessible environment.

HR

ECM Mgmt

Ctrl Customer

Facilitation

Communication Integration

Defensible Source

Delivery

Compliant Operating

Model

Quality Measure

Policies & Standards

Remediation

- Make Records a tangible asset : Create quality and managed data/records that can be used as a business accelerator through powerful data analytics to inspire customer confidence & improve experience.

- Facilitate the submission of regulation requirements: Allow for a more efficient and effective model of meeting Legislation and regulation obligations.

Consider

Media Risk Staff Ignorance

Cost Customer Comms

Ownership Measures Governance Results

Records Management – The Future

Your Turn

Conan is happy to answer any Questions you might have and can be contacted on 086 3851265 or via mail at [email protected]

Building a brighter future for our customers and people

THANK YOU

Eating The Elephant !

13.45-14.30 Alan Bell (University of Dundee) Exploring the relevance of records and records management in changing times 14.30-15.00 Mark Farrell (Arcline Ltd, Dublin) In due course: records management in the Irish public sector 15.00-15.45 Jeannette Strickland (JS Archive & Records Consultancy) The challenge of retention in a global organisation 15.45-16.15 Q&A; discussion Closing remarks

10/7/2015 Footer Text 44

Alan Bell, University of Dundee


Exploring the Relevance of Records and Records

Management in Changing Times

In Due Course Records Management in the Irish Public Sector

MARK FARRELL, ARCLINE LTD UCD – IRMS, 1 OCTOBER 2015

NATIONAL ARCHIVES ACT 1986 Section 19(3) Minister may make regulations for the proper management of records in the care of a Department of State FREEDOM OF INFORMATION ACT 1997 Section 15(5) Minister may, in consultation with Director of National Archives, issue regulations for the management and maintenance of records held by public bodies

Investigation into the operation of Section 10(1)(a) of the FOI Acts (2007) “Every public body should draw up and implement a

comprehensive records management policy as a priority. At a minimum a register of all files should be prepared so that each body has a complete listing of all records in its possession”

“Listings of records destroyed in accordance with a public body's record management policy should be retained indefinitely” “Efforts should be made to distil the knowledge of/familiarity with the retention and storage of files throughout an organisation to avoid over-dependency on any one person”

Morris Tribunal Report 2004

“The destruction by a member of any official files after retirement…can never be tolerated…it should be made clear to all gardaí that such documentation is the property of An Garda Síochána. It does not belong to the member concerned”

- Report of the Morris Tribunal, 2004

Fennelly Commission Interim Report 2015

“There is not a single note or record of any kind of that meeting or of its result”

- Report of the Fennelly Commission, 01 September 2015

“This unminuted form of government undermines transparency and frustrates the search for the truth, as it did for the Fennelly Commission”

- Noel Whelan, Irish Times, 11 September 2015

FOI CODE OF PRACTICE

“There is a compelling need for sound record management practices and systems”

“The Department of Public Expenditure and Reform should develop central guidance on records management on which public bodies can base detailed guidelines pertinent to their own organisational needs”

“The Department of Public Expenditure and Reform has a role in relation to provision of policy and guidance on records management. It should examine the case for the making of regulations for the proper management and preservation of records in the care of a Department of State as permitted under the National Archives Act, 1986 and advise the Minister accordingly ”

FOI TRAINING Framework

Training to over 30 public bodies, including: An Garda Síochána Department of Defence Department of Finance Office of Public Works Personal Injuries Assessment Board National Shared Services Office (DPER) Education & Training Boards

IN DUE COURSE

Records Management?

Document Management? Storage? Shredding? Filing? Data Management? Knowledge Management? Information Governance?

Who is responsible for records management? Library? IT? Finance? Secretary / Chief Executive? Clerical Staff? Legal Office? Compliance Officer?

“Why are [archivists and records managers]…among the least well known of all professional groups?...Records professionals need to be seen at meetings, in the main hallways of the organisation and with the groups working on the primary products of any organisation.”

- Richard J Cox, Archival Anxiety and the Vocational Calling (Duluth: Litwin

Books, 2010, p.12)

WHERE ARE THE RECORDS MANAGERS?

A CHANCE TO MAKE AN IMPACT… “extraordinary opportunity for records

professionals to expound more clearly and profoundly the importance of records in our society… Records document all activities, keep governments and organisations accountable, enable maintenance of our civil liberties and sustain societal memory.”

- Cox, p. 13

…AND STILL BE AN ARCHIVIST!

