Information Management Life Cycle

Information Lifecycle Management Steve Dale Semantix (UK) Ltd Knowledge & Information Management

Today’s Presentation

What is information and what is the “Information Management Life Cycle” (IML)?

Why develop & implement an IML

Approach to developing an IML

Documents, Records and Systems

Indexing, Classification & Taxonomies

Standards & Policies

Questions

What is “Information”

What is information (2)?

What is information life cycle management (ILM)?

Information life cycle management (ILM) is a comprehensive approach to managing the flow of an information system's data and associated metadata from creation and initial storage to the time when it becomes obsolete and is deleted.

What are the drivers for implementing an Information Management Life Cycle?

Compliance 1

Data Protection Act 1998

Governs personal information

Provides protection for an individual

European Law so takes precedence over Domestic Law

FOI Act 2000

General requirement to make any recorded information publicly available within short timescale

Compliance 2

EIRs 2000

Similar to FOI but relates to environmental information

Broader scope than FOI

Sarbanes-Oxley Act 2002 (SOX)

Defines standards for corporate governance, financial reporting and accounting practices

The information life cycle Create/capture Index & Classify Process Store/manage Retrieve/publish Archive Destroy Policies and Standards

Documents and Records are everywhere SITE SEARCH Intranet Documents eMail Mail System MAIL SEARCH RDBMS ERP, CRM Legacy Data Datawarehouse Datamarts BI SEARCH SITE SEARCH Intranet Documents Documents DMS, RMS R/DMS SEARCH Records

Managing structured, semi-structured and unstructured information Web Content Management Document Management Records Management Knowledge Management Digital Assets/Rights Management Information Management Policies, Procedures, Standards Enterprise Content Management

Information – the scope Good IT systems are essential for managing all this information. Information is only as good at the method of retrieving it. It must be tagged with metadata and have an index of what is covered. Information Documents (recorded information) Records Electronic Documents Electronic Records

Information Types Real-time video clip Marked-up HTML document on Web Data in spreadsheet Digital image Marked-up text entry for catalogue etc. Data in flat file E-mail text Bibliographic record Data in database tables Unstructured information Semi-structured information Structured Information

The hierarchy of information management Private content Personal working area Unmanaged content Team working area Managed content Corporate memory area Public Info Area Published content Increasing rigour of document & records management

Documents and Records are everywhere EDRMS WWW PDA Tablet PC 3 rd Party Application CRM etc Kiosk Reports Video / Sound Fax Paper Files Data Emails Correspondence Form data Scanned Physical Object Location Archive

Document Management vs. Records Management Document Value Time 1 Month 1 Year 5 Years 25 Years Document Management Focus (Short-Term) Records Management Focus (Long-Term)

EDMS vs. ERMS Used during the entire life cycle Instantaneous - used during creation, revision, or searching Duration of usage Statutory, regulatory, operational, historic Re-usability, reference Value basis Evidence Information container Role of a ‘document’ Control corporate assets, ensure compliance Manage information in documents, make it easier to find and access What application is designed to do Policy centric Information centric Primary application focus Records Management Document Management Characteristics

ERM, EDM, & IT Have Differing Goals

Document/Content Management assists users

Creation and retrieval of shared active documents

Very little formal control or restrictions

Deleted according to activity, use, space, etc.

Information Technology supports data

Records and documents exist as data in e-systems

IT plans computers & networks; Protects systems & data

Records Management defines retention rules

Records tracking of relatively inactive records

“ Records” are formally declared or business rule driven

Deleted according to formal schedules and rules

Information Management Life Cycle Policies and Standards Create/capture Index/Classify Process Store/manage Retrieve/publish Archive Destroy

Indexing

An essential part of the capture process, creates metadata from scanned documents (customer ID number, for example) so the document can be found. Indexing can be based on keywords or full-text.

Structured (attributes) Full text (unstructured) Hypertext linking 26.05.03 123457 Smith 18.11.06 123456 Brown Date Number Name

Classification (and taxonomies) Hierarchical Classification Scheme Term A1 Term A1.1 Term A1.2 Term A2 Term A2.1 Term A2.2

What is classification? Why classify?

