Pub Date : 2019-03-11DOI: 10.1108/RMJ-09-2018-0040
Lâle Özdemir
Purpose This paper aims to assess how prepared public bodies are for the transfer of born-digital records to the National Archives (TNA) of the UK in line with the reduction in the transfer rule from 30 to 20 years. Design/methodology/approach The change in the transfer rule means that records of UK public bodies will be transferred to TNA for permanent preservation at 20 years as opposed to 30 years old. This move, which has been described as a major change that is going to be introduced in a manageable and affordable way (20-year rule, The National Archives), will inevitably witness the transfer of born-digital records to the archives much earlier than would have been the case if the change in the transfer rule had not been made. This paper reports on research carried out in the winter of 2017 on the extent to which UK public bodies are prepared for the transfer of born-digital records to TNA. Research was based on a survey of 23 public bodies which included ministries, charities and non-departmental public bodies. The target population was predominantly public bodies that had the highest level of transfer of records to TNA. The justification for this lies in the fact that these bodies, amongst others, transfer the most records to TNA, thus it would be interesting to gain an insight into how prepared these relatively larger public bodies are with regard to born-digital transfer. The remaining public bodies were chosen randomly amongst non-ministerial departments. The primary areas under analysis are plans of public bodies for the transfer of born-digital records, processes for transfer to be undertaken such as selection, appraisal etc., the use of technology in sensitivity review and the trigger date for the transfer of records. Findings An analysis of the research findings found that while a few UK public bodies surveyed had transferred datasets within the framework of the TNA Government Datasets (NDAD) initiative or as part of an inquiry, only one public body had transferred other born-digital records to TNA. The findings also reveal that most public bodies are yet to plan for, or to adjust, their current archival processes to take into account the different mind-set and skills required for the transfer of born-digital records. The level of preparedness is therefore limited primarily because public bodies have yet to undertake a transfer of born-digital records to the archives. The research findings also revealed that public bodies had not as yet made adjustments or changes to current practice to take into account the issues relating to the processing of born-digital records prior to transfer. Research limitations/implications The findings of the research at hand are based on a survey submitted electronically to twenty-three public bodies with the aim of assessing how prepared they are for the transfer of born-digital records to the National Archives (TNA). The survey was sent to 27 public bodies with responses received by 23 public bo
{"title":"The inevitability of digital transfer","authors":"Lâle Özdemir","doi":"10.1108/RMJ-09-2018-0040","DOIUrl":"https://doi.org/10.1108/RMJ-09-2018-0040","url":null,"abstract":"\u0000Purpose\u0000This paper aims to assess how prepared public bodies are for the transfer of born-digital records to the National Archives (TNA) of the UK in line with the reduction in the transfer rule from 30 to 20 years.\u0000\u0000\u0000Design/methodology/approach\u0000The change in the transfer rule means that records of UK public bodies will be transferred to TNA for permanent preservation at 20 years as opposed to 30 years old. This move, which has been described as a major change that is going to be introduced in a manageable and affordable way (20-year rule, The National Archives), will inevitably witness the transfer of born-digital records to the archives much earlier than would have been the case if the change in the transfer rule had not been made. This paper reports on research carried out in the winter of 2017 on the extent to which UK public bodies are prepared for the transfer of born-digital records to TNA. Research was based on a survey of 23 public bodies which included ministries, charities and non-departmental public bodies. The target population was predominantly public bodies that had the highest level of transfer of records to TNA. The justification for this lies in the fact that these bodies, amongst others, transfer the most records to TNA, thus it would be interesting to gain an insight into how prepared these relatively larger public bodies are with regard to born-digital transfer. The remaining public bodies were chosen randomly amongst non-ministerial departments. The primary areas under analysis are plans of public bodies for the transfer of born-digital records, processes for transfer to be undertaken such as selection, appraisal etc., the use of technology in sensitivity review and the trigger date for the transfer of records.\u0000\u0000\u0000Findings\u0000An analysis of the research findings found that while a few UK public bodies surveyed had transferred datasets within the framework of the TNA Government Datasets (NDAD) initiative or as part of an inquiry, only one public body had transferred other born-digital records to TNA. The findings also reveal that most public bodies are yet to plan for, or to adjust, their current archival processes to take into account the different mind-set and skills required for the transfer of born-digital records. The level of preparedness is therefore limited primarily because public bodies have yet to undertake a transfer of born-digital records to the archives. The research findings also revealed that public bodies had not as yet made adjustments or changes to current practice to take into account the issues relating to the processing of born-digital records prior to transfer.\u0000\u0000\u0000Research limitations/implications\u0000The findings of the research at hand are based on a survey submitted electronically to twenty-three public bodies with the aim of assessing how prepared they are for the transfer of born-digital records to the National Archives (TNA). The survey was sent to 27 public bodies with responses received by 23 public bo","PeriodicalId":20923,"journal":{"name":"Records Management Journal","volume":" ","pages":""},"PeriodicalIF":1.4,"publicationDate":"2019-03-11","publicationTypes":"Journal Article","fieldsOfStudy":null,"isOpenAccess":false,"openAccessPdf":"https://sci-hub-pdf.com/10.1108/RMJ-09-2018-0040","citationCount":null,"resultStr":null,"platform":"Semanticscholar","paperid":"48104229","PeriodicalName":null,"FirstCategoryId":null,"ListUrlMain":null,"RegionNum":0,"RegionCategory":"","ArticlePicture":[],"TitleCN":null,"AbstractTextCN":null,"PMCID":"","EPubDate":null,"PubModel":null,"JCR":null,"JCRName":null,"Score":null,"Total":0}
Pub Date : 2019-03-11DOI: 10.1108/RMJ-09-2018-0033
Ali Daneshmandnia
