IMPLEMENTINGEDRMSFROM 0 – GOA HOW TO MANUAL

Consulting services Services cover Information & Records Management,Telecommunications and Technology strategic and tactical services to the IT&T market, including advice on and implemen

EDRMS FROM 0 – GO

A HOW TO MANUAL

Part of the How to manage information series

VOLUME 1 : COURSE MATERIAL

This manual is provided to purchasers with the express knowledge and understanding that inforg, its authors, directors, shareholders, agents and employees, the producers of the manual or any approved person working on behalf of these companies (hereafter referred to as ‘the Company and Agents’) will not be responsible or in any way liable for the results of any act done or omitted to be done on the basis of information contained

in theis manual, nor for any errors or omissions in the said information The Company and Agents expressly disclaim all and any liability for any loss or damage which may be

suffered by any person or corporate entity which may make use of this manual or any person arising out or or as a result of or in connection with any act done or omitted to

be done by the person using the manual in reliance, whether whole or partial, upon the whole or any part of the contents of this manual whether that loss/damage is accused by any fault or negligence on the part of the Company and Agents, or otherwise howsoever.

Introduction

Content structure

The manual explores the critical role of information and knowledge

to an organisation Specifically, the manual aims to providestudents and organisations with the theoretical and practicalunderpinning elements enabling them to evaluate, measure andextend the effectiveness of existing and new processes, tools andtechnologies used to manage information Strategies for buildingknowledge cultures, developing creativity and innovation, capturingorganisational memory, managing content, value adding andutilising technology for knowledge transfer will be explored Readers will cover topics such as leadership, risk management,project management, collaboration, marketing, budgeting, qualitycontrol, policy development and organisational culture in thecontext of implementing an Electronic Document and Recordkeeping System

About the presenter

(Ana)stasia Govan is an academic and consultant focusing oninformation, business management and for 15 years in Australiaand Asia Ana has received several national awards fromProfessions Australia, academic institutions and the AustralianComputer Society Currently a Senior Lecturer with Charles DarwinUniversity Graduate Diploma of Information and KnowledgeManagement course and writing economics units for the BusinessSchool, Ana also teaches records management and library VETunits Ana has held several Executive and non Executive nationalboard directorships with private and not for profit organisations and

is an active member of relevant professional societies

Consulting services

Services cover Information & Records Management,Telecommunications and Technology strategic and tactical services

to the IT&T market, including advice on and implementation of:

• Information Technology, Freedom of Information, Privacy,Project management and Records management compliance

• Information technology and telecommunications strategy,planning, and acquisition

• Systems Integration and Facilities Management services

• Information, records, library, and knowledge management theory and technical implementations

• Classification and disposal schedules development and implementation

• Risk evaluation and planning

• Sharepoint, TRIM, integration and SQL expertise

• Regional telecommunication and other infrastructureplanning and implementation

• Negotiation and funding access applications

• Federal and State Government liaison

• Policy evaluation, advice, business planning

• ICT resource and industry research analysis publications

• Project management

• Business, workflow and process analysis

• Labour hire – Records, Library, Knowledge Managementand TRIM

• Training

If you would like further information about any of our servicesplease phone 0428836405 or email admin@inforg.com.au

Theme 2 - Why information is important to an organisation

• The information lifecycle Why measure information as anasset?

• Why do organisation management data, information andknowledge?

• How do organisations manage information?

Theme 3 - Identifying the need for improvement in managing information

• What is an information audit?

• Information audit models

• Organisational culture and information sharing

• Information as a business asset

• Building communities of practice

Theme 4 - Measuring information as a business asset

• Why measure information as an asset

• Models for valuing information as an asset

Theme 5 - The business case for managing information effectively

• Defining business requirements

• Elements of the business case

Theme 6 - Acquiring an information system to manage information effectively

• Build or buy

• Systems principles

• Requests for information

Theme 7 – Contracting fundatmentals

• Tendering

• What is a contract

• Getting value from contracts

Theme 8 - Implementation of the information management system

• What is an information management system?

• Types of information management systems

Theme 9 - Using project management methodologies

• Using project management methodologies to implement

an information management system

• Why is project management important?

