Government

Preliminary Study
on the Core Competencies of the
Future Records Specialist

Information Management
Standards and Practices Division
National Archives of Canada

June 1996

PRELIMINARY STUDY
ON THE CORE COMPETENCIES OF THE
FUTURE RECORDS SPECIALIST

Table of Contents

EXECUTIVE SUMMARY

1. INTRODUCTION

   1.1 Objectives
   1.2 Context

2. APPROACH
3. FINDINGS

   3.1 Record Keeping in an Electronic Work Environment

   3.1.1 Development of a Record Keeping System
   3.1.2 Guidelines
   3.1.3 Management Support

   3.2 Role of the Existing IM and IT Communities
   3.3 Reaction to the Vision
   3.4 The Future Records Specialist
   3.5 Key Considerations
   3.6 Education and Development

4. ANALYSIS OF FINDINGS

   4.1 Job Model - Record Keeping Specialist
   4.2 Education and Development Implications

5. RECOMMENDATIONS

APPENDIX A: Record Keeping Vision and Example

 

EXECUTIVE SUMMARY

In the spring of 1995, National Archives initiated work on the development of a Guideline on The Management of Electronic Records in the Electronic Work Environment (EWE). The purpose of the guideline is to outline options that can help government institutions manage electronic records within an electronic work environment.

To ensure that the guideline met the needs of departments, and to encourage user "buy-in" so that the principles of the guideline would be adopted, National Archives conducted a consultation process. This process allowed representatives from across the federal government the opportunity to provide input based on their own experience with the management of electronic records. The revised guideline was issued in May 1996.

A major concern that emerged during the consultation process, was the issue of identifying "the right type of person" who would provide leadership and support as departments evolve toward the vision. To this end, Price Waterhouse was commissioned to develop a preliminary list of the core competencies (skills, knowledge, and abilities) that would be required by the future "records specialist" - the person responsible for ensuring that record keeping goes on in the organization.

The study began with a review of the vision documents for the electronic work environment and record keeping within the EWE, and a series of interviews with sponsors at the National Archives. Next, interviews were held with key informants across departments, including users and existing Information Management (IM) and Information Technology (IT) community members. These concentrated on the diversity of record keeping activities across departments, the current record keeping roles and responsibilities of the IM and IT communities, the role that the future records specialist would assume, and the related competencies that would be required.

Subsequently, a series of more in-depth focus groups were held with users, existing IM and IT community members and functional experts from corporate services (i.e., legal and financial services). These three disparate communities and their different perspectives were important for obtaining a comprehensive view of the challenges of record keeping in an electronic work environment, and the resulting competencies that will be needed by the future records specialist. In addition, the focus groups were structured to draw on ideas from individuals in positions of authority in the department as well as those in support roles.

The major findings of the interviews and focus groups were as follows:

• Most participants agreed that record keeping in the electronic work environment is growing in importance as they seek to manage the information they have created or collected, and ensure that they have a well documented trail of what they have done on the job.
• Most participants perceived that their organizations are in the very early stages of adapting the technology and applying it in the workplace and that within a department, users are in various stages of making the transition to working in an electronic work environment; some being very proficient and comfortable in this new environment; others having more difficulty making the adjustment.
• The majority of participants agreed with the soundness of the ideas reflected in the vision but were anxious about the amount of responsibility for record keeping they will have to assume to reach the vision in an increasing resource-stressed organization. They also saw the need for sub-visions to assist in making the transition to the new environment.
• It was argued that management support would be absolutely essential for the vision to evolve into reality.
• There is a perceived conflict between the IT and IM communities, and a lack of clarity concerning how and where record keeping responsibilities will be assumed in an electronic environment.
• Most participants agreed that the roles and responsibilities of the future records specialists could be categorized into 2 levels: a level 1 specialist would assume the role of a visionary, a person who understands the business functions, activities, and processes of the organization as well as its accountability requirements. This person would take a lead role in designing a record keeping system to meet these needs. A level 2 specialist would work at the operations level to assist users in meeting their record keeping responsibilities, and translating their needs into system requirements.
• Participants suggested that they would require "basic" record keeping skills to fulfill their record keeping roles. Participants require specific training in the capabilities of the technology as it relates to record keeping in an EWE (e.g. search and retrieval skills).