Purpose This paper aims to explore the impact of organizational culture on information governance (IG) effectiveness at higher education institutions (HEIs). IT professionals, such as chef information officers, chief technology officers, chief information security officers and IT directors at HEIs were surveyed and interviewed to learn about whether organizational culture influences IG effectiveness. Several IG activities (processes) were identified, including information security, the function of an IG council, the presence of a Record Information Management department, the role of a compliance officer and information stewards and the use of an automated system or software to identify and maintain information life-cycle management. Design/methodology/approach This study was conducted using Cameron and Quinn’s (Cameron and Quinn, 2011) competing value framework. To evaluate organizational culture, using the competing value framework, four types of organizational culture profiles were used: collaboration, creation/innovation, controlling/hierarchy, and competition/result-oriented. The methodology included quantitative and qualitative techniques through the use of content analysis of data collected from participants. IT professionals, such as chef information officers, chief technology officers, chief information security officers and IT directors at HEIs were surveyed and interviewed to learn about whether organizational culture influences IG effectiveness. Findings Findings revealed organizational culture may influence IG effectiveness positively, especially from cultures of competition/result-oriented and control/hierarchy. Qualitatively, it also emerged that competition/result-oriented and control characteristics of organizational culture were perceived by IG professionals to produce more accurate information. One of the characteristics of organizational culture that became evident in the current study, coming from more than one subject, was the challenge in IG due to the presence of information silos. Trust, on the other hand, has been highlighted as the glue which can enable and drive governance processes in an organization. Research limitations/implications The current study was conducted based on HEIs. While the current study serves as a baseline for studying IG in other institutions, its results cannot be generalized for other type of institutions. The results cannot be generalized for other types of not-for-profit or for-profit organizations. Many of the characteristics of the sample data were specific to HEIs. For instance, financial, manufacturing and health-care institutions present challenges inherent in those institutions. Originality/value Trust has been highlighted as the glue which can enable and drive governance processes in an organization. Respondents of current study have indicated that trust serving several different factors toward IG effectiveness, including freedom to speak freely in the meeting about impact of org
目的探讨组织文化对高等教育机构信息治理有效性的影响。我们对高等教育院校的资讯科技专业人士，例如首席资讯科技主任、首席科技主任、首席资讯保安主任及资讯科技总监，进行了调查和访谈，以了解组织文化是否会影响资讯科技的成效。确定了几个IG活动(流程)，包括信息安全、IG理事会的功能、记录信息管理部门的存在、合规官和信息管理员的角色，以及使用自动化系统或软件来识别和维护信息生命周期管理。设计/方法/方法本研究使用Cameron和Quinn的(Cameron and Quinn, 2011)竞争价值框架进行。为了评估组织文化，使用竞争价值框架，使用了四种类型的组织文化概况:协作、创造/创新、控制/层级和竞争/结果导向。方法包括定量和定性技术，通过使用从参与者收集的数据的内容分析。我们对高等教育院校的资讯科技专业人士，例如首席资讯科技主任、首席科技主任、首席资讯保安主任及资讯科技总监，进行了调查和访谈，以了解组织文化是否会影响资讯科技的成效。研究结果显示，组织文化可能会对IG有效性产生积极影响，尤其是竞争/结果导向和控制/等级文化。从质量上看，IG专业人员认为组织文化的竞争/结果导向和控制特征可以产生更准确的信息。在当前的研究中，组织文化的一个明显特征(来自多个主题)是由于信息孤岛的存在而在IG中面临的挑战。另一方面，信任被强调为能够在组织中启用和驱动治理过程的粘合剂。研究局限/启示本研究是以高等教育机构为基础进行的。虽然本研究可以作为其他院校IG研究的基准，但其结果不能推广到其他类型的院校。结果不能推广到其他类型的非营利组织或营利性组织。样本数据的许多特征是高校特有的。例如，金融、制造业和保健机构提出了这些机构固有的挑战。原创性/价值信任已经被强调为能够在组织中启用和驱动治理过程的粘合剂。当前研究的受访者表示，信任对IG的有效性有几个不同的影响因素，包括在会议上自由地谈论组织文化对IG的影响的自由，行政管理人员(特别是CIO)向机构传达IG事务的意愿，共享信息和保持透明。委托服务台工作人员和技术主管，以便用户可以与他们沟通并分享他们的担忧，并在组织中感受到“信任感”，这将使机构受益，使利益相关者能够在面临IG挑战时进行协作和共同克服问题。
{"title":"The influence of organizational culture on information governance effectiveness","authors":"Ali Daneshmandnia","doi":"10.1108/RMJ-09-2018-0033","DOIUrl":"https://doi.org/10.1108/RMJ-09-2018-0033","url":null,"abstract":"\u0000Purpose\u0000This paper aims to explore the impact of organizational culture on information governance (IG) effectiveness at higher education institutions (HEIs). IT professionals, such as chef information officers, chief technology officers, chief information security officers and IT directors at HEIs were surveyed and interviewed to learn about whether organizational culture influences IG effectiveness. Several IG activities (processes) were identified, including information security, the function of an IG council, the presence of a Record Information Management department, the role of a compliance officer and information stewards and the use of an automated system or software to identify and maintain information life-cycle management.\u0000\u0000\u0000Design/methodology/approach\u0000This study was conducted using Cameron and Quinn’s (Cameron and Quinn, 2011) competing value framework. To evaluate organizational culture, using the competing value framework, four types of organizational culture profiles were used: collaboration, creation/innovation, controlling/hierarchy, and competition/result-oriented. The methodology included quantitative and qualitative techniques through the use of content analysis of data collected from participants. IT professionals, such as chef information officers, chief technology officers, chief information security officers and IT directors at HEIs were surveyed and interviewed to learn about whether organizational culture influences IG effectiveness.\u0000\u0000\u0000Findings\u0000Findings revealed organizational culture may influence IG effectiveness positively, especially from cultures of competition/result-oriented and control/hierarchy. Qualitatively, it also emerged that competition/result-oriented and control characteristics of organizational culture were perceived by IG professionals to produce more accurate information. One of the characteristics of organizational culture that became evident in the current study, coming from more than one subject, was the challenge in IG due to the presence of information silos. Trust, on the other hand, has been highlighted as the glue which can enable and drive governance processes in an organization.\u0000\u0000\u0000Research limitations/implications\u0000The current study was conducted based on HEIs. While the current study serves as a baseline for studying IG in other institutions, its results cannot be generalized for other type of institutions. The results cannot be generalized for other types of not-for-profit or for-profit organizations. Many of the characteristics of the sample data were specific to HEIs. For instance, financial, manufacturing and health-care institutions present challenges inherent in those institutions.\u0000\u0000\u0000Originality/value\u0000Trust has been highlighted as the glue which can enable and drive governance processes in an organization. Respondents of current study have indicated that trust serving several different factors toward IG effectiveness, including freedom to speak freely in the meeting about impact of org","PeriodicalId":20923,"journal":{"name":"Records Management Journal","volume":" ","pages":""},"PeriodicalIF":1.4,"publicationDate":"2019-03-11","publicationTypes":"Journal Article","fieldsOfStudy":null,"isOpenAccess":false,"openAccessPdf":"https://sci-hub-pdf.com/10.1108/RMJ-09-2018-0033","citationCount":null,"resultStr":null,"platform":"Semanticscholar","paperid":"44303502","PeriodicalName":null,"FirstCategoryId":null,"ListUrlMain":null,"RegionNum":0,"RegionCategory":"","ArticlePicture":[],"TitleCN":null,"AbstractTextCN":null,"PMCID":"","EPubDate":null,"PubModel":null,"JCR":null,"JCRName":null,"Score":null,"Total":0}
