iQ The RIMPA Quarterly Professionals Magazine | August 2020

Vol 36 / Issue 3 / August 2020

T H E R I M PA Q UA R T E R LY M A G A Z I N E

iQ

We're all in this together.

A D V A N C I N G A N D C O N N E C T I N G T H E R E C O R D S A N D I N F O R M AT I O N M A N A G E M E N T P R O F E S S I O N

Records compliance made easy for everyone in your organisation!

Call: 1300 EZESCAN (1300 393 722)

www.ezescan.com.au

iQ

THE

QUARTERLY PROFESSIONALS MAGAZINE

CONTENTS

VOLUME 36 / ISSUE 3 / AUGUST 2020 Official Journal of Records And Information Management Professionals Australasia EDITOR: Jo Kane Marketing and Convention Manager Email: editor.iq@rimpa.com.au Post: Editor, iQ Magazine 1/43 Township Drive Burleigh Waters Qld 4220 ART DIRECTOR: Amanda Hargreaves OLE CREATIVE - Marketing • Graphic Design • Content Web: www.olecreative.com.au Email: amanda@olecreative.com.au Stock images: Shutterstock

19

VIEW FROM THE CHAIR

30

38

Anne Cornish MRIM, General Manager, RIMPA ....................................................................................4 MEMBER UPDATE

EDITORIAL COMMITTEE Stephanie Ciempka (ACT) Jo Kane (NSW) Matt O’Mara (NZ) David Pryde (NZ) Philip Taylor (QLD) Tim Newbegin (VIC) Roger Buhlert (VIC) Frank Flintoff (WA)

Member Update................................................................................................................................................5

CONTRIBUTIONS & EDITORIAL ENQUIRIES Articles, reports, reviews, news releases, Letters to the Editor, and content suggestions are welcomed by the Editor, whose contact details are above.

Branch Award Winners.................................................................................................................................10

COPYRIGHT & REPRODUCTION OF MATERIAL Copyright in articles contained in iQ is vested in their authors. Most editorial material which appears in iQ may be reproduced in other publications with permission gained through iQ’s Editor.

ADVERTISING Amie Brown amie.brown@rimpa.com.au ANNUAL SUBSCRIPTIONS AU $120.00 incl GST ($) per annum for 4 issues (including postage), from: Subscriptions, Membership & Financial Services RIMPA Phone: 1800 242 611 International Phone: +61 7 32102171 iQ ONLINE ARCHIVE Copies of articles published in iQ since 1984 are available at the Members Only section of the RIMPA website, in the iQ Article Archive.

Complete back issues from February 2005 are available electronically at the Members Only section of the RIMPA website.

The Members Only section of the website can be accessed with RIMPA membership, or, outside Australia and New Zealand, with the purchase of an iQ annual subscription.

DISCLAIMERS Acceptance of contributions and advertisements including inserts does not imply endorsement

by RIMPA or the publishers.

Unless otherwise stated, views and opinions expressed in iQ are those of individual contributors, and are not the views or opinions of the Editor or RIMPA. RIMPA WEBSITE www.rimpa.com.au

INDUSTRY NEWS Public Records Office Victoria...................................................................................................................... 7 National Archives Australia........................................................................................................................... 7 Queensland Branch and Chapter Update................................................................................................8 BRANCH AWARDS RIMPA LIVE CONVENTION RIMPA’s Upcoming Industry Forum......................................................................................................... 12 VENDOR INSIGHTS Fusion or Crossing the Line

By Rainer Krause............................................................................................................................................. 16 SPECIAL FEATURE: IMPACTS OF COVID-19 How Artificial Intelligence Is Helping Prevent The Spread of The COVID -19 Pandemic

By Keith Darlington........................................................................................................................................ 19 Records Management in the time of COVID-19

By Alyssa Blackburn...................................................................................................................................... 22 The Future of Records and Information Management Post COVID-19

By Linda Shave................................................................................................................................................ 24 Where to from here? Management and Leadership

By Martine Harkin.......................................................................................................................................... 28 SPECIAL FEATURE: FUTURE OF RECORDS AND INFORMATION MANAGEMENT Improving Information Management Through Culture Change

By David Canning........................................................................................................................................... 30 Change Management

By Craig Grimstead........................................................................................................................................ 34 Proof is in the Pudding: ILM and DX are Essential Ingredients for Business Transformation

By Sue Trombley............................................................................................................................................. 36 Going Paperless in 90 Days: A step by step guide

By Joan Honig.................................................................................................................................................. 38 Automation and Its Implications For Archival Policy Towards Email

By James Lappin............................................................................................................................................. 42 RIMPA COMPANY OUTSTANDING ACHIEVEMENT AWARDS Award Nominations 2019-2020................................................................................................................ 48 VENDOR DIRECTORY Vendor Directory............................................................................................................................................ 50 MEMBER PROFILE Interview with Owl Member.......................................................................................................................53 iQ | 3

VIEW FROM THE GENERAL MANAGER

VIEW FROM THE GENERAL MANAGER

T ANNE CORNISH MRIM, GENERAL MANAGER, RIMPA

"RIMPA has now set up for the future and provided a platform to deliver services to all members no matter where they are located."

4 | iQ August 2020

he words “unprecedented” and the “new norm” have been used so much over the past few months that like many of us, I think I just turn off. COVID-19 has been hard on many of us with health and economical concerns as well as just being tired of being at home.

By the time this iQ is published, I am hoping that the “new norm” has been established and we can start using words such as revolutionised, encouraged and trust.

Records practitioners can use the forced digital changes during isolation to further their digital transformation programs. Management and staff have gained trust and are now comfortable with changing business processes and working digitally.

RIMPA is no different in this space, a virtual delivery program that was road mapped to be delivered over the next 2 years was up and running in 8 weeks for the benefit of the members. With support from the Board, the RIMPA staff were able to implement a weekly webinar program, virtual training workshops two times per week and a new RIMPA Community, where we can interact with our colleagues in place of attending face to face events.

RIMPA, taking a proactive approach to the opportunity presented, has now set up for the future and provided a platform to deliver services to all members no matter where they are located. But it does not stop there, the virtual delivery of services opens up RIMPA to even more members both in Australia and New Zealand and then globally.

The opportunities are unlimited, and we are all looking forward to expanding our virtual delivery program into the future.

The past three months saw Information Awareness Month occur in May with the delivery of various events for all members. The collaboration of all industry groups was again successful with an opening and closing webinar and many events in between. Next year, fingers crossed, will see the planned 2020 International Summit occur in Canberra with a new twist. More speakers and summit participants will be on our land either virtually or in person providing us with an international perspective on the impacts that a global pandemic has had on our industry.

For the first time in RIMPA history, the RIMPA Live convention will be run as a ‘hybrid event’, which gives you the opportunity to attend in person or virtually. Whether you are there face to face or as a virtual delegate you have the opportunity to easily move from room to room, sit in on the presentations and workshops of your choice and have individual contact with vendors for a reasonable price.

You can find more on RIMPA Live further into the publication. I am looking forward to seeing you all in the next few months either in person or via the RIMPA Community.

MEMBER UPDATE

Member Update

Congratulations to our 2000th member, Linda Bain (Corporate Nominee), from Sunshine Coast Regional Council!

R

IMPA reached 2000 members on the 15 June 2020! We were so incredibly excited to announce this milestone. Thank you to all our amazing members, old and new, for joining RIMPA world and being a part of our community.

Thank you to all the members who have contacted us with updates to your existing memberships. In the past quarter, we have welcomed a total of 116 new corporate nominees in addition to the new memberships below.

Welcome to our new members and congratulations to Farnz Corderoy for his upgrade to Associate Status.

INTRODUCING ONE OF RIMPA'S NEWEST MEMBERS, OWL MEMBER

NEW CORPORATE COMPANIES

NEW INDIVIDUALS

ACT

QLD

Australian Research Council

Lesley Hay - City of Gold Coast

Department of Agriculture, Water and the

Pat Fischer - City of Gold Coast

Environment

Louise Thomson

NSW

SA

NSW Health Pathology

Yahna Pal (1st Year Student) - University of South

University of Wollongong

Australia

NT

TAS

City of Palmerston

Peter Brown - Port Arthur Historic Site

QLD

Management Authority

Queensland Law Society

VIC Amy Thiesz - Buloke Shire Council

SA

Pankti Doshi - Metropolitan Fire and Emergency

Indigenous Land and Sea Corporation

Services Board

Nunkuwarrin Yunti of SA Inc

Jenn Mcormack

Department of Human Services (SA)

Sheeneez Mutheeu (1st Year Student)

VIC

Remy Schneider (1st Year Student) – RMIT

Court Services Victoria

Wendy Dagher (1st Year Student)

WorkSafe Victoria

WA

VMIA

Merilyn Orchard - Penrhos College

NZ

Lesley Annamalay - University of Western Australia

Land Information New Zealand

Carol-Anne Williamson (1st Year Student) NZ Yaktrina (Katia) Grodecki (1st Year Student)

Vale Carmel Harsant Long time RIMPA member, Carmel Harsant, passed away on 20th June 2020.

Carmel was present at many Queensland Chapter meetings including the foundation meeting. Carmel was the Records Manager for the former Moreton Shire Council up to its amalgamation with Ipswich City.

She continued with Ipswich City up to her retirement. Carmel was also a stalwart in her local community with her husband Ian, who passed away in 2018.

iQ | 5

RIMPA EVENTS GO VIRTUAL! Professional networking with your peers is essential in today’s challenging environment.

To make the most efficient use of your networking time, RIMPA has been offering our members access to a range of online events including virtual industry roundtables, webinars, professional development workshops and the new RIMPA Community forum.

13 21 771 19 1627 7

IN JUST

WEBINARS

TRAINING WORKSHOPS

ATTENDEES

DISCUSSION THREADS

RIMPA COMMUNITY MEMBERS

WEEKS

ONLINE TRAINING WORKSHOPS

VIRTUAL ROUND TABLES

COMMUNITY FORUM

Delivered in a virtual/simulated environment, RIMPA can provide specialist trainers on all topics to add knowledge and new skills to your toolkit.

Current workshops include:

RIMPA Virtual Roundtables provide our members the opportunity to gather online and take part in structured and themed discussion around various high-performance topics. Based on member challenges and opportunities, Virtual Roundtables enable participants to network, learn and benefit from the shared knowledge and experience of the group.

RIMPA’s new community forum is the place to connect, collaborate and take part in discussions. Be inspired, build knowledge and make connections.

Available to members and nonmembers.

• Records Management Fundamentals (RM101) • Developing Online Records Management Training Tools • Archiving and Sentencing 101 Fundamentals • Identifying and Utilising Effective Classification Schemes • Developing and Implementing Classification Schemes • Planning for Digitisation • Developing a Risk Management Matrix in Readiness for Digitisation • Information Security – 101 • Understanding and Developing Information Management Governance • ...and more!

WEBINARS Live and on-demand; webinars are the perfect way for members to continue their professional development via interactive participation via chat boxes and Q&A features throughout the webinar sessions. Our on-demand webinars will allow you to learn at any time and from anywhere!

RIMPA TV Members have free access to the full digital resource library. This is where you will find past RIMPA Live convention presentations and live streamed recordings of branch events.

PODCAST RIMPA’s Highlight, Learning and Partner Series feature our very own Board members, professional members and industry experts from around the globe. Expect candid interviews, and thoughtful insights into the world of industry professionals, plus a few laughs along the way. There will be three series developed within the podcast’s template as per below: Partner Series: Learn about our vendors and partners through a series of candid interviews.

Highlight Series: Meet our members and learn about their achievements.

Learning Series: Listen to industry experts in your related fields and access educational and insightful content.

COMING TO YOU LATE 2020

RIMPA’s virtual options will offer a unique platform for sharing ideas with peers who face similar challenges and have matching ideas. Learn and share best practices in our industry, collaborate on issues and make friends with professionals who understand where you’re coming from.

Online learning and discussion events

visit www.rimpa.com.au

INDUSTRY NEWS

Update from Public Record Office Victoria

D

uring the Coronavirus (COVID-19) health crisis, communicating good recordkeeping practice when working from home has been a major focus. In April we released a suite of information on our website including recordkeeping obligations for staff, managers and heads of agencies, and tips and guidance for working remotely including: • What records do I need to create and keep?

• Document naming and version control • Creating good quality records • Capturing and storing records • Keeping track of records • Office 365 services

Also, this year we’ve made some changes to our Victorian Electronic Records Strategy (VERS) program. VERS is about ensuring the creation, capture and preservation of authentic, complete and meaningful digital records by the VPS. In 2019-20 we began the transition from our VERS 2 Standard to VERS 3 VEO creation, using new specifications within PROS 19/05 Create, Capture and Control Standard. The new VERS 3 requirements allow more flexibility to preserve digital records from a variety of other systems reflecting more contemporary digital record keeping and enabling PROV to accept and preserve a broader range of digital formats.

Visit www.prov.vic.gov.au/recordkeepinggovernment for more latest news.

• Scanned records • Keeping records secure • When can I dispose of a record?

2020 - A Year of Challenges and Digital Continuity

BY NATIONAL ARCHIVES UPDATE

W

ork is progressing on developing the National Archives’ new 2021 policy to follow the DC2020 Policy, which concludes at the end of this year. It is anticipated an Exposure Draft of the policy titled Managing Trusted Data - for government and community will be available on the NAA website in July.

Feedback on the Exposure Draft will be sought from Australian Government agencies, external stakeholders, and professional bodies. This builds on the valuable input to date from our key stakeholders, including the Agency Advisory Group and key information and data policy agencies.

We are also scoping supporting products and advice to be provided to agencies, to implement the new policy.

An initial list of products and advice for development will be released for comment with the Exposure Draft, with further input sought through the Agency Advisory Group.

If you have any questions about the development of the new policy, please contact the National Archives via the Agency Service Centre at www.naa.gov.au/informationmanagement/agency-service-centre.

NEXT EDITION

Vendor Focus

• What are the latest trends/innovations in the industry?

• What are the impacts of not staying ahead of the game when it comes to records and document management, governance and information management?

• How do we navigate and choose between document management frameworks/software?

• What do change/project management consultants do? Why are they pivotal to our industry?

If you have a relevant article, we would love to hear from you.

Please submit your story idea to: editor.iq@rimpa.com.au

COPY iQDUE |7 17 SEP 2020

INDUSTRY NEWS

2020 Vision in Townsville Conference Update Queensland hold an annual premiere event for our membership that spans two days. This year was to be no different, however due to COVID-19 this has been postponed and is now being held in May 2021.

T

he Rydges Southbank in sunny Townsville will remain as the location and we have been lucky to have our wonderful and committed sponsors agree to stay on board with this major Queensland event. We wish to acknowledge and thank them for their continued support and for being flexible during these challenging times.

8 | iQ August 2020

These sponsors are: Platinum: ELO Digital, EzeScan, Records Solutions and TIMG; Diamond: FYB; Silver: Grace; Live Streaming Sponsor: CorpMem and Bronze: ACA Pacific and ZircoDATA. The presentation of the Qld RIMPA Excellence Awards is usually held during this conference; however, these have been separated and moved and were held in conjunction with the Branch and Chapter AGM's on 23 July 2020. Again, thank you to the Gold sponsor of these awards: iCognition.

Users

BRANCH AWARDS

H C N BRA E C N E L L E C X E S D R A W A 0 2 0 2 2019

The RIMPA Branch Excellence Awards are usually presented at the Information Awareness Month events held by each Branch of RIMPA throughout the month of May. This year, with the COVID-19 situation, meant these events were cancelled and the presentation of these awards was conducted at the Branch AGM's held in July.