The findings of the research were analyzed and aggregated into a preliminary job model for the record keeping specialist. The key job functions and corresponding skills, knowledge and abilities are detailed in Figure 1 on page iii.

Given this job model there are a number of initiatives which can be taken by training organizations across the federal government, as well as other public and private sector organizations to develop the set of core competencies required to meet the vision of record keeping in an electronic work environment. Table 1 presents a summary of organizations and the steps that can be taken to promote electronic record keeping expertise in the federal government.

Job Model Overview
Record Keeping Specialist

Job Function:

Systems Designer

• Understands the business of the organization and its processes and workflows as well as the accountability needs of the organization
• Understands what types of records need to be captured in the organization
• Ensures that record keeping requirements are built into the design of business applications, work processes and management functions

Policy Driver

• Develops the rules of record keeping (i.e. policies for what needs to be captured based on the business needs of the organization; procedures; standards, practices for identification, description, classification, organization, storage, protection, retention and disposition

Retrieval Expert

• Provides access to information stored in records, and the tools for navigating through information sources in order to locate specific records for users

Advisor/Coach

• Raises awareness of senior managers and other users about the importance of records as an information resource, as well as an instrument to help meet accountability requirements
• Provides advice and guidance to users on their record keeping responsibilities and how to meet these requirements

Skills, Knowledge and Abilities for Record Keeping Specialists:

• knowledge of business functions and activities of government institutions
• knowledge of current information management and information technology concepts and practices
• knowledge of generally accepted record keeping practices
• knowledge of emerging technologies
• communication skills
• presentation skills
• coaching skills
• ability to analyze and conceptualize
• ability to translate ideas into structure
• ability to develop creative solutions

Organization	Suggested Activity
The Institute	Expand curricula to include IM modules that incorporate courses in electronic record keeping; target existing IT and IM communities.
CCMD	Include an electronic record keeping component in all management level courses.
TDC	Expand curricula to include courses in electronic record keeping.
Alliance of Libraries, Archives and Records Management (ALARM)	Encourage associations to develop training in electronic record keeping (within an IM context) under the life-long learning action plan for ALARM.
Universities	Develop continuing education in the area of electronic record keeping that will permit individuals to develop the necessary expertise in this area. Include electronic record keeping courses or modules in specific disciplines such as: Computer Science, Management Science, Law, and Public Administration.

Table 1: Education and Development Action Plan

Recommended Next Steps for the Development of Core Competencies

It is recommended that steps be taken to:

• Refine and elaborate upon the job model in order to develop a clear view of the tasks involved in establishing and maintaining a record keeping infrastructure in institutions.
• Create fora at which the IM and IT communities can come together to discuss/develop solutions concerning their roles and responsibilities for establishing and maintaining a record keeping infrastructure within the context of the vision.
• Refine and elaborate upon the core competencies required to carry out the tasks described in the job model:
  • carry out a parallel initiative to incorporate the record keeping issue in existing and emerging course programs.
• Initiate a dialogue with universities on how existing programs can be modified to incorporate record keeping issues into existing "feeder" programs such as computer science, public administration, etc.
• study the results of existing or planned record keeping pilot projects across government to develop best practices and share "lessons learned".
• develop sub-visions or intermediate steps to achieving the record keeping vision to assist managers and employees in making the transition.

