This document discusses managing change to improve organizational results through better management of people, processes, and technology. It provides examples of recordkeeping failures that caused major issues. A case study outlines how one organization engaged employees and implemented governance to address data quality problems. The document advocates a holistic approach considering people, processes, content and technology, and references resources for digital recordkeeping standards.

1. People, process and
technology: managing change
to improve results
DQAsia Pacific
Brian Bailey
Recordkeeping Innovation PL

2. • Structured ‘versus’
unstructured data
• ‘Databases or documents’
• MIS, BI, DW, & MDM
• DM, RM, EDRMS, ECM
• Metadata management
• Decision support
Current state

3. From geek to geek
© Recordkeeping Innovation 2010
• Technology-centric not user-
centric
• Information workers don’t
care if content comes from a
database or a DMS
• ‘They don’t get it’ - and why
should they?
• People often don’t prioritise
data quality or record keeping
• Until it all goes wrong

4. • Need a combined framework
for understanding and
motivating behaviour change
• Need to change
organisational thinking and
people’s behaviours
• Long run quality, governance
and management processes
need to be built into systems
• Make it easier to do it right
thing than to do it wrong
From Geek to Chic?

5. An example of a more holistic approach: EIM
• Combines BI and ECM
• ECM and BI … only cover part
of the information within an
organization [resulting] in a lack
of available information during
decision making processes,
market analysis or procedure
definition
• EIM [takes] the perspective of
enterprise information strategy,
based on the needs of
information workers
• Wikipedia, accessed 15 April 2010
People Process
Technology Content

6. Why Record Keeping?
• Working in the field for over 20 years
• Help organisations understand their
business environment (internal,
external, competitive and legislative)
• A risk-based methodology to surface
issues and ownership
• A holistic approach to managing record
keeping responsibilities in organisations
– including data and documents
• Some things to share and some to learn

7. © Recordkeeping Innovation 2010
Objectives
• Identify an effective model
for human-centred change
• Consider risk-based view of
quality, management and
governance and challenges
• Case studies: An EIM
project to engage a data
business with its data
• Identify some emerging
issues and resources

8. Case study redaction policy
• Not many organisations
really want their name
associated with data
quality issues
• Though sometimes they
have no choice

9. Kotter’s model for leading change
Sense of
Urgency
Powerful
Guiding
Coalition
Shared Vision Communicate
Empower
Others
Short Term
Wins
Consolidate Embed
• Based on the factors that
contribute to the failure of
projects
• A sense of urgency driving
a powerful guiding
coalitions united by a
shared vision?
• Or de-prioritised, best
efforts work carried out in
organisational silos?

10. Building the sense of urgency
• What are the impacts?
–Financial and economic
losses
–Reputational damage
–Inefficiency
–Delays
–Additional, avoidable cost
–Potential injury to staff,
clients
© Recordkeeping Innovation 2010

11. Compliance burden is increasing
• Environmental standards
– e.g. carbon footprints, building
performance standards
• International financial
regulatory standards
– Sarbanes-Oxley and Basel II
• Few guidelines on ‘what to do’
• Discovery rules and burden of
e-discovery
• Increasing litigation risk© Recordkeeping Innovation 2010

12. Social security scandal angers Japanese
• In 2007 the Japanese Social
Insurance Agency lost track
of 64m pension claims
worth up to $175 billion
• A 1997 IT system change
integrated multiple
pension numbers into a
single personal identifier:
but the related numbers
were not maintained so
payments couldn’t be
matched to clients
China Daily News, September 2 2007© Recordkeeping Innovation 2010

13. Social security scandal angers Japanese
• Not just a data management issue
• Many records were kept in paper formats
• Possible embezzlement of funds
• Rampant clerical errors over a long period
• Little awareness and no monitoring of
compliance
© Recordkeeping Innovation 2010

14. Lessons from the Japanese super scandal
• A recordkeeping system is more than just a
software application
• It is also the policies, procedures, people and business
rules that are used to control and support the application
• Data quality doesn’t exist in a vacuum

