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E. Bryan - Changing the Paradigm - Record and Information Management for Public Service Excellence

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Presentation delivered at the MIND Policy Forum at the Management Institute for National Development (MIND) on Friday, December 1, 2017.

See link: https://www.scribd.com/document/369215645/MIND-Policy-Forum-Decemeber-2017

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E. Bryan - Changing the Paradigm - Record and Information Management for Public Service Excellence

  1. 1. Changing the Paradigm: Record and Information Management for Public Service Excellence Emerson O. St. G. Bryan Principal Consultant & Information Management Specialist
  2. 2. Objective i. To advocate increased senior level awareness of the importance of records and information management, particularly from a policy perspective, across the Jamaican public service, as well as the need to define and develop policies to support evidenced based decision making and good governance. ii. ii. Increased senior level understanding of how an effective records and information management programme support the business needs of Government of Jamaica and the services provided to citizens as a whole.
  3. 3. 1. About Records and Managing Records
  4. 4. Records are both evidence of business activity and information assets. They can be distinguished from other information assets by their role as evidence in the transaction of business and by their reliance on metadata. Metadata for records is used to indicate and preserve context and apply appropriate rules for managing records. Managing records encompasses the following: a) a) creating and capturing records to meet requirements for evidence of business activity; b) b) taking appropriate action to protect their authenticity, reliability, integrity and usability as their business context and requirements for their management change over time. ISO 15489-1:2016(en) Information and documentation — Records management — Part 1: Concepts and principles NB. Establishing convergent and synergistic support at a strategic level in alignment with the objectives of ISO management system standards (MSSs), e.g. ISO 9000 Quality management, ISO 31000 Risk management, ISO 27000 Information security management, ISO 19011 auditing management, etc., enabling evidence-based collaboration and linkage to Asset Owners and Asset Registers for records. Best Practice: ISO 15489 Records Management Standard
  5. 5. The Record must ensure through time that it maintains the following characteristics:  Authenticity (can be proven)  Reliability (can be trusted)  Integrity (complete and unaltered)  Usability (to allow access and use) See: ISO 15489-1 Part 7: 2 Characteristics of a Record
  6. 6. All organizations, large or small, whether in business or government, create documentation as part of their normal activities. It is important for organizations to keep records of their decision making processes and maintain a documented trail of actions taken. This is good practice which can aid efficiency, help to manage risk and nurture repeat business. Also, when faced with litigation or investigations, it allows organizations to retrieve information so they can ascertain which decisions and actions were taken and why. As the transition from paper to digital format becomes inevitable for most organizations, it is more important than ever for them to implement a management system for records (MSR). The ISO 30300 series constitutes a reference point for information management and for the creation and control of documents, establishing requirements for: i. policy and procedures; ii. definitions of roles and responsibilities; iii. design and implementation of the MSR; iv. evaluation of performance and how to improve. Best Practice: ISO 30300 Management System for Records Supports ISO 15489, but mainly for senior management instead of for records managers
  7. 7. • Information Governance with the General Accepted Recordkeeping Principles (GARP) [the Principles] • 8 Principles - ATIPCARD 1. Principle of Accountability 2. Principle of Transparency 3. Principle of Integrity 4. Principle of Protection 5. Principle of Compliance 6. Principle of Availability 7. Principle of Retention 8. Principle of Disposition http://www.arma.org/r2/generally-accepted-br-recordkeeping- principles Best Practice: GARP and Information Governance
  8. 8. 2. Records as Strategic Resources and Assets
  9. 9. Traditional public administration: principal-agent approach, where within the context of the public service, the citizens, or the general public (principal) were dependent on public bureaucrats (agents) to share information, instead of promoting ‘information silos’ by not sharing information beyond their self interest, thereby creating a situation of ‘information asymmetry’. (Jooste, 2008) New Public Management (NPM): moves away from traditional public administration model, and instead emphasizes managerial improvement and res-structuring on the one hand, and markets and competition within the public service on the other (Lihoma, 2012). • Advocated and widely promoted by multilateral partners such as the World Bank and the International Monetary Fund (IMF) to developing countries as part of development programmes. • The characteristics of NPM are to support managerial freedom, market driven competition, business-like service delivery, value-for-money, results-based performance, client orientation, and a pro-market culture (Haque, 2004). Traditional Public Administration vs. New Public Management
  10. 10. The movement for evidence-based policy and practice and for the use of research evidence in the work of the professions, started in medicine in the early 1990s. The evidence-based policy and practice movement is closely related to increasing demands for ‘transparency’ and ‘accountability’ that are characteristic of what has come to be called ‘managerialism’ in the public sector or the ‘new public management’ (Hammersley, 2001). Evidence-based policy making was recognized as a central element of New Labour’s plans for the modernization of government in the United Kingdom. For example, a United Kingdom Cabinet White Paper states that: “...policy decisions should be based on sound evidence. The raw ingredient of evidence is information” (Cabinet Office (UK), 1999). Executive leadership is absolutely necessary to create a system where our nation manages and uses its information in the most efficient and useful way. MDAs must be given the message that records management is important from the very top of the organizational chart Evidenced-based policy development and NPM
  11. 11. 1997 • Print to paper policies • We had information silos • Filed in central ‘registries’ • Moved to storage and kept to meet retention requirements • PCs were used mainly as typewriters 2017 • Most records are created, received and stored electronically in the cloud • eMail is the largest mode of transmission across all boundaries • Heterogenous information formats and platforms • Territories less defined for ‘information management’ • Each individual makes his or her decision about what to keep and what to get rid of New Information Reality