1. INTRODUCTION

In the spring of 1995, National Archives initiated work on the development of a guideline on Managing Electronic Records in an Electronic Work Environment (EWE). The purpose of the guideline is to outline options that can help government institutions manage electronic records within an electronic work environment. The guideline includes the following documents:

• Electronic Work Environment (EWE) - Vision
• Record Keeping in the Electronic Work Environment - Vision
• Records/Documents/Information Management: Integrated Document Management System for the Government of Canada - Request for Proposal - Requirements
• Managing Shared Directories and Files
• Electronic Records Management Initiatives in the Government of Canada - A Directory
• EMail Policies in the Government of Canada - A Directory

To ensure that the guideline met the needs of departments and the users, and to encourage user "buy-in" so that the principles of the guideline would be adopted, National Archives conducted a consultation process on the guideline. This process allowed representatives from across the federal government the opportunity to provide input based on their own experience with the management of electronic records. The revised guideline was issued in May 1996.

An issue that emerged during the consultation process on the Vision of Record Keeping in the Electronic Work Environment, concerned who would be responsible for initiating, implementing and monitoring the progress toward the Vision. This study was commissioned to address this issue of identifying the "right type of person" to provide leadership and support to departments and users during the transition toward the vision. Its purpose is to develop a preliminary list of the core competencies (skills, knowledge and abilities) that will be required by the "future records specialist" in the electronic work environment. For the purposes of this study, the term "records specialist" refers to the person responsible for ensuring that record keeping goes on in an organization.

This study was conducted in cooperation with The Institute (PWGSC), Human Resources Development Branch - Treasury Board Secretariat, and the EWE Management Board and its Advisory Committee.

1.1 Objectives

The overall objectives of the study were to:

• assess the results of focus groups and interviews on the future of record keeping in an electronic work environment;
• begin the process of developing the core competencies for the future records specialist; and
• develop recommendations for next steps.

1.2 Context

Strong forces, including debt and deficit pressures, increased global competition and the promises of telecommunications and computing technology are driving change across the federal government. These forces have prompted the federal government to undertake a fundamental review of its programs and services. Departments are determining what activities are core to their mandates and which are not. The central thrust of this renewal agenda is to determine where the federal government should be positioned to deliver programs or services and to identify those programs and services that could be more appropriately delivered by others. The intended result of the review is to re-focus government resources on priority areas while reducing overall spending. A hypothesis that is emerging from this process of review is that the business of government will shift in focus, resulting in more emphasis on government's role in the areas of policy, safety and regulation. At the same time there will be a heightened requirement for government to be accountable for its actions. Society will expect government to be able to demonstrate that it can continue to hold itself accountable for the decisions that it makes and the direction that it sets through policy.

This fundamental restructuring of government programs and services is creating increasing demand for more timely, accurate and quality information, both internally and externally to government. The opportunities presented by technology to support these requirements (particularly at the desktop) are also leading to demands for a renewed and more integrated electronic work environment. ⁽¹⁾

"A flexible, integrated work environment which is intuitive to the functions, work processes and information needs of the employee. The environment is comprised of a standard set of work tools at the desktop thereby allowing the worker to create, manage, retrieve and re-use information intuitively and seamlessly at the right time, in the right place, in the right format, and in a cost effective manner. These functions will be performed regardless of media, irrespective of geographical location, and allowing for public access as required."
                - EWE Vision

One specific concern within the electronic work environment is that records of government decision making, and transactions that support government activities, are becoming difficult to identify, track and maintain. Records are often created, collected or received without being subject to the procedures or rules that govern when a record should be kept, where it should be kept, by whom, and for how long. Increasingly, users are questioning the status of the email messages they create and transmit - Is an email a record? Where should it be stored? How can it be retrieved? These questions address several broader issues:

• the absence of records may lead to accountability requirements not being met;
• the inability to access and retrieve records may lead to poor decision making; and
• the time wasted in accessing and retrieving records that are scattered and unorganized may lead to increased costs. ⁽²⁾

"Record keeping and accountability are built into the business processes and electronic work environment thereby ensuring that records are available, understandable and usable."
                - Record Keeping Vision

