Getting your Records Management program to the next level

Getting Your RIM Program to the

Next Level

Nick Inglis

Nick Inglis is President of the Information Coalition and Co-Founder of The Information Governance Conference. Inglis is the author of the AIIM SharePoint Governance Toolkit and creator of the Information Governance Model. Inglis is a contributor to U.S. News & World Report, Yahoo! Finance, and others. Previously, Mr. Inglis served as the Director of Professional Development at AIIM and was one of the youngest Assistant Vice Presidents in Bank of America's history. Inglis is the Co-Creator of the ARMA Information Governance Professional (IGP) educational course. When not adding to his collection of certificates and certifications (CIP, IGP, ERMm, SharePointm, BPMm, E2.0m, ECMm, IMCP), he is likely spending time with his son, Conor Atom.

Email: [email protected]: @nickinglis

Getting Your RIM Program to the Next Level

The Hubble Telescope How Downstream Information Affects Program Outcomes

One Mirror2,200 Nanometers - 1/50th width of a piece of paper -Worlds of Difference

Mirror Grinding (Null Correcting)

A New Null Corrector,Incorrectly Assembled

What went wrong?

•NASA got the wrong data.•Perkin-Elmer had the mirror

grinding tool (“null corrector”) incorrectly assembled.• They tested twice but

disregarded the results because the new null corrector was assumed to be more precise than the testing equipment.

One Downstream Mistake, A Huge Problem

Contractors & Partners For The Hubble Telescope

GSFC

Corning

Rockwell Autonetics

Westinghouse

Perkin-Elmer

Hughes Aircraft

RCA

ESA

University of California- San Diego

Martin Marrietta Corporation

University of Wisonsin - Madison

Johns Hopkins University

Garchin bei München

NASA

A Costly Mistake

•Original Cost Estimate: $400MOriginal Launch date 1983•Discovery Disaster & Contractor Delays postpone the launch for 7 years•Actual Cost: $1.5BLaunched in 1990 - Mirror Mistake Noted•Actual Cost When Corrected: $4.7B - Fixed in 1993

A Happy EndingHubble Still In Use Today - Delivering Images & Insights Into The Creation of the Universe

The Hubble Telescope has provided invaluable contributions to science.

One Downstream Mistake, A Huge Problem

The Information Profession Mapped

The Next Level of RIM Is To Improve & Influence The Downstream Decisions That Have An

Incredible Impact On Records

Data

Information Content

Documents

Kno

wle

dge

Rec

ords

Structured

Unstructured

The Next Level of RIM Is To Improve & Influence The Downstream Decisions That Have An

Incredible Impact On Records

Information Strategy 2017 Research &

7 Ways To Look Downstream To Take RIM To The Next Level

Finding:Information As An Asset? Not So Much.

Nearly one-half of respondents say that their organizations do not treat information as an asset.

Information Is N

ot Treated As A

n Asset

Information Is Treated A

s An A

sset

From The Information Coalition “Information

Strategy 2017” Research

Taking RIM To The Next Level 1: Treat Information As An Asset

•Build a plan for getting executives to take note of the value of information•Follow an information flow backwards from a successful outcome to the underlying information that enabled the outcome•Leverage change management principles for employee change•Develop a plan•Provide clear guidance

Additional Resources:http://www.information-age.com/how-to-really-treat-information-as-an-asset-123457338/https://www.ft.com/content/0919f8b2-6105-11e3-b7f1-00144feabdc0

http://www.information-age.com/how-to-really-treat-information-as-an-asset-123457338/

http://www.information-age.com/how-to-really-treat-information-as-an-asset-123457338/

https://www.ft.com/content/0919f8b2-6105-11e3-b7f1-00144feabdc0

https://www.ft.com/content/0919f8b2-6105-11e3-b7f1-00144feabdc0

Finding:The Culture of Compliance Still Grows.Over half of respondents said their organizations have or are developing a culture of compliance.Over 1/3 say that they have a strong compliance culture in their organization.