Pub Date : 2019-03-11DOI: 10.1108/RMJ-09-2018-0027
E. Klett
Purpose Digital records appraisal and aspects of archival values in theory, regularization and practice are explored. This paper aims to reflect upon the appraisal process, responsibility and norms for value creation in a digitalized environment. The research question was how do appraisal theory, normative rules and appraisal practice meet the aims of values in digital archives? Design/methodology/approach The study triangulated appraisal theory, normative values and participants’ views about archival values in appraisal practice in a Swedish setting. Content analysis were used to explore normative documents and interviews. Appraisal theories of the Swedish Nils Nilsson and the Canadian Terry Cook were interpreted. The result was related to theories on public values, the nature of responsibility and relations between the state and citizens. Findings The results show influences between theory, norms and practice. Changes in norms and practice do not follow the development of digitalization. Responsibility is focused on tasks, which exposes risks of accountability control and knowledge of appraisal grounds. The paper concludes that access requirements and user needs may prompt change in appraisal processes. In the light of digitalization, “primary and secondary value” are merely a matter of use and usability in a time and space (continuum) perspective. Research limitations/implications This study is based in Sweden where extensive right of access to public records and default preservation are norm. Originality/value The result shows how allocated responsibilities impinge on a re-active digital appraisal process.
{"title":"Theory, regulation and practice in Swedish digital records appraisal","authors":"E. Klett","doi":"10.1108/RMJ-09-2018-0027","DOIUrl":"https://doi.org/10.1108/RMJ-09-2018-0027","url":null,"abstract":"\u0000Purpose\u0000Digital records appraisal and aspects of archival values in theory, regularization and practice are explored. This paper aims to reflect upon the appraisal process, responsibility and norms for value creation in a digitalized environment. The research question was how do appraisal theory, normative rules and appraisal practice meet the aims of values in digital archives?\u0000\u0000\u0000Design/methodology/approach\u0000The study triangulated appraisal theory, normative values and participants’ views about archival values in appraisal practice in a Swedish setting. Content analysis were used to explore normative documents and interviews. Appraisal theories of the Swedish Nils Nilsson and the Canadian Terry Cook were interpreted. The result was related to theories on public values, the nature of responsibility and relations between the state and citizens.\u0000\u0000\u0000Findings\u0000The results show influences between theory, norms and practice. Changes in norms and practice do not follow the development of digitalization. Responsibility is focused on tasks, which exposes risks of accountability control and knowledge of appraisal grounds. The paper concludes that access requirements and user needs may prompt change in appraisal processes. In the light of digitalization, “primary and secondary value” are merely a matter of use and usability in a time and space (continuum) perspective.\u0000\u0000\u0000Research limitations/implications\u0000This study is based in Sweden where extensive right of access to public records and default preservation are norm.\u0000\u0000\u0000Originality/value\u0000The result shows how allocated responsibilities impinge on a re-active digital appraisal process.\u0000","PeriodicalId":20923,"journal":{"name":"Records Management Journal","volume":" ","pages":""},"PeriodicalIF":1.4,"publicationDate":"2019-03-11","publicationTypes":"Journal Article","fieldsOfStudy":null,"isOpenAccess":false,"openAccessPdf":"https://sci-hub-pdf.com/10.1108/RMJ-09-2018-0027","citationCount":null,"resultStr":null,"platform":"Semanticscholar","paperid":"44041942","PeriodicalName":null,"FirstCategoryId":null,"ListUrlMain":null,"RegionNum":0,"RegionCategory":"","ArticlePicture":[],"TitleCN":null,"AbstractTextCN":null,"PMCID":"","EPubDate":null,"PubModel":null,"JCR":null,"JCRName":null,"Score":null,"Total":0}
Pub Date : 2019-03-11DOI: 10.1108/RMJ-12-2018-0045
D. Hofman, V. Lemieux, Alysha Joo, D. Batista
Purpose This paper aims to explore a paradoxical situation, asking whether it is possible to reconcile the immutable ledger known as blockchain with the requirements of the General Data Protection Regulations (GDPR), and more broadly privacy and data protection. Design/methodology/approach This paper combines doctrinal legal research examining the GDPR’s application and scope with case studies examining blockchain solutions from an archival theoretic perspective to answer several questions, including: What risks are blockchain solutions said to impose (or mitigate) for organizations dealing with data that is subject to the GDPR? What are the relationships between the GDPR principles and the principles of archival theory? How can these two sets of principles be aligned within a particular blockchain solution? How can archival principles be applied to blockchain solutions so that they support GDPR compliance? Findings This work will offer an initial exploration of the strengths and weaknesses of blockchain solutions for GDPR compliant information governance. It will present the disjunctures between GDPR requirements and some current blockchain solution designs and implementations, as well as discussing how solutions may be designed and implemented to support compliance. Immutability of information recorded on a blockchain is a differentiating positive feature of blockchain technology from the perspective of trusted exchanges of value (e.g. cryptocurrencies) but potentially places organizations at risk of non-compliance with GDPR if personally identifiable information cannot be removed. This work will aid understanding of how blockchain solutions should be designed to ensure compliance with GDPR, which could have significant practical implications for organizations looking to leverage the strengths of blockchain technology to meet their needs and strategic goals. Research limitations/implications Some aspects of the social layer of blockchain solutions, such as law and business procedures, are also well understood. Much less well understood is the data layer, and how it serves as an interface between the social and the technical in a sociotechnical system like blockchain. In addition to a need for more research about the data/records layer of blockchains and compliance, there is a need for more information governance professionals who can provide input on this layer, both to their organizations and other stakeholders. Practical implications Managing personal data will continue to be one of the most challenging, fraught issues for information governance moving forward; given the fairly broad scope of the GDPR, many organizations, including those outside of the EU, will have to manage personal data in compliance with the GDPR. Blockchain technology could play an important role in ensuring organizations have easily auditable, tamper-resistant, tamper-evident records to meet broader organizational needs and to comply with the GDPR. Social imp