Theme 10 - Exploring elements of project implementation

Teaching and Learning Strategies

Contact Whitehorse Strategic Group

(admin@whitehorsestrategic.com.au) for a training course on the material in this manual

As well as the provided activities and readings there are furtherreferences in the manual you can followup at your local library

Theme 1 - The relationships of data, information and knowledge

← Data - Any manifestation in the environment,

including symbolic representations, that in

combination may form the basis of information

←

← Information - Data in a context to which meaning

has been attributed

←

← Knowledge - A body of understanding and skills

that is constructed by people Knowledge is

increased through interaction with information

(typically from other people)

Boisot (1998) in Knowledge Assets Clarifies further by stating;

"data, information, and knowledge is relevant for

explaining the contrast between physical assets

and knowledge assets Knowledge builds upon

information that is extracted from data In

contrast to data that can be characterized as a

property of things, knowledge is a property of

agents predisposing them to act in particular

circumstances Information is that subset of the

data residing in things that activates an agent

through the perceptual or cognitive filters

In contrast to information, knowledge cannot be

directly observed Its existence can only be

inferred from actions of agents Similarly

knowledge assets cannot be directly observed in

nature as they need to be apprehended indirectly.

Hence, in contrast to the emphasis on tangible

input-focused measures of physical assets,

knowledge assets require understanding in terms

of quality and content of performance outcomes"

(p 12)

The Dampier Rock Art Precinct in Western Australia is the worldslargest collection of Petroglyphs (rock carvings).Over 250,000individual rock carvings are estimated to be in this region Somedate back as far ago as 10,000 years Some have been destroyed,some will be destroyed, some may be removed and some mayremain.

http://www.ntwa.com.au/dampier.html Do you think they are data,information or knowledge given the above definitions?

Some may argue that they are data as they are symbolicrepresentations and not knowledge as they have lost the context towhich their meaning has been attributed Other elements that havegiven us the context and meaning of the data to utilize it asinformation and increase our knowledge has been lost If they aresimply data and not information that can be converted intoknowledge are they less valuable and to whom? What are the risks

if the rocks are destroyed, individual ones moved to museums orstay where they are?

In a digital business world if someone has your credit card number,someone else has your signature and someone else the expirydate of the card the value of the information is low in a commercialcontext If the same person has all three data elements, a contextarises and information is created The value of the individual dataelements increases As the value of the data elements increases

so do the risks, costs and complexities surrounding management ofthe information at a business and global level

The importance of managing information is critical not only for

individuals and businesses but at a global level The World Development Report (1998) states that

"For countries in the vanguard of the world

economy, the balance between knowledge and

resources has shifted so far towards the former

that knowledge has become perhaps the most

important factor determining the standard of living

- more than land, than tools, than labor."

In the KM Review article in your reading list for Topic 1 SaintOnge (2006) discusses the convergence of knowledge andtechnology Braue (2002) and the first chapter of your Laudon andLaudon (2006) text identifies how important management ofinformation is for competitive advantage in the business world

1.1.2 Readings

Braue, D (2002) Banking on brain power:The secret to edging outthe competition is discovering where your organisation’s knowledge

lies, and managing it effectively ZDNET Australia

Department of Economic and Social Affairs (2003) ExpandingPublic Space for the Development of the Knowledge Society:

Report of the Ad Hoc Expert Group Meeting on Knowledge

Systems for Development United Nations:New York

Firestone, J (2001) Key issues in knowledge management.Knowledge and innovation:Journal of the KMCI Vol 1 (3)

Saint Ong, H (2006) The convergence of knowledge andtechnology Technology Spotlight, vol 9, no 3

1.1.3 References

Boisot, M.H Knowledge Assets New York, NY: Oxford UniversityPress, 1998

Dampier Rock Art images can be viewed at om.au/dampier.html

Laudon, k & Laudon J (2006) (10th ed) Management Information Systems: Managing the Digital Firm, Pearson Custom Publishing,

Activity 1

Tick the true or false answer

The emerging Internet business culture is a set of expectations that we all share.

True False

IT is an abbreviation commonly used to refer to Internet technology.

True False

Information technology has become the largest component of capital investment for firms in the United States and many industrialized societies

Members of the organisation evaluate and correct inputs through feedback.

True

False

Formal computer-based information systems are typically unstructured systems that are easily changed.