Conclusion

In Due Course…

Perhaps things are now changing

Opportunities to get involved and improve employment prospects!

Thank You

[email protected] Arcline Ltd Pembroke Hall 38/39 Fitzwilliam Square Dublin 2 01 6290117

The challenge of retention in a global organisation

(and one approach to simplification)

Jeannette Strickland Archive & Records Consultant

(Dublin, 1 October 2015)

Overview

• Retention issues for a global organisation • Big bucket theory • Big buckets in practice – the Unilever case

study • The benefits and drawbacks of big buckets • Questions

Recap: why retention is important

• Regulatory compliance • Admissibility • Mitigate risk • Control and consistency • Documented audit trail • Reduce cost of e-discovery

Retention issues in a global organisation

• One size will never fit all • Different jurisdictions – even within Europe • Hundreds of retention ‘rules’ • Requirement to keep in hard copy • Languages • User reluctance to comply • ‘Unstructured’ data

Big buckets

…‘big buckets’ or large aggregations is an

application of disposition instructions against a body of records grouped at a level of aggregation greater than the traditional file series...

NARA Bulletin 2005-05

Big bucket theory

• What is it? Fewer retention categories or

buckets. • Big and little buckets • How big is big? 100 buckets? • A lot of theory but few examples • Why? Accuracy, consistency, reduce risk

Case study: Unilever plc

• Straw man…. • Needs Legal and IT involvement • Strategic direction / board level buy-in • High level, sympathetic champion • Risk management • Start with a policy

The policy

• Keep it short • Make it mandatory – include in training,

positive assurance process, etc • What to include • Unstructured data • Emails

How Unilever approached it

• Preliminary research • Big and little buckets to reflect functions and

broad record types – Legal, Financial, Human resources, Quality control

& environmental, Marketing, R&D, Communications, Site, General management

• Regional approach • Use your legal team • Automation / captured metadata

Global retention – data gathering

• Big buckets = functions, e.g. Legal, Finance • Little buckets = broad record types • Training & guidelines specific to departments • Numbering for each little bucket and its ‘rule’ • Spreadsheet to complete • Questions for the respondents

Bucket example Ref Big

bucket Small bucket Examples of some

document types 3.1 HR Personnel file Employment contract,

promotions, disciplinary proceedings, training…

3.2 HR Absentee records Maternity, paternity, adoption, sick leave, holiday forms, Hajj leave…

3.3 HR Recruitment Adverts, unsuccessful applications, job descriptions, interviewers’ notes, feedback…

Questions for the lawyers

• Do you have standard templates for these documents?

• Which are the main languages used? • Is there a requirement to keep any of these

records in paper? • The length of required retention. • The legislation applicable to the retention of

these records.

Global retention – compiling the schedules

• Hard work – if you have lawyers, use them! • Rounding up not down • Exceptions to rules • ‘General’ bucket • Structured and unstructured data • Managing risk

Unilever retention schedule

Issues for the RM team

• All tasks concurrent (plus day job!) • Rounds of meetings, comments / permissions/

versioning • IT ‘speak’ • Opportunities to spread the word about RM • Ownership…..

Weighing up the benefits

• Fewer, better defined choices, so easier for users to classify documents

• Lower cost – a less complex retention schedule requires less training

• Minimises risk by mitigating against the “just in case” retention argument

• Prompt disposal – record owners have confidence that records have been classified correctly

• Central management of the schedules • Fewer buckets improves automated classification

Drawbacks?

• Global buckets are simply not feasible • Categories that are too broad • Slightly longer retentions • Environmental records • Conditional or event driven retention • Case files • Permanent or indefinite retention

Where to find help

• On line retention schedules • In-house lawyers / retained legal services • ARMA – http://www.arma.org/docs/hot-

topic/trimmingyourbucketlist.pdf and http://www.armaedfoundation.org/pdfs/BBpaper30.pdf

• Crowther in IRMS Bulletin no 167, May 2012 • Herbert Smith Freehills guide –

http://www.herbertsmithfreehills.com/insights/guides/document-retention-an-international-review

http://www.arma.org/docs/hot-topic/trimmingyourbucketlist.pdf

http://www.arma.org/docs/hot-topic/trimmingyourbucketlist.pdf

http://www.armaedfoundation.org/pdfs/BBpaper30.pdf

http://www.armaedfoundation.org/pdfs/BBpaper30.pdf




Thank you!

Any questions?

issues in contemporary records management

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