{"title":"“The margin between the edge of the world and infinite possibility”","authors":"D. Hofman, V. Lemieux, Alysha Joo, D. Batista","doi":"10.1108/RMJ-12-2018-0045","DOIUrl":"https://doi.org/10.1108/RMJ-12-2018-0045","url":null,"abstract":"\u0000Purpose\u0000This paper aims to explore a paradoxical situation, asking whether it is possible to reconcile the immutable ledger known as blockchain with the requirements of the General Data Protection Regulations (GDPR), and more broadly privacy and data protection.\u0000\u0000\u0000Design/methodology/approach\u0000This paper combines doctrinal legal research examining the GDPR’s application and scope with case studies examining blockchain solutions from an archival theoretic perspective to answer several questions, including: What risks are blockchain solutions said to impose (or mitigate) for organizations dealing with data that is subject to the GDPR? What are the relationships between the GDPR principles and the principles of archival theory? How can these two sets of principles be aligned within a particular blockchain solution? How can archival principles be applied to blockchain solutions so that they support GDPR compliance?\u0000\u0000\u0000Findings\u0000This work will offer an initial exploration of the strengths and weaknesses of blockchain solutions for GDPR compliant information governance. It will present the disjunctures between GDPR requirements and some current blockchain solution designs and implementations, as well as discussing how solutions may be designed and implemented to support compliance. Immutability of information recorded on a blockchain is a differentiating positive feature of blockchain technology from the perspective of trusted exchanges of value (e.g. cryptocurrencies) but potentially places organizations at risk of non-compliance with GDPR if personally identifiable information cannot be removed. This work will aid understanding of how blockchain solutions should be designed to ensure compliance with GDPR, which could have significant practical implications for organizations looking to leverage the strengths of blockchain technology to meet their needs and strategic goals.\u0000\u0000\u0000Research limitations/implications\u0000Some aspects of the social layer of blockchain solutions, such as law and business procedures, are also well understood. Much less well understood is the data layer, and how it serves as an interface between the social and the technical in a sociotechnical system like blockchain. In addition to a need for more research about the data/records layer of blockchains and compliance, there is a need for more information governance professionals who can provide input on this layer, both to their organizations and other stakeholders.\u0000\u0000\u0000Practical implications\u0000Managing personal data will continue to be one of the most challenging, fraught issues for information governance moving forward; given the fairly broad scope of the GDPR, many organizations, including those outside of the EU, will have to manage personal data in compliance with the GDPR. Blockchain technology could play an important role in ensuring organizations have easily auditable, tamper-resistant, tamper-evident records to meet broader organizational needs and to comply with the GDPR.\u0000\u0000\u0000Social imp","PeriodicalId":20923,"journal":{"name":"Records Management Journal","volume":" ","pages":""},"PeriodicalIF":1.4,"publicationDate":"2019-03-11","publicationTypes":"Journal Article","fieldsOfStudy":null,"isOpenAccess":false,"openAccessPdf":"https://sci-hub-pdf.com/10.1108/RMJ-12-2018-0045","citationCount":null,"resultStr":null,"platform":"Semanticscholar","paperid":"44682846","PeriodicalName":null,"FirstCategoryId":null,"ListUrlMain":null,"RegionNum":0,"RegionCategory":"","ArticlePicture":[],"TitleCN":null,"AbstractTextCN":null,"PMCID":"","EPubDate":null,"PubModel":null,"JCR":null,"JCRName":null,"Score":null,"Total":0}
Pub Date : 2019-03-11DOI: 10.1108/RMJ-09-2018-0030
P. Mullon, M. Ngoepe
Purpose As an emerging discipline, information governance (IG) presents a number of challenges to organisations and countries. For example, IG has not yet been clearly defined and current proponents present the concepts as records management, information management, enterprise content management, privacy (data protection), freedom of information, corporate governance, information risk, information security and e-discovery, to mention just a few areas. At an organisational level, initiatives focus on one of these aspects, often conflicting with the other elements, and are initiated because of some immediate business challenge, such as the introduction of the Protection of Personal Information Act (data protection or privacy legislation) in South Africa. This is compounded by the fact that the country creates many fragmented policies and pieces of legislation on the same IG aspects which are conducted in a disjointed manner. This study aims to present an integrated IG framework at the country level, comprising key success factors, required instruments (policy and legislation), principles and a proposed list of elements or disciplines, which should be managed in a cohesive manner. Design/methodology/approach This study adopted the Information Governance Initiative’s pinwheel facets of IG to design an integrated framework of elevating IG to country level. The pinwheel helped to identify different facets of information disciplines and the responsible oversight mechanism for implementation in South Africa. The study relied on data obtained through content analysis of policy documents, legislative frameworks, and literature review regarding the identified facets of IG in South Africa. Findings The study established that only some aspects/domains/facets of IG are legislated and driven by policy in South Africa. These domains are at different levels of maturity and different stakeholder groups are responsible for each domain; for instance, the National Archives of South Africa is responsible for records management and the State Information Technology Agency is responsible for information technology, while the newly established Information Regulator is responsible for freedom of information and data privacy. There is generally no over-arching structure responsible for overall IG in South Africa as the elements are fragmented in various oversight mechanisms and institutions. As a result, domains compete for limited resources and often lead to “knee-jerk” responses to legislative, legal or risk drivers. Research limitations/implications It is concluded that if IG is not regulated and modelled at a country level, it is highly unlikely to filter down to organisations. Implementing IG at country level will go a long way in helping to filter it down to an organisation level. Originality/value The study is useful by presenting a framework to ensure that IG is implemented at the country level with a single coordinating body established for oversight mecha