True

False

An information value chain is one where nearly all significant business processes and relationships are managed through digital means.

Knowledge workers are engineers or architects who design products or services.

True

False

Web pages can be linked electronically to other Web pages, regardless of where they are located, and viewed by any type of computer

Research has shown that investment in

information technology will guarantee a company senior returns

True

False

All information systems are behavioral systems.

True

False

Activity 2

Answer the following multiple choice questions

Nicholas Carr, an editor at Harvard Business Review wrote an article titled "IT Doesn't Matter," which stirred significant debate in the business community Which of the following was NOT one

Internet growth and technology convergenceTransformation of the business enterpriseGrowth of the globally connected economyEmergence of more personal appliances

The _ is bringing about a

convergence of technologies, roiling markets, entire industries, and firms in the process.

Internetintranetextranet

market structure

Due to networking and the Internet, relationships with customers, employees, suppliers, and logistic partners are becoming:

strained relationships

disjointed relationships

digital relationshipsanalog relationships

As a supplier, you cannot do business with Mart unless you adopt their well-defined:

decision to work through established channels.reliance on informal commitments and networks

to establish goals

method of handling expenses

reliance on formal rules

Information-intense products require:

computer information systems for their use.highly-educated users

a great deal of knowledge and training to produce

high financial investments before any return on investment may be seen

When nearly all core business processes are digitally enabled,

the firm is more competitive and efficient

the firm no longer needs paper records

more employees will be required

every employee must be computer literate

Data shaped into meaningful form are called:

a databank

feedback

knowledge

information

Computer literacy focuses primarily on:

the ability to do word processing

a knowledge of the software required to do your job

a knowledge of information technology

a knowledge of computer hardware basics

The system with universally accepted standards for storing, retrieving, formatting, and displaying information in a networking environment is called:

the Internet

the Information Superhighway

the World Wide Web

information technology infrastructure

The technical approach to information systems includes:

only the information system itself

hardware, software, and intra-organisational systems

people, hardware, and software

computer science, management science, and operations research

The study of the use of computer-based

information systems by managers is called:

existinguniversalsociotechnicaltechnology infrastructure

Activity 3

As part of your class or with work colleagues discuss the following;

“Describe five factors to consider when assessing the growing impact of IT in business firms both today and over the next ten years.”

Topic 2

1.2.1 Terminology

As you progress through the manual you will find the words data,information, knowledge and records used interchangeably instead

of as the definition indentified by Australian Standards

For example the following table has been reproduced from theEuropean Commission's Model Requirements for the Management

of Electronic Records (Moreq2) and indicates the differentiatingfactors of records as opposed to document management

An Electronic Document Management System;

• allows documents to be modified and/or to exist in severalversions;

• may allow documents to be deleted by their owners;

• may include some retention controls;

• may include a document storage structure, which may beunder the control of users;

• intended primarily to support day-to-day use of documentsfor business

Throughout this unit, for ease of identification, l will use the word'information' to cover systems and strategies that you may findreferred to as Knowledge, data or records management in yourreadings

Buckman, R (1998) Lions, tigers and bears: Following the roadfrom command and control to knowledge sharing.

1.2.3 Activities

Activity 1

Browse through the theme and get a feel for the subject and what isrequired Note down any queries you may have Discuss with yourwork colleagues, trainer or other students

Ensure you understand the difference between the definition ofdata, information and knowledge

Theme 2 - Why information is important to an organisation

Topic 1

2.1.1 The information lifecycle

Data, information and knowledge passes through different stages ofthe diagram below and is often referred to as the informationlifecycle

Different management strategies, policy, procedures andresponsibilities are applied at each stage of the informationlifecycle

The NSW Government Chief Information Office InformationManagement Framework Guideline can be found in your readingsand defines these elements further

In a later theme we will cover Quality Management Systemdocumentation requirements

2.1.2 Readings

NSW GCIO Information Management Framework - InformationManagement Framework

4.4.14 Framework.pdf

NSW GCIO Information Management Framework - InformationAudit

Each state and territory have a variety of legislation coveringrecords management, business records, electronic transactions,evidence, privacy and freedom of information Cases such asEnron and British American Tobacco have made managing data,information and knowledge essential for good businessgovernance.