10 | iQ August 2020

T

he awards recognise outstanding achievements and contributions to the records and information management industry through the practical application of initiatives that promote the RIMPA Charter of leveraging the value of records as corporate assets and as evidence of business activities.

The Awards also honour RIMPA members who have made significant contributions to the advancement of our profession and who are leaders in the records and information management industry.

They culminate in the recognition and celebration of organisations and individuals that implement initiatives and industry leading services that raise the visibility of records and information management across industries.

BRANCH BOOKAWARDS REVIEW

CATEGORIES

The categories available for nomination in each Branch are: • New Professional • Outstanding Student • Outstanding Group • Outstanding Individual

NEW PROFESSIONAL

This award is presented to a new professional to the records and information management industry who has demonstrated significant potential to succeed within the profession.

OUTSTANDING STUDENT

This award is presented to a student who has achieved excellence in educational studies in records and information management.

AWARD WINNERS ACT BRANCH

Outstanding Group: Castlepoint Systems Rob Barnett Award of Excellence – Outstanding Individual: Kemal Hasandedic FRIM

NSW BRANCH

Outstanding Student: Shivaun Tijou Outstanding Group: Department of Defence Air Force – Air Mobility Group Outstanding Individual: Rebbell Barnes MRIM

NZ BRANCH

Outstanding Student Award sponsored by: The Victoria University of Wellington OUTSTANDING GROUP Outstanding Individual Award sponsored This award is presented to a group who have achieved excellence and made by: The Open Polytechnic of New Zealand an outstanding contribution within the records and information management New Professional: industry.

Melissa Rush The recipient of the Outstanding Dr Gillian Oliver Outstanding Student: Group award will have demonstrated, Lisa Huria in the previous year, distinction and Outstanding Group: a lasting high impact in one or more Greater Wellington Regional of the areas – innovation; marketing, Council partnership implementation and Dianne Macaskill Outstanding business benefit.

Individual: Matt O’Mara MRIM

OUTSTANDING INDIVIDUAL

This award is the pinnacle award bestowed upon an individual within the records and information industry

by RIMPA. This highly coveted award is the highlight of the award season and is presented to an individual who has made a significant contribution to records and information management in the previous year.

SA/NT BRANCH

New Professional: Ildiko Lazak Outstanding Group: KKit Consultancy Lisa McDonough Outstanding Individual: Katrina Windebank

TAS CHAPTER

Outstanding Individual: Farnz Corderoy

VIC BRANCH

David Moldrich Outstanding Group: Public Record Office Victoria Outstanding Individual: Bethany Sinclair-Giardini MRIM

WA BRANCH

Black Swan New Professional: Damian Shepherd Outstanding Group: City of Perth Neil Granland Award – Outstanding Individual: Suparna Chatterjee MRIM

RIMPA congratulates all the 20192020 Branch Excellence Awards nominees and this years’ recipients.

Your efforts and contributions to our industry are rightfully celebrated.

QLD BRANCH

All awards sponsored by: iCognition Harry Haxton Outstanding Student: Amanda Spinks Harry Haxton Outstanding Group: Griffith University – Productivity & Information Management Team Chris Simpson Outstanding Individual: Janine Morris MRIM

iQ | 11

RECORDS AND INFORMATION MANAGEMENT PROFESSIONALS AUSTRALASIA PRESENTS

RIMPA Live is THE networking event for industry professionals. The three-day conference will feature esteemed keynote speakers, thought leaders and architects of change to inform you about all the latest industry developments.

Delegates will descend on Hyatt Hotel Canberra from 12-15 October 2020, to broaden their industry knowledge, receive professional support and be inspired by new and innovative ideas.

REGISTRATIONS ARE NOW LIVE!

HEAD TO THE CONVENTION WEBSITE FOR MORE DETAILS.

VISIT RIMPA.COM.AU

RIMPA LIVE IS GOING HYBRID! FACE TO FACE OR VIRTUAL

EVERYONE GETS TO ATTEND!

Please note: At the time of going to print, the RIMPA Live 2020 convention will be proceeding as a hybrid event. This means that there are options to attend face to face or virtually. RIMPA takes our delegates safety and wellbeing seriously, at the time of the convention, RIMPA will be following the necessary guidelines regarding indoor gatherings put in place by the National Cabinet, exercising a proper duty of care.

THANK YOU TO OUR SPONSORS

Be Inspired, Make Connections and Build Knowledge.

INDUSTRY NEWS

Face to Face or Virtually – RIMPA Live 2020 is THE industry event to attend this year!

RIMPA Live 2020 ‘Beyond Digital Continuity’ convention will bring together industry experts with an international perspective, showcasing the various ways the profession is approaching and moving beyond: DIGITAL FUTURISM AND LEADERSHIP Exploring the approaches organisations are taking to enhance current practice.

INFORMATION AND DATA MANAGEMENT Keeping pace with the everincreasing amount of the future needs for the industry.

ENHANCING SKILL SETS Providing practitioners with their very own toolbox to move beyond digital continuity.

SNEAK PEAK OF OUR KEYNOTE SPEAKERS

STEVE SAMMARTINO

KERRI POTTHARST OAM

CAITLIN FIGEUREDO

actionable strategy.

personalities.

activist.

Motivated futurist who loves converting technology into

One of Australia's most popular female sporting

INTERNATIONAL SPEAKERS

VILDE RONGE

Director at Norwegian Health Network and Chair of Section of Professional Associations SPA - Norway

MAURIZIO MENCARINI VP Global Strategic Partnership Expert Systems - Italy

Award-winning social entrepreneur and global

DAVID FRICKER

Director-General, NAA, International Council on

Archives

OVER THREE DAYS, DELEGATES WILL DIVE DEEP INTO LEARNING. Connect, collaborate, and catch-up with old and new faces. Going Hybrid brings you more opportunities to Be Inspired, Make Connections and Build Knowledge with International presenters joining us from Italy, Norway, United Kingdom and New Zealand!

With a wide and diverse range of presenters and topics in 2020, you get to choose between keynotes, panel discussions, professional development workshops and over 31 industry experts as well as the Vendor Insights Q & A sessions. With a program this jam-packed with opportunities it will be hard to choose what you attend!

REGISTRATIONS ARE NOW OPEN

This year’s RIMPA Live convention is not to be missed.

Virtual and limited Face to Face ticket options are available.

iQ | 13

PRESENTATION TEASERS

SPECIAL FEATURE FUTURE OF RECORDS & INFORMATION MANAGEMENT

ARE WE NOW RECORDS MANAGERS OR SOFTWARE DEVELOPERS OR BOTH? MONDAY 12 OCTOBER 3:00PM: RIMPA Live Welcome & Delegate Registration Open RIMPA Live Trade Exhibition.

4:00PM: Skills for Digital Information Leadership RIMPA Member based workshop. Facilitated by Janine Morris and Peta Sweeney.

Special Interest Group NOOBS session.

6:00PM: Welcome Reception sponsored by Micro Focus.

TUESDAY 13 OCTOBER 7.30AM: Breakfast vendor presentation by Selling Value: 5 Lessons you can take from singing in an opera. Presented by Alyssa Blackburn, AvePoint.

8.45AM: Official Opening and RIMPA Live Convention begins at Hyatt Hotel Canberra.

9:30AM: RIMPA Live Trade Show Open.

6:30PM: RIMPA Live Glamour Cocktail and Awards Spectacular, Pialligo Estate, Canberra 6.30pm - 11.30pm, sponsored by EzeScan.

WEDNESDAY 14 OCTOBER 9:30AM: RIMPA Live Convention sessions, keynotes, workshops and round tables begin.

9:30AM: RIMPA Live Trade Show Open 9:30am - 5:00pm.

5:00PM: Vendor Games and Networking Drinks 5:00pm – 7:00PM Sponsored by ELO Digital.

THURSDAY 15 OCTOBER 7.30AM: Vendor Breakfast Session.

9.00AM: RIMPA Live Convention sessions, keynotes, workshops and round tables.

9.00AM: RIMPA Live Trade Show 9:00am - 12:00pm.

12.00PM: RIMPA Live Convention official close includes closing keynote and trade vendor prize draws.

12.45PM: 2021 announcement, 2 course seated lunch sponsored by Castlepoint.

PLEASE NOTE: Convention sessions will need to be booked via the convention app when it goes live to ensure adherence to the safe practice of social distancing and COVID measures.

14 | iQ August 2020

The City Records team at the City of Perth has adopted agile methodology more commonly used by software development teams. Work is planned and executed in two-week sprints. The team does daily stand ups, which are meetings standing around a work board, to discuss work items and undertakes retrospectives to identify areas of improvement or to shed poor or inefficient practices. This way of working is used for both business-as-usual and project work.

Why has this happened? How has the team changed or adjusted? How have customers reacted when told their request cannot be actioned yet but has been placed in a queue? How has this impacted recordkeeping at the City?

Attend the presentation on “Evolving the Records Team to Lead Digital Innovation”

by Ming Ghee Khoo, City of Perth.

REMOVING ROADBLOCKS TO ACHIEVE GAMECHANGING DIGITAL TRANSFORMATION People, process, and technology are the three crucial ingredients to guarantee a successful digital transformation project, right? In theory, yes, but so many obstacles can hamper our progress, even when it seems like all of our ‘project management ducks’ are in a row.

Join Jade and Imelda as they draw from a wealth of large and small-scale project experience and look at common issues that emerge across digital transformation projects and ways to overcome them.

Attend the presentation on “Removing Roadblocks to Achieve Game-Changing Digital Transformation” by Jade Reed and Imelda Devaney

BUILDING INTEROPERABILITY AND ITS FUTURE PROFESSIONAL National Archives of Australia’s Digital Continuity 2020 Policy states that information should be interoperable where there is value to do so. Building interoperable information, systems and processes across an organisation is challenging and information management professionals are at the core of driving interoperability initiatives. The expectation for constant channels of shared, reliable data is expanding as are the responsibilities of IM professionals.

The National Archives’ Data Interoperability Maturity Model (DIMM) is not a quick fix for delivering interoperability but a tool that empowers professionals and organisations to tackle this challenge. To build your new knowledge you need more than technical know-how; you need to grasp a broader landscape that includes semantics, legal and licensing, open data, and the governance needed within the context of your services. The DIMM will give you the ground work to foster this knowledge but it is the individual who must decide to start this journey.

Attend the presentation "Building Interoperability and Its Future Professional"

by Tessa Elieff

TIME TO MAKE UNSTRUCTURED DATA ACTIONABLE 1. The challenge of semantics and linguistics in determining the meaning of words 2. Provide a demonstration of an example of a cognitive technology able to address the challenges 3. Provide uses cases available once the context of documents is an understandable form 4. Discuss the implications for records, information, and data managers.

Andrew Smailes from DAMA is eager to show you how to make Unstructured Data Actionable.

SEE YOU THERE!

INDUSTRY NEWS

Records Mangement Document Management Automated Workflow Collaboration

Compliant Information Management Everywhere!

At Home or at the Office

elo.com | info@elodigital.com.au | 1300 066 134 iQ | 15

VENDOR INSIGHTS FUTURE OF RECORDS & INFORMATION MANAGEMENT

Fusion or Crossing the Line

Between Records and Document Management RAINER KRAUSE MANAGING DIRECTOR - ELO DIGITAL OFFICE

Over the last few years there has been a shift in how information is managed (captured, stored, and indexed). One could say it is the next generation in the management of information (documents and records plus all objects). A shift from having two separate and different disciplines of Document Management (DM) and Records Management (RM) to a single discipline of Information Management (IM).

T

his evolution has resulted in the need for products and solutions which treat information differently than what we have been used to, products which are a fusion of Document Management and Records Management systems into a single product or solution.

1. Products which provide the organisation and end-users with a single environment to work in and a single “source of truth” for information of all types.

2. Products which allow an environment which seamlessly integrates the various and different disciplines.

3. Products are required that incorporate Business Process thinking into DMS and RM processes.

The business case for Information Management systems has been well made and most organisations have accepted the fact that it is a key, if not a critical component of their overall strategy. So the dilemma for many is not whether an Information Management system is required but what form should it take. Is it Document Management or Records Management or a combination of some or all of these and other related components?

The reality is that many products have their roots in one discipline or the other.

They either started as a DMS or as an RMS and over time the missing piece or

16 | iQ August 2020

"THE DILEMMA FOR MANY IS NOT WHETHER AN INFORMATION MANAGEMENT SYSTEM IS REQUIRED BUT WHAT FORM SHOULD IT TAKE." pieces have been added. As a result, we have products which have strengths in one discipline, and weaknesses or less of a strength in the other.

Whichever way it has been done, there are limitations and weakness in such consolidated products. The weaknesses may be in the functionality provided, usability or user interface, a weakness in the single approach in the management of the information, with more focus on one at the expense of the other.

There are few products which can boast of having a single and homogeneous foundation or platform and thus both DMS and RM disciplines have been treated equally and consistently.

The newer products or those that have had the luxury of building products based on a single platform are reaping the benefits as well as providing invaluable benefits to the customers and users using them.

Such a product allows the development of a solution that supports the business functions of the organisation by being a service provider of information to other functions and systems of the organisation. Thus, allowing the organisation to meet the challenges caused by the increasing speed of business and exponential growth of information.

The solution then becomes a foundation or platform for other applications, such as ERP and CRM. A solution providing information related services and linking corporate applications to the information repository.

Such a solution is the path for transformation of the organisation, from current inefficient processes to more streamlined, cohesive and standardisation in the way the organisation does business, and the alignment of the organisation’s objectives and processes with the information.

FUTURE OF RECORDS & INFORMATION MANAGEMENT

VENDOR INSIGHTS

THE BENEFITS OF FUSION

This fusion leads to the realisation of benefits across the board at the organisational level as well as at the end-user level. Benefits from having a DMS and RM solution and benefits by the fact that they are all in the one environment.

The organisation does not have to make the choice of whether to go for products with a focus on DMS or one with a focus on RM. The end-users do not have to choose or make the decisions which do they use - the Document Management or Records Management system or deciding whether this is a document or record, or can a document become a record?

The features and functions of one can be applied to the other uniformly and consistently, rather than applying the same organisational rule in two different ways.

Using such a product, the final solution can look something like this: • A single source of truth for the capturing, storing, indexing, and sharing of all its information (documents, images, objects, physical records, electronic records, business processes) for the entire organisation.

• A single environment, of DMS & RM for the organisation to meet its obligation to manage and tracking, disposal and retention of information based regulatory requirements by relevant authorities.

• A single solution for the management of all the documents / records / objects for a transaction which may span multiple departments within the organisation.

• A consistent structure for the management of all documents for regulatory requirements.

• Consistency across the various modules and functions within each discipline.

• A platform that allows seamless integration into other products such as ERP or CRM systems.

• A product that may be used in-house, in the cloud or as a hybrid.