{"title":"An integrated framework to elevate information governance to a national level in South Africa","authors":"P. Mullon, M. Ngoepe","doi":"10.1108/RMJ-09-2018-0030","DOIUrl":"https://doi.org/10.1108/RMJ-09-2018-0030","url":null,"abstract":"\u0000Purpose\u0000As an emerging discipline, information governance (IG) presents a number of challenges to organisations and countries. For example, IG has not yet been clearly defined and current proponents present the concepts as records management, information management, enterprise content management, privacy (data protection), freedom of information, corporate governance, information risk, information security and e-discovery, to mention just a few areas. At an organisational level, initiatives focus on one of these aspects, often conflicting with the other elements, and are initiated because of some immediate business challenge, such as the introduction of the Protection of Personal Information Act (data protection or privacy legislation) in South Africa. This is compounded by the fact that the country creates many fragmented policies and pieces of legislation on the same IG aspects which are conducted in a disjointed manner. This study aims to present an integrated IG framework at the country level, comprising key success factors, required instruments (policy and legislation), principles and a proposed list of elements or disciplines, which should be managed in a cohesive manner.\u0000\u0000\u0000Design/methodology/approach\u0000This study adopted the Information Governance Initiative’s pinwheel facets of IG to design an integrated framework of elevating IG to country level. The pinwheel helped to identify different facets of information disciplines and the responsible oversight mechanism for implementation in South Africa. The study relied on data obtained through content analysis of policy documents, legislative frameworks, and literature review regarding the identified facets of IG in South Africa.\u0000\u0000\u0000Findings\u0000The study established that only some aspects/domains/facets of IG are legislated and driven by policy in South Africa. These domains are at different levels of maturity and different stakeholder groups are responsible for each domain; for instance, the National Archives of South Africa is responsible for records management and the State Information Technology Agency is responsible for information technology, while the newly established Information Regulator is responsible for freedom of information and data privacy. There is generally no over-arching structure responsible for overall IG in South Africa as the elements are fragmented in various oversight mechanisms and institutions. As a result, domains compete for limited resources and often lead to “knee-jerk” responses to legislative, legal or risk drivers.\u0000\u0000\u0000Research limitations/implications\u0000It is concluded that if IG is not regulated and modelled at a country level, it is highly unlikely to filter down to organisations. Implementing IG at country level will go a long way in helping to filter it down to an organisation level.\u0000\u0000\u0000Originality/value\u0000The study is useful by presenting a framework to ensure that IG is implemented at the country level with a single coordinating body established for oversight mecha","PeriodicalId":20923,"journal":{"name":"Records Management Journal","volume":" ","pages":""},"PeriodicalIF":1.4,"publicationDate":"2019-03-11","publicationTypes":"Journal Article","fieldsOfStudy":null,"isOpenAccess":false,"openAccessPdf":"https://sci-hub-pdf.com/10.1108/RMJ-09-2018-0030","citationCount":null,"resultStr":null,"platform":"Semanticscholar","paperid":"48954789","PeriodicalName":null,"FirstCategoryId":null,"ListUrlMain":null,"RegionNum":0,"RegionCategory":"","ArticlePicture":[],"TitleCN":null,"AbstractTextCN":null,"PMCID":"","EPubDate":null,"PubModel":null,"JCR":null,"JCRName":null,"Score":null,"Total":0}
Pub Date : 2019-03-11DOI: 10.1108/RMJ-08-2018-0023
E. Shepherd, J. Bunn, A. Flinn, Elizabeth Lomas, Anna Sexton, Sara Brimble, Katherine Mary Chorley, Emma D. Harrison, J. Lowry, J. Page
Purpose Open government data and access to public sector information is commonplace, yet little attention has focussed on the essential roles and responsibilities in practice of the information and records management professionals, who enable public authorities to deliver open data to citizens. This paper aims to consider the perspectives of open government and information practitioners in England on the procedural and policy implications of open data across local public authorities. Design/methodology/approach Using four case studies from different parts of the public sector in England (local government, higher education, National Health Service and hospital trust), the research involved master’s level students in the data collection and analysis, alongside academics, thus enhancing the learning experience of students. Findings There was little consistency in the location of responsibility for open government data policy, the range of job roles involved or the organisational structures, policy and guidance in place to deliver this function. While this may reflect the organisational differences and professional concerns, it makes it difficult to share best practice. Central government policy encourages public bodies to make their data available for re-use. However, local practice is very variable and perhaps understandably responds more to local organisational strategic and resource priorities. The research found a lack of common metadata standards for open data, different choices about which data to open, problems of data redundancy, inconsistency and data integrity and a wide variety of views on the corporate and public benefits of open data. Research limitations/implications The research is limited to England and to non-national public bodies and only draws data from a small number of case studies. Originality/value The research contributes to the debate about emerging issues around the complexities of open government data and its public benefits, contributing to the discussions around technology-enabled approaches to citizen engagement and governance. It offers new insights into the interaction between open data and public policy objectives, drawing on the experience of local public sectors in England.