If organisations implement strategies to manage information theymay see the following benefits;

1.Reduced costs

When staff are employed there is often a lag between whenthey are recruited and when they are fully productive as theyneed to acquire the knowledge of the position and culture ofthe organisation If the knowledge and documents of anemployee who is retiring after 10 years can be captured in adatabase or through interviews, costs are reduced in thereplacement employee understanding their role in theorganisation quicker and not requiring as much training 2.Innovate

A consultancy or advisory organisation can increase it'scompetitive edge and build on ground breaking researchfindings over a business rival if it can capture and retrieve theknowledge of it's employees efficiently and from anywhere inthe world

3.Improve productivity

If a law firm can capture the research, reasoning and outcome

of all cases it defends and the information is retrievablethrough a search, costs to the client are reduced as researchdoes not take as long and documents do not need to berecreated

4 Reduce risks

Non compliance of legislation or through negligent handling ofdata, information or knowledge can result in financial penalties

or negative publicity in the media

Professor Wai Fong Chua and Christine Van Toorn explore thebenefits of managing information in the business context in the

reading "Documents, risk and the fate of your organisation: Document management in the age of corporate accountability".

The risks of not managing information have been highlighted byrecent Victorian Legislation which you can learn about in Reading

3

2.2.2 Readings

Strassman, P (2005) Information management and organisational entropy

Toorn, C and V (2005) Documents, risk and the fate of your

organisation: Document management in the age of corporate accountability

Priest, M (2006) Document destruction could be costly Australian Financial Review, 8/9/2006, p 58

Example of an organisations Information Architecture

2.2.2 Activities

Activity 1

Identify and document the relevant privacy, freedom of information,records management and archiving legislation that coversorganisation for the state or territory you work in

Activity 2

Identify 3 recent cases of good or bad information legislationcompliance in newspaper media and answer the followingquestions;

• What the relevant legislation is for your state or territory(there is specific requirements for referencing legislationcorrectly)

• Fully reference the newspaper article according to Harvardstyle of referencing

• State what the compliance issue/s are in the article andrelate it back to the relevant parts of the legislation (privacy,foi, records management, archiving) in your state or territoryDiscuss your findings with others in your class, your trainer or workcolleagues

Topic 3

2.3.1 How do organisations manage information?

There is different terminology and ways of managing theinformation at the different stages depending on the area you areworking with For example a Librarian may refer to a set of termsthat describe a business function as a thesaurus but a technologistmay refer to it as an ontology and a records manager as a businessclassification scheme

There are also different software applications that manageinformation at the different stages They may be referred to aselectronic document management systems, digital repositories,knowledge management systems, content management system,library catalogues or record management system

Management of information requires definition of elements,identification and monitoring of processes and people,implementation of policy and procedures and an electronicapplication to assist with managing the information Such aparadigm is represented below

PROCESSES TECHNOLOGY

PEOPLE

The National Archives of Australia have developed DIRKS (Designand Implementation of Recordkeeping Systems)(http://www.naa.gov.au/records-

management/systems/dirks/index.aspx) for organisations(particularly federal government agencies) to improve themanagement of their information It is a step by step guide toauditing, designing and implementing best practice informationmanagement processes and IT systems and is currently underreview to reduce complexities No need to read all of DIRKS (it hasseveral chapters) Skim over the index and read components thatare relevant to you currently

Part One: The DIRKS methodology – A users guide (pdf, 448kb)

Part Two: Step by step through the DIRKS methodology (pdf, 887kb)

Step A – Preliminary investigation (pdf, 313kb)

Step B – Analysis of business activity (pdf, 314kb)

Step C – Identification of recordkeeping requirements (pdf, 391kb)

Step D – Assessment of existing systems (pdf, 236kb)

Step E – Strategies for recordkeeping (pdf, 262kb)

Step F – Design of a recordkeeping system (pdf, 266kb)

Step G – Implementation of a recordkeeping system (pdf, 298kb)

Step H – Post-implementation review (pdf, 223kb)

Part Three: Appendixes (pdf, 932kb)

Appendix 1: Guide to documentary sources (pdf, 312kb)

Appendix 2: Guide to interviews (pdf, 240kb)