"THIS FUSION LEADS TO THE REALISATION OF BENEFITS ACROSS THE BOARD AT THE ORGANISATIONAL LEVEL AS WELL AS AT THE END-USER LEVEL." iQ | 17

SPECIAL FEATURE FUTURE OF RECORDS & INFORMATION MANAGEMENT

A single solution with some “nice” features: • Flexible and adaptive structures making it easier for the user to store and retrieve information • A single Business Classification Structure (BCS) which supports both DMS and RM requirements based on Storage Locations (file) where the location controlled the security, retention, and disposal of all types of information • Simplified and consistent filing methods, such as drag & drop, automatic inheritance of security and meta data based on location of document • Graphical view of the BCS allowing the user to drag & drop documents into the location and the system provides the necessary classification automation • Integrated auditability of all types of information • A single and consistent strict Security Model which may be integrated with Active Directory and applied consistently across both sets of structures and information • Consistent usability features, nice features such as drag and drop • Access to all information anywhere, anytime on any device • Application of unique document management features that increase usability and acceptance such as on emailing and creating single PDF from multiple documents at a single click

18 | iQ August 2020

"THERE HAS TO BE ALSO A SHIFT IN THE MINDSET AND THE METHODOLOGY OR APPROACH IN THE DEPLOYMENT OF THE PRODUCT AND THE DEVELOPMENT OF THE SOLUTION." • Application of the same retention and disposal policy on documents and records and any object • Application of automation services and processes irrespective of the information type • Capability to initiate workflows, such as document lifecycle management, irrespective of the information type.

THE DEPLOYMENT CHALLENGES

The deployment of such a product into an organisation does have its challenges, for obvious reasons. There has to be also a shift in the mindset and the methodology or approach in the deployment of the product and the development of the solution.

The new approach applies not only to the product but to the project team charged with the implementation of the product and turning the product into a solution for the benefit of the organisation.

As DMS and RM are different disciplines, the related requirement’s analysis or discovery are necessarily different also. As a result, deployment consultants, similar to the products themselves, have strengths in one and weaknesses or less strength in the other.

Without a change in mindset during the analysis and deployment phase of the project, one discipline may unwittingly suffer simply because of the experience of the consultant or the approach of leaning towards what one is familiar with and the way one views information.

CONCLUSION

This fusion of disciplines is one of the components of the next generation of Information Management tools that provide end-user a better and more intuitive way to use, share, and interact with information in any number of the organisation’s activities.

There are very few providers who have attempted the Fusion and even fewer have achieved this.

ABOUT THE AUTHOR

RAINER KRAUSE is Managing Director of ELO Digital Systems.

During the past 15 years, Rainer has dedicated himself to the Australian & New Zealand growth of Digital Transformation through his company ELO Digital. ELO is a world leader in ECM, Records Management and Workflow solutions. Rainer is a board member of the IIM (Institute for Information Management) and also a member of the Executive Committee of AIIM Australasia.

Starting his career with Readers Digest in 1990, Rainer focused on reengineering and improvements of business processes.

Having worked for Readers Digest in Germany Italy, South Africa and Australia, he incorporated ELO in Australia in 2005, addressing the needs of Australian entities for an innovative and scalable system.

Contact: r.krause@elodigital.com.au

IMPACTS OF COVID-19

SPECIAL FEATURE

How Artificial Intelligence Is Helping Prevent the Spread of the COVID-19 Pandemic

BY KEITH DARLINGTON AI CONSULTANT AND AUTHOR

As most of the world has now gone into lockdown, the entire scientific research community has gone into overdrive trying to understand the nature of the COVID-19 virus, as well as the way that it spreads, and finding a vaccine.

A little publicised fact is that progress is being made with a little help from technology. Artificial Intelligence (AI) has, from the very beginning, been busily working behind the scenes assisting the limitations of human knowledge in this massive endeavour. In this article, I briefly describe examples of different ways that this is being done.

iQ | 19

SPECIAL FEATURE IMPACTS OF COVID-19

M

achine learning, as it is known, is the main driving force behind AI. What machine learning does is to take large amounts of data – called Big Data – and learns to detect patterns in the data. This enables it to predict future outcomes as well as reveal other insights about the data.

For example, in each country, it may be possible to predict the number of deaths from COVID-19 of males who are over 60 years of age. By using large amounts of data, a high confidence level can be assigned to these predictions as the following uses show.

AI CAN HELP WITH UNDERSTANDING AND TRACKING THE SPREAD OF COVID-19

It was a Canadian AI company called BlueDot that developed an AI program that alerted the world to coronavirus after the first case was detected in China on December 31st, 2019. This program was designed to predict infectious diseases and locate and track their spread. It works by combining AI with the knowledge of epidemiologists who identify how and where to look for evidence of emerging diseases.

BlueDot analysis over 100,000 reports daily in many languages and then

sends out regular alerts to health care, government, business, and public health clients. The alerts provide a brief synopsis of anomalous disease outbreaks that its AI program has discovered and the risks they may pose.

Contact-tracing smartphone apps, described later, were rolled out in Wuhan, China, very quickly after the city was quarantined to contain the virus. AI has been combined with other technologies to track and flag possible carriers of the virus. They also adopted AI for detecting people with fever in large crowds using AI-powered smart glasses. Worn by security guards, they can check hundreds of people within a few minutes without making contact. A variation of this type of surveillance technology were used in bus and train stations as well as other public places in China where there is a high concentration of people. They did it by combining AI with new temperature measurement technology using computer vision.

This technology made it possible to take body temperature, a key symptom of COVID-19, in a contactless way without affecting people’s normal behaviour. With this technology in place, those whose body temperatures exceeded the threshold could quickly be

"THIS PROGRAM WAS DESIGNED TO PREDICT INFECTIOUS DISEASES AND LOCATE AND TRACK THEIR SPREAD." located. This proved to be an effective method because manual temperature measurement is time-consuming and would increase the risk of crossinfection because of the necessary contact with others.

AI IS HELPING WITH IMAGE SCAN ANALYSIS AND REDUCING HOSPITAL STAFF WORKLOADS

Testing has become a key issue in the fight against COVID-19. Countries like South Korea and Germany have been successful in handling the virus because of the amount of testing that is done in those countries. Thus, health authorities are keen to increase the numbers being tested but the main testing methods are labour intensive and time consuming. But AI is now assisting with other forms of testing, such as x-ray scanning. Various AI programs are now available for chest screening that can highlight lung abnormalities in a chest X-ray scan and provide a COVID-19 risk evaluation much faster than human radiologists.

ROBOTS USING AI ARE MINIMIZING CONTACT BETWEEN HUMANS

20 | iQ August 2020

A range of AI-based robots have emerged during recent months that help in the COVID-19 battle by reducing contact between patients and health care workers – minimizing the risk of cross-infections.

For example, Chinese firms are using drones and robots to perform contactless delivery and to spray disinfectants in public areas to minimize the risk of cross-infection.

Other robots are checking people for fever and other COVID-19 symptoms and dispensing hand sanitizer foam and gel. Robots are also being used to serve food and medicine to patients and disinfecting rooms to minimize contact with human staff.

IMPACTS OF COVID-19

SPECIAL FEATURE

Drones have been used for years in humanitarian aid cases.

Many other examples exist in other parts of the world. Robot dogs are helping doctors assess patients in US hospitals. A company called Boston Dynamics have produced a robot dog, known as Spot. This robot is being used to reduce the contact health workers must have with potentially contagious patients.

RESISTANCE TO THE USE OF AI IN HEALTHCARE

AI has been used in healthcare systems for many years for a range of applications and has encountered some resistance – particularly regarding use of medical patient data. Having access to medical data raises many sensitive issues of privacy and confidentiality.

This became a contentious matter when the British NHS system failed to comply with data protection rules when it provided 1.6 million patient records to a Google owned company in 2017 for machine learning analysis.

Nevertheless, as this pandemic has spread so rapidly, contact-tracing apps are now being touted as a necessary tool as a means of combating this virus.

CONTACT TRACING APPS

Contact-tracing apps are already in widespread use in Asia – in countries like China, Hong Kong, Singapore and South Korea – they are also now being used in other parts of the world such as India, Italy, and Israel and are development in other nation states continue. They vary in the way they work but generally use the fact that smartphone user’s whereabouts are detectable and therefore, can detect close contact with other users. AI algorithms can then determine the risk of cross infection and then alert users of such risks. For example, an app is being trialled for use by the British government that works by using the Bluetooth protocol to identify other smartphone owners who are near each other. Thus, a person who is not infected but in close proximity to someone that has COVID-19 symptoms, could receive an alert.

"AI HAS BEEN USED IN HEALTHCARE SYSTEMS FOR MANY YEARS FOR A RANGE OF APPLICATIONS AND HAS ENCOUNTERED SOME RESISTANCE..."

In the case of contact-tracing apps, voices have arisen against and in favour, either due to concerns about the right to privacy and epidemiological benefits.

Concerns have been raised about the use of contact-tracing apps particularly regarding privacy and the possibility of government surveillance of individuals – i.e., the threat of the “Big Brother” State. However, as Dirk Brockmann, an epidemiologist who leads a project fighting coronavirus at the Robert Koch Institute in Germany says: “There is a simple way that people can help the fight against coronavirus, beyond washing their hands – donate their data”. Most people now own smartphones and, if they can be persuaded that donating their data will help eliminate the virus and that this data will be used anonymously, then they may be persuaded to submit data voluntarily. This is vitally important because according to the University

of Oxford’s Big Data Institute, “a contact-tracing app could help stop this pandemic, but 80% of smartphone owners would need to use it. This target sets the bar very high whatever form of persuasion is used.

CONCLUSIONS

AI has made a significant impact to fighting this pandemic. AI has been adopted in some healthcare applications – sometimes with a slower take up than was anticipated. However, when the battle with this pandemic is over, I think AI will become more prominent in the years to come in healthcare systems around the world.

ABOUT THE AUTHOR

KEITH DARLINGTON I am a recently retired university lecturer in Artificial Intelligence (AI) living in Wales. My PhD was in AI specialising in explanation facilities for intelligent systems. I graduated in pure mathematics and also taught mathematics and computing during my career. I have written several books in computing and expert systems, and presented several conference and journal papers in AI related topics. My current interests include machine learning, robotics, and common-sense reasoning. iQ | 21

SPECIAL FEATURE IMPACTS OF COVID-19

Records Management in the time of COVID-19 ALYSSA BLACKBURN, DIRECTOR OF INFORMATION AND RECORDS STRATEGY AT AVEPOINT.

You might have seen the meme floating around LinkedIn and Twitter about who it was that led the digital transformation in their organisation. Projects to move organisations to the cloud or roll out collaboration tools suddenly had a whole lot more priority. But with this rapid digital transformation, record and information managers had to face new challenges in preserving records in systems that they potentially had little preparation for dealing with.

A

s a sign of the times, the archival organisations have released guidance (this one here from the New South Wales State Archives and Records, as one example) for agencies on how to manage records while numbers of people never seen before are working remotely because of the COVID-19 pandemic.

One of the suggestions in this guidance hints at a serious challenge for records managers and their agencies.

As a former public sector records manager, this line caught and held my attention: “Avoid using your private email, messaging apps or social media accounts for work - If you do use your private accounts, any record created or received in those accounts, must be captured into your organisation’s records management system.”

Another piece of advice says “If you have remote login access to your work systems, either through a work device or your own, continue to save records in your normal work systems.

If you cannot do this, when you return to work, you’ll need to transfer your records and save them in your approved work systems.”

22 | iQ August 2020

HOW WE GOT HERE

"UNFORTUNATELY, THESE ARE THE KINDS OF CHALLENGES RECORDS MANAGERS MUST FACE IN THESE TIMES OF COVID-19."

Certainly, we would like to think that people did have access to their normal systems, but it is also very likely that they are using systems that have no records management oversight and asking users to either forward or store information to be saved later brings with it high risk of the records never being captured.

Unfortunately, these are the kinds of challenges records managers must face in these times of Covid-19.

Despite the best efforts of records managers everywhere, records management has been a low priority for public-sector agencies for too long. According to a survey of record managers that AvePoint commissioned, agencies are still too dependent on paper records even as they are transitioning to electronic records. Our survey showed only 31% of agencies have completely migrated records to a cloud application.

The perfect example of this was a phone call I had during the height of the pandemic. We were chatting on the phone one day and my friend shared that she was unable to work from home as all the agency’s information was in physical format and was not allowed to leave the offices.

Their entire department could not work from home because staff would have lost access to all their information.

There would be no way to digitise the volume of content in the timeframe available, so everyone had to keep coming in each day. That was a real challenge!

IMPACTS OF COVID-19

"IMPLEMENTING SOMETHING AS SIMPLE AS A DEFAULT FILE PLAN OR CLASSIFICATION TERMS BASED ON LOCATION IS THE SIMPLEST AND MOST EFFECTIVE WAY TO GET A COMPLIANT RECORD PROGRAM STARTED." HOW TO SOLVE THESE CHALLENGES

Content is being created in repositories that may not have existed before and had been rolled out much sooner than expected. It is highly likely that the rapid digital transformation that happened in many organisations may not have considered the records management implications as these roll outs occurred.

Here are three pieces of advice for agencies tackling records management challenges during COVID-19: 1. If you are already using cloud-based solutions for your users to access and store information, invest in a cloudbased solution that will allow records managers to wrap their arms around this content. This move will ensure they can roll out a very basic records management program, while also buying some time to establish a more comprehensive program later. It may not be the ideal records management strategy but having visibility of the content is essential. Records managers should work with the IT departments so they can understand what they might need to have in place to get their records managed.

2. For a basic records management program, agencies must focus on what is important. Retention and disposal rules do not matter now. The most important thing is to be able to get a classification scheme or taxonomy applied to the content, which will give records managers more visibility, along

with the space to go back and fix things when there is more time. The goal is not perfection, but “control + breathing space.” Down the track, agencies can push out retention and disposal rules for all this content, but the immediate goal should just be ensuring that they can manage it.

3. Do it all without bothering the end user. If you do nothing else, then do this one. Users have enough things to worry about without records managers asking them to perform additional tasks. Wherever it is possible (and it usually should be) records management processes should be implemented without end-user intervention.

Implementing something as simple as a default file plan or classification terms based on location (i.e. where the information is stored in these new platforms) is the simplest and most effective way to get a compliant record program started. For example, if you are using something like a Microsoft Team, using a records management system to add a classification to all the content within it, is the easiest way of ensuring you have oversight of all the content.

Down the road, records managers can investigate how more advanced auto classification like text analysis or machine learning can also play a part.

SPECIAL FEATURE

The most important thing to understand is that it is not too late to get a records management program in place for these systems you might not have expected to be using just yet. An ounce of preventive work now will save a pound of pain later. Be sure to place records management in the bucket of new tasks marked as a priority during this time before it becomes too overwhelming.

ABOUT THE AUTHOR

ALYSSA BLACKBURN is the Director of Information and Records Strategy at AvePoint. With more than 18 years of experience in the information management industry, Alyssa has worked with both public and private sector organizations to deliver guidance for information management success in the digital age. She is responsible for the development of AvePoint’s information and records management solution, AvePoint Records and Cloud Records, and has led the implementation of our records management solution with government agencies and commercial clients across the world.

Reference Survey www.avepoint.com/au/ebook/records-readiness-report

iQ | 23

SPECIAL FEATURE IMPACTS OF COVID-19

The Future of Records and Information Management POST COVID-19

BY LINDA SHAVE

2020 has seen the COVID-19 pandemic drive overwhelming societal and organisational changes. The Records and Information Management industry now face a choice between returning to a pre COVID-19 world or building a new future in the post COVID-19 world for records and information management. A future that is a sustainable vision for tomorrow.

Until recently we have lived in a rolebased society where the majority of employers, recruiters and human resource managers when defining and designing job role instruments, educational and professional development strategies, have continued to focus on preparing employees for jobs that will not exist in the future.

However, during the COVID-19 pandemic, agencies and organisations have had the opportunity to leverage the power of ‘information’ and utilise their ‘business knowledge’.

They have been able to fast-forward digital transformation tactics into their business plans, for sustainability and the future of work, by blending people, technology, and artificial intelligence (AI).

