Enterprise Content Management, Records Management and Information Culture Amidst e-Government Development CHANDOS INFORMATIONPROFESSIONALSERIES SeriesEditor:RuthRikowski (email:[email protected]) Chandos’ new series of books is aimed at the busy information professional. They havebeenspeciallycommissionedtoprovidethereaderwithanauthoritativeviewof current thinking. They are designed to provide easy-to-read and (most importantly) practical coverage of topics that are of interest to librarians and other information professionals.If you wouldlikea full listing ofcurrent and forthcoming titles, please visitwww.chandospublishing.com. Newauthors:wearealwayspleasedtoreceiveideasfornewtitles;ifyouwouldlike towriteabookforChandos,[email protected] ortelephone144(0)1865843000. Enterprise Content Management, Records Management and Information Culture Amidst e-Government Development Proscovia Sva¨rd ChandosPublishingisanimprintofElsevier 50HampshireStreet,5thFloor,Cambridge,MA02139,UnitedStates TheBoulevard,LangfordLane,Kidlington,OX51GB,UnitedKingdom Copyright©2017ProscoviaSva¨rd.PublishedbyElsevierLtd.Allrightsreserved. Nopartofthispublicationmaybereproducedortransmittedinanyformorbyanymeans,electronicor mechanical,includingphotocopying,recording,oranyinformationstorageandretrievalsystem,without permissioninwritingfromthepublisher.Detailsonhowtoseekpermission,furtherinformationaboutthe Publisher’spermissionspoliciesandourarrangementswithorganizationssuchastheCopyrightClearance CenterandtheCopyrightLicensingAgency,canbefoundatourwebsite:www.elsevier.com/permissions. ThisbookandtheindividualcontributionscontainedinitareprotectedundercopyrightbythePublisher (otherthanasmaybenotedherein). 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BritishLibraryCataloguing-in-PublicationData AcataloguerecordforthisbookisavailablefromtheBritishLibrary LibraryofCongressCataloging-in-PublicationData AcatalogrecordforthisbookisavailablefromtheLibraryofCongress ISBN:978-0-08-100874-4(print) ISBN:978-0-08-100900-0(online) ForinformationonallChandosPublishing visitourwebsiteathttps://www.elsevier.com/books-and-journals Publisher:GlynJones AcquisitionEditor:GeorgeKnott EditorialProjectManager:CharlotteRowley SeniorProductionProjectManager:PriyaKumaraguruparan Coverdesigner:MarkRogers TypesetbyMPSLimited,Chennai,India Acknowledgments This book is based on my PhD research and it would not have been possible if it was not for funding that I received during my PhD process. I would therefore like to acknowledge the following institutions: the Centre for Digital Information Management (CEDIF) at Mid Sweden University that received the European Union Objective 2 funding and where I carried out my Licentiate research, the University of Amsterdam, Faculty of Humanities where I completed my PhD, and lastly, the School of Interdisciplinary Research and Post-Graduate Studies, University of South Africa where I have been as a Postdoctoral Research Fellow—2016(cid:1)17. Without the postdoctoral research position, it would have been difficult to engage in writing. I would also like to thank my husband Anders Rickard Sva¨rd and my children Felicia Mona Sva¨rd and Kevin Rickard Sva¨rd that always bear with me andcontinuetobemysupport-system. Introduction Scope and audience This book has been inspired by my work in government institutions, teaching at universities, and research experiences. The book, therefore, draws on both my licentiate and PhD theses and discusses the impact e-Government development has had on information management, presents the concepts of Enterprise Content Management (ECM), Records Management (RM), Information Culture, and the RecordsContinuumModel(RCM).Alotisgoingonintheinformationmanagement field and we are witnessing different kinds of information management constructs promising to deliver the magic bullet to the challenges posed by digital information. There seems to be a realization that information is a vital resource that should be effectively managed for successful business. Despite this awareness and the fact that mostpeopleinorganizationstoday areinformationcreators,information responsibili- ties are left to IT departments, archivists, and records managers. My own work experience confirmed that very few people in my organization understood the chal- lenges posed by the management of the information they produced or used in their work processes. The current digital information landscape requires competencies from an array of disciplines, such as information architects, records managers, the business people, archivists, lawyers, business analysts, and IT personnel. Everybody has to be involved if information management is to be integrated with the business processesandusedtoitsmaximumpotential.Thisbook,therefore,shouldbeofinter- esttothedifferentprofessionsengagedinthemanagementofdigitalinformation. In theory, there are best practice standards to facilitate the management of infor- mation, but in practice, the challenges have become more complex. e-Government development has led to the development of integrated electronic services and also increased the amount of information that has to be managed. This also requires that the ownership of the information in such services is identified in order to establish who is responsible for its management. Though governments are promoting free accesstoinformation,qualityinformationhingesonrobustinformationmanagement regimes, an information infrastructure with well-integrated systems and a