Let’s go shopping

If that looks bad… The supermarket stocks over 6000 product types

Is this any easier? Potatoes Prepacked Patisserie Prepacked Salads Red Wines Salad Vegetables Salamis & Continental Meats Sausages Savoury Pastry Service Counter Cooked Meats Service Counter Fresh Bread Sherry Sliced Bread Smoked Salmon Soft Fruit Soups, Tinned Speciality Bread Spirits Stoned Fruit Tinned Vegetables Tomatoes Vegetables, Green Vegetables, Root Vegetables, Speciality White Wines Yoghurts & Desserts Accompaniments Apples & Pears Bacon Baking Bananas Beers & Lagers Biscuits, Savoury Biscuits, Snacks Biscuits, Sweet Bottled Sauces & mustards Butter & Fats Cakes Canned Fruit & Desserts Cereals Champagne Cheese, Prepacked Cheese, Service Counter Cider Citris Fruit Coffee, Ground Coffee, Instant Condiments Cooked Poultry Cooks Ingredients Delicatessen Prepacked Dried Herbs & Spices Exotic Fruit Fresh Cream Fresh Fish, Prepacked Fresh Fish, Service Counter Fresh Flowers, Bouquets Fresh Flowers, Cut Fresh Herbs & Spices Fresh Meat, Beef Fresh Meat, Lamb Fresh Meat, Pork Fresh Milk Fresh Poultry Frozen Desserts Frozen Fish Products Frozen Meat Frozen Meat Products Frozen Pizza & Bread Frozen Poultry Frozen Ready Meals Frozen Vegetables Grapes Home Gardening, Bulbs Home Gardening, Sundries Ice Cream Indoor Plants Leaf Salads Longlife Milk & Cream Loose Bread Melons & Pineapples Morning Goods Mushrooms Nuts & Semi-Dried Fruit Nuts in Shells & Dates Organic Fruit Organic Salads Organic Vegetables Pates & Terrines Patisserie Patisserie, Chilled The supermarket has over 150 product ranges

Better still?

Bakery & Patisserie

Beers, Wines & Spirits

Dairy

Delicatessen

Fish, Meat & Poultry

Flowers & Plants

Frozen Foods

Fruit & Vegetables

Grocery

The supermarket has only 12 product categories

Grouping things together… Bakery & Patisserie Loose Bread Beers, Wines & Spirits Beers & Lagers … makes them easier to find

Business Classification Schemes

Functional

For example order processing

Subject

For example types of animal

Organisational

For example planning dept., HR dept.

Hybrid

Combination of the above

Taxonomies Traditional Taxonomy Polyhierarchical Taxonomy

Information Management Life Cycle Policies and Standards Create/capture Index & Classify Process Store/manage Retrieve/publish Archive Destroy

Standards BS 4971:2002, Repair and allied processes for the conservation of documents Conservation & preservation ISO 27001 (replaces BS7799-2). Establish and maintain an effective information management system Information Security Management BS ISO 15489-1:2001, Information and documentation – records management Records management International Council on Archives, General International Standard of Archival Description [ISAD (g)], 2 nd edition, 1999 Cataloguing BS 5454:2000 Recommendation for the Storage and Exhibition of Archival Documents Records storage

ISO 15489

BS ISO 15489 –1:2001

Information and documentation Records management

Part 1: General

Part 2: Guidelines

ISO 15489 Part 1: General

Applies to the management of records in all formats and media

Provides guidance on managing records

Outlines elements which are recommended to ensure that adequate records are created, captured and managed

ISO 15489 Part 2: Guidelines

Provides procedures to help ensure that records are managed according to principles and elements outlined in Part 1

Provides a methodology for implementation of a records management system

ISO 15489 Methodology

Preliminary investigation

Analysis of business activity

Identification of requirements for records

Assessment of existing systems

Identification of strategies for satisfying records requirements

Design of records system

Implementation of record system

Post-implementation review

Questions to ask

Do you have a corporate records management policy?

Do you have a corporate records management system (not necessarily electronic)?

Do you have a corporate retention and disposal schedule for records?

Have you carried out a recent information audit throughout the organisation?

Do you operate an information security and access scheme throughout the organisation?

Developing a Records Management System

Develop classification system for information

Code and index information

Capture/ create information

Paper, electronic, microfilm

Store/retain information

Access information

Revise information

Destroy information

Awareness of legislation and regulations

Responsibilities for information

Relate to business processes and procedures

Retention and Disposal of Records

A vital element of any record or document management system

Every record should have an owner

Owners should assign a retention / disposal category to it

Record Retention Schedules

What are Retention Schedules?

These are the periods of time, varying from a few months to permanency during which a record has to be maintained by an institution. This is usually determined by statute, legal, regulatory or business compliance, or where these do not apply, by a best assessment of risks involved in destruction against the costs of retention. The retention period may consist of:

A fixed number of years from creation:

Most financial records of organisations in the EC have to be kept for the current year +6 years to meet VAT and Tax regulations, an effective total of 7 years. In this case the destruction date is known, fixed and can proceed without further intervention.

The life of the transaction + a fixed period of years.

Commercial contracts must be maintained for the life of the contract + 6 years. The exact number of years will depend upon the period of the contract.

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