24 | iQ August 2020

IMPACTS OF COVID-19

THE FUTURE OF RECORDS AND INFORMATION MANAGEMENT - THE HUMAN ELEMENT

COVID-19 has reinforced that it is more important to recognise the human element. It is crucial to better understand what workers can do today rather than fixate on what they have done before. Through this crisis, we have had the opportunity to see the resilience and adaptability of the workforce to withstand disruption, uncertainty, and change. The Records and Information Management (RIM) industry now faces a choice between returning to a pre COVID-19 world or building a new future for records and information management and its professionals.

I believe that the COVID-19 pandemic has shown that whilst technology can augment work through areas such as robotic process automation, intelligent process automation and artificial intelligence it does not replace humans. For example, the COVID-19 health crises have shown that humans and technology are more powerful together than they can be on their own. The human element of RM/ IM professionals, in areas such as the health industry, in collecting, managing, protecting, identifying, analysing and using information has proven their value. By applying their professional knowledge to augment information assets and collaborating with others, this has further proven the importance of the RM/IM practitioner and the industry as a whole.

EVOLUTION OF REGULATORY REQUIREMENTS

The exponential growth of information volumes, the constant evolution of new formats such as social media, mobile, voice and video conferencing, combined with the ever-changing regulatory environment, has and will continue to create a proliferation of information challenges for agencies and other enterprises.

Further, those that operate in highly regulated industries, such as the health industry, can be subjected to multiple overlapping privacy and security requirements.

SPECIAL FEATURE

TABLE 1 – THE FOUR PHASES OF THE INFORMATION MANAGEMENT LIFECYCLE.

CREATE

Creating the data/content and storing it in a defined storage location and/or content management system’ (Enterprise Content Management, Digital Asset Management, Cloud Storage etc.).

MANAGE

Including capture (ingest), version controls, metadata, approvals, appraisal, classification, retentions, accessibility, privacy, and security.

DISTRIBUTE

PRESERVE

Internal and external groups that may be involved/part of the workflow process.

Preservation of digital assets short or long term as well as active perpetuation to preserve digital assets from technology obsolescence.

"UNFORTUNATELY, MOST INFRASTRUCTURE DEPLOYMENTS, DIGITAL TRANSFORMATION AND BUSINESS STRATEGIES, HAVE NOT BEEN DESIGNED TO MEET THE DEMANDS OF THIS NEW AND EVOLVING ENVIRONMENT." Information assets should be considered business critical with steps being taken to ensure that they are findable, readable, usable, and trustworthy long into the future.

Unfortunately, most infrastructure deployments, digital transformation and business strategies, policies and procedures, that support governance, regulatory compliance and deliver enterprise information management efficiencies, have not been designed to meet the demands of this new and evolving environment. RM/IM professionals can play an important part in the future of addressing these digital information challenges to meet governance, regulatory compliance, and information management requirements of this new era.

INFORMATION LIFE CYCLE MANAGEMENT

Digital assets can be words, music, photos, videos, audio, documents, presentations, applications, web browsers and databases. Managing these information assets requires understanding the four phases of information lifecycle management.

Further, managing information assets in this digital era of AI and big data analytics and using it effectively, requires agencies and organisations to consider whether the information identifies individuals, whether it is sensitive personal data, the circumstances in which it was collected and how long it should be retained.

Records and information management professionals will play an increasingly important role in information governance, including considering information protection, privacy issues and the four phases of information life cycle management which are create, manage, distribute, and preserve. (see Table 1).

DATA INTEGRATION, INTEROPERABILITY AND MIGRATION

The concept of interoperability is the ability of computer systems, sensors, applications and/or metadata schemes to communicate, work, interface, and exchange information with another. Whereas, the concept of data integration is to make it easier for agencies and organisations to move, combine and visualise data from different sources and formats in order to produce useful insights, iQ | 25

SPECIAL FEATURE IMPACTS OF COVID-19

TABLE 2 – BREAKDOWN OF THE 4 DATA TYPES improve decision making and the quality of business information. These DATA TYPE DESCRIPTION data sources can be on premise legacy systems, desktop applications, social • Fixed Layout media, sensors etcetera.

STRUCTURED • Defined Content The COVID-19 pandemic has • Consistent Formats highlighted the importance of both interoperability and data integration, • Unknown Layout especially in the health industry. For • Defined Content SEMI-STRUCTURED example, researchers have integrated • Variable Formats internal data, combined multiple • Tabular Data medical taxonomies and used interoperability interfaces to hundreds • Unknown Layout of thousands of real time data from UNSTRUCTURED • Variable Content social media, medical reports, open • Multipage Documents sources and media sources such as Facebook, Twitter etcetera. Health Data generated by various machines. For example, SENSOR DATA personal devices, smart grids, cyber physical systems, organisations have been able to use smart cities, autonomous vehicles, drones, and objects. advanced algorithms to determine locations where people had COVID-19 or flu like symptoms and make faster and Both RPA and IA have the potential often combined or confused; despite better insights and predictions about to make processes smarter and more machine learning being a sub-field of the spread of this contagious virus. efficient in very different ways. Neither artificial intelligence. Machine learning RPA nor IA solutions replicate human automates analytical model building reasoning, they only follow preusing statistics, operations research, programmed processes. and physics to find hidden insights in data.

Opportunities of robotic process Artificial intelligence (AI) on the automation (RPA) over traditional other hand works by combining approaches are: large amounts of complicated and • RPA is a good candidate for almost unorganised data such as structured, any agency or organisation that has semi-structured, unstructured and several different business systems sensor data sets (see Table 2). AI involved in routine transactional has features such as automated repetitive, rules-based processes. It classification, intelligent algorithms helps to provide higher productivity and uses fast iterative processing benefits. that is applied to create and translate • Utilising RPA robots as a virtual the information into meaningful workforce offers agencies or insights. These meaningful insights organisations an alternative to are also providing the capacity for the ‘outsourcing’ which in turn can artificial intelligence system to learn Migration of data on the other hand result in lower operating costs. automatically from patterns or features is more focused on the movement • RPA technology tracks and monitors found in the data. See Table 2 of data which is already stored in an all tasks enabling improved internal storage/business application compliance and controls. It helps system (on premise or in cloud) to a ROBOTIC PROCESS AND agencies or organisations to meet different system(s). This is typically INTELLIGENT PROCESS audit, governance, and regulatory requirements. used when implementing a new system AUTOMATION AND THE or merging to a new environment for OPPORTUNITIES THEY BRING • RPA technology has the potential example moving from one document There are two streams, robotic to help management in redefining workforce roles, redesigning management system to another. process automation (RPA) and agency or organisational structures intelligent automation (IA). Roboticand enabling cross-functional led process automation (RPA) is a way ARTIFICIAL INTELLIGENCE (AI) collaboration for the new jobs of the to automate routine tasks that are AND MACHINE LEARNING future. systematic, repetitive, ruled based Awareness and understanding • RPA enables agencies or processes that can follow instructions. of artificial intelligence vary across organisations to develop new Whereas intelligent process automation different segments of industry and business models to build a new (IA) is a way to automate non-routine society. For example, the terms artificial workforce that integrates an RPA processes that require thoughtful intelligence and machine learning are robot virtual workforce and humans consideration and can come to a in new ways. conclusion.

26 | iQ August 2020

"THE COVID-19 PANDEMIC HAS HIGHLIGHTED THE IMPORTANCE OF BOTH INTEROPERABILITY AND DATA INTEGRATION, ESPECIALLY IN THE HEALTH INDUSTRY."

IMPACTS OF COVID-19

"THE ADVANTAGES OF INTELLIGENT AUTOMATION (IA) WILL BE THE CAPABILITY OF AUTOMATING NONROUTINE TASKS THAT REQUIRE MAKING DECISIONS BASED ON SYSTEMATIC CONSIDERATION." The advantages of Intelligent Automation (IA) will be the capability of automating non-routine tasks that require making decisions based on systematic consideration. IA is underpinned by cognitive technologies which can understand natural language, recognise images, and can learn from observing humans. IA integrated with robotic process automation, cognitive technologies and the use of powerful analytics, result in robotic virtual agent’s (also known as virtual assistants), who can either directly assist people in the performance of nonroutine tasks or even automate these tasks entirely.

RPA governance for information life cycle management is likely to get better results in the hands of skilled practitioners such as RM/IM professionals. RM/IM professionals understand the information/data governance accountability framework, which is needed to create the desired behaviours in the valuation, creation, storage, use, archival and deletion of information assets. Thus, enabling an agency or organisation to achieve its operational governance and regulatory requirements. RM/IM professionals can put in place the foundations for governance of information management. They can play an active role in future and existing RPA workflow projects including creating, reviewing, updating, testing, approving, and deploying RPA workflow tasks to the robotic workforce.

SPECIAL FEATURE

THE HUMAN ELEMENT OF THE FUTURE AND THE IMPACTS THAT EVOLUTION OF THE RECORDS AND INFORMATION MANAGEMENT INDUSTRY MAY BRING.

As stated at the very beginning of the article, 2020 has seen the COVID-19 pandemic drive overwhelming societal and organisational changes. COVID-19 has reinforced the need to recognise the human element and better understand what workers can do today. Through this crisis, we have had the opportunity to see the resilience and adaptability of the workforce to withstand disruption, uncertainty, and change. Further the COVID-19 health crises have shown that humans and technology are more powerful together than they can be on their own.

I do not believe that the Records and information management industry can return to a pre COVID-19 world.

We need to build a new future in the post COVID-19 world for records and information management and the industry. In reality, COVID-19 era has seen the convergence of increasingly connected devices, enhanced computing power as well as the proliferation and acceleration of the use of artificial intelligence, machine learning, analytics, algorithms, visualisation and the use of robotic and intelligent process automation. We have also seen the importance of data integration, interoperability and the combining of multiple taxonomies, as we have now accessed the data metaverse world. A metaverse world of information which is available to us to make faster and better insights and predictions. We have entered the converged metaverse world, without even realising it!

A converged world riddled with active, situation aware devices preempting our needs and automatically responding and continuously learning from us as we go about our daily lives in the home, workplace, restaurants, shopping centres and as we travel around our digital cities. A metaverse world which is a collective virtual shared space, created by the convergence between the physical and the digital world.

All of this is made available through technologies such as the internet, wirelessly connected sensors, smart objects and GPS locators.

In this new converged metaverse world, the human element and role of records and information management professionals and their ability to apply their professional knowledge to analyse, visualise, augment and collaborate will only increase. This in turn, will add to the value, importance and worth of records and information management practitioners and the information management industry.

Our future is out there and with effort on our part as records and information management practitioners it is a bright one.

ABOUT THE AUTHOR

LINDA SHAVE, MRIM is acknowledged as a thought leader and architect of change. She is a researcher, consultant and author on topic areas such as intelligent information management, artificial intelligence, robotic process automation, privacy, and security.

Linda is a gold laureate winner for Government Innovation and has an interest in data science, robotics, and quantum computing. Linda is a member of numerous professional organisations.

Linda can be contacted at linda.bizwyse@gmail.com

iQ | 27

SPECIAL FEATURE IMPACTS OF COVID-19

Where to from here?

MANAGEMENT AND LEADERSHIP MARTINE HARKIN DIRECTOR LEADING TEAM

Australia has, by most measures, succeeded in ‘flattening the curve’. While that is a different article, we have proven as a nation that we can get behind a clearly defined purpose. Clearly our economy has suffered a far greater strain than our health care system. We have so far dodged a double disaster and that means when we do start the road to economic recovery we are, on average, better placed to make the most of slowly increasing freedoms.

But ‘on average’ is an easy term to throw out. As with any spectrum, there are extremes.

Some of my clients have been shattered by this crisis, particularly those in travel and hospitality. Others have been put under a very different kind of pressure, with demand for their goods and services going through the roof, with high-pressure tasks undertaken in a suddenly social distancing world.

"THE CULTURE AND LEADERSHIP OF YOUR TEAM WILL NEVER HAVE BEEN TESTED MORE THAN RECENTLY. "

28 | iQ August 2020

A

s we look at the months ahead, as leaders and team members we ask – Where to from here?

YOUR BEHAVIOUR OVER THE PAST 2 MONTHS WILL IMPACT HOW YOU REBOUND

All team members, but particularly leaders, will soon realise that their actions over the last two months will have an impact on their team.

Leaders have had to make difficult decisions recently. There is no easy way through some of these processes for leaders, but you did have choices.

Your followers will always observe your leadership behaviour more closely when the pressure is at its maximum.

Even when the news a person is receiving is bad as it could be, the degree to which they are treated with dignity and respect will be clear to others in the team.

If your organisation is to regroup and rebound at the end of this, it is most likely to include some people who may have had to be stood down. How they were treated will affect the level of commitment you might receive when you are asking them to help you rebuild.

For any leader, the ultimate test will come through a quote that we have used many times, “There is no softer pillow than a clear conscience.”

IMPACTS OF COVID-19

"ALL TEAM MEMBERS, BUT PARTICULARLY LEADERS, WILL SOON REALISE THAT THEIR ACTIONS OVER THE LAST TWO MONTHS WILL HAVE AN IMPACT ON THEIR TEAM." WHAT CAN WE DO FROM NOW ON?

We cannot change the past, but we can change the future. My advice to everyone remains unchanged regardless of the external pressures a team is facing, 1) Clarify your purpose – be clear on why you exist as a leader/team member and understand why your team exists.

2) Build strong relationships – strong relationships help create trust, respect, and care within a team.

3) Set expectations as a team – discuss, as a team, how you want to see people behaving. Be clear and use words like “we see…”. As an example, do not say “we will collaborate”. Try “we see all team members contributing to the conversation”.

4) Role model – it is every member of the team’s job to then live these expectations, but leaders need to step up and role model. It is not good saying “we see team members checking in regularly with everyone” if the leader only ever speaks to the second-in-charge.

5) Reward and challenge – when you see someone living the behaviours reward them. Do not let this slip until tomorrow or the next team meeting. At the same time, if you see someone miss the mark, tell them using language like “we said we’d all check in with each other and you haven’t been doing that, can you tell me why?”. These genuine conversations will drive your overall performance.

WHAT WILL DAY 1 BACK IN THE WORKPLACE LOOK LIKE? Every workplace will face a different set of circumstances, but one thing is for sure, it will not be a normal day.

Hopefully, the relationships you have been working on will help, but it is worth having a solid action plan for that day as a team. Will you use the first few hours to check in with each other?

Will you review your learnings and set out action plans based on them? How will you reintegrate team members that might have been laid off? The culture and leadership of your team will never have been tested more than recently. I trust you are passing the test.

SPECIAL FEATURE

ABOUT THE AUTHOR

MARTINE HARKIN

contacted one of her old teachers 12 years ago when she saw Leading Teams featured in The Age and he was in the photo. He was one of the founders of the company and was facilitating the program at Geelong FC. It wasn’t long after that Martine was asked to join the business as the only full-time female facilitator and the first without an elite sporting background. Martine left a successful teaching career at the school she used to attend and where she first met the teacher who would not only inspire her also to follow down the teaching path,

"FOR ANY LEADER, THE ULTIMATE TEST WILL COME THROUGH A QUOTE THAT WE HAVE USED MANY TIMES, “THERE IS NO SOFTER PILLOW THAN A CLEAR CONSCIENCE."

but then also provide her with her next opportunity at Leading Teams, where she is now a Director.

iQ | 29

SPECIAL FEATURE FUTURE OF RECORDS & INFORMATION MANAGEMENT

Improving Information Management Through

Culture Change

BY DAVID CANNING HEAD OF DIGITAL KNOWLEDGE AND INFORMATION MANAGEMENT IN THE CABINET OFFICE (UNITED KINGDOM)

At 11:39 am, Eastern Standard Time, on 28 January 1986, the world watched in horror as the Challenger Space Shuttle blew apart 73 seconds into its flight.