  12. 12. Private Sector need to identify and in some cases comply with: 1. Statutes and case laws, and regulation governing the sector-specific and general business environment; 2. Mandatory and Voluntary standards of practice; 3. Innovation, Trade Secrets and Marketing Strategies; 4. Client Information; and 5. Identifiable expectation of the community about what is acceptable behavior for the specific sector or organization. NB. The nature of the organization and its sector will determine which of these regulatory elements are more applicable to that organization’s RM requirements. Information as Asset – Private Sector
  13. 13. • Information as ‘Power’ to the citizenry Access to information via publishing and sharing of government information builds accountability and inclusiveness. • State monitoring and use of Information PAAC Sittings, border control systems. • Big Data Analytics/MIS as an Administrative tool in Government Used to monitor routine functions and processes to determine performance and forecasting. Joint-up government for service delivery: tax collection, business registration, import/export, human resource management, fiscal management, procurement etc. • Integrity and Accountability ‘Sunshine’ Regimes FOIA, Declaration of Assets, Data Sharing, Data Protection Information as Asset - Government
  14. 14. 3. Public Service Excellence
  15. 15. Global SDGs and National Development Plan
  16. 16. Service Delivery in Government Since the earlier decades (i.e. before 1990s), the World Bank promoted good governance in developing countries by a mechanism of internal rules and restraints, i.e. by reviewing a country’s internal accounting and audit systems, budgeting mechanisms, and rules governing the civil service and judiciary (The World Bank, 2000, Government agencies operate in an environment where the expectations of citizens, influenced by changing technology and experiences with the private sector, are placing increased demands on the public sector to deliver more services efficiently and effectively. Citizens expect seamless service delivery; they expect to be able to conduct business in an online environment and to have instant access to information and services no matter the time of day or location. This means: Electronic Government, Electronic Recordkeeping (capture, conversion & migration) and Enterprise Content Management.
  17. 17. Maximum utilization of talent to service stakeholders
  18. 18. Governments’ ability to achieve their operational and strategic goals and hold themselves accountable for their decisions and actions depend upon how well they can create, use and preserve records. • This ability is being placed at risk because of significant weaknesses in the way records are being managed: • Civil service managers face the risk that major programme delivery initiatives may fail due to poor quality records. • Civil servants are worried about how to cope with an overwhelming volume and variety of e-mails, documents, records and files and how to know what is important and what is not. • Technology specialists know that costly systems and applications often fail because the information and data in records are unreliable. • Citizens and users are concerned that records to which they have a right under Freedom of Information or similar legislation is often unavailable, inaccessible, inaccurate, incomplete or out-of-date; implementation of Freedom of Information legislation is at considerable risk. • Civil service managers and civil servants are unaware of the implications of poor records management on their programmes and services; they have yet to recognise that their programmes, services and initiatives can be undermined significantly because of the absence of adequate controls over records. Government’s Agenda at Risk
  19. 19. – The Dublin Core Metadata Initiative (DCMI) (Dublin, OH) – Now ISO 15836 Creator Title Subject Contributor Date Description Publisher Type Format Coverage Rights Relation Source Language Identifier http://dublincore.org/documents/dces/ Dublin Core
  20. 20. • Anti-Money Laundering • Basel Accord • Evidence Acts • Electronic Transactions/ Commerce Acts • Securities Acts • Financial Institutions Acts • Banking and Insurance Acts • Income Tax Acts • Human Resources Legislation • Labor • Health and Safety • Environmental laws • Archives Acts • Copyright and Patent Acts • Computer Misuse Acts • Freedom of Information Acts • Data Protection Acts • Data Sharing Acts • Transportation and Immigration Laws • Single ID system (NIDS) • Sharing of Intelligence for Law Enforcement, Homeland Security against Terrorism Information Compliance- Legal Issues
  21. 21. Training and Retention of RIM Professionals
  22. 22. Change management, in the context of managing public service information assets, is all about how members of the public service make the transition from the traditional approaches to management, pre-Information Age, to new means of administering in new and evolving knowledge environments. The latter principle is one of the many ways in which change management is different for the public sector. Change Management
  23. 23. 4. Notable Model and Examples to Consider for Public Service Recordkeeping
  24. 24. • Australian Government’s Information Interoperability Framework Sharing information across boundaries, see: https://www.finance.gov.au/sites/default/files/Information_Interoperability_Frame work.pdf • The UK’s National Archives Information Management Guidelines, see: http://www.nationalarchives.gov.uk/information-management/manage- information/policy-process/ • Canadian Government’s Generic Valuation Tool on Information Management, see: https://www.bac-lac.gc.ca/eng/services/government-information- resources/guidelines/generic-valuation- tools/Documents/GVT_InformationManagement.pdf • South African Government’s Records Management Policy Manual, see: https://www.nationalarchives.gov.za/sites/default/files/RM%20Policy%20Manual_2. pdf National RIM Initiatives
  25. 25. As governments around the world make the transition from a paper-based to an electronic working environment, there are a host of new issues to be addressed. In this film, Tanzanian Government officials explore some of the issues involved in moving from a manual system for managing personnel information to a computerised integrated human resource and payroll system. The challenge is to maintain control of the records required to support rights, entitlements and obligations while maximising the benefits of computerisation. This film was produced for the World Bank Information Solutions Group. Video created 2000. Ctrl+Click to link
  27. 27. 29www.bryanconsultancies.com/en
  28. 28. Want to know more about Information management? https://www.linkedin.com/company/5371567/ https://twitter.com/bryanconsulting https://www.facebook.com/BryanConsultancies/ 31www.bryanconsultancies.com/en Emerson O. St. G. Bryan Principal Consultant & Information Management Specialist www.bryanconsultancies.com/en/ emerson@bryanconsultancies.com p1. + p2.+1.867.308.2735 Information Management is our business!