15. Key areas for managing risks
Governance and
culture
Records management
and data integrity
Human dimensions
Information
availability and use
Risk areas

16. Records management and data integrity
case study
East Anglia research on
climate change
– Raw data on climate change
is not retained
– Accusations of fraud or
selective data use
– Models cannot be verified
or re-produced
– Major reputational impact
on the whole climate
change movement
© Recordkeeping Innovation 2010

17. Information availability and use case study
Patients’ documents
found in Sydney street
– Private documents
dumped, including bank
details, medical records,
wills
– Breach of Aged Care Act
– Breach of privacy

18. Information availability and use case study
• Is there a data protection
program?
• Are there standards for
access and use for
contractors and third
parties, such as the police
or regulators?
• Do all staff know the
requirements for protecting
privacy?
• Have they had adequate
training to protect personal
information?

19. Governance and culture case study
Outsourced printing error
– 42,000 St George account
details were compromised
– Personal account
information was sent to
other customers.
– Salmat apologises to St
George and its customers.
– Privacy is breached
– Opportunity for fraud
© Recordkeeping Innovation 2010

20. Governance and culture case study
• Risk of breaches while data
is with out-source providers
• Risk that out-source
provider will not cover
liabilities incurred
• Need to provide education
and to define contracts
around data governance
• Ensure processes for
remedial action
© Recordkeeping Innovation 2010

21. Human dimensions case study
ICAC investigates university
student records
• Alteration of student
results
• No access rules in place
• Metadata not defined
• Records integrity
compromised
© Recordkeeping Innovation 2010

22. Human dimensions case study
• Are your IT systems
secure?
– Do they create and capture
authentic records which
assign individual
traceability?
– Are security breaches
reported and investigated?
© Recordkeeping Innovation 2010

23. Change management case study
• Member based and owned
organisation
• Complex operating
environment
• Large data volumes
• Case management
• Commercially sensitive data
• High public profile
• Proprietary RDBMS over 2
decades old
© Recordkeeping Innovation 2010

24. Engaging a data business with its data
• 20 years of operations - and data -
growth
• Business processes hard coded into
the system
• Data regularly over-written
• Fields had contents and meaning
changed
• Always quicker and cheaper to buy
more storage and increase the
processing power of the system than
dispose of redundant data

25. Ensuring records and data integrity
• Lost data:
– Massive exercise in re-validating information
– Risk of losing key clients due to delays
– Loss of ‘face’ as a competent administrator
• Contracts kept in un-locked clerical staff desks
• Major business processes were un-documented
• Business decisions based on ‘gut feel’, not data
• Forecasts were largely guess-work
• Staff kept all the access rights ever granted so
could access and over-write data

26. Information availability and use
• Incomplete data stores
– Members erroneously contacted about other member’s
matters
• Too much inaccessible data
– No way to prove decisions right
– Member queries could mean going through 20 years of data
– Forced to accommodate member assertions
– Open to accusations of unfairness or worse
• System - slow and prone to crashing
– Data arrived late causing missed deadlines
– Staff often either idle or working overtime
– Whole departments had to work late to finalise their business
processes
– Batch processes ran into the next work day
– Simple changes took a long time

27. Human Dimensions
• Lack of fraud controls. The staff
were honest but:
– Hard to show due diligence
– Too much manual checking of data
– Staff bored and increasingly de-
skilled
– Too many errors getting through
– Errors caused member complaints
– Resources diverted to customer
service and marketing!
• Long-timer staff did things data
entry their way and were allowed a
lot of latitude, creating disaffection
and confusion
© Recordkeeping Innovation 2010

28. Governance and culture
• Lack of trustworthy data so
hard to provide management
oversight and control
• Failure to assign responsibility
when something went wrong
• Trouble maintaining
accountability standards and
safeguards when upgrading
technology – no confidence
the system could be upgraded
- or even replaced