Weak

Strong

Moderate



Finding:Compliance Is Being Highly Prioritized.Compliance was ranked as one of the top 3 priorities in over 2/3 of organizations. It should come as no surprise that gains would be seen in such a highly prioritized area such as this.

Low P

riorityTop P

riorityM

oderate Priority



Taking RIM To The Next Level 2: Build Upon Compliance Initiatives

• Improvements to Records can be built on top of Compliance initiatives•Leverage the focus on compliance and discuss relevant RIM regulations and potential fines for non-compliance•Start with an audit of RIM compliance, see resources

Additional Resources:https://members.arma.org/eweb/browse.aspx?site=armastore&webcode=product&id=0fd0a96e-6044-4b5a-a057-76bc919135de#.WPJaKVPyuHohttps://www.complianceresource.com/publications/records-management-compliance-checklist-developing-solid-compliance-records-management-program/https://www.complianceweek.com/blogs/dan-swanson/auditing-records-management

https://members.arma.org/eweb/browse.aspx?site=armastore&webcode=product&id=0fd0a96e-6044-4b5a-a057-76bc919135de#.WPJaKVPyuHo




https://www.complianceresource.com/publications/records-management-compliance-checklist-developing-solid-compliance-records-management-program/




https://www.complianceweek.com/blogs/dan-swanson/auditing-records-management#.WPJaTFPyuHo

https://www.complianceweek.com/blogs/dan-swanson/auditing-records-management#.WPJaTFPyuHo

Finding:Still Not Information Empowered.Employee empowerment related to information is at the bottom of priorities for organizations. Employees, looking for empowerment and capabilities, continue to turn to unauthorized apps to ‘get work done’.

Low P

riorityTop P

riorityM

oderate Priority



Taking RIM To The Next Level 3: You Can’t Manage What You Never Had

•Your organization may be missing Records that individual employees are managing outside of official corporate systems•Terrible systems, terrible compliance• Information systems need to focus on usability• Improve ability to accept information from a variety of sources (think mobile)

Finding:Metrics & Measurement Lacking.Over half of respondents rate their organization’s information-related metrics as severely lacking. Without adequate measurement, technology investments may be mismatched with organizational needs.

Weak

Strong

Moderate



Taking RIM To The Next Level 4: We Don’t Know What We Don’t Measure

•Metrics provide justification of our efforts•Metrics help us understand our effectiveness•At a time when we continue to have to justify our programs, metrics provide that rationale•We must embrace metrics as a core part of our RIM programs

Additional Resources:https://www.archives.gov/records-mgmt/resources/self-assessment.htmlhttp://recordsmanagement.tab.com/records_management_software/how-to-choose-the-right-metrics-for-your-records-management-program/http://hollygroup.com/hgsite/broad-view-and-metrics-must-for-records/

https://www.archives.gov/records-mgmt/resources/self-assessment.html

https://www.archives.gov/records-mgmt/resources/self-assessment.html

http://recordsmanagement.tab.com/records_management_software/how-to-choose-the-right-metrics-for-your-records-management-program/




http://hollygroup.com/hgsite/broad-view-and-metrics-must-for-records/

http://hollygroup.com/hgsite/broad-view-and-metrics-must-for-records/

Finding:Ineffective Information Architectures.Nearly 2/3 believe their organizations' information architecture isn't effective. Often overlooked, Information Architecture, well executed, can help improve many high priority issues such as information security and compliance.

IneffectiveE

ffectiveM

oderately Effective



Finding:“I Can’t Find My Information”Most organizations are still struggling with making information findable for employees. Issues with findability stem from a combination of poorly executed information architectures and incredibly high user expectations because of the effectiveness of consumer/web search technologies like Google.