Currently, there is a wide variation across departments in the approach to, and the importance placed on, record keeping activities:

• Some departments rely heavily on being able to create, store and retrieve accurate and timely information to support the delivery of services or to meet accountability requirements. For these departments, record keeping is well entrenched in their business processes.
• Some departments have been early adopters of new technology that can facilitate the record keeping process;
• Some departments have established initiatives to address electronic record keeping. For example, steps are underway to establish prototypes that will demonstrate the management of user directories, shared directories and workflow automation;
• Some departments are currently examining the competencies that will be required by individuals who will be responsible for ensuring that record keeping goes on in organizations;

It is in this context that National Archives is attempting to provide leadership in record keeping through the development of the guideline on Managing Electronic Records in an Electronic Work Environment. A component of this leadership is the development of core competencies for the future records specialist, that can be shared with departments.

2. APPROACH

As part of this preliminary study into the core competencies that would be required of the future records specialist, it was important to gain input from a diverse audience with different perspectives on record keeping. This would provide a broad knowledge base on which to proceed and initiate acceptance of the findings.

The study began with a brief literature review of the vision documents for the electronic work environment, record keeping, and government renewal. This information, combined with interviews with the sponsors at National Archives, provided a framework on which the questions for both the interviews and focus groups were developed. This process also provided insights into the perceived problems of record keeping in an EWE for further examination in subsequent key informant interviews.

Using a structured interview protocol, interviews were conducted with key informants across departments, including users and existing Information Management (IM) and Information Technology (IT) community members. The interviews focused on the diversity of record keeping activities across departments, the current roles and responsibilities of the IT and IM communities in relation to record keeping, the role that the future records specialist would assume and the related competencies required.

Subsequently, a series of focus groups were held with users, existing IM and IT community members and functional experts from corporate services (i.e., legal and financial services). These three disparate communities were chosen in an attempt to gain different perspectives on the challenges of record keeping in an electronic work environment, and the resulting competencies that will be needed by future records specialists. In addition, the focus groups were structured to draw on ideas from individuals in positions of authority in the department as well as those in support roles.

Focus group participants were sent a copy of Record Keeping In the Electronic Work Environment - Vision as well as an example of the vision (see appendix A) in advance of the sessions. The focus group questions addressed participant reactions to the vision documents, their perspectives on record keeping in an electronic work environment, their needs as users and the implications for the skills, knowledge and abilities of the future records specialist.

3. FINDINGS

In this section, the findings from the literature review, interviews and focus groups are presented. The ideas have been grouped into themes. Every attempt has been made to present the comments of participants without interpretation from the researchers. The findings have been divided into the perspectives of "users" (i.e., anyone who creates, receives, stores, disseminates, or disposes of records) and the existing "information management" and "information technology" communities, on their reactions to the record keeping vision that had been provided to them, the role that record keeping currently plays in their departments, their perspectives on the opportunities and constraints of record keeping in an electronic work environment, and their record keeping needs. The section also includes a "high level" listing of the core competencies required by the future record keeping specialist, as envisioned by the participants. The section concludes with participant views on the education and development implications of record keeping within an electronic work environment.

3.1 Record Keeping in an Electronic Work Environment

Overall, most users were able to articulate why record keeping is important to their functions. Users from the policy areas, for example, commented that records are important because they provide a historical context or overview of the evolution of a policy. Changes to policies require that analysts can trace this evolution as part of the process of justifying future directions for the policy. Generally, users agreed that record keeping in the electronic work environment is growing in importance as they seek to manage the information they have created or collected, and ensure that they have a well documented trail of what they have done on the job.

As a starting point for the interviews and focus group sessions, participants were asked to comment on their experiences working within an electronic work environment, including how record keeping plays a role in their organization, as well as their own day-to-day activities. Most participants commented that their organizations are in the very early stages of adapting the technology and applying it in the workplace.