Approximately 17% of the US population watched the disaster unfold on live television, including the school children whose teacher, Christa McAuliffe, had won a competition to be one of the very first civilians in space.

"It is our role to help senior leaders to see these ‘icebergs’ floating just below the surface and help steer the corporate ship into safer waters."

30 | iQ August 2020

T

he subsequent investigation revealed that NASA had known for around 11 years that the component that caused the disaster was likely to fail in certain conditions.

It found that NASA's organisational culture, and the effect this had on its decision-making processes, had been major contributing factors to the accident.

Dr Diane Vaughan, a professor of sociology from Ohio State University, studied NASA’s culture and identified that the agency had wilfully violated its own safety rules because of a skewed sense of priorities, which placed mission success over mission safety. Dr Vaughan coined the phrase ‘normalised deviance’ to describe the phenomenon where an organisation has become so wedded to a destructive set of behaviours that they are tolerated or encouraged, even though employees individually know that what is happening is wrong.

Every organisation will, to a certain extent, tolerate deviant behaviours. Its inclination to do something to correct this will be driven by its attitude to and visibility of risk. While the implications might not be as devastating as the

FUTURE OF RECORDS & INFORMATION MANAGEMENT

Challenger disaster, the normalisation of deviance is a common feature in how organisations manage their information.

Whenever I talk to information professionals, the picture they paint of the organisation they work for, whether private or public sector, is often one of dysfunction.

"DEVELOPING A HEALTHY INFORMATION CULTURE IS FUNDAMENTAL TO SUSTAINABLE COMPLIANCE." We have to move beyond this, and we need to stop accepting it as the norm and call it out for what it is – an unmitigated risk. The implications of this can be highly damaging for the rights and freedoms of individual people, the reputation or profitability of an organisation, or our faith in our public institutions.

Developing a healthy information culture is fundamental to sustainable compliance. The culture of an organisation will be set and reinforced by its leaders, and information professionals may not have the corporate muscle on their own to effect a change of course, but it is the role of information managers and data protection officers to call out risky behaviours, and of senior boards to make sure they are sighted on the risks and act accordingly.

The first step is to diagnose the corporate culture we are operating in, describe it and then think about how this translates into risk. Information professionals are not there to fix the corporate culture – that can only be driven from the top – but we can describe it, and how it affects our world and the risk this presents to people, profit margins, cost, reputation, political and social cohesion, among others.

SPECIAL FEATURE

One factor affecting corporate culture is staff turnover: in organisations where people are constantly coming and going, it can be hard to get the rules of basic hygiene to stick, and this means information managers will be running to catch up with the pace of change. If left unmanaged, compliance risks would quickly materialise into damaging issues. Tackling this means talking to senior leaders, not about reducing staff churn, but about improving staff induction, so that everyone gets a consistent message about expectations from week one in the job.

The next step is to assess the impact of the risk, to put a price on it if you can, and determine how likely it is to go bad if nothing is done to improve the situation. GDPR is a very useful ally here: it can be difficult to put a cash value on risk sometimes, but when dealing with personal data, the power of the Information Commissioner to levy significant fines can focus minds. It is also worthwhile looking at precedent to demonstrate what has happened elsewhere as a cautionary tale – to demonstrate that the risk you are highlighting is not fantasy, but has a real prospect of biting, because it has already happened to someone else. As well as the Information Commissioner, the actions of other regulators, the courts, public inquiries, and Parliament are rich with examples of disaster or public criticism for failings caused by poor information management.

"YOU NEED TO PRESENT YOURSELF AND YOUR TEAM OF EXPERTS AS THE SOLUTION."

iQ | 31

SPECIAL FEATURE FUTURE OF RECORDS & INFORMATION MANAGEMENT

Having presented the problem, you need to present yourself and your team of experts as the solution, or at least as knowing how to implement one.

Information professionals are often undervalued in their organisations (and therein lies a risk in itself), but this can change if senior leaders understand that you are managing some big risks that they care a lot about.

It is often easier for colleagues in digital/IT to do this because they will often already manage large teams and big budgets; the risks they manage and their importance are self-evident, but information risks can be invisible and the impact of bad behaviour from a poor culture sometimes only materialises long after the perpetrators have moved on. It is our role as information professionals to help senior leaders to see these ‘icebergs’ floating just below the surface and, in so doing, to help steer the corporate ship into safer waters.

I am fortunate, in that I enjoy significant senior support, and our executive board understands the value of what I and my team do.

However, it has been, and for everyone below them it remains, an ongoing work of education to help colleagues understand the importance and implications of day to day information management. Fear is a great motivator for the disinterested or dismissive colleague if dangled carrots have failed to work. The important thing is always to communicate how immediate the impact of their action or inaction will be, whether a benefit or a threat.

Ultimately, even if, as we do in Cabinet Office, you audit compliance closely and frequently, you can only do so much.

Finally, do not give up. There were voices in NASA’s supply chain calling out the failings that ultimately led to disaster for years and in the final hours before Challenger launched.

These voices were suppressed or ignored by senior people who did all the wrong things for all the right reasons. Hindsight would be great if it were not sometimes so tragic, but often it’s all we have to work with to bring the change we need.

ABOUT THE AUTHOR

DAVID CANNING is the Head of Digital Knowledge & Information Management in The Cabinet Office. In his spare time, he loves writing and reading poetry and cooking Italian food. @CanningDavid

This article first ran in the IRMS Bulletin.

Digitise your archival records Experience a new world of: Business efficiency Innovative document management Secure and compliant access to your digital media HOW DOES IT WORK?

Document and data collection

Document preparation

Speak to one of our local digitisation experts today 32 | iQ August 2020

Scanning

1800 464 360

Post-capture processing

Output and storage

sales@timg.com

timg.com

RIMPA COMMUNITY We know the value that professionals place on networking and educational opportunities throughout the year. To build on that value, we are excited to enter into this new phase of communications by providing you all with an environment to connect, engage and share industry information and best practices in real time.

RIMPA COMMUNITY ENABLES YOU TO: • Set up small secured communities where you can converse with a selected group of people (Available communities listed below) • Opt in and out of selected topics or conversation chains • Select daily, live or weekly notifications of conversations • Have access to online resource libraries of previous communications to be used when studying, writing business cases, preparing presentations, etc.

• Share attachments

JOIN THE CONVERSATION OPEN FORUM

RIMPA MEMBER WEBINARS

Network, seek advice and share ideas! Available for all members.

Members only webinars are loaded in this library for viewing. Slides and notes are also available in this community.

RIMPA JOB SEEKER This Community has been created for all members who are seeking employment. Members are free to post the specific job type/area that they are looking to work in along with their resume, if they wish to do so.

KNOWLEDGE MANAGEMENT Discussion Group on all things knowledge management with an emphasis on certification/ qualification.

RIMPA LIVE 2020 Everything relating to RIMPA Live 2020! All attendees (virtual and face to face) are welcome to join to start chatting about our upcoming convention and meet fellow attendees, chat with our trade exhibitors before the event.

VICTORIAN LOCAL GOVERNMENT CHAPTER This is a private group for the Victorian Local Government members which acts as a constant support for the chapter all year round.

RIMPA TRAINING WORKSHOP - IMPLEMENTING AND UPGRADING YOUR EDRMS A forum for Participants of the Online Training Workshops for Implementing and Upgrading your eDRMS to discuss and share issues or documents.

RM101 - THE FUNDAMENTALS - CHAT SPACE For those who have completed RM101 (whether online or virtual) who would like a space to touch base with their trainer, and keep in touch with each other, and share ideas and information, with other trainees.

Embrace our new online community and start posting!

Visit community.rimpa.com.au

SPECIAL FEATURE FUTURE OF RECORDS & INFORMATION MANAGEMENT

Change Management When planning to make a change, plan also for the “Social Consequences” of that change.

BY CRAIG GRIMSTEAD

To successfully implement change, of any kind, it is important, perhaps imperative, that “Change Management” be considered and utilized. What is “Change Management”?

Change Management is the development of the implementation steps that consider the human element of the change in addition to the actual change being made. Some years back, William Juran (1904 – 2008) noted this as he worked with companies to change the way they approached and implemented quality processes into their company. He wrote that all companies have a culture, a pattern of human behavior that must be considered and dealt with as they seek to make operational changes.

34 | iQ August 2020

FUTURE OF RECORDS & INFORMATION MANAGEMENT

I

n his book “Managerial Breakthrough” William Juran provides a brilliant and key insight into why individuals resist change.

Juran identified that each change is actually two changes, the change intended (or the technical change) and the social consequence of that change, which is the troublemaker.

Will the change make someone feel less important, uncomfortable, disrespected? It is all about feelings – not the change itself. He provided an illustration from the time when factories were just beginning. “In the early factory days of few machines, materials handling was done by human laborers. The most important single operation was picking things up and putting them down. Periodically, things were dropped, feet were injured, toes were smashed.

Then someone invented the safety shoe which provided a ‘hard hat’ for toes. Industrial companies propagandized these shoes and subsidized the price to make it easy for the men to buy them. Many men did buy them, but few men wore them.

"DESIGN YOUR IMPLEMENTATION TO MAKE YOUR WORKFORCE FEEL GOOD ABOUT THE CHANGE. " That was puzzling. The trail led to the wives. The shoes not only looked unwieldy; they marked a man as a factory laborer – a badge of low caste.

When the safety shoe was redesigned to look like a dress shoe, the usage rate rose sharply.” Note that the certain benefit of the change was not in question. It would benefit the company and the workers. But it was not enough for the workers to wear the shoes. There were social consequences to wearing the shoes.

The workers had to feel respected (or at least not disrespected) when they wore the shoes.

Do you want to implement change successfully? Design your implementation to make your workforce feel good about the change.

SPECIAL FEATURE

Juran provided a list of 11 actions to mitigate the resistance to change: 1. Provide participation to the recipient society 2. Avoid surprises 3. Provide enough time for the recipient society 4. Start small and keep it fluid

"WHEN INDIVIDUALS RESIST THE CHANGE, THEY MAY RESIST IT OVERTLY, OR COVERTLY."

5. Create a favorable social climate 6. Weave the change into an existing, acceptable part of the cultural pattern 7. Provide a quid pro quo 8. Respond positively 9. Work with the recognized leadership of the culture 10. Treat the people with dignity

In times when that is not possible, at least design the implementation to minimize the bad feelings about the change. Provide the workforce with an understanding that they are valued and respected. There is another example from days past called the “Hawthorne Experiment”. Hawthorne Works was doing experimentation to determine the effect of workplace lighting on productivity.

The researchers were puzzled to find that whether they provided more lighting or less lighting, productivity improved. All the attention that the testing provided to the workforce made them feel important, and so they responded with greater productivity regardless of the lighting condition.

When individuals resist the change, they may resist it overtly, or covertly.

They may provide their reason for resisting directly, or they may “front” a different reason. When steam engines were being replaced with diesel engines on locomotives, there was an outcry from the railroad workers that the fireman, whose job it was to shovel coal into the boiler of the steam engine, was still needed on the diesel locomotive for “Public Safety”. The real issue of course was loss of jobs.

11. Keep it constructive To successfully implement change to a workplace, a change of any kind, the social impact of the change must be anticipated. The change implementation plan, needs to include steps that address those social consequences of the change, to create a path of minimum resistance.

The goal is to develop a win-win for the company and workforce, where the benefit to the company is clear, and the worker feels respected, with a personal benefit as well.

ABOUT THE AUTHOR

CRAIG GRIMESTAD is a senior consultant with Iron Mountain Consulting.

His specialty is designing Records and Information Management core components with a sub-specialty for Records and Information Management auditing. Craig holds a Masters of Science degree in Engineering and was the records manager for the Electro-Motive Division of General Motors where he participated in the development of the GM Corporate RM/IM program, and implemented and managed ElectroMotive Division’s RM/IM program.

He blogs to: infogoto.com/author/ cgrimestad.

BIBLIOGRAPHY Managerial Breakthrough – The Classic Book of Improving Management Performance by J.M. Juran. Copyright 1995 by McGraw-Hill. Published by McGraw-Hill, New York, New York, 10011

iQ | 35

SPECIAL FEATURE FUTURE OF RECORDS AND INFORMATION MANAGEMENT

Proof is in the Pudding: ILM and DX are Essential Ingredients for Business Transformation SUE TROMBLEY MANAGING DIRECTOR OF THOUGHT LEADERSHIP AT IRON MOUNTAIN

Like so many people around the globe and from all walks of life, I am a fan of The Great British Baking Show (GBBS) – and I am so not a baker, or cook, for that matter. There is just something about ordinary people being clever and courteous doing something they love.

S

o, what has the GBBS got to do with records and information management? Well, during each episode the bakers have three challenges: two they have prepared for and the third – the technical, for which they have been given minimal instructions – is revealed on air.

As information management professionals, we also can prepare for some things while others are sprung on us. The latter, a case for change management, must be met with skill and agility – just think about the emails you have received about a new app launching a day or two in advance of its implementation. The former, things you can prepare for, follow a different recipe.

We set out to test a theory that organizations that are prepared with “fully baked” strong Information Management Lifecycle (ILM) practices are more successful in yielding a return on their investments in Digital

36 | iQ August 2020

"EFFECTIVE ILM SPANS THE ORGANIZATION AND TOUCHES ALL BUSINESS PROCESSES." Transformation (DX) activities, such as replacing manual processes with automation or using AI to drive business growth.

To that end, we engaged Frost & Sullivan to conduct research on the relationship between ILM and DX. Their findings: 92% of 1,288 key line of business and IT decision makers, representing five industries in seven countries agree that “in order to execute a successful digital transformation strategy a foundational information lifecycle management strategy must be in place.”

FYI – for the purposes of the research we used the following definitions: • ILM: the process of securing, controlling, accessing and managing data—including all records and information; both digital and physical—throughout its life, from beginning, when it is created or enters the organization, to the end, when it is discarded, deleted or stored. Effective ILM spans the organization and touches all business processes.

• DX: the changes associated with the application of digital technology in business operations. Effective digital transformation promises to enable innovation and creativity, affecting both internal business processes and relationships with suppliers, partners, and customers.

FUTURE OF RECORDS AND INFORMATION MANAGEMENT

"IN ORDER TO EXECUTE A SUCCESSFUL DIGITAL TRANSFORMATION STRATEGY A FOUNDATIONAL INFORMATION LIFECYCLE MANAGEMENT STRATEGY MUST BE IN PLACE." Some interesting crumbs from the research: • 78% of organizations with high ILM maturity are early adopters of DX, compared to only 19% with low maturity. It seems that there is an awareness of ability – or gaps in ability – amongst the less mature organizations.

• 100% of the high ILM organizations have a formal, up-to-date retention program that applies to both digital and physical records, and have processes for on-boarding new technology to comply with ILM requirements; the low maturity organizations score far less at 55% and 48% respectively.

• 30% of high ILM organizations are already driving business outcomes using AI while only 9% of those with low ILM maturity use the power of machine learning – a definite competitive advantage for the ILMsavvy.

If you are not in the high ILM maturity category, the findings from Digital Transformation and Information Lifecycle Management: Partners in Success include a wealth of data for your consumption including the necessary ingredients for reaching your highest ILM potential, a proven essential ingredient in achieving “master baker” status.

SPECIAL FEATURE

ABOUT THE AUTHOR

SUE TROMBLEY, Managing Director of Thought Leadership at Iron Mountain, has more than 25 years of information governance consulting experience.