Low Findability

High

Moderate Findability



Taking RIM To The Next Level 5: Share Your Information Structure Expertise

•Employees struggle with information findability•Records Management expertise in structuring Records could be leveraged across many disciplines that lead towards Records Management (e.g. ECM, WCM, Document Management, etc.)•Providing expertise outside of RIM ensures consistency for employees

Additional Resources:https://www.usability.gov/what-and-why/information-architecture.htmlhttps://www.udemy.com/developing-an-information-architecture-with-card-sorting/http://www.emeraldinsight.com/doi/abs/10.1108/00012531011074636

https://www.usability.gov/what-and-why/information-architecture.html

https://www.usability.gov/what-and-why/information-architecture.html

https://www.udemy.com/developing-an-information-architecture-with-card-sorting/

https://www.udemy.com/developing-an-information-architecture-with-card-sorting/

http://www.emeraldinsight.com/doi/abs/10.1108/00012531011074636

http://www.emeraldinsight.com/doi/abs/10.1108/00012531011074636

Finding:“That’s Not In My Job Description”Information related roles aren't defined well. Only 1 in 4 of our respondents say that their job title matches their duties.With an abundance of legacy job titles and major leaps forward in technology, our information roles no longer align with our titles. Most organizations need a reassessment of their information-related job titles.

Job Title Mism

atchJob Title M

atches



Taking RIM To The Next Level 6: Clean Up Job Titles & Job Descriptions

•Technology’s breakneck pace has left us reeling• Individuals titles don’t line up with their new roles•Re-evaluation and re-centering will help employee morale as they better understand their place within the information ecosystem of the organization• (New work being done now to help with this)

Finding:Not So Connected Systems?Systems' interconnectivity continues to lag behind user’s expectations. Despite advances in APIs, Web Services, EAI, etc., interconnectivity continues to lag behind user expectations. Moving basic information from one system to another remains an ongoing challenge for the majority of respondents.

Weak

Strong

Moderate



Finding:Systems Performance LaggingSystems’ performance continues to lag behind user expectations. Most rate their systems performance as “not meeting” or “barely meeting” expectations. Ongoing cloud migrations and legacy ECM systems retirements should mitigate these findings over time.

Not M

eetingE

xceedingB

arely Meeting

Meeting



Taking RIM To The Next Level 7: Correct & Connect Your Systems

• Information accessibility remains an issue•Disconnected systems make it challenging for users to move information from one system to another•Principle of Availability - regularly violated• If we’re moving information to a Records system that is no longer available to employees or some employees, are we violating the Principles?•Organizational information systems greatly lagging behind consumer capabilities

The Impact of Automation

Required Reading (Go Read These After The Seminar):

Automated Electronic Records Management Report/Plan: https://www.archives.gov/records-mgmt/prmd/automated-erm.html

James Lappin (ThinkingRecords.co.uk): https://thinkingrecords.co.uk/2014/09/12/evaluating-automated-approaches-against-records-management-principles/

https://www.archives.gov/records-mgmt/prmd/automated-erm.html




https://thinkingrecords.co.uk/2014/09/12/evaluating-automated-approaches-against-records-management-principles/






James Lappin is brilliant ...go read his blog at http://thinkingrecords.co.uk

http://thinkingrecords.co.uk

http://thinkingrecords.co.uk

The Methods

The File Room Method

Look at all information

Identify what needs to be

retained

The Delegate Method

Everyone looks at their information

Identify what needs to be

retained

The Keep It All Method

Don’t identify what needs to

be retained

Keep everything, indefinitely

Records Categorization

Method

Leverage classification for records

identification

Automatically identify what is a Record

Advanced Computing

Methods

Software looks at all

information

Software identifies what is a record or what needs to

be retained

Notfeasible Notworking Toomuchrisk Maybe Maybe

Information Categorization

Method

Leverage classification for retention identification

Automatically identify what needs to be

retained

Maybe

The File Room Method

The Delegate Method

The Keep It All Method

The future is already here.

Auto-classification

The future is already here.It requires solid information architecture.

Auto-classification

The future is already here.It requires solid information architecture.It requires WORK.