culture that appreciates information as a vital resource. The book therefore discusses the impact e-Government development has had on information management and high- lightsthedifferencesandsimilaritiesbetweenECMandRM.Itfurtherdiscussesthe needtoaddressthepeopleissues,whicharemanifestedinthetypeofinformationcul- tureorganizationsembrace.ItconsiderstheuseoftheRCMasamodelthatpromotes a proactive approach to the management of digital information and the pluralization ofinformationasperthePublicSectorInformation(PSI)directive. x Introduction Structure of the book The book constitutes seven chapters. Chapter 1 discusses the impact e-Government development has had on information management. The Public Sector Information Directive obliges European governments to avail government information to the citizens. Information is seen as a national resource that should boost the develop- ment of new electronic services and innovation. e-Government development further aims to increase accountability and transparency through the free flow of informa- tion. However, this will also require a robust information management infrastruc- ture to facilitate the creation, capture, management, and pluralization of quality information. Chapter 2 examines the concept of ECM as an emerging information manage- ment strategy and a field that is promoted by its proponents as the panacea to the challenges of digital information management since it enables enterprise-wide information management. It focuses on the management of both structured and unstructured content in an organization. It is a term used to cover a broad range of digital assets, including web content management,documentmanagement,andcon- tentmanagement. Chapter3focusesRecordsManagement,whichisanestablishedfieldofpractice that facilitates the management and maintenance of authentic, reliable, and complete records in societies. Good information and records management practices promoteeffective businessprocessesandtransparentandaccountablegovernments. Chapter 4 examines the two principles that govern the management of records; the Life Cycle Model and the Records Continuum Model. The Life Cycle Model applies the analogy of living organisms and presumes that records are born, live, and die. This is achieved through the phases of current, semicurrent, and non currentwhererecordsshouldeitherberetainedordisposedof.Itisregardedinsuffi- cient in the digital environment. The RCM constitutes four dimensions, create, capture, organize, and pluralize, and combines the activities of managing both archival and current records. The RCM suits the current digital environment because it views information as always in the process of becoming. The model, therefore, promotes the repurposing of information than storage. The RCM through itspluralization dimension expects informationtobe used indifferent environments and by different stakeholders. This is also in line with for example the European UnionDirectiveonthereuseofpublicinformationforinnovativepurposes. Chapter 5 focuses on the differences and similarities between ECM and RM that were identified during the pursuit of my PhD research. The research that I carried out in two Swedish municipalities and the literature review that I undertook on ECM and RM facilitated an understanding of the two information management constructs. Chapter 6 discusses the concept of information culture and the impact it has on the creation, management, and use of information in organizations. Good informa- tion and records management practices promote effective business processes. The information culture of an organization consists of attitudes and norms towards Introduction xi information and the way employees value it. This determines the management of information/records for accountability and transparency and for the execution of business processes. An organization has a mature information culture when it can easily access and use and uses information in its everyday activities. Organizations are populated by people with attitudes and behaviors that shape the success or failure of records and information management programs. The chapter uses case studies from Sweden and Belgium municipalities to demonstrate how information cultureaffectsthemanagementofpublicrecordsandinformation. Chapter 7 examines the concept of accountability and transparency and demon- strates why information management and information access are of key importance to social, cultural, and economic development. The free flow of government information enhances the democratic rights of the citizens. The only way citizens canholdthosetheyvoteintopoweraccountableforthedecisionstheymakeontheir behalfisthroughaccesstogovernmentinformation.Despitemultistakeholderinitia- tives to promote accountability and transparency, there are many citizens of the world that are still governed by nontransparent and nonaccountable governments. There is still lack of empirical evidence on the impact of transparency and account- abilityinitiativesonsocieties. ProscoviaSva¨rd 1 e-Government development and its impact on information management 1.1 e-Government development e-Governmentdevelopmentisnowaglobalphenomenonandgovernmentsareinvest- ing in the transformation of the way their institutions operate, to make them more costeffectivesothattheycandeliverefficientservicestothe citizens. e-Government is driven by policy goals of increased effectiveness, efficiency, information quality, improved interaction mechanisms, and in