Appendix 3: Interview questions (pdf, 178kb)

Appendix 4: Source identification forms – Acts of Parliament, Statutory rules

(regulations), Other sources including interviews (pdf, 254kb)

Appendix 4: Source identification forms – Acts of Parliament, Statutory rules

(regulations), Other sources including interviews (doc, 396kb)

Appendix 5: Organisation context document (pdf, 255kb)

Appendix 5: Organisation context document (doc, 403kb)

Appendix 6: Practical advice for using Keyword AAA and AGIFT terms (pdf, 305kb)

Appendix 7: Function source document (pdf, 98kb)

Appendix 7: Function source document (doc, 393kb)

Appendix 8: Procedures for developing a records disposal authority in the

Commonwealth (pdf, 261kb)

Appendix 9: Guide to developing a business case for a DIRKS project (pdf, 298kb)

Appendix 10: Recordkeeping cost-benefit analysis (pdf, 327kb)

Appendix 11: Risk analysis in DIRKS (pdf, 286kb)

Appendix 12: Recordkeeping feasibility analysis (pdf, 212kb)

In Australia frameworks for the preservation of electronicdocuments are provided by the Public Record Office Victoria(PROV) and National Archives of Australia The Victorianframework is called VERS (Victorian Electronic RecordSystem) which details frameworks and proof of concept for

(http://www.prov.vic.gov.au/vers/toolkit/) The NationalArchives of Australia framework is called Digital Preservation

store/e-preservation/index.aspx Both frameworks suggestXML as a long term preservation format

http://www.naa.gov.au/records-management/secure-and-Standards Australia have also developed a KnowledgeManagement framework (Knowledge Management-A guideAS5037:2005) in conjunction with the information industry

After identifying gaps, system needs and implementing strategies toimprove information management in an organisation planning andproject management techniques are also essential

The following is a high level list of steps for implementing anEDRMS;

1 Identify non compliance and gaps in managing information (information audit)

2 Gain senior management support for managing the information

3 Identify your business requirements

4 Scan the market for the product price, vendor relationship and scope that fits your organisations values

AS ISO 15489:2002 Records Management

AS5037:2005 Knowledge Management

Information Management guidelines - NSW

(http://www.records.nsw.gov.au/recordkeeping/recordkeeping_in_the_nsw_public_sector_2072.asp)

Information Management guidelines - Northern Territory

http://www.naa.gov.au/records-management/secure-and-store/e-2.3.4 Activities

Activity 1

To keep up to date with trends, strategies and the latest in softwareofferings consider subscribing to the following free onlinecommunities and newsletter subscription services such as thefollowing;

It is a very imformative snapshot of what is happening in the digitalinformation, records and knowledge management arena

Activity 3

Have you taken any steps in your organisation to implement anEDRMS? If so what are the steps you have mapped out? Discusswith your trainer, work colleagues or other students

Theme 3 - Identifying the need for improvement in managing information

Topic 1

3.1.1 What is an information audit?

The first step to understanding an organisations informationmanagement culture and needs is to identify and measure theinformation assets and how staff interact with them Once theinformation assets, where they are stored and the humaninteractions with them are documented a value can be placed onthe assets It can be measured, tracked and evaluated at all stages

of the information lifecycle and be incorporated into anorganisations financial reporting as a corporate asset The audit isalso a baseline for future evaluations of how much knowledgecapital an organisation has and how well it is managing information.The NSW Government Information Office defines the audit as;

"examine some or all of information form, content,

processes, classifications, costs and values at any

stage of the information lifecycle and assess them

against criteria under the identified purpose of the

Audit." (p 6).