Representatives from the more "advanced" departments reported that they have electronic records management initiatives in place. These initiatives range from projects to identify opportunities for re-engineering records management, to projects designed to select software packages to manage electronic records.

Within a department, users are also in various stages of making the transition to working in an electronic work environment. While some users have become very proficient and operate quite comfortably in this new environment, others are having more difficulty making the adjustment. Overall, most users do not have a clear understanding of their responsibilities for record keeping, or the record keeping standards they should employ.

Participants were also asked to comment on the vision document for record keeping in an electronic work environment. While the majority of users agreed with the vision document, they were anxious about the amount of responsibility for record keeping they will have to assume to reach the vision. Given that most users are attempting to "do more with less" in a renewed government environment, they did not see how additional record keeping responsibilities could be built into their existing day-to-day activities. Most users argued that if they were expected to assume more responsibility for record keeping, a number of specific needs would have to be met. The priority needs they outlined are described in the sections below.

3.1.1 Development of a Record Keeping System

Users envision the development of a record keeping system that builds record keeping into the day-to-day business activities, where records of work processes are captured automatically, based on rules built into the design of the processes. The system must be transparent and permit choices in an interactive format, as users carry out their business activities (e.g. decisions regarding classification, storage). Moreover, the success of the record keeping system will depend on the expertise of a records specialist who is able to acquire an understanding of the users' business environment and can ensure that the record keeping system incorporates their specific needs. Some participants suggested that, over time, the records specialist would become sufficiently expert on the business of the organization and its record keeping needs.

3.1.2 Guidance

In the initial strategic planning stage, users want to be consulted on their record keeping preferences and the options available for meeting these needs. For example, users suggested that several icons could be available to identify the records associated with a particular job function. Users should be able to specify the ones that are of relevance to them to avoid their screens being cluttered with unnecessary icons.

Once the record keeping system has been designed and implemented, users will need coaching on system procedures and capabilities. The specialist will need to be available during the learning phase to act as a resource for the user's questions, and to coach users on more advanced system functionality as they master the basics of identifying records that need to be kept, disposition procedures and schedules, procedures for dealing with the collection, receipt or distribution of records, and how these can be retrieved. These records must be easily retrievable or users will not want to access them.

Users will also need ongoing coaching to ensure that their knowledge of technology and the record keeping system does not lag behind changes to the system created by the introduction of new features. In providing coaching to the user, it is important that the specialist be someone who can translate technical language into layman's terms and translate user needs into system requirements. Also, users commented that to be effective, the specialist must be helpful, non-threatening and approachable.

3.1.3 Management Support

Users agreed that the extent to which record keeping is valued by the organization depends on the level of management support dedicated to the activity. Participants commented that in the current environment, managers are more likely to review paper documents in final format and are often far removed from the record keeping process. This has had a negative impact on the status of record keeping in the organization as it is not generally recognized as a core function such as finance and personnel administration.

Users suggested that specific management support would take the form of:

• completing their own work electronically, thereby understanding and appreciating the record keeping implications;
• encouraging staff to share ideas with colleagues through electronic media;
• promoting the benefits of effective record keeping as part of the organizational culture e.g. having ready access to records that support a decision for which you are accountable;
• recognizing and communicating the value of the records specialist to the organization; and
• allowing staff time to learn new applications and recognize that initially learning to use a new record keeping system will consume time, but this time should be considered an investment in the future desired state of record keeping. Additionally, as the process evolves so that records are captured automatically at predetermined points in the regular work process, the time considerations will be less of a consideration.

Participants expressed concern that unless senior management recognizes the significance of records as an important information resource to help meet the business demands and accountability requirements of the organization, the vision cannot be achieved.