turn better governance tools. It aims to improve the performance of government institutions and has at its core the use of information technology and information. Scholl (2006) postulated that e-Government isaredefinitionofinformationmanagementingovernmentwithastronginstitutional impact.Italsomeanschangeinthewaypublicauthoritiesdeliverservicestotheciti- zens and a redesign of ordinary ways of doing business. e-Government is therefore transformative in nature and affects the management of human, technological, and organization resources and processes (Grant & Chau, 2006). Archmann and Iglesias (2010) argued that e-Government requires thinking organizations, a change in pro- cesses and behavior. e-Government is defined by Layne & Lee, 2001 (p. 123) as the “government’s use of technology, particularly web-based Internet applications to enhancetheaccesstoanddeliveryofgovernmentinformationandservicetocitizens, business partners, employees, other agencies, and government entities.” Fang (2002) definede-Governmentas“asawayforgovernmentstousethemostinnovativeinfor- mationandcommunicationtechnologies,particularlyweb-basedInternetapplications, to provide citizens and businesses with more convenient access to government infor- mation and services, to improve the quality of the services and to provide greater opportunities to participate in democratic institutions and processes.” Nordfors, Ericson, and Lindell (2016) postulate that e-Government links services, information anddialogue.e-Governmentinitiativeshavemeanttheuseofweb-basedtechnologies todisseminateinformation tothe citizensandhence,a two-way communication flow that has been established (Richard 1999; Worall, 2010). e-Government has therefore affected the information management landscape. This is a domain where the societal andpoliticalaimsintertwinewiththeprogressofinformationtechnology. Democratic developments take place when there is an effective flow of informa- tion between the government and its citizens (Yong, 2004). European governments are, e.g., encouraged to develop e-Government in order to establish a common EnterpriseContentManagement,RecordsManagementandInformationCultureAmidste-GovernmentDevelopment. DOI:http://dx.doi.org/10.1016/B978-0-08-100874-4.00001-6 Copyright©2017ProscoviaSva¨rd.PublishedbyElsevierLtd.Allrightsreserved. 2 EnterpriseContentManagement,RecordsManagementandInformationCulture framework where technologies can be deployed to expand services, increase trans- parency, efficiency, and inclusion (United Nations Department of Economic and Social Affairs, 2012). The European e-Government Action Plan 2011(cid:1)2015 pro- moted transparency and the reuse of data through the Public Sector Information Directive. The aim was to encourage the reuse of government information in order to produce new services but also to create more transparent decision making pro- cesses (The European Union, 2003). Governments around the world are promot- ing free access to government information. In the information society that we are all part of today, information is considered a major asset and vehicle for eco- nomic, cultural, and political achievements, enhanced by the use of information technology. Freedoms of expression and access to information are now cor- nerstones of modern democracies. Information is regarded as the oxygen of democracy and hence a promoter of good governance. Freedom of information (FOI) is underpinned by maximum disclosure and if information access is denied, there should be justification as to why (Article 19, 2002). Transparency is meant to create increased legitimacy, democratic participation, and trust in government institutions. Therefore, the principles of FOI laws include: transparency, account- ability, public participation, and information to citizens (Worthy, 2010). The importance of the right to access information held by public bodies, sometimes referred to as the right to know, has e.g., existed in Sweden for over 200 years (Mendel, 2008). Another aspect related to FOI laws that is not often discussed is the sustainability of long-term transparency. Jaeger and Bertot (2010) argued that the sustainability of long-term transparency requires that citizens can access the information that they seek regardless of format. The current digital environment has meant that govern- ments disseminate information through social media and internet enabled technolo- gies. This has long-term implications especially where the management of information is not proactively planned for. Therefore, governments need to put in place strategies that would allow long-term access to government information. The challenges of managing and preserving digital information over time are well known and call for enormous resources and a proactive approach (Bearman, 1994; Dollar, 2000;Duranti&Preston,2008). 1.2 The public sector information directive The implementation of e-Government has led to an increase in information and especially digitally born information, which puts new demands on information and records management practices (The International Records Management Trust, 2004). Central to transparent government is access to information by the general public and the media (Bohlin, 2010; Regeringskansliet, 2009). It is argued in the European Access to Official Documents Guide that: “The basic principle is that a broad right of access to official documents should be granted on the basis of equality and in application of clear rules, whilst refusal of access