Auto-classification

The future is already here.It requires solid information architecture.It requires WORK.It requires a comprehensive understanding of your organization’s information.

Auto-classification

The future is already here.It requires solid information architecture.It requires WORK.It requires a comprehensive understanding of your organization’s information.It requires knowledge of how to classify that information with no room for non-categorized information.

Auto-classification

How does auto-classification technology work?

2 ways: Basic or Advanced

Advanced

Technology that analyzes content and automatically categorizes it based on rules that (generally) your organization must establish.The Future Is Here: Content Analytics, Big Data, Natural Language Processing, etc.

Basic

Leveraging workflow rules to automatically categorize content based on rules that your organization must establish.

Save Money, Start With Basic

All Information

Group A

Sub-group A1 Sub-group A2

Group B

Sub-group B1 Sub-group B2

Group C

Sub-group C1

Save Money, Start With Basic

All Information

Group A

Sub-group A1 Sub-group A2

Group B

Sub-group B1 Sub-group B2

Group C

Sub-group C1

- Figure out what’s different.- Leverage metadata and

information location

Flashback to 2016 ARMA Denver...

How Will Automation Effect Our Ability To Follow The Principles® In Our Organizations?

ARMA’s Generally Accepted Recordkeeping Principles®

• Principle of Accountability

• Principle of Transparency

• Principle of Integrity

• Principle of Protection

• Principle of Compliance

• Principle of Availability

• Principle of Retention

• Principle of Disposition

The Effect of Automation onARMA’s Generally Accepted Recordkeeping Principles®?









The Effect of Automation onARMA’s Generally Accepted Recordkeeping Principles®









A senior executive (or a person of comparable authority) shall oversee the information

governance program and delegate responsibility for records and information

management to appropriate individuals. The organization adopts policies and procedures

to guide personnel and ensure that the program can be audited.

✓

The Effect of Automation onARMA’s Generally Accepted Recordkeeping Principles













✓

NICK’S SOAP BOX MOMENT:

We all agree that Records Management and Information Governance are two different things. Information Governance is the coordinating strategy across all organizational information (including Records - this makes Records Management a Sub-Discipline of Information Governance).

How then can Recordkeeping Principles be Information Governance Principles? This ignores all of the other sub-disciplines of Information Governance that also bring their principles towards Information Governance as well.

This is like baseball’s World Series that includes only teams from the United States and Canada... until Japan, Cuba, and every other country are invited, it’s not really the World Series, is it?

Records Professionals cannot be the only ones who define Information Governance principles. Until we invite Data Scientists, Privacy Professionals, Security Professionals, Information Technology folks, etc. to the table, they aren’t Information Governance principles, are they?














✓










An organization’s business processes and activities, including its information governance program, shall be documented in an open and

verifiable manner, and that documentation shall be available to all personnel and

appropriate interested parties.

✓










An information governance program shall be constructed so the information generated by

or managed for the organization has a reasonable and suitable guarantee of

authenticity and reliability

✓










An information governance program shall be constructed to ensure a reasonable level of

protection for records and information that are private, confidential, privileged, secret,

classified, or essential to business continuity or that otherwise require protection.

? ✓✕










An information governance program shall be constructed to comply with applicable laws and other binding authorities, as well as with

the organization’s policies.

✓










An organization shall maintain records and information in a manner that ensures timely, efficient, and accurate retrieval of needed

information.

✓










An organization shall maintain its records and information for an appropriate time, taking into

account its legal, regulatory, fiscal, operational, and historical requirements.

✓










An organization shall provide secure and appropriate disposition for records and

information that are no longer required to be maintained by applicable laws and the

organization’s policies.

✓

Automation (Mostly) Helps Us Ensure The Principles® Are Followed In Our Organizations

In Conclusion...

How Do We Take Our RIM Program To The Next Level?

It’s As Simple As Fixing The Hubble Telescope

Try Not To Take 10 Years & Spend $4.7B

Getting Your RIM Program to the

Next Level

Getting your Records Management program to the next level

Technology

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