Prior to her current role, Trombley led Iron Mountain’s Consulting group responsible for business development, managing a team of subject matter experts, and running large engagements. Trombley holds a master’s degree in Library and Information Science and recently was certified as an Information Government Professional. She sits on the AIIM Board, the University of Texas at Austin of School of Information Advisory Council and is President of the Boston ARMA Chapter. She is Iron Mountain’s representative on the newly formed Information Governance Initiative and is frequent speaker at association events. She blogs to: infotogo.com/ author/strombley

C

M

Y

CM

MY

CY

CMY

K

iQ | 37

SPECIAL FEATURE FUTURE OF RECORDS & INFORMATION MANAGEMENT

Going Paperless in 90 Days: A step-by-step guide JOAN HONIG CONTENT MARKETING MANAGER AT DOCUWARE

In the past couple of decades, organisational leadership has focused heavily on efficiency: operating lean and asking their employees to maintain continuity with fewer and fewer resources. But cutting budgets only goes so far. In recent years, managers and workers have refocused on a far more pertinent question: instead of doing the same with less (efficiency), how can we do more with the same (productivity)?

P

aper is a serious drag on both efficiency and productivity. A worldwide survey conducted by industry analyst IDC shows that document management challenges account for a 21% loss of organisational productivity. Not that you need numbers to convince you; you see it and feel it every day.

Email, accounting software, ERPs, digital publishing and a hundred other technologies promise to eliminate paper and usher in a golden age of digital perfection. But creating a paperless office eludes many of us.

What is the best way to move toward a paperless environment without losing information and how can you do it quickly?

BENEFITS OF A PAPERLESS OFFICE

Here are some of the reasons why organisations are working to make the paperless office a reality.

1. Cleaner office Imagine no more filing cabinets, fewer printing devices, and shelves of storage reclaimed from paper and toner supplies. Less shipping, less photocopying, less filing and searching.

The first advantage is a cleaner, brighter, more spacious office.

2. Streamlined workflows Automated workflow makes the right content accessible at the touch of a button whenever and wherever you need it. It takes only seconds to route and share documents across multiple departments and systems.

38 | iQ August 2020

3. Greater agility Your competitors are only going to get faster, and the agility that a paperless office gives you is vital to remaining competitive.

4. Reduced business risk Custom access controls and digital data security make it easier and less expensive to maintain compliance and reduces the likelihood that missing documents will result in fines or lost revenue.

"BEFORE YOU START YOUR 90-DAY DIGITISATION EFFORT, THINK ABOUT THE THREE KEY STEPS WITHIN YOUR PROCESS — CAPTURE, WORKFLOW, AND ARCHIVING AND RETRIEVAL" 5. Better customer relationships Information is only seconds away with a quick search — no more putting people on hold to dig through folders.

Deliver the speed and quality of support your customers and vendors deserve.

6. Increased visibility Using digital workflows instead of paper results in greater transparency, allowing management to monitor business processes in real time for smarter decision making.

7. Positive environmental impact If you have a “green” initiative in place, one of the easiest ways to reduce your carbon footprint is to print, ship and store less paper.

3 STEPS TO DIGITISATION

If you are planning to go paperless, it is important to have a timeframe for making the leap. Going paperless in 90 days is an achievable goal and provides a rallying cry to get your team on the same page. It also gives you a quarterly target to address and hit while helping to maintain momentum.

Before you start your 90-day digitisation effort, think about the three key steps within your process — capture, workflow, and archiving and retrieval.

Each of them benefits from your digitisation efforts. When you think about what needs to happen in 90 days to consider the initiative a success, it boils down to setting goals for digitising three areas: a) capture b) workflow c) storage and retrieval.

STEP 1 : CAPTURE

Information arrives in many ways.

Email, faxes, physical mail, web forms and, of course, paper documents are just a few. Each point of entry offers you the opportunity to intelligently capture information so it is findable and usable in future business processes. Even scanning paper and indexing its content can be fully automated.

“Indexing” is the critical step that transforms documents into manageable information by reading key portions of data and storing each data point as

FUTURE OF RECORDS & INFORMATION MANAGEMENT

an index value. These index values describe the purpose and content of the document and are ultra-efficient for searching and organising documents.

The indexing process is significantly improved by software that uses machine learning. Machine learning technology remembers the structure of each document as well as your indexing corrections. Every capture increases the speed, accuracy, and reliability of the tool. The more machine learning is used, the less time you spend on manual data entry.

Web forms are another tool to simplify, improve and accelerate data collection. Not only are they instantly available to anyone on any device, but forms provide structure to data, so it can be used to automate information flow.

It is also important to be able to capture relevant data that sits in your ERP, CRM, or other line-of-business software. It is crucial that your document management software and other systems can speak to one another, retrieving data and populating records to keep business information in sync.

STEP 2: WORKFLOW

The goal is to replace paper shuffling with streamlined digital workflows with predefined processes for routing, reviewing and approving documents.

Automation enables sharing information with anyone on your team who needs visibility into a workflow process. Every employee responsible for completing a task can view it in the office automation solution.

Email updates can be sent to alert employees to new tasks in their work queues. Exceptions and escalations can be configured easily. At a glance, a manager can see what steps are complete and what remains to be done.

By clearly outlining each process in a “best case scenario” — what it would look like if everything went according to plan — you can start designing more efficient digital workflows in your document management system.

Seek solutions with these useful features: • Strong digital workflow software will include a process-mapping tool to visualise your processes — a useful mechanism that builds comprehension, consensus, plans and process improvements.

• The capability to integrate web forms into your workflow processes to further eliminate the use of paper can be a massive user experience upgrade and a much faster path to overall digitisation.

• Mobile capabilities allow you to capture, route and approve documents on the go. Keep telecommuters and staff in remote locations in the loop to make sure they do not miss deadlines.

STEP 3: STORAGE AND RETRIEVAL

After information is routed via automated workflow, it should be archived in a way that is fast for easy retrieval along with controlled access.

If you have followed best practices for indexing data at the capture stage, your digital documents will be clearly organised, easily findable, and ultimately usable by the business.

Security is a big concern in the archival of documents. Not only does strong security and backup measures ensure information recovery in the case of a disaster, but it keeps unwanted readers out and helps meet critical compliance regulations like the GDPR.

IMPLEMENT A 90-DAY PLAN

First, get input from your leadership team and from end users then take the time to fully delve into paper-dependent processes. You need to understand the source of the pain before you can administer a cure.

SPECIAL FEATURE

The 90-day plan FIRST 30 days 1.

Develop your team 2.

Analyse processes NEXT 30 days 3.

Design the solution 4.

Create awareness LAST 30 days 5.

Deploy your solution 6. Training 7.

Go live

FIRST 30 DAYS 1.

2.

Develop your team Analyse processes

STEP 1: DEVELOP THE LEADERSHIP TEAM

The most fundamental requirement for a successful initiative is getting buyin from your organisation’s leadership team. Your stakeholders should have the power to push the paperless agenda.

Do not minimise the importance of getting input from end users who often understand more about the day-today work than their managers do. You may want to bring in an external office automation professional as part of the leadership team — either a third-party office automation vendor or consultant — to guide the conversation about what is feasible in the short- and long-term. iQ | 39

SPECIAL FEATURE FUTURE OF RECORDS & INFORMATION MANAGEMENT

STEP 2: DIG INTO YOUR BUSINESS PROCESSES

The discovery process is essential and requires thoughtful process mapping.

Identify key steps, bottlenecks, and frustrations by asking your colleagues for input. When you walk through the lifecycle of a specific document or process, ask these questions: • What initiates the process — an email, a phone call, an electronic form, a paper form, a letter that comes in the mail, or a walk-in?

TABLE ONE: THE PRIMARY BENEFITS OF CLOUD COMPUTING SMALL ORGANISATIONS

MID-SIZED ORGANISATIONS

LARGE ORGANISATIONS

Fast implementation with low cost of services

Modernisation of legacy IT environments

Modernisation of legacy IT environments

Low initial cost

Easy scalability for growth

Highest security and data redundancy

Independence for business units

Ability to add new capabilities or features

Elimination of software licensing and upgrade fees

• How do you capture the information?

• What is the first action you take with that information?

• Where is the information stored?

• Who is involved in the process?

Does the document require review or approval?

• When is integration with another system or an ERP necessary?

• Do you need to access documents and approve processes from a mobile device?

NEXT 30 DAYS 3.

4.

Design the solution Create awareness

STEP 3: DESIGN THE SOLUTION

Once your team has good visibility into your business processes, it is time to design a paperless solution that addresses the concerns of the leadership team. This design phase determines what software components and features should be used in creating your paperless office.

Decide whether you want to implement a cloud or on-premises solution. Your decision will be based on many factors including the structure of your organisation’s IT infrastructure, the potential cost of upgrading your hardware, and the bandwidth and expertise of your IT team.

If you have followed the previous three steps and engaged end users in the process, the design phase is when they start asking, “How soon can we install it?” They see the vision, and they want to see its results. See Table 1.

STEP 4: CREATE AWARENESS AND COMMUNICATE THE PLAN

You have designed the solution. Next, you need to ensure that the team’s vision for the paperless office is shared with department managers and end users. Creating this awareness is key to effective change management. Even those who hesitate or resist moving away from familiar, paper-based processes will come around.

"THE DISCOVERY PROCESS IS ESSENTIAL AND REQUIRES THOUGHTFUL PROCESS MAPPING." One good way to spread the word is by sharing videos that give a high-level view of the solution. The goal is not to sell users on the technology features, but to create awareness of how office automation takes the drudgery out of daily tasks and helps employees to achieve job-related business goals.

Demonstrate progress in regular review meetings. Then schedule a launch party to celebrate your accomplishments.

LAST 30 DAYS

5.

Deploy your solution 6. Training 7.

Go live

40 | iQ August 2020

STEP 5: DEPLOYING YOUR OFFICE AUTOMATION SOLUTION

Depending on the design, deploying your office automation solution might begin with the creation of a test system or occur in several phases. Test early and often. Testing is often glossed over, but it is a great way to avoid surprises during the implementation that could cause business disruptions later.

Resolve outstanding issues and demonstrate progress in regular review meetings. This is also the time to begin training IT administrators and power users. Once the system has been deployed, run through one of your processes with sample documents or files, and use this as a training exercise.

STEP 6: TRAINING

Training time can vary from a few hours for the end users who are assigned to a small number of workflows to one or two days for system administrators and power users.

Do not forget to create ongoing technical documentation. The paperless office is an evolving ecosystem, not something you set up and never think about again. Include discovery findings and design choices as well as system configuration settings. Your documentation should also identify who the system administrators are so that everyone knows whom to contact internally when questions arise.

STAR

FUTURE OF RECORDS & INFORMATION MANAGEMENT

T

1

2

ABOUT THE AUTHOR

CONFIGURE & DEVELOP

PLAN & DESIGN • Define required document types and workflows

• Decide if a separate test system (sandbox) is needed

• Create a storyboard diagram of the system

• Access a cloud solution or install on-premises software

• Design workflows

• Configure the solution

JOAN HONIG of DocuWare Corporation is responsible for writing the DocuWare Blog, eBooks and informational brochures for prospective and current customers and resellers. In the course of her work, she researches analyst data, industry best practices and advances in office automation technology. Joan covers a variety of topics including workflow automation, regulatory compliance, and cloud technology.

Contact joan.honig@docuware.com

3

TEST & FINE-TUNE •Implement and conduct preliminary tests of workflows • Additional testing • Fine-tune the solution for follow up testing

4 •Administer and power user training • Documentation • User training

• Offer hands-on training. Users learn by doing. Show them how their specific tasks are done. Then give them time to practice at their workstations.

GO LIVE

DOCUMENT & TRAIN

Training best practices • Educate power users and administrators first. They are an inhouse resource for other users. They can also take part in training the rest of the staff.

SPECIAL FEATURE

This article first ran in the IRMS Bulletin Resource: IDC Industry Analyst Survey IMPROVING PROCESS EFFICIENCY IN AN EVOLVING WORKPLACE https://www.oki.com/eu/printing/ about-us/news-room/thought-leadership/smartmfps/transformation/ form/index.html

"TESTING IS A GREAT WAY TO AVOID SURPRISES DURING THE IMPLEMENTATION THAT COULD CAUSE BUSINESS DISRUPTIONS LATER."

• Have an IT administrator or a power user sit in on the training sessions.

They can help users who need extra attention.

• Do not try to teach everything in one session. Training sessions should be shorter rather than longer and cover one topic at time.

• Create a cheat sheet or video broken down by task. These tools reinforce product knowledge.

• Record webinars and document in-person training. In addition to providing training for new employees, recordings enable current employees to review course content as needed.

• Use the resources provided on the software company’s website.

Encourage your staff to join user forums and consult online FAQs. iQ | 41

SPECIAL FEATURE FUTURE OF RECORDS & INFORMATION MANAGEMENT

Automation

and its implications for archival policy towards email

BY JAMES LAPPIN This paper is based on a talk James delivered in London on 26 September 2019 to the UK Government Knowledge and Information Network.

Think of all the correspondence moving into, out of, and around your organisation.

Think of the structure or schema into which you would like all important items of business correspondence to be assigned, so that they can be found and managed.

Think of the records system that the structure/ schema sits in.

Who would you like to file important items of correspondence into that structure/schema: humans or machines?

42 | iQ August 2020

TRIAL NO 1: HUMANS VERSUS MACHINES THAT CAN LEARN

Imagine you set up a trial: • you tell every member of staff to file important pieces of correspondence into your records system with your preferred structure/schema. • in parallel, you set up a group of machines to look at all the correspondence coming in and out, to select important correspondence and file it into the same structure/ schema as the humans.

Who would you like to win this trial: the humans or the machines?

Who would you expect to win the trial?

FUTURE OF RECORDS & INFORMATION MANAGEMENT

SPECIAL FEATURE

M

ost of us in the records and information management professions would want the machines to win. If the machines win, they take the filing workload off the shoulders of our colleagues. This frees our colleagues up to focus on the job they were employed for.

We would expect the machines to win provided that: • the machines could learn a fairly complex structure.

• there was a feedback loop between humans and machines, so that the machines had their mistakes pointed out to them.

• the machines were learning machines that could adjust their algorithms in response to feedback.

• the trial ran long enough for the machines to improve after many iterations.

We do not yet have the automation necessary to assign correspondence routinely to a node in the kind of complex, multi-level, corporate-wide taxonomy/file plan/retention schedule that records managers like to use to manage records.

THE NATURE OF AUTOMATION PROJECTS CURRENTLY BEING UNDERTAKEN

The type of automation projects we are seeing in information management at the time of writing are mainly based on binary questions: • The legal world has been making progress with predictive coding projects that seek to use machine learning to answer the binary question ‘is this content likely to be responsive to a specific legal dispute?’.

• In the USA, NARA’s Capstone policy has motivated some US Federal Agencies to use machine learning to answer the binary question ‘is this e-mail needed as a record?’, and a similar project is being undertaken by the National Archief of the Netherlands (their report, in Dutch, is here: <http://tiny.cc/99rglz>); • The Better Information for Better Government programme run by the UK Cabinet Office will shortly set up a project to develop an artificial intelligence tool that can distinguish important from non-important government e-mails (see the call for expressions of interest they issued in August: <http://tiny.cc/egsglz>);

• Graham MacDonald has worked on a process for using automation to support the sensitivity review of records by using machine learning to predict whether or not any particular document is likely to be covered by one of the UK’s Freedom of Information exemptions (see his thesis: <http://tiny.cc/uisglz>).