29. Ensuring records and data integrity
• CEO co-opted department heads and subject matter experts to engage in a firm-
wide transformation program:
– Communicated with staff every step of the way
– Wins communicated through briefings and team meetings
• Data stewards appointed, trained and asked to stand up for their constituency
• Client brought in to collaborate on data solutions and develop shared terminology
• Implemented a business classification scheme to create a shared view of the
company
• Got people to move data from hard and personal *share* drives into common
repositories
• Incorporated the new rules into the performance management system, through
position descriptions and the twice yearly review process
• New staff inducted in records and information management policies and
procedures
© Recordkeeping Innovation 2010

30. Information Availability and Use
• Made and enforced clear rules for records access and
use
• Developed clearance authorisation for exceptional
cases, e.g. auditor requests, police investigations of
third parties
• Monitored records security regularly
• Developed procedures for security breaches
• Tested the security system
• Developed and promoted a privacy protection plan
• Developed business continuity and disaster recovery
plans
© Recordkeeping Innovation 2010

31. Governance and culture
• Established action plans for
when things went wrong
• Developed problem
identification and escalation
processes for problems and
complaints
• Developed an accountability
matrix identifying who needed
to take what action and when
• Organised lessons learnt
processes
• Reviewed risk management
procedures for contractors and
outsourcing providers
© Recordkeeping Innovation 2010

32. Overcoming the Challenges
© Recordkeeping Innovation 2010
Sense of
Urgency
Powerful
Guiding
Coalition
Shared Vision Communicate
Empower
Others
Short Term
Wins
Consolidate Embed
Focus areas:
• Deliver better outcomes
for the organisation
• Protect stakeholder and
share-holder interests
• Identify, prevent, mitigate
or effectively constrain
threats to an acceptable
level
• Minimise potential losses
• Make informed decisions
about exploiting
opportunities for re-use of
information and assets

33. So, from geek to chic?
• Not quite but many wins – and a few losses
– Some people were very unsure about becoming empowered
– Some blossomed, others were happy to take on a more technical role
– Some left!
• Almost universally people were happy with the increasingly explicit
operating environment
• Various activities and tools were undertaken to consolidate embed
these changes :
– Better pre-validation of data on receipt
– Data checking and validation steps added at field and process level
– Daily ‘huddles’ of key staff to identify emerging issues,
– An online issues tracker to codify and communicate known problems
– Wikis of previously undocumented expertise
– Better on the job training
– Cross functional teams including IT people
• An unresolved challenge: digital preservation and continuity

34. Jeff Rothenberg, senior computer scientist at RAND Corp
Digital information lasts forever, or five
years - whichever comes first

35. Data Continuity Case Study
Australian State Government Agency
• Complex operating environment
• High public profile
• Sensitive data
• Numerous databases
• Case management system integrated with TRIM for
documents and email records
• Looking for a record keeping strategy for data
© Recordkeeping Innovation 2010

36. Data Continuity Case Study (cont)
Options Included
• Treat the application layer as a whole as a record
• Take slices of the application layer of the database as a record,
using one of two techniques:
– Identifying transactions within the application layer of the database as
the record
– Capturing what the user sees (at various points) is the record
Recommended Solution
• To use a combination of the above as the record
© Recordkeeping Innovation 2010

37. Resources
• Australasian Digital Recordkeeping Initiative (ADRI)
– Promotes a single Australasian approach to digital public
recordkeeping across all jurisdictions and provides a space for
communication and information sharing between the members
• NSW Standard on digital recordkeeping
– Sets out the minimum compliance requirements for NSW public
offices for defining their digital records, digital recordkeeping
system functionality and the creation and management of
recordkeeping metadata for digital records
• Archives New Zealand (e.g. Digital Recordkeeping System
Standard Exposure Draft)
– New Zealand have adopted ADRI and more and the exposure is
well worth a read in terms of forming the kind of framework
discussed today
© Recordkeeping Innovation 2010

38. Questions
Brian Bailey
Recordkeeping Innovation
Mobile 0402 115563
www.records.com.au
b.bailey@records.com.au
http://www.linkedin.com/in/brianbailey001