{"title":"Open government data: critical information management perspectives","authors":"E. Shepherd, J. Bunn, A. Flinn, Elizabeth Lomas, Anna Sexton, Sara Brimble, Katherine Mary Chorley, Emma D. Harrison, J. Lowry, J. Page","doi":"10.1108/RMJ-08-2018-0023","DOIUrl":"https://doi.org/10.1108/RMJ-08-2018-0023","url":null,"abstract":"\u0000Purpose\u0000Open government data and access to public sector information is commonplace, yet little attention has focussed on the essential roles and responsibilities in practice of the information and records management professionals, who enable public authorities to deliver open data to citizens. This paper aims to consider the perspectives of open government and information practitioners in England on the procedural and policy implications of open data across local public authorities.\u0000\u0000\u0000Design/methodology/approach\u0000Using four case studies from different parts of the public sector in England (local government, higher education, National Health Service and hospital trust), the research involved master’s level students in the data collection and analysis, alongside academics, thus enhancing the learning experience of students.\u0000\u0000\u0000Findings\u0000There was little consistency in the location of responsibility for open government data policy, the range of job roles involved or the organisational structures, policy and guidance in place to deliver this function. While this may reflect the organisational differences and professional concerns, it makes it difficult to share best practice. Central government policy encourages public bodies to make their data available for re-use. However, local practice is very variable and perhaps understandably responds more to local organisational strategic and resource priorities. The research found a lack of common metadata standards for open data, different choices about which data to open, problems of data redundancy, inconsistency and data integrity and a wide variety of views on the corporate and public benefits of open data.\u0000\u0000\u0000Research limitations/implications\u0000The research is limited to England and to non-national public bodies and only draws data from a small number of case studies.\u0000\u0000\u0000Originality/value\u0000The research contributes to the debate about emerging issues around the complexities of open government data and its public benefits, contributing to the discussions around technology-enabled approaches to citizen engagement and governance. It offers new insights into the interaction between open data and public policy objectives, drawing on the experience of local public sectors in England.\u0000","PeriodicalId":20923,"journal":{"name":"Records Management Journal","volume":" ","pages":""},"PeriodicalIF":1.4,"publicationDate":"2019-03-11","publicationTypes":"Journal Article","fieldsOfStudy":null,"isOpenAccess":false,"openAccessPdf":"https://sci-hub-pdf.com/10.1108/RMJ-08-2018-0023","citationCount":null,"resultStr":null,"platform":"Semanticscholar","paperid":"49081250","PeriodicalName":null,"FirstCategoryId":null,"ListUrlMain":null,"RegionNum":0,"RegionCategory":"","ArticlePicture":[],"TitleCN":null,"AbstractTextCN":null,"PMCID":"","EPubDate":null,"PubModel":null,"JCR":null,"JCRName":null,"Score":null,"Total":0}
Pub Date : 2019-03-11DOI: 10.1108/RMJ-07-2018-0019
T. Engvall
Purpose This paper aims to offer an improved understanding of trust challenges in online trade, providing examples of issues that should be addressed for a trustworthy online environment. It also aims to illustrate how records and recordkeeping can contribute in terms of enabling trust and accountability. Design/methodology/approach The paper is based on results from a self-ethnographic study of online trade (Engvall, 2017); the results are analyzed further. Kelton, Fleischmann and Wallace’s (2008) model for trust is used to gain a better understanding of the characteristics of the challenges and where they should be addressed. Findings This paper recognizes that there are different types of trust challenges at different levels – individual, between clients and businesses and at a societal level – that should be addressed at these levels in different ways. Originality/value This paper provides an understanding of trust challenges in the online environment.
{"title":"Situating trust challenges of online trade","authors":"T. Engvall","doi":"10.1108/RMJ-07-2018-0019","DOIUrl":"https://doi.org/10.1108/RMJ-07-2018-0019","url":null,"abstract":"\u0000Purpose\u0000This paper aims to offer an improved understanding of trust challenges in online trade, providing examples of issues that should be addressed for a trustworthy online environment. It also aims to illustrate how records and recordkeeping can contribute in terms of enabling trust and accountability.\u0000\u0000\u0000Design/methodology/approach\u0000The paper is based on results from a self-ethnographic study of online trade (Engvall, 2017); the results are analyzed further. Kelton, Fleischmann and Wallace’s (2008) model for trust is used to gain a better understanding of the characteristics of the challenges and where they should be addressed.\u0000\u0000\u0000Findings\u0000This paper recognizes that there are different types of trust challenges at different levels – individual, between clients and businesses and at a societal level – that should be addressed at these levels in different ways.\u0000\u0000\u0000Originality/value\u0000This paper provides an understanding of trust challenges in the online environment.\u0000","PeriodicalId":20923,"journal":{"name":"Records Management Journal","volume":"1 1","pages":""},"PeriodicalIF":1.4,"publicationDate":"2019-03-11","publicationTypes":"Journal Article","fieldsOfStudy":null,"isOpenAccess":false,"openAccessPdf":"https://sci-hub-pdf.com/10.1108/RMJ-07-2018-0019","citationCount":null,"resultStr":null,"platform":"Semanticscholar","paperid":"41556441","PeriodicalName":null,"FirstCategoryId":null,"ListUrlMain":null,"RegionNum":0,"RegionCategory":"","ArticlePicture":[],"TitleCN":null,"AbstractTextCN":null,"PMCID":"","EPubDate":null,"PubModel":null,"JCR":null,"JCRName":null,"Score":null,"Total":0}
Pub Date : 2019-02-26DOI: 10.1108/RMJ-09-2018-0029
M. Thiarai, S. Chotvijit, S. Jarvis
Purpose There is significant national interest in tackling issues surrounding the needs of vulnerable children and adults. This paper aims to argue that much value can be gained from the application of new data-analytic approaches to assist with the care provided to vulnerable children. This paper highlights the ethical and information governance issues raised in the development of a research project that sought to access and analyse children’s social care data. Design/methodology/approach The paper documents the process involved in identifying, accessing and using data held in Birmingham City Council’s social care system for collaborative research with a partner organisation. This includes identifying the data, its structure and format; understanding the Data Protection Act 1998 and 2018 (DPA) exemptions that are relevant to ensure that legal obligations are met; data security and access management; the ethical and governance approval process. Findings The findings will include approaches to understanding the data, its structure and accessibility tasks involved in addressing ethical and legal obligations and requirements of the ethical and governance processes. Originality/value The aim of this research is to highlight the potential use of use new data-analytic techniques to examine the flow of children’s social care data from referral, through the assessment process, to the resulting service provision. Data held by Birmingham City Council are used throughout, and this paper highlights key ethical and information governance issues which were addressed in preparing and conducting the research. The findings provide insight for other data-led studies of a similar nature.
