Information Management Life Cycle

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Best practice for information management, from creation to archive or destruction.

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  • Information Management Life Cycle

    1. 1. Information Lifecycle Management Steve Dale Semantix (UK) Ltd Knowledge & Information Management
    2. 2. Today’s Presentation <ul><li>What is information and what is the “Information Management Life Cycle” (IML)? </li></ul><ul><li>Why develop & implement an IML </li></ul><ul><li>Approach to developing an IML </li></ul><ul><li>Documents, Records and Systems </li></ul><ul><li>Indexing, Classification & Taxonomies </li></ul><ul><li>Standards & Policies </li></ul><ul><li>Questions </li></ul>
    3. 3. What is “Information”
    4. 4. What is information (2)?
    5. 5. What is information life cycle management (ILM)? <ul><li>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. </li></ul>
    6. 6. What are the drivers for implementing an Information Management Life Cycle?
    7. 7. Compliance 1 <ul><li>Data Protection Act 1998 </li></ul><ul><ul><li>Governs personal information </li></ul></ul><ul><ul><li>Provides protection for an individual </li></ul></ul><ul><ul><li>European Law so takes precedence over Domestic Law </li></ul></ul><ul><li>FOI Act 2000 </li></ul><ul><ul><li>General requirement to make any recorded information publicly available within short timescale </li></ul></ul>
    8. 8. Compliance 2 <ul><li>EIRs 2000 </li></ul><ul><ul><li>Similar to FOI but relates to environmental information </li></ul></ul><ul><ul><li>Broader scope than FOI </li></ul></ul><ul><li>Sarbanes-Oxley Act 2002 (SOX) </li></ul><ul><ul><li>Defines standards for corporate governance, financial reporting and accounting practices </li></ul></ul>
    9. 9. The information life cycle Create/capture Index & Classify Process Store/manage Retrieve/publish Archive Destroy Policies and Standards
    10. 10. 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
    11. 11. 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
    12. 12. 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
    13. 13. 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
    14. 14. 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
    15. 15. 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
    16. 16. 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)
    17. 17. 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
    18. 18. ERM, EDM, & IT Have Differing Goals <ul><li>Document/Content Management assists users </li></ul><ul><ul><li>Creation and retrieval of shared active documents </li></ul></ul><ul><ul><li>Very little formal control or restrictions </li></ul></ul><ul><ul><li>Deleted according to activity, use, space, etc. </li></ul></ul><ul><li>Information Technology supports data </li></ul><ul><ul><li>Records and documents exist as data in e-systems </li></ul></ul><ul><ul><li>IT plans computers & networks; Protects systems & data </li></ul></ul><ul><li>Records Management defines retention rules </li></ul><ul><ul><li>Records tracking of relatively inactive records </li></ul></ul><ul><ul><li>“ Records” are formally declared or business rule driven </li></ul></ul><ul><ul><li>Deleted according to formal schedules and rules </li></ul></ul>
    19. 19. Information Management Life Cycle Policies and Standards Create/capture Index/Classify Process Store/manage Retrieve/publish Archive Destroy
    20. 20. Indexing <ul><li>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. </li></ul>Structured (attributes) Full text (unstructured) Hypertext linking 26.05.03 123457 Smith 18.11.06 123456 Brown Date Number Name
    21. 21. Classification (and taxonomies) Hierarchical Classification Scheme Term A1 Term A1.1 Term A1.2 Term A2 Term A2.1 Term A2.2
    22. 22. What is classification? Why classify?
    23. 23. Let’s go shopping
    24. 24. If that looks bad… The supermarket stocks over 6000 product types
    25. 25. 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
    26. 26. Better still? <ul><li>Bakery & Patisserie </li></ul><ul><li>Beers, Wines & Spirits </li></ul><ul><li>Dairy </li></ul><ul><li>Delicatessen </li></ul><ul><li>Fish, Meat & Poultry </li></ul><ul><li>Flowers & Plants </li></ul><ul><li>Frozen Foods </li></ul><ul><li>Fruit & Vegetables </li></ul><ul><li>Grocery </li></ul>The supermarket has only 12 product categories
