Focus on people, processes and technology

These actions are part of the Digital Continuity Plan and are aimed at achieving the digital continuity outcomes. The other two parts are Focus on the business and Focus on the information.

To ensure digital continuity, the vital organisational elements of people, processes and technology must be aligned.

Establish a governance framework for digital information which is aligned and integrated with agency governance

A digital information governance framework outlines how information assets are to be managed to support agencies' outcomes. The governance framework identifies and addresses risk and compliance issues and optimises the value of the information for as long as it is required.

'The way Government information is used, communicated and stored is critical to the operations of the Australian Government and has implications for privacy, copyright, knowledge management, security, history and accountability.' ¹

To effectively manage digital information, digital continuity needs to be integrated with existing agency governance. Governance of digital information should be included into governance areas such as:

• ICT
• security
• risk
• business continuity
• accountability.

This could involve considering information management requirements into mechanisms such as ICT project gateway reviews.

The Principles on Open Public Sector Information from the Office of the Australian Information Commissioner recommends effective information governance.

Define, assign and resource accountable digital information management roles, including senior responsibility

To manage digital information effectively, various roles need to be performed. These must be clearly identified and assigned, and adequately resourced.

Accountability for digital continuity and implementation of the Digital Transition Policy should be assigned to a member of senior management.

Specialist information management roles include strategic oversight of digital information and operational aspects such as access control, information quality and conformance with standards, obligations and commitments.

All staff create, maintain and use digital information as part of their work activities. It is essential that they are provided with clear and detailed information on correct processes and ongoing education so that information is managed effectively and efficiently.

As the work environment changes, including by staff turnover, the roles and skills of information management specialists need to be reviewed. In some cases additional training and resources may be needed.

Inform, train and support users of information

The easier it is for users to understand, use and manage the processes and technology, the more effective their information management will be. A number of steps can be taken to support users:

• Inform and train users in their digital information management responsibilities in the context of their work.
• Provide clear procedures, including for problem areas such as email.
• Give users ongoing support and education about correct processes.
• Consider ways to encourage good digital information management behaviour and provide positive reinforcement and role models.

This might involve:

• providing induction training for new starters on issues such as records management, email management, information security, privacy and ethical use of information
• providing advice and guidance to staff on more effective ways to find, use or manage information
• incorporating information management responsibilities into individual performance agreements
• incorporating relevant information management requirements into local work procedures.

The State Records Authority of New South Wales offers a free online training package on basic digital records management concepts. The package is aimed at New South Wales public sector employees but it provides a good foundation for understanding digital information.

General records management concepts are covered in the Keep the Knowledge – Make a Record eLearning module.

Provide processes, systems and tools that can support effective management and use of information

Digital continuity requires ongoing management of information and there must be processes, systems and tools in place to support this.

The best way to align processes, systems, tools and information to achieve optimum business outcomes is by using an enterprise architecture approach.

To use digital information effectively users must be able to access and use information when they need it, and in the way they need it. To achieve this, business processes, systems and tools must support the users of the information.

Processes

Work processes should allow digital information to be created, captured, used and managed as part of normal work activity or by appropriate business systems with minimal impact on staff. The less complicated or onerous the processes are, the more likely it is that they will be followed.

Agencies should give staff clear instructions on how to create, capture, describe and use digital information.

Systems

Business systems create, capture and manage digital information. For systems to effectively manage information for as long as it is needed, they need specific functionality. Systems can automate or simplify many of the requirements of effective information management. ISO 16175 Principles and Functional Requirements for Records in Electronic Office Environments provides internationally agreed standards and is endorsed by the National Archives for use in the Australian Government.

A consistent information or data architecture across business systems can be part of your enterprise architecture.

Systems should effectively support access to and use of information. Effective search and retrieval tools should be provided and products should be integrated so that information can be readily reused, transferred or exchanged.

Tools

Information management tools include standards; policies and procedures; indexing, classification and categorisation mechanisms; authorisation and control mechanisms; and checklists.

These tools may be specific to particular aspects of digital information management, for example, they may ensure that information is:

• accessible for use and re-use
• discoverable
• authentic and reliable
• secure and private, or 
• managed in accordance with intellectual property rights.

Some tools may help with:

• controlling access to sensitive information,
• building and maintaining user 'pick lists' and other ways to categorise information when saving or searching
• applying AGLS metadata to public information.

A range of Australian Government agencies have responsibility for, and provide advice on, aspects of information management.

Monitor and review ongoing management of information against agency performance criteria

The National Archives' online assessment application Check-up 2.0 can be used to monitor and review digital information management capability and some aspects of digital continuity .

Your agency should supplement Check-up 2.0 assessments with its own specific performance criteria.

Agency specific criteria could include:

• assessing the impact of change on information management
• surveys or other measures of user behaviour, attitudes and understanding
• sampling information quality.

Footnotes