Information Management Life Cycle

Best practice for information management, from creation to archive or destruction.

1. Information Lifecycle Information Lifecycle
Management Management
Steve DaleSteve Dale
Semantix (UK) LtdSemantix (UK) Ltd
Knowledge & Information ManagementKnowledge & Information Management

2. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
Today’s PresentationToday’s Presentation
What is information and what is the “Information What is information and what is the “Information
Management Life Cycle” (IML)?Management Life Cycle” (IML)?
Why develop & implement an IMLWhy develop & implement an IML
Approach to developing an IMLApproach to developing an IML
Documents, Records and SystemsDocuments, Records and Systems
Indexing, Classification & TaxonomiesIndexing, Classification & Taxonomies
Standards & PoliciesStandards & Policies
QuestionsQuestions

3. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
What is “Information”What is “Information”

4. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
What is information (2)?What is information (2)?

5. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
What is information life cycle What is information life cycle
management (ILM)?management (ILM)?
Information life cycle management (ILM) is Information life cycle management (ILM) is
a comprehensive approach to managing a comprehensive approach to managing
the flow of an information system's data the flow of an information system's data
and associated metadata from creation and associated metadata from creation
and initial storage to the time when it and initial storage to the time when it
becomes obsolete and is deleted. becomes obsolete and is deleted.

6. What are the drivers for What are the drivers for
implementing an implementing an
Information Management Information Management
Life Cycle?Life Cycle?

7. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
Compliance 1Compliance 1
Data Protection Act 1998
Governs personal information
Provides protection for an individual
European Law so takes precedence over Domestic
Law
FOI Act 2000
General requirement to make any recorded information
publicly available within short timescale

8. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
Compliance 2Compliance 2
EIRs 2000
Similar to FOI but relates to environmental
information
Broader scope than FOI
Sarbanes-Oxley Act 2002 (SOX)Sarbanes-Oxley Act 2002 (SOX)
Defines standards for corporate governance, Defines standards for corporate governance,
financial reporting and accounting practicesfinancial reporting and accounting practices

9. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
The information life cycleThe information life cycle
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Policies and StandardsPolicies and Standards

10. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
Documents and Records are Documents and Records are
everywhereeverywhere
SITE SEARCH
Intranet Documents
eMail
Mail
System
MAIL SEARCH
RDBMS
ERP, CRM
Legacy Data
Datawarehouse
Datamarts
BI SEARCH
SITE SEARCH
Intranet Documents
Documents
DMS,
RMS
R/DMS SEARCH
Records

11. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
Managing structured, semi-Managing structured, semi-
structured and unstructured structured and unstructured
informationinformation
Web Content
Management
Document
Management
Records
Management
Knowledge Management
Digital Assets/Rights Management
Information Management
Policies, Procedures, Standards
Enterprise
Content
Management

12. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
Information – the scopeInformation – the scope
Information
Documents
(recorded information)
Records
Electronic
Documents
Electronic
Records
Good IT systems are essential for managing all
this information.
Information is only as good at the method of
retrieving it. It must be tagged with metadata
and have an index of what is covered.

13. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
Information TypesInformation Types
Real-time video clipMarked-up HTML
document on Web
Data in spreadsheet
Digital imageMarked-up text entry
for catalogue etc.
Data in flat file
E-mail textBibliographic recordData in database
tables
Unstructured
information
Semi-structured
information
Structured
Information

14. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
The hierarchy of information The hierarchy of information
managementmanagement
Private contentPersonal working area
Unmanaged content
Team working area
Managed content
Corporate
memory area
Public
Info Area
Published content
Increa
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15. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
Documents and Records are Documents and Records are
everywhereeverywhere
EDRMS
WWW
PDA
Tablet
PC
3
rd
Party
Application
CRM etc
Kiosk
Reports
Video / Sound
Fax
Paper Files
Data
Emails
Correspondence
Form data
Scanned
Physical Object Location
Archive

16. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
Document Management vs. Document Management vs.
Records ManagementRecords Management
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TimeTime
1 1
MonthMonth
1 1
YearYear
5 5
YearsYears
25 25
YearsYears
DocumentDocument
ManagementManagement
FocusFocus
(Short-Term)(Short-Term) RecordsRecords
ManagementManagement
FocusFocus
(Long-Term)(Long-Term)

17. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
Used during the entire
life cycle
Instantaneous - used
during creation, revision,
or searching
Duration of usage
Statutory, regulatory,
operational, historic
Re-usability, referenceValue basis
EvidenceInformation containerRole of a ‘document’
Control corporate
assets, ensure
compliance
Manage information in
documents, make it
easier to find and access
What application is
designed to do
Policy centricInformation centricPrimary application
focus
Records
Management
Document
Management
Characteristics
EDMS vs. ERMSEDMS vs. ERMS

18. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
ERM, EDM, & IT Have Differing Goals
Document/Content Management assists usersDocument/Content Management assists users
Creation and retrieval of shared active documents
Very little formal control or restrictions
Deleted according to activity, use, space, etc.
Information Technology supports data
Records and documents exist as data in e-systems
IT plans computers & networks; Protects systems & data
Records Management defines retention rules
Records tracking of relatively inactive records
“Records” are formally declared or business rule driven
Deleted according to formal schedules and rules

19. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
Information Management Life CycleInformation Management Life Cycle
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Policies and StandardsPolicies and Standards

20. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
IndexingIndexing
An essential part of the
capture process,
creates metadata from
scanned documents
(customer ID number,
for example) so the
document can be
found. Indexing can be
based on keywords or
full-text.
26.05.03123457Smith
18.11.06123456Brown
DateNumberName
Structured
(attributes)
Full text
(unstructured)
Hypertext
linking

21. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
Classification (and taxonomies) Classification (and taxonomies)
Term
A1
Term
A1.1
Term
A1.2
Term
A2
Term
A2.1
Term
A2.2
Hierarchical Classification Scheme

22. What is classification?What is classification?
Why classify?Why classify?

23. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
Let’s go shoppingLet’s go shopping

24. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
If that looks bad…If that looks bad…
The supermarket stocks over 6000
product types

25. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
Is this any easier?Is this any easier?
Potatoes
Prepacked Patisserie
Prepacked Salads
Red Wines
Salad Vegetables
Salamis & Continental Meats
Sausages
Savoury Pastry
Service Counter Cooked Meats
Service Counter Fresh Bread
Sherry
Sliced Bread
Smoked Salmon
Soft Fruit
Soups, Tinned
Speciality Bread
Spirits
Stoned Fruit
Tinned Vegetables
Tomatoes
Vegetables, Green
Vegetables, Root
Vegetables, Speciality
White Wines
Yoghurts & Desserts
Accompaniments
Apples & Pears
Bacon
Baking
Bananas
Beers & Lagers
Biscuits, Savoury
Biscuits, Snacks
Biscuits, Sweet
Bottled Sauces & mustards
Butter & Fats
Cakes
Canned Fruit & Desserts
Cereals
Champagne
Cheese, Prepacked
Cheese, Service Counter
Cider
Citris Fruit
Coffee, Ground
Coffee, Instant
Condiments
Cooked Poultry
Cooks Ingredients
Delicatessen Prepacked
Dried Herbs & Spices
Exotic Fruit
Fresh Cream
Fresh Fish, Prepacked
Fresh Fish, Service Counter
Fresh Flowers, Bouquets
Fresh Flowers, Cut
Fresh Herbs & Spices
Fresh Meat, Beef
Fresh Meat, Lamb
Fresh Meat, Pork
Fresh Milk
Fresh Poultry
Frozen Desserts
Frozen Fish Products
Frozen Meat
Frozen Meat Products
Frozen Pizza & Bread
Frozen Poultry
Frozen Ready Meals
Frozen Vegetables
Grapes
Home Gardening, Bulbs
Home Gardening, Sundries
Ice Cream
Indoor Plants
Leaf Salads
Longlife Milk & Cream
Loose Bread
Melons & Pineapples
Morning Goods
Mushrooms
Nuts & Semi-Dried Fruit
Nuts in Shells & Dates
Organic Fruit
Organic Salads
Organic Vegetables
Pates & Terrines
Patisserie
Patisserie, Chilled
The supermarket has over 150 product
ranges

26. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
Better still?Better still?
Bakery & PatisserieBakery & Patisserie
Beers, Wines & SpiritsBeers, Wines & Spirits
DairyDairy
DelicatessenDelicatessen
Fish, Meat & PoultryFish, Meat & Poultry
Flowers & PlantsFlowers & Plants
Frozen FoodsFrozen Foods
Fruit & VegetablesFruit & Vegetables
GroceryGrocery
The supermarket has only 12 product
categories

27. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
Grouping things together…Grouping things together…
Bakery & Patisserie
Loose Bread
Beers, Wines & Spirits
Beers & Lagers
…makes them easier to find

28. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
Business Classification SchemesBusiness Classification Schemes
FunctionalFunctional
For example order processingFor example order processing
SubjectSubject
For example types of animalFor example types of animal
OrganisationalOrganisational
For example planning dept., HR dept.For example planning dept., HR dept.
HybridHybrid
Combination of the aboveCombination of the above

29. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
TaxonomiesTaxonomies

Fruit
Tree fruit
Apples Pears
Vine fruit
GrapesTomatoes
Traditional taxonomy

Fruit
Tree fruit
ApplesPears
Root
vegetables
Grapes Tomatoes
Polyhierachical taxonomy
Vegetables
Salad
vegetables
Carrots
Potatoes
Vine fruit
Traditional Taxonomy Polyhierarchical Taxonomy

30. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
Information Management Life CycleInformation Management Life Cycle
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Policies and StandardsPolicies and Standards

31. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
StandardsStandards
BS 4971:2002, Repair and allied
processes for the conservation of
documents
Conservation &
preservation
ISO 27001 (replaces BS7799-2).
Establish and maintain an effective
information management system
Information Security
Management
BS ISO 15489-1:2001, Information
and documentation – records
management
Records management
International Council on Archives,
General International Standard of
Archival Description [ISAD (g)], 2
nd

edition, 1999
Cataloguing
BS 5454:2000 Recommendation for
the Storage and Exhibition of Archival
Documents
Records storage

32. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
ISO 15489ISO 15489
BS ISO 15489 –1:2001
Information and documentation Records
management
Part 1: General
Part 2: Guidelines

33. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
ISO 15489 Part 1: GeneralISO 15489 Part 1: General
Applies to the management of records in
all formats and media
Provides guidance on managing records
Outlines elements which are
recommended to ensure that adequate
records are created, captured and
managed

34. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
ISO 15489 Part 2: GuidelinesISO 15489 Part 2: Guidelines
Provides procedures to help ensure that
records are managed according to
principles and elements outlined in Part 1
Provides a methodology for
implementation of a records management
system

35. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
ISO 15489 MethodologyISO 15489 Methodology
Preliminary investigation
Analysis of business activity
Identification of requirements for records
Assessment of existing systems
Identification of strategies for satisfying records
requirements
Design of records system
Implementation of record system
Post-implementation review

36. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
Questions to askQuestions to ask
Do you have a corporate records management
policy?
Do you have a corporate records management
system (not necessarily electronic)?
Do you have a corporate retention and disposal
schedule for records?
Have you carried out a recent information audit
throughout the organisation?
Do you operate an information security and
access scheme throughout the organisation?

37. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
Developing a Records Developing a Records
Management SystemManagement System
Develop classification system for information
Code and index information
Capture/ create information
Paper, electronic, microfilm
Store/retain information
Access information
Revise information
Destroy information
Awareness of legislation and regulations
Responsibilities for information
Relate to business processes and procedures

38. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
Retention and Disposal of RecordsRetention and Disposal of Records
A vital element of any record or document A vital element of any record or document
management systemmanagement system
Every record should have an ownerEvery record should have an owner
Owners should assign a retention / Owners should assign a retention /
disposal category to itdisposal category to it

39. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
Record Retention SchedulesRecord Retention Schedules
What are Retention Schedules?
These are the periods of time, varying from a few months to permanency
during which a record has to be maintained by an institution. This is usually
determined by statute, legal, regulatory or business compliance, or where
these do not apply, by a best assessment of risks involved in destruction
against the costs of retention. The retention period may consist of:
A fixed number of years from creation:
Most financial records of organisations in the EC have to be kept for the
current year +6 years to meet VAT and Tax regulations, an effective total of
7 years. In this case the destruction date is known, fixed and can proceed
without further intervention.
The life of the transaction + a fixed period of years.
Commercial contracts must be maintained for the life of the contract + 6
years. The exact number of years will depend upon the period of the
contract.

40. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
Resources AvailableResources Available
www.nationalarchives.gov.uk
Advice on records management
www.rms-gb.org.uk
Retention and disposal schedules for local
authorities; information audits
www.dca.gov.uk/foi/codesprac.htm
Codes of practice on records management (s 46)

42. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management

43. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management

44. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management

45. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management

46. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management

47. Semantix UK LtdSemantix UK Ltd
Knowledge & Information ManagementKnowledge & Information Management
Any questions?Any questions?
Steve Dale
Knowledge & Information Consultant
Email: [email protected]
Blog: http://steve-dale.net
Skype id: stephendale