{"title":"Balancing information governance obligations when accessing social care data for collaborative research","authors":"M. Thiarai, S. Chotvijit, S. Jarvis","doi":"10.1108/RMJ-09-2018-0029","DOIUrl":"https://doi.org/10.1108/RMJ-09-2018-0029","url":null,"abstract":"\u0000Purpose\u0000There is significant national interest in tackling issues surrounding the needs of vulnerable children and adults. This paper aims to argue that much value can be gained from the application of new data-analytic approaches to assist with the care provided to vulnerable children. This paper highlights the ethical and information governance issues raised in the development of a research project that sought to access and analyse children’s social care data.\u0000\u0000\u0000Design/methodology/approach\u0000The paper documents the process involved in identifying, accessing and using data held in Birmingham City Council’s social care system for collaborative research with a partner organisation. This includes identifying the data, its structure and format; understanding the Data Protection Act 1998 and 2018 (DPA) exemptions that are relevant to ensure that legal obligations are met; data security and access management; the ethical and governance approval process.\u0000\u0000\u0000Findings\u0000The findings will include approaches to understanding the data, its structure and accessibility tasks involved in addressing ethical and legal obligations and requirements of the ethical and governance processes.\u0000\u0000\u0000Originality/value\u0000The aim of this research is to highlight the potential use of use new data-analytic techniques to examine the flow of children’s social care data from referral, through the assessment process, to the resulting service provision. Data held by Birmingham City Council are used throughout, and this paper highlights key ethical and information governance issues which were addressed in preparing and conducting the research. The findings provide insight for other data-led studies of a similar nature.\u0000","PeriodicalId":20923,"journal":{"name":"Records Management Journal","volume":" ","pages":""},"PeriodicalIF":1.4,"publicationDate":"2019-02-26","publicationTypes":"Journal Article","fieldsOfStudy":null,"isOpenAccess":false,"openAccessPdf":"https://sci-hub-pdf.com/10.1108/RMJ-09-2018-0029","citationCount":null,"resultStr":null,"platform":"Semanticscholar","paperid":"44461181","PeriodicalName":null,"FirstCategoryId":null,"ListUrlMain":null,"RegionNum":0,"RegionCategory":"","ArticlePicture":[],"TitleCN":null,"AbstractTextCN":null,"PMCID":"","EPubDate":null,"PubModel":null,"JCR":null,"JCRName":null,"Score":null,"Total":0}
Pub Date : 2019-02-26DOI: 10.1108/RMJ-05-2018-0011
Parvaneh Westerlund, Ingemar Andersson, Tero Päivärinta, J. Nilsson
Purpose This paper aims to automate pre-ingest workflow for preserving digital content, such as records, through middleware that integrates potentially many information systems with potentially several alternative digital preservation services. Design/methodology/approach This design research approach resulted in a design for model- and component-based software for such workflow. A proof-of-concept prototype was implemented and demonstrated in context of a European research project, ForgetIT. Findings The study identifies design issues of automated pre-ingest for digital preservation while using middleware as a design choice for this purpose. The resulting model and solution suggest functionalities and interaction patterns based on open interface protocols between the source systems of digital content, middleware and digital preservation services. The resulting workflow automates the tasks of fetching digital objects from the source system with metadata extraction, preservation preparation and transfer to a selected preservation service. The proof-of-concept verified that the suggested model for pre-ingest workflow and the suggested component architecture was technologically implementable. Future research and development needs to include new solutions to support context-aware preservation management with increased support for configuring submission agreements as a basis for dynamic automation of pre-ingest and more automated error handling. Originality/value The paper addresses design issues for middleware as a design choice to support automated pre-ingest in digital preservation. The suggested middleware architecture supports many-to-many relationships between the source information systems and digital preservation services through open interface protocols, thus enabling dynamic digital preservation solutions for records management.
{"title":"Towards automated pre-ingest workflow for bridging information systems and digital preservation services","authors":"Parvaneh Westerlund, Ingemar Andersson, Tero Päivärinta, J. Nilsson","doi":"10.1108/RMJ-05-2018-0011","DOIUrl":"https://doi.org/10.1108/RMJ-05-2018-0011","url":null,"abstract":"Purpose \u0000 \u0000 \u0000 \u0000 \u0000This paper aims to automate pre-ingest workflow for preserving digital content, such as records, through middleware that integrates potentially many information systems with potentially several alternative digital preservation services. \u0000 \u0000 \u0000 \u0000 \u0000Design/methodology/approach \u0000 \u0000 \u0000 \u0000 \u0000This design research approach resulted in a design for model- and component-based software for such workflow. A proof-of-concept prototype was implemented and demonstrated in context of a European research project, ForgetIT. \u0000 \u0000 \u0000 \u0000 \u0000Findings \u0000 \u0000 \u0000 \u0000 \u0000The study identifies design issues of automated pre-ingest for digital preservation while using middleware as a design choice for this purpose. The resulting model and solution suggest functionalities and interaction patterns based on open interface protocols between the source systems of digital content, middleware and digital preservation services. The resulting workflow automates the tasks of fetching digital objects from the source system with metadata extraction, preservation preparation and transfer to a selected preservation service. The proof-of-concept verified that the suggested model for pre-ingest workflow and the suggested component architecture was technologically implementable. Future research and development needs to include new solutions to support context-aware preservation management with increased support for configuring submission agreements as a basis for dynamic automation of pre-ingest and more automated error handling. \u0000 \u0000 \u0000 \u0000 \u0000Originality/value \u0000 \u0000 \u0000 \u0000 \u0000The paper addresses design issues for middleware as a design choice to support automated pre-ingest in digital preservation. The suggested middleware architecture supports many-to-many relationships between the source information systems and digital preservation services through open interface protocols, thus enabling dynamic digital preservation solutions for records management.","PeriodicalId":20923,"journal":{"name":"Records Management Journal","volume":"29 1","pages":"289-304"},"PeriodicalIF":1.4,"publicationDate":"2019-02-26","publicationTypes":"Journal Article","fieldsOfStudy":null,"isOpenAccess":false,"openAccessPdf":"https://sci-hub-pdf.com/10.1108/RMJ-05-2018-0011","citationCount":null,"resultStr":null,"platform":"Semanticscholar","paperid":"48122153","PeriodicalName":null,"FirstCategoryId":null,"ListUrlMain":null,"RegionNum":0,"RegionCategory":"","ArticlePicture":[],"TitleCN":null,"AbstractTextCN":null,"PMCID":"","EPubDate":null,"PubModel":null,"JCR":null,"JCRName":null,"Score":null,"Total":0}