    27. 27. Grouping things together… Bakery & Patisserie Loose Bread Beers, Wines & Spirits Beers & Lagers … makes them easier to find
    28. 28. Business Classification Schemes <ul><li>Functional </li></ul><ul><ul><li>For example order processing </li></ul></ul><ul><li>Subject </li></ul><ul><ul><li>For example types of animal </li></ul></ul><ul><li>Organisational </li></ul><ul><ul><li>For example planning dept., HR dept. </li></ul></ul><ul><li>Hybrid </li></ul><ul><ul><li>Combination of the above </li></ul></ul>
    29. 29. Taxonomies Traditional Taxonomy Polyhierarchical Taxonomy
    30. 30. Information Management Life Cycle Policies and Standards Create/capture Index & Classify Process Store/manage Retrieve/publish Archive Destroy
    31. 31. 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
    32. 32. ISO 15489 <ul><li>BS ISO 15489 –1:2001 </li></ul><ul><li>Information and documentation Records management </li></ul><ul><li>Part 1: General </li></ul><ul><li>Part 2: Guidelines </li></ul>
    33. 33. ISO 15489 Part 1: General <ul><li>Applies to the management of records in all formats and media </li></ul><ul><li>Provides guidance on managing records </li></ul><ul><li>Outlines elements which are recommended to ensure that adequate records are created, captured and managed </li></ul>
    34. 34. ISO 15489 Part 2: Guidelines <ul><li>Provides procedures to help ensure that records are managed according to principles and elements outlined in Part 1 </li></ul><ul><li>Provides a methodology for implementation of a records management system </li></ul>
    35. 35. ISO 15489 Methodology <ul><li>Preliminary investigation </li></ul><ul><li>Analysis of business activity </li></ul><ul><li>Identification of requirements for records </li></ul><ul><li>Assessment of existing systems </li></ul><ul><li>Identification of strategies for satisfying records requirements </li></ul><ul><li>Design of records system </li></ul><ul><li>Implementation of record system </li></ul><ul><li>Post-implementation review </li></ul>
    36. 36. Questions to ask <ul><li>Do you have a corporate records management policy? </li></ul><ul><li>Do you have a corporate records management system (not necessarily electronic)? </li></ul><ul><li>Do you have a corporate retention and disposal schedule for records? </li></ul><ul><li>Have you carried out a recent information audit throughout the organisation? </li></ul><ul><li>Do you operate an information security and access scheme throughout the organisation? </li></ul>
    37. 37. Developing a Records Management System <ul><li>Develop classification system for information </li></ul><ul><li>Code and index information </li></ul><ul><li>Capture/ create information </li></ul><ul><ul><li>Paper, electronic, microfilm </li></ul></ul><ul><li>Store/retain information </li></ul><ul><li>Access information </li></ul><ul><li>Revise information </li></ul><ul><li>Destroy information </li></ul><ul><li>Awareness of legislation and regulations </li></ul><ul><li>Responsibilities for information </li></ul><ul><li>Relate to business processes and procedures </li></ul>
    38. 38. Retention and Disposal of Records <ul><li>A vital element of any record or document management system </li></ul><ul><li>Every record should have an owner </li></ul><ul><li>Owners should assign a retention / disposal category to it </li></ul>
    39. 39. Record Retention Schedules <ul><li>What are Retention Schedules? </li></ul><ul><li>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: </li></ul><ul><li>A fixed number of years from creation: </li></ul><ul><li>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. </li></ul><ul><li>The life of the transaction + a fixed period of years. </li></ul><ul><li>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. </li></ul>
    40. 40. Resources Available <ul><li>www.nationalarchives.gov.uk </li></ul><ul><li>Advice on records management </li></ul><ul><li>www.rms-gb.org.uk </li></ul><ul><li>Retention and disposal schedules for local authorities; information audits </li></ul><ul><li>www.dca.gov.uk/foi/codesprac.htm </li></ul><ul><li>Codes of practice on records management (s 46) </li></ul>
    41. 47. Any questions? Steve Dale Knowledge & Information Consultant Email: [email_address] Blog: http://steve-dale.net Skype id: stephendale

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