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Information Governance Information Governance Current situation analysis and implementation strategy 2014 1 1. Introduction Starting from 2012, the development of Estonian public sector services and electronic records management is coordinated by the Ministry of Economic Affairs and Communications (hereinafter MEAC). The first important document developed was the "Green Paper on the Organisation of Public Services" (hereinafter GPOPS)1 that was approved by the Government of the Republic on 16 May 2013. The need to direct the course from records management to information governance was articulated in GPOPS because the administration procedures have hitherto not been sufficiently effective nor supported the development of services. There is a lot of duplication of activities, copying of the logic of the paper world, and manual work; at the same time it is difficult to find and use the necessary information fast. Records management is primarily associated with records in the form of paper or computer file and their management in the so-called records management system. At the same time, nowadays, records are created, processed and managed also in other information systems and environments, whereas such records differ significantly from traditional records. It was emphasised in GPOPS that in the information governance, all information systems and environments (including social media) where information is created and where records2 are processed or made available are taken into account. In June 2013, the records management, ICT and archiving specialists analysed the needs the records management has not been able to meet, and why it is so. The base concept of information governance was compiled and it was delivered to the Records Management Board3. At the extended meeting of the Board on 14 June 2013, the base concept (see Appendix 1) was discussed and approved. In November 2013, the Government of the Republic approved the "Digital Agenda 2020 for Estonia"4. Based on GPOPS, measure 5.3.1 of the agenda "Development of better public services by using ICT" was planned. One of the priority actions is to implement information governance in the public sector, which would help to cope with the various information channels and flows. In 2014, MEAC started preparations for the introduction of information governance in the public sector. An analysis of the current situation and international experience, and the strategy for transition to information governance were compiled. This document contains a summary of the analysis and the strategy. It is based on the MEAC documents "Analysis of the current situation of records management and information governance and international experience. Final Report" and "From records management to information governance. Strategy plan." (2014, PricewaterhouseCoopers Advisors Estonia (PwC Estonia)). The analysis and strategy were 1 MEAC. Green Paper on the Organisation of Public Services https://www.mkm.ee/sites/default/files/green_paper_on_organisation_of_services_updated.pdf 2 This is based on the definition of record within the context of Archives Act (see § 2 (1)), where a record is "information recorded on any medium, which is created or received in the course of the activities of an agency or a person, and the content, form and structure of which is sufficient to provide evidence of facts or activities" https://www.riigiteataja.ee/en/eli/508042015003/consolide 3 MEAC. Co-ordination of the development of the area https://www.mkm.ee/en/objectives-activities/information-society/records-management- information-governance 4 MEAC. Digital Agenda 2020 for Estonia https://www.mkm.ee/en/objectives-activities/development-plans 2 conducted and this summary was translated into English within the programme “Provision of Prerequisites for Improving the Quality of Public Services”, financed from the European Social Fund. 2. Analysis of the current situation of records management and information governance and international experience At the request of MEAC, PwC Estonia analysed the records management and information governance practices in Estonia and elsewhere. For making the comparison, the Estonian base concept was taken into account. A desktop study, group and expert interviews and seminars, and project management group discussions were conducted. In addition to the team of PwC Estonia, 43 individuals representing 14 state and local government institutions, 5 other state institutions, and 7 private companies participated in the analysis. The work was completed in June 2014. 2.1 Information governance analysis – concepts and terminology As a result of the analysis it was found that the problems begin with different understanding of the concepts related to information governance. For example, there are two different terms in English: document and record, which are translated into Estonian with the same word "dokument"5. Due to the specific field of information governance, the two English terms have important differences, and it was found that the terms would require more accurate matches in Estonian. The generally used concept is Information Governance. The descriptions of the concept vary in practice, but in all treatments, the information governance is understood as the set of processes, roles, policies, standards and measures, which together ensure the efficient and effective use of information, and thus the achievement of an organisation's goals. Several related concepts are also used. The figure below shows the interrelationships between various sub-concepts of information governance. Information governance and information management are so-called umbrella concepts. 5 The translation problems relating to records management concepts and terminology have been described in the Estonian "chapter zero" of MoReq2, section 2.4 https://www.mkm.ee/sites/default/files/estonian_et_-_chapter_0_english.pdf 3 Figure 1. Concepts used in information governance and the relationship between them. Information governance is a complex, multi-component discipline: The collection of information in various forms from different sources (data, paper and electronic documents, audio, video, etc.), its secure storage and timely destruction. The processing and analysis of collected information. The sharing of information with its consumers in a limited or unlimited form via a channel suitable for them (information systems, internal and external web, electronic mailbox, etc.). Figure 2. The components of information governance6 6 PwC. Information Governance Framework 4 The EDRM information governance reference model (IGRM) discusses the information governance from the perspective of business processes and the division of responsibilities: Figure 3. Information governance – business processes and sharing of responsibilities7 Well-functioning information governance provides a simple, structured and automated organisation of work, the availability of information at the time it is needed, opportunities for information processing and analyses, preservation of information, and an access only for the persons entitled thereto. Well-functioning information governance can be achieved by: identifying what information is valuable enough to be managed; simplifying and automating information capture and storing as much as possible; ensuring that information is retained as long as it is needed; ensuring that contextual information – metadata, descriptions, etc. – is also retained and linked; reducing the amount of unstructured information in favour of structured information; reducing the number of traditional (paper, doc, pdf, etc.) documents and records; using data of IT systems to mitigate risks connected with providing evidence; finding also a way how to capture/retain/reuse information stored in people’s minds and obtained through learning and experience.8 2.2. Information governance analysis – problems The main problem in information governance is that the organisation lacks an overview of its information assets. It is unknown where, how, why and when the information necessary for operations is created. Also, its effects on business process are not understood. 7 EDRM. Information Governance Reference Model http://www.edrm.net/resources/guides/igrm 8 Records Management Board, 2013. Estonian base concept of information governance. See Appendix 1. 5 Information governance is related both to the organisation's activities and technology. Also, information governance is not only a public sector concern, but it is also topical for the private sector, where rules for the storage of information also apply and information is used in daily activities to achieve business objectives. Information governance has inherited a big part of its problems from its sub-disciplines: records management, data governance. However, there are problems specific only to information governance. The main problem derives from the fact that organisations are not mature enough for information governance There is no coherence necessary for the operation of processes between the different parts of the organisation. Business processes are where information is created and given a value, but often this knowledge does not reach the parts of the organisation dealing with data collection and governance. IT department controls the technical tools that govern information, but it does not know the value of information. Records management and legal departments are aware of the legal conditions, but they also do not know the value of information. Thus, the most common situation is where the value of information
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