Pub Date : 2019-01-15DOI: 10.1108/RMJ-09-2018-0041
Joanne Evans, Sue McKemmish, Gregory Rolan
Purpose This paper examines the recordkeeping governance requirements of the childhood out-of-home Care sector, with critical interlaced identity, memory, cultural and accountability needs. They argue that as we enter a new era of participation, new models for governance are required to recognise and dynamically negotiate a range of rights in and to records, across space and through time. Instead of recordkeeping configured to support closed organisations and closely bounded information silos, there is a need for recordkeeping to reflect, facilitate and be part of governance frameworks for organisations as nodes in complex information networks. Design/methodology/approach The paper reports on a key outcome of the Setting the Record Straight for the Rights of the Child National Summit held in Melbourne Australia in May 2017, the National Framework for Recordkeeping in Out-of-Home Care, and the research and advocacy agenda that will support its development. Findings The authors argue that as we enter an algorithmic age, designing for shared ownership, stewardship, interoperability and participation is an increasing imperative to address the information asymmetries that foster social disadvantage and discrimination. The authors introduce the concept of participatory information governance in response to social, political and cultural mandates for recordkeeping. Given the challenges associated with progressing new participatory models of recordkeeping governance in the inhospitable environment of existing recordkeeping law, standards and governance frameworks, the authors outline how these frameworks will need to be re-figured for participatory recordkeeping. Practical implications The National Framework for Recordkeeping for Childhood Out-of-Home Care seeks to address the systemic recordkeeping problems that have been most recently highlighted in the 2013-2017 Royal Commission into Institutional Responses to Child Sexual Abuse. Social implications The National Framework for Recordkeeping for Childhood Out-of-Home Care will also address how a suite of recordkeeping rights can be embedded into networked socio-technical systems. This represents an example of a framework for participatory information governance which can help guide the design of new systems in an algorithmic age. Originality/value The proposed National Framework represents a new model for recordkeeping governance to recognise and enact multiple rights in records. Designed to support the lifelong identity, memory and accountability needs for those who experience childhood out-of-home Care, it aims to foster the transformation of recordkeeping and archival infrastructure to a participatory model that can address the current inequities and better enable the design and oversight of equitable algorithmic systems.
{"title":"Participatory information governance","authors":"Joanne Evans, Sue McKemmish, Gregory Rolan","doi":"10.1108/RMJ-09-2018-0041","DOIUrl":"https://doi.org/10.1108/RMJ-09-2018-0041","url":null,"abstract":"\u0000Purpose\u0000This paper examines the recordkeeping governance requirements of the childhood out-of-home Care sector, with critical interlaced identity, memory, cultural and accountability needs. They argue that as we enter a new era of participation, new models for governance are required to recognise and dynamically negotiate a range of rights in and to records, across space and through time. Instead of recordkeeping configured to support closed organisations and closely bounded information silos, there is a need for recordkeeping to reflect, facilitate and be part of governance frameworks for organisations as nodes in complex information networks.\u0000\u0000\u0000Design/methodology/approach\u0000The paper reports on a key outcome of the Setting the Record Straight for the Rights of the Child National Summit held in Melbourne Australia in May 2017, the National Framework for Recordkeeping in Out-of-Home Care, and the research and advocacy agenda that will support its development.\u0000\u0000\u0000Findings\u0000The authors argue that as we enter an algorithmic age, designing for shared ownership, stewardship, interoperability and participation is an increasing imperative to address the information asymmetries that foster social disadvantage and discrimination. The authors introduce the concept of participatory information governance in response to social, political and cultural mandates for recordkeeping. Given the challenges associated with progressing new participatory models of recordkeeping governance in the inhospitable environment of existing recordkeeping law, standards and governance frameworks, the authors outline how these frameworks will need to be re-figured for participatory recordkeeping.\u0000\u0000\u0000Practical implications\u0000The National Framework for Recordkeeping for Childhood Out-of-Home Care seeks to address the systemic recordkeeping problems that have been most recently highlighted in the 2013-2017 Royal Commission into Institutional Responses to Child Sexual Abuse.\u0000\u0000\u0000Social implications\u0000The National Framework for Recordkeeping for Childhood Out-of-Home Care will also address how a suite of recordkeeping rights can be embedded into networked socio-technical systems. This represents an example of a framework for participatory information governance which can help guide the design of new systems in an algorithmic age.\u0000\u0000\u0000Originality/value\u0000The proposed National Framework represents a new model for recordkeeping governance to recognise and enact multiple rights in records. Designed to support the lifelong identity, memory and accountability needs for those who experience childhood out-of-home Care, it aims to foster the transformation of recordkeeping and archival infrastructure to a participatory model that can address the current inequities and better enable the design and oversight of equitable algorithmic systems.\u0000","PeriodicalId":20923,"journal":{"name":"Records Management Journal","volume":" ","pages":""},"PeriodicalIF":1.4,"publicationDate":"2019-01-15","publicationTypes":"Journal Article","fieldsOfStudy":null,"isOpenAccess":false,"openAccessPdf":"https://sci-hub-pdf.com/10.1108/RMJ-09-2018-0041","citationCount":null,"resultStr":null,"platform":"Semanticscholar","paperid":"46062729","PeriodicalName":null,"FirstCategoryId":null,"ListUrlMain":null,"RegionNum":0,"RegionCategory":"","ArticlePicture":[],"TitleCN":null,"AbstractTextCN":null,"PMCID":"","EPubDate":null,"PubModel":null,"JCR":null,"JCRName":null,"Score":null,"Total":0}
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