3.2 Role of the Existing IM and IT Communities

Participants indicated that there is a perceived conflict between the IM and IT communities concerning the roles and responsibilities of each community in the electronic work environment. For example, one member of a focus group expressed the belief that IT people will "absorb" the IM role and that, given a hiring decision between someone with an IM background as opposed to someone with an IT background, the IT person should be hired since people can easily be taught the records management function but few IM people could become as proficient with IT to the appropriate level. Generally, there appears to be serious disagreement over how record keeping should be carried out and by which group, with each biased toward their function assuming the lead role. IM and IT participants agreed that there is a destructive "we-they" mentality in place.

Participants also commented that a key challenge will be to re-educate the existing IM and IT communities to take on a new role. Several participants suggested that few of the exiting records management community members have the types of skills required to be the future records specialist. They suggested that the most serious skill gaps in the this community include: insufficient knowledge of existing technology and its application and future technology trends, lack of well-honed analytical skills, and a lack of knowledge of strategic planning and risk management. Participants agreed that these skills would be central to the role of the future records specialist. Similarly, participants argued that the existing information management community lacks a fundamental understanding of the importance of record keeping to the business processes and accountability needs of an organization.

3.3 Reaction to the Vision

Overall, the participants agreed with the record keeping vision document. They commented that it presents a realistic high level/global scenario for record keeping in an electronic work environment. However, participants also commented that a more detailed description of "sub-visions" or incremental steps are required to help departments make the transition toward the vision. In addition, participants commented that while the visions may be clear to the existing archives and records management community, it may not be to other communities that will play a key role in reaching the vision (e.g. IT community).

3.4 The Future Records Specialist

There was significant discussion during the interviews and focus groups about what "type" of individual would be required to fill the role of future records specialist. The discussions started with participants brainstorming a very preliminary list of the potential roles and responsibilities required to perform the job function. After reviewing their preliminary list, most participants agreed that due to the diverse nature of the role that the specialist must play, more than one "level" or stream of specialist would be required to fill this role. Most participants agreed that the list of potential roles and responsibilities of the records specialist could be categorized into 2 specific levels.

In their view, participants suggested that the level 1 specialist would assume the role of a visionary; a person who sees the "big picture" in the organization, how the business process of organization operates. This individual would also understand the accountability needs of the organization and how these must be built into the business and record keeping processes. The level 1 specialist would work at a strategic or management level.

The level 2, or line specialist would work at an operations level in the organization, assuming the role of liaison between the level 1 specialist and the users and offering support to both groups in matters involving record keeping.

The specific roles and responsibilities that participants identified for each level include:

Level 1 Specialist:

Role	Description
Visionary	Has an overview of the business of the organization and its work flow and business processes, and how different working groups within the organization interact; Understands what types of information needs to be captured in the organization, given its business and accountability structure and processes.
Policy Driver	Develops the rules of record keeping (i.e. policies for what needs to be captured based on the business needs of the organization, procedures, standards, practices for identification, description, classification, organization, storage, protection, retention and disposition). Liaises with senior management to ensure that record keeping rules are reflected in the plans, tools and techniques used to develop, implement, evaluate and audit the organization's programs and services
Systems Designer	Ensures that record keeping requirements are built into the design of business applications, work processes and management functions by working with the level 2 specialists and other communities involved in their design.
Advisor/ Coach	Provides advice on the development and modification of record keeping requirements to ensure that business and accountability requirements can be met on an ongoing basis. Keeps up-to-date with developments in the field of record keeping and share what is relevant with colleagues. Communicates with other Level 1 records specialists in other departments, at the branch or group level, and/or public sector organizations to share lessons learned and ideas for improvements.

The corresponding core competencies were summarized as follows:

Key Skills, Knowledge and Abilities

expertise in the areas of current information management and information technology concepts and practices in-depth knowledge of the business processes and accountability structures in government as they relate to different functional areas (e.g. policy, regulation) in-depth knowledge of emerging technologies ability to analyze and conceptualize ability to translate ideas into structure communication skills

Level 2 Specialist:

Role	Description
Retrieval Expert	Provides access to information stored in central reserves, and navigates through the volumes of information sources available to locate specific information