"WE ARE GOING TO BE ABLE TO DEPLOY MACHINES SOONER, IF WE CAN FIND BINARY QUESTIONS FOR THEM TO RESOLVE..."

We are going to be able to deploy machines sooner, if we can find binary questions for them to resolve, than if we wait until machines can assign content to nodes within complex, multi-level, taxonomies/file plans/retention schedules.

THE RECORDS MANAGEMENT DEMANDS WE MAKE OF HUMAN BEINGS

For most of the twentieth century, human beings succeeded in filing correspondence into what were often very sophisticated filing structures. In the twenty-first century, this no longer holds true. In the twentieth century humans filed correspondence because the correspondence had to be filed by

humans. In the twenty-first century, e-mail correspondence has been filed automatically by the automation built into e-mail systems. Any injunction to civil servants asking them to move e-mail correspondence into another system is in effect asking them to re-file that correspondence.

THE AUTOMATION BUILT INTO E-MAIL SYSTEMS

The automation built into the proprietary e-mail systems rolled out in the mid to late 1990s was not machine learning. The machines in proprietary e-mail systems could not learn; all they could do was follow rules. Even now, two decades later, proprietary e-mail systems only assign correspondence into a very simple structure and schema.

The reaction of the archives and records management community, when e-mail systems were introduced, was to point out (quite rightly) the records management deficiencies of a system that aggregated correspondence into individual e-mail accounts and did not distinguish between business correspondence and personal/trivial correspondence. With some exceptions (notably NARA in the US), the records and information management community has not accepted the structure of e-mail systems as being a viable filing structure, and in many administrations (including that of the UK) we have continued to ask human beings to re-file important items of correspondence into separate systems. iQ | 43

SPECIAL FEATURE FUTURE OF RECORDS & INFORMATION MANAGEMENT

However, even when officials do highly value the records structure/schema, there is still a strong possibility that machine filing will prevail. I remember when e-mail systems were introduced into UK government in the mid-1990s.

Government departments and the civil servants in them valued the then record systems of their organisations (hard copy registered file systems) very highly. Everyone at the time wanted the registered file systems to survive and to make an ordered transition to the electronic world.

But within 5 years of the general introduction of e-mail in UK government, all those registered file systems were in tatters with no replacement systems in place. The introduction of e-mail destroyed those systems.

TRIAL NO 2: HUMANS VERSUS MACHINES THAT CANNOT LEARN

To go back to the idea of a trial with which I started this paper, we have for the past two decades been pitting human beings against machines: • the humans have been asked to file important items of correspondence into a preferred records system which houses our preferred records structure/schema.

Who do you think would win such a trial?

In theory, the humans have more chance of winning this second trial than they did of winning the first trial.

Human filing could prevail if the human beings in the organisation found the records structure/schema so beneficial that they would be prepared: • to make the extra effort to file correspondence into the designated records system.

• the machines (in the shape of e-mail systems) have been configured to file correspondence into a simple structure that is inferior for records management purposes.

• to use the designated records system, rather than their e-mail account, as their main source of reference for their own correspondence.

Who do you want to win this trial?

The automated filing or the human filing?

From a records/information management point of view, would you want the machines to win on the grounds that: • they take the workload off the shoulders of our colleagues

• to forego the possibility of simply relying on the inferior structure into which the e-mail systems had filed the correspondence.

• the filing is very predictable and consistent • the filing is instantaneous? …. or would you want the humans to win because they would be filing into a structure that permitted a more precise application of retention rules and access rules?

44 | iQ August 2020

"EVEN WHEN OFFICIALS DO HIGHLY VALUE THE RECORDS STRUCTURE/ SCHEMA, THERE IS STILL A STRONG POSSIBILITY THAT MACHINE FILING WILL PREVAIL."

Why did the automated filing of e-mail systems into a simple structure overcome the value that UK civil servants placed on the much more sophisticated structure of their registered filing systems?

The crucial advantage that the machines (e-mail systems) had was speed. They filed correspondence instantaneously. The automated filing by e-mail systems provided officials with instant access to their correspondence from the moment it left the sender’s account. This acted to accelerate the velocity of correspondence, which, in turn, increased the volume of items exchanged, which, in turn, increased the number of items to be re-filed by the human beings.

The introduction of e-mail increased correspondence volumes exponentially, and therefore, made it, to all intents and purposes, impossible to have human beings re-file correspondence into a complex corporate structure. In other words, the machines moved the goalposts. And won the game!

To put it more simply • human filing is a viable option when there is a low volume and low velocity of correspondence exchange.

• if the velocity and volume of business correspondence increase exponentially, then the human resource to refile it does not scale (not within public sector budgets anyway!).

FUTURE OF RECORDS & INFORMATION MANAGEMENT

MACHINE FILING VERSUS HUMAN FILING – THE EXPERIENCE OF THE PAST 20 YEARS

The experience of UK government in relation to e-mail over the past 25 years can be divided into three phases.

In the first phase (ca 1995 to 2003), human beings (civil servants) were asked to print important pieces of correspondence out and place them onto registered files, whilst machines (e-mail systems) filed correspondence into e-mail accounts.

In the second phase (ca 2003 to 2010), civil servants were asked to file correspondence into electronic records and document management systems, whilst machines (e-mail systems) filed correspondence into e-mail accounts.

In the third phase, civil servants were asked to file correspondence into collaborative systems (such as Microsoft’s SharePoint), whereas machines (e-mail systems) continued to file correspondence into e-mail accounts.

Over the course of this 20 to 25-year period, progress has been made in the systems to which we have been asking our colleagues to file into. We have moved from hard copy to electronic systems; we have moved from electronic records management systems with clunky corporate file plans to more user-friendly collaborative systems. But the result has been the same in all three phases. In each phase, a pitifully low percentage of business correspondence has been moved from e-mail accounts

"WE ARE WORKING IN A PERIOD OF TRANSITION, AND THE TRANSITION IS TOWARDS THE EVER-GREATER USE OF EVER-MORE POWERFUL AUTOMATION, ANALYTICS, AND MACHINE LEARNING. " into the record system concerned. The automated filing of e-mail into e-mail accounts has always defeated attempts to persuade humans to get into the habit of re-filing their important correspondence somewhere else.

The policy dilemma posed by the automated filing built into e-mail systems E-mail systems have, over the past two decades, used a primitive form of rules-based automation to file e-mails into a simple structure/schema. This has caused a policy dilemma: • email systems file e-mail correspondence efficiently, routinely, and predictably into e-mail accounts, BUT the organisation of correspondence into individual e-mail accounts results in an inefficient and imprecise application of retention and access rules to correspondence.

SPECIAL FEATURE

• in contrast, human beings can re-file important items of correspondence into a structure that enables retention and access rules to be applied more precisely, BUT they are likely to do this infrequently and haphazardly.

The policy dilemma exists, in part, because records management best practice does not tell us which of the following two policy imperatives is more important: • the consistent capture of correspondence into a structure/ schema; OR • a structure/schema that supports the precise application of retention and access rules.

Records management best practice does not help us choose between these two competing imperatives because records management best practice wants both! Records management best practice requires the consistent capture of correspondence into a structure/ schema that supports the precise application of retention and access rules.

We are faced with two imperfect options. We should choose the least imperfect. The least imperfect option is the option with weaknesses that we are most likely to be able to correct at a future date.

We are working in a period of transition, and the transition is towards the ever-greater use of ever-more powerful automation, analytics, and machine learning. If the present rate of progress with machine learning/ artificial intelligence is maintained, then we can predict that: • in the medium term, originating bodies will be able to deploy machines to answer binary questions that would help to mitigate the worst faults of e-mail accounts: namely, to distinguish important from trivial mail, and personal from business mail.

• in the long term, originating organisations will be able to deploy machine intelligence to re-file correspondence into any order that they choose.

iQ | 45

SPECIAL FEATURE FUTURE OF RECORDS & INFORMATION MANAGEMENT

FACTORING THE FUTURE OF MACHINE LEARNING INTO PRESENT-DAY POLICY DECISIONS

If and when we reach a point at which machine learning tools can file correspondence into any order that an organisation wishes, then our policy dilemma will be resolved – we will, at that point, be able to consistently assign correspondence to any taxonomy, records classification and/or retention schedule that an organisation chooses.

We would also, one presumes, be able to run the machine learning over legacy correspondence and assign that correspondence to the same taxonomy/ records classification/retention schedule.

We can anticipate that: • future machine learning tools will be able to retrospectively correct the weaknesses in the structure/schema of any e-mail accounts that survive.

• future machine learning tools will only be able to retrospectively correct the weaknesses in the capture of e-mail into corporate collaboration systems/electronic records management systems if important e-mail accounts survive.

46 | iQ August 2020

"WE SHOULD GIVE A HIGH PRIORITY NOW TO ENSURING THAT HISTORICALLY IMPORTANT E-MAIL ACCOUNTS SURVIVE, IN THE CONFIDENT HOPE THAT WE WILL LATER BE ABLE TO CORRECT WEAKNESSES AND INEFFICIENCIES..."

This logic dictates that we should give a high priority now to ensuring that historically important e-mail accounts survive, in the confident hope that we will later be able to correct weaknesses and inefficiencies in the content of these accounts and in the structure and schema of those accounts.

This would require some form of protection being introduced now for the e-mail accounts of officials playing important roles. Business correspondence residing in the e-mail accounts of important UK government

officials does not currently enjoy any protection. UK government departments subject e-mail in e-mail accounts to scheduled deletion. The most common form of scheduled deletion is to delete the content of e-mail accounts shortly after an individual leaves post. This practice complies with The National Archives’ policy towards UK government e-mail, because each department asks its officials to move important e-mail out of e-mail accounts to some form of corporate records system. However, the unintended consequence of this policy is that most business correspondence ends up being subject to this deletion.

Affording some protection to the e-mail accounts of officials occupying important roles be a protect now – process later approach.

This protect now – process later approach involves protecting historically important e-mail accounts, in the knowledge that machines are good at dealing with legacy and can, at a later date, be deployed to filter these records, enhance the metadata and/or overlay an alternative structure onto these records.

Such an approach would no longer require individuals to move important e-mails to a separate system for recordkeeping purposes (though there may well continue to be circumstances when an organisation, for knowledge

FUTURE OF RECORDS & INFORMATION MANAGEMENT

SPECIAL FEATURE

ABOUT THE AUTHOR

JAMES LAPPIN has been in records management for over a quarter of a century -as a practitioner, consultant, presenter, researcher, blogger, and podcaster. He is working on a Loughborough University research project to evaluate archival policy towards email and email accounts. James presents the IRMS podcast and works as a European civil servant. James is the author of the long-running Thinking Records blog.

Follow James on twitter @jameslappin www.thinkingrecords.co.uk j.lappin@lboro.ac.uk

This article first ran in the IRMS Bulletin

management/operational purposes, requires some teams/areas to move important correspondence out of e-mail systems, or seeks to divert correspondence away from e-mail into other communication channels).

This approach is based on the realisation that deploying human effort to do something (badly) that machines are likely to be able to do (well) at a later date does not make sense, in terms of either effectiveness or efficiency.

GDPR IMPLICATIONS OF A PROTECT NOW – PROCESS LATER APPROACH

The implication of protecting important e-mail accounts from deletion, whilst working on the development of machine-learning capabilities, is that some personal correspondence is likely to be retained alongside historically important correspondence. This has data protection implications.

GDPR allows the archiving of records containing personal data, provided that the preservation of the records is in the public interest, and provided that necessary safeguards are in place and the data protection rights of data subjects are respected.

The retention of the work e-mail account of an important official is likely to be in the public interest, and is likely to be compliant with data protection law, if the following conditions are met: • the role that the individual played was of historic interest.

• the individual could expect their account to be permanently preserved.

• the individual was given the chance to flag or remove personal correspondence.

• access to personal correspondence was prevented, except in the case of overriding legal need.

• items of correspondence that are primarily personal in nature are removed once a reliable capability to identify them becomes available.

CONCLUSION

This paper recommends that government departments which use e-mail as their main channel of communication refrain from automatically deleting correspondence from the e-mail of their most important staff, pending the development of automated tools to process the correspondence within those accounts.

In practice, this is likely to involve only protecting around 5% of their e-mail accounts (using the old archival rule of thumb that 5% of the records of an originating body are likely to be worthy of permanent preservation).

This is not an easy sell to make to government departments. Even though the recommendation only covers around 5% of their e-mail accounts, departments may well feel that these are the 5% that carry the highest potential reputational/political risk and are the 5% most likely to attract Freedom of Information requests.

Making such a recommendation is in no sense ‘giving up’ on the records management ambition to have business correspondence consistently assigned to structures and schema that support the use and reuse of correspondence and that support the precise application of retention and access rules. It is simply a recognition that asking civil servants to select and move important e-mail into a separate system has not worked for 20 years and shows no sign of working any time soon. It is also recognition that we need automated tools to process the material that has been automatically filed by e-mail systems.

Most important of all, this approach of protecting important e-mail accounts gives us a pathway for applying automated solutions to email. It would provide an incentive and an opportunity to deploy tools that work on a binary logic (‘is this e-mail important, yes or no?’, ‘is this email personal, yes or no?’) to mitigate the worst flaws of email accounts from an information management point of view. These tools are not pie in the sky; they are already being used in real-life projects. The hope would also be that, in the long term, we may have tools that go beyond binary questions and could assign individual e-mails to a reasonably granular records classification, taxonomy and/or retention schedule.

iQ | 47

AWARD

NOMINATIONS OUTSTANDING ACHIEVEMENT AWARDS 2019-2020

JIM SHEPHERD AWARDS

J EDDIS LINTON AWARDS

The RIMPA Awards are to be presented at the Glamour Cocktail Party & Awards Night held on day two of RIMPA Live at the Pialligo Estate, Tuesday 13 October 2020.

These awards are named to pay tribute to Jim Shepherd, one of RIMPA’s founding fathers. The Awards recognise and celebrate two distinct supportive pillars of RIMPA; Vendors and Branches. The support of both these streams form the foundation of the opportunities provided to the RIMPA membership.

iQ ARTICLE OF THE YEAR

Nominees for the Jim Shepherd Awards are:

The J Eddis Linton Awards are named to honour of one of RIMPA’s founding fathers, J Eddis Linton and were established in 1999. The Awards culminate in the recognition and celebration of organisations and individuals that implement world-class initiatives and industry leading services on a prominent and far-reaching scale.

Sponsored by Iron Mountain The iQ Article of the Year Award was introduced in 2004 to promote and recognise quality written contributions to RIMPA’s quarterly publication, iQ magazine. Every article submitted and published in the year between September 2019 - July 2020 is automatically eligible for consideration.

The judges look for articles that inform, engage and inspire readers, while displaying the authors sound knowledge of their subject.

Nominees for the iQ Article of the Year Award are: •

Digital Hoarding, Digital Nightmare – Digital Disposal by Kerri Siatiras and Craigie Sinclair

•

PROV Map Warper: The Online Tool Built Through Knowledge Sharing

by Natasha Cantwell

•

Evidential Evolution by Ken Tombs

48 | iQ August 2020

VENDOR OF THE YEAR • CorpMem Business Solutions • EzeScan

The winner of the Bernadette Bean SA Records Management Service Excellence Award will also be a nominee in the respective category.

Nominees for the J Eddis Linton Awards (recipients of the Branch Awards) are:

• Fuji Xerox Australia

BRANCH OF THE YEAR All RIMPA Branches are included in the judging for this award. These are currently being reviewed by the Board.