Henczel (2000) defines an information audit as;

'a systematic evaluation of information use,

resources and flows, with a verification by reference

to both people and existing documents in order to

establish the extent to which they are contributing to

an organisation's objectives' (p 215)

A comprehensive information audit may identify all types ofinformation created (hardcopy and electronic), where it is stored,how the IT systems share the information, which individuals createwhat information, who they share it with and who has access towhich information It should be conducted without the auditorprojecting their own bias and assumptions There are severalissues that can arise in terms of bias and recording These arediscussed in the Department of Economic and Social Affairs paper

in your readings on pg 72

3.1.2 Readings

Henczel, S.(2000).The information audit as a first step towardseffective knowledge management Inspel, v 34, no 3/4, pp 210-226

NSW GCIO Information Management Framework - InformationAudit

*Each State and Territory also has guidelines available from the records offices regarding record surveys which contain the same priniciples and processes as an Information Audit*

Department of Economic and Social Affairs (2003) ExpandingPublic Space for the Development of the Knowledge Society:Report of the Ad Hoc Expert Group Meeting on KnowledgeSystems for Development United Nations:New York

Topic 2

3.2.1 Information audit models

Information audits require significant research and preparationbefore interviewing or approaching invidividuals with particularquestions Henczel (2000) identifies a the following seven stepmodel in your readings

In order to capture and evaluate the information audit resultsseveral methods can be deployed A database may be developedand deployed to desktop pc's in an organisation with a pre tailoredquestion and answer format or through using a web browser or toolsuch as survey monkey Alternatively face to face interviews andcapturing of the data on spreadsheets could be undertaken

Interviewers or those constructing the online survey questionsshould be aware of effective interview and survey instrumentconstruction techniques Case studies of both methods and anaccess database can be found in your readings on the InformationAuditors resource website Ensure you view the Info AuditSoftware by Adam Pope and the list of audit questions in the NSWGCIO Information audit guideline.

Options for conducting information audits are described by theNational Archives of Australia DIRKS manual, the New South WalesGovernment Information Office Information Audit Guideline andPublic Records Office VERS toolkit They can also be found inrecords management guidelines for conducting a record survey onmost state and territory record/archive office websites

The outcome of the audit is a documented list of information stores,duplication, information flows through the organisation, risk of loss,

an estimate of compliance with record keeping and privacylegislation compliance, an indication of the extent of knowledgecapture as opposed to information management and a platform forvaluing the information as a capital asset of the organisation

If information is measured at the micro business level or macroglobal level the key steps of an information audit can besummarized as;

1 Identify and document the relevant state and territoryinformation related legislation that may cover records,privacy, evidence act or freedom of information legislation

2 Identify if the legal branch of the organisation has a list oflegislation that the organisation must comply with

3 Read business documents such as the annual report,strategic plans and scan the website to understand thebusiness

4 Identify if the IT branch of the organisation has a diagram ofall the information stores of an organisation and how theyinteract

5 Identify the relevant questions for different areas of theorganisation

6 Identify if you will need to capture the information throughinterviews and documentation of responses or if aspreadsheet or database can be established and haveparticipants fill in the details themselves

An example of a manually completed information audit for a smallbusiness is included in your readings

A commentary on the current state of record keeping in several

Australian federal government agencies is provided in 'An overview

of Management of Electronic Records in the Australian government’

Boon, H.(2003) The Information Audit: Libri , vol 53, pp 23?38

Henczel, S.(2000) The information audit as a first step towards effective knowledge management: An opportunity for the special

librarian INSPEL 34(2000)3/4, pp 210-226

3.2.3 References

Worthington, T An overview of Management of Electronic Records

in the Australian government can be found athttp://www.tomw.net.au/technology/it/egovernment/erecords.shtml

Wood, S (2004) Information auditing: a guide for information

Topic 3

3.3.1 Organisational culture and information sharing

Information audit results may identify if there are cultural issueswith sharing knowledge within an organisation Encouraging staff

to share knowledge may need the organisation to first address thepsychological factors of trust, ownership of intellectual property andprinciples of a fair workplace

Patch, et al (2000) in two separate studies on individual attitudestowards work-related knowledge found that only a minority ofemployees do not share information Individuals 'hoarding'information was found to be a significant problem The reading byDamodaran and Olphert (2000) outlines further positiveand negative aspects of knowledge management systemswithin organisations

The importance of knowledge sharing and its impact on innovation

in an organisation is shared by David Gurteen in this podcastEncourage Knowledge Sharing - Don't force it!

3.3.2 Readings

Damodaran, L and Olphert, W (2000) Barriers and

facilitators to the use of knowledge management systems

Behaviour and Information Technology, 2000, VOL 19, NO 6, 405±413

Gurteen, D (2005) Encourage knowledge sharing - Don't force it!(video on google available by searching for Gurteen and video title)