NEW PROFESSIONAL This award is presented to a new professional to the records and information management industry who has demonstrated significant potential to succeed within the profession. The nominees for this award are: •

Melissa Rush, NZ Branch

•

Ildiko Lizak, SA/NT Branch

•

Damian Shepherd, WA Branch

AWARD CATEGORIES COMPANY AWARDS

OUTSTANDING STUDENT

OUTSTANDING INDIVIDUAL

Sponsored by FYB

Sponsored by Castlepoint

This award is presented to a student who has achieved excellence in educational studies in records and information management. The nominees for this award are:

This award is the pinnacle award bestowed upon an individual within the records and information industry by RIMPA.

•

Shivaun Tijou, NSW Branch

•

Lisa Huria, NZ Branch

•

Amanda Spinks, Qld Branch

OUTSTANDING GROUP Sponsored by Information Proficiency This award is presented to a group who have achieved excellence and made an outstanding contribution within the records and information management industry.

The recipient of the Outstanding Group award will have demonstrated, in the previous year, distinction and a lasting high impact in one or more of the areas – innovation; marketing, partnership and teamwork; collaboration; implementation and business benefit.

The nominees for this award are: •

Castlepoint Systems, ACT Branch

•

Department of Defence Air Force – Air Mobility Group, NSW Branch

•

Greater Wellington Regional Council, NZ Branch

•

Griffith University – Productivity & Information Management Team, Qld Branch

•

KKiT Consultancy, SA/NT Branch

•

Public Record Office Victoria, Vic Branch

•

City of Perth, WA Branch

This highly coveted award is the highlight of the award season and is presented to an individual who has made a significant contribution to records and information management in the previous year. The nominees for this award are: •

Kemal Hasandedic FRIM, ACT Branch

•

Rebbell Barnes MRIM, NSW Branch

•

Matt O’Mara MRIM, NZ Branch

•

Janine Morris MRIM, Qld Branch

•

Katrina Windebank, SA/NT Branch

•

Farnz Corderoy, TAS Chapter

•

Bethany Sinclair-Giardini MRIM, VIC Branch

•

Suparna Chatterjee MRIM, WA Branch

•

iQ Article of the Year

•

Vendor of the Year

•

Branch of the Year

•

New Professional

•

Outstanding Student

•

Outstanding Group

•

Outstanding Individual

•

RIMPA Hall of Fame

RIMPA HALL OF FAME The Hall of Fame Award is a highly distinguished recognition bestowed upon members of the records and information management industry and honours their remarkable contributions.

This award was implemented in 2019 with the inaugural inductee being Tom Lovett.

Inductees are chosen based on their longstanding commitment and dedication to RIMPA and how they have influenced the direction of the records and information management industry. Their contributions will have impacted and inspired their peers and younger members and encouraged them to achieve their potential.

Records and information management is a central element of an organisations’ governance framework, protecting the past and guiding the future. It is also interwoven in to our personal lives from our inception to our final moments. In honouring inductees’ achievements in the records and management industry, the RIMPA Hall of Fame preserves, presents and shares this heritage as an inspiration to all within the industry. The message is a valuable one that emphasises the rich rewards that are offered by striving to attain RIMPA’s values; Stewardship, Integrity, Collegiality, Accountability and Renewal.

This year’s inductee/s will be announced at RIMPA Live.

CONGRATULATIONS

TO A L L O U R N O M I N E E S

iQ | 49

INDUSTRY NEWS VENDOR DIRECTORY

ACA PACIFIC ACA Pacific is a specialist distributor of A4 to Wide Format Document Scanners, Data Capture and Digital Transformation solutions. We are the Distributor for Kodak Alaris, ABBYY and Contex. Kodak Alaris is a leading provider of information capture solutions that simplify business processes.

Our solutions help the world make sense of information with smart, connected solutions powered by decades of image science innovation. Our award-winning range of scanners, software and services are available worldwide, and through our network of channel partners. ACA Pacific are a team that helps you along your paper-todigital transformation journey with a range of document scanners and proven capture software solutions.

Phone: 1300 761 199, Email: ACAImaging@acapacific.com.au, Address: Unit 7, 435 Williamstown Road, Port Melbourne, Victoria 3207

AVEPOINT AvePoint accelerates your digital transformation success. Over 16,000 companies and 6 million SharePoint and Office 365 users worldwide trust AvePoint software and services for their data migration, management, and protection needs in the cloud, on-premises and hybrid environments.

Contact: Joanne Chang Email: joanne.chang@avepoint.com Phone: 0432 660 196 Address: Level 11, 459 Collins Street, Melbourne VIC 3000

50 | iQ August 2020

VENDOR D CASTLEPOINT Castlepoint is a complete records and information management solution for all of your electronic records, in any of your business information systems. It uses AI to register, classify, sentence, and manage the lifecycle of all records from a single interface, and provides a security overlay for audit, governance and discovery.

Contact: Gavin McKay Chief Technology Officer Mobile: +61 404 151 729 Phone: 1300 996 905 Email: gavinm@castlepoint.systems Contact: Rachael Greaves Chief Information Officer Mobile: 0488 114 767 Phone: 1300 996 905 Email: rachaelg@castlepoint.systems

DOCSCORP Document management professionals turn to DocsCorp when they are looking for easy-to-use software that empowers them to work safer and smarter. Our product portfolio includes email recipient checking, metadata cleaning, document comparison, PDF creation, and image file conversion to PDF, which can be accessed on the desktop, server or cloud.

Contact: www.docscorp.com Phone: +1300 559 451 t Email: info@docscorp.com *Raesnlong

Scanner & Software Rentals

for s you ! a ed ne

EZESCAN EzeScan is one of Australia’s most popular production capture applications and the software of choice for many Records and Information Managers. Solutions range from production records capture, highly automated forms and invoice processing to decentralised enterprise digitisation platforms which uniquely align business CORPMEM processes with digitisation standards, CorpMem Business Solutions provides a wide compliance and governance requirements. range of services focused on improving your Fast Scanners Contact: Demos Gougoulas Delivery business by reducing the cost of delivering EzeScan Director Sales & Marketing Set Up & Training Software records management while at the same time Expert Phone: Ongoing Support Advice1300 393 722 improving efficiencies. CorpMem converts Email: sales@ezescan.com.au their clients’ corporate memory intoCall: a 1300 EZESCANWeb: www.ezescan.com.au www.ezescan.com.au (1300 393 722) knowledge asset.

Phone: (07) 5438 0635 Email: info@corpmem.com.au Web: www.corpmem.com.au *Terms and conditions apply

ELO DIGITAL OFFICE ELO Digital - a global ECM company with Australian expertise! Servicing more than 1,000,000 users in over 40 countries.

With more than 30,000 live projects the ELO product suite provides process enhancements, stability and compliance.

The Australian based subsidiary delivers 1st class solutions for EDRMS, DMS, SharePoint integration and much more. ELO is available “as a service” or CAPEX solution. In the cloud or on premise, ELO has a fast ROI. ELO provides consultancy, development and support services from its offices in Australia. ELO is a Federal, State and Local Government supplier compliant with Australian standards as well as GDPR and FDA requirements.

Web: www.elo.com/en-au Email: r.krause@elodigital.com.au Phone: (02) 94600406

DIRECTORY GRACE INFORMATION MANAGEMENT Grace Information Management offers an accredited, secure and trusted records and information management service that is constantly evolving to meet the everchanging needs of information management professionals. Our range of services are provided nationwide and encompasses the secure storage, transportation, digitisation and confidential destruction of your valuable information with strict compliance to Australian Standards.

Contact: Emily McLeod Phone: 02 9838 5711 Email: emcleod@grace.com.au Address: 9 Hepher Road, Campbelltown, NSW, 2560

INFORMOTION Informotion is an innovative, international professional services organisation specialising in the design and implementation of modern information management, collaboration and governance solutions – on-premises, in the cloud or hybrid. Built on world-class platforms such as Micro Focus Content Manager, Ephesoft Transact, Microsoft O365 and SharePoint, INFORMOTION can help you map and execute your digital transformation strategy.

INFORMOTION’s workflow tools, custom UIs and utilities seamlessly combine to deliver compliance, collaboration, capture and automation solutions that provide greater business value and security for all stakeholders.

Phone: 1300 474 288 Email: info@informotion.com.au

VENDOR DIRECTORY

MICRO FOCUS At Micro Focus we help you run your business and transform it. Our software provides the critical tools you need to build, operate, secure, and analyse your enterprise.

By design, these tools bridge the gap between existing and emerging technologies—which means you can innovate faster, with less risk, in the race to digital transformation.

Contact: Aylin Dinscoy Phone: 0416 223 226 Email: dincsoy@microfocus.com Address: Level 8, 76 Berry St, North Sydney NSW 2060

TIMG IRON MOUNTAIN Iron Mountain Incorporated (NYSE: IRM), founded in 1951, is the global leader for storage and information management services. Trusted by more than 225,000 organisations around the world, and with a real estate network of more than 85 million square feet across more than 1,400 facilities in over 50 countries, Iron Mountain stores and protects billions of valued assets, including critical business information, highly sensitive data, and cultural and historical artefacts.

Contact: Anita Pete Phone: 02 9582 0122 Email: anita.pete@ironmountain.com Address: Level 2 170-180 Bourke Road Alexandria NSW 2015

KNOSYS Knosys is the Knowledge Management platform that empowers employees with the ability to deliver better customer experiences. Our KM solution is called KIQ Cloud and it makes your company knowledge make sense - organising unstructured data and delivering up-todate, accurate and relevant records and information instantly, exactly when it’s needed. Our platform incorporates smartsearch technology through machine learning and improves productivity, governance and compliance throughout your organisation.

Knosys is your single source of truth, engaging staff and delighting customers.

Phone: 03 9046 9706 Email: ekuchel@knosys.it Address: Level 8, 31 Queen Street, Melbourne VIC 3000

TIMG solve information management problems daily for thousands of businesses, large and small, in every major industry, across Australia and New Zealand. Our goal is to make work-life simpler by helping you store, manage, integrate and access your important information securely, compliantly and effortlessly. Plus, you can be confident your data and information are stored and managed right here in Australia. No matter what your business size, we offer a range of solutions to cover you from the time your information is created to the time it reaches its expiry date.

Contact: Julie-Ann Keshishian Phone: 07 3352 0125 Email: jkeshishian@timg.com

INFOMAYA InfoMaya is a Canberra based, Enterprise Information Management Advisory consultancy. We work with our clients to achieve their organisation’s information and data management goals and legislative compliance requirements. Not only do we work with our clients, we also have the capacity to mentor and up-skill our client resources to confidently continue on their organisation’s information and data management maturity journey.

Contact: Chathra Wickramasinghe Phone: 0433 812 015 Email: chathra@gmail.com

Connect

with RIMPA’s Vendors.

iQ | 51

Scanner & Software Rentals Fast Scanners

Delivery

Expert Advice

Ongoing Support

EzeScan Software

Call: 1300 EZESCAN (1300 393 722)

Set Up & Training

www.ezescan.com.au *Terms and conditions apply

MEMBER PROFILE

INTERVIEW WITH

Owl Member Owl Member is one of the newest additions to the RIMPA team and has caused quite some excitement within the membership. So, we thought this was the perfect opportunity for us to sit down and get to know a little more about Owl Member, the face of RIMPA.

Owl Member, you were the talk of the town at RIMPA Live 2019! Tell us a little about yourself and your qualifications?

How have you been coping these past few months with so many drastic changes to your working environment, especially being so new to the team?

As a new professional, what words of advice would you give to those who are seeking to get their foot in the door to this industry?

I am a recent graduate from Owl University in 2018, with a Masters in Information Management. Generally, I am symbolised as a Guardian of the Night, however as my passion lies with information and records it was only fitting to seek a position as a Guardian of Information. When the time came to pursue my career I thought, what better place to protect and preserve this industry than with the longest serving peak body for industry practitioners in the southern hemisphere, RIMPA!

It has been challenging, especially as I’m a social bird and I thrive off face-toface interaction. RIMPA released some really helpful tips within the Week in Review, which I personally found to be a lifesaver! Stretching regularly, creating task lists, and constant communication with my co-workers proved to be a great way to maintain motivation and productivity. I have also been using the time to increase my professional development through attending multiple webinars and online workshops.

This industry is filled with so many passionate and driven individuals who have an abundance of knowledge to share. Make connections and involve yourself with those already in the industry. The RIMPA Community platform is a great start for those wanting to engage in industry discussions or if you have any questions you need answered.

How long have you been with RIMPA and what qualities do you bring to the team in your specific role?

I joined the RIMPA team in July 2019.

My first days in the RIMPA headquarters were equally exciting and exhausting as the lead up to RIMPA Live 2019 was in full swing. During my past year with RIMPA I believe I have brought a sense of community and wisdom; some might say I’m as wise as an owl.

What are you most excited about as we enter the second half of this year?

This I can answer easily…RIMPA Live 2020! The year has been flying by and it will be October before we know it. Last year’s convention was a great way to meet some of our members and get to know them in a social setting. I had an absolute HOOT and I can’t wait to meet even more of our membership base in Canberra this year, both in person and virtually.

Keep an eye out for me in future iQ editions!

I will be your guardian of information and will keep my eye out for information you need to know as well as any highlighting any cool tips and tricks.

profile

iQ | 53

MEET THE BOARD

Thomas Kaufhold B Admin, Life MRIM Chairman and ACT Director

Tim Newbegin FRIM Vice Chair and VIC Director

Leadership and experience form the backbone of RIMPA's board.

RIMPA's Board of Director's bring decades of years of industry experience to the Board.

The Board of Directors consists of one elected member from each Branch with a Chair elected from the Board of Directors, who formally represents the Association.

MEET THE TEAM BEHIND THE SCENES

PO Box 581, Varsity Lakes, Queensland 4227

www.rimpa.com.au 54 | iQ August 2020

Lisa Read White GABA Director (WA)

Rebbell Barnes MRIM New South Wales Director

David Pryde Life MRIM, Adv Dip Bus RK New Zealand Director

Peta Sweeney BA(LIS) BED MBA FRIM Queensland Director

Bonita Kennedy ARIM SANT Director (South Australia and Northern Territory)

Suparna Chatterjee MRIM Bachelor of Arts (Honours) Western Australia Director

Anne Cornish MRIM General Manager M: 0419 366 109

Julia Lindores B Bus (Management & International Business) Office Administrator GM and Board

Jo Kane B Bus (Tsm) Grad DipTeach (Sec) Cert IV (WIT) Marketing and Convention Manager / Editor in Chief (iQ Magazine)

Tynelle Spinner Dip. (Lib&InfoServ) Member Services and Events Coordinator M: 0437 464 302

Amie Brown (B Mass Comm) Marketing and Administration Officer

Owl Member (Master of Information Management) Guardian of Information Officer

FUTURE OF RECORDS & INFORMATION MANAGEMENT

SPECIAL FEATURE

WE PROTECT WHAT YOU VALUE MOST TM

From the everyday to the extraordinary â&#x20AC;&#x201C; store, manage and transform how business gets done. www.ironmtn.com.au 1300 476 668

INFORMATION MANAGEMENT / SECURE STORAGE DIGITAL TRANSFORMATION / SECURE DESTRUCTION iQ | 55

R I M P A

INDUSTRY NEWS

relationships

records

resources

recognition

industry standards

information international

ideas

innovation

member benefits

management

mentoring meetings membership

policies

people

professional development

partnerships

promote

advocacy advance

australasia alliances affiliations advice access

A D VA N C I N G A N D C O N N E C T I N G T H E R E C O R D S A N D I N F O R M AT I O N M A N A G E M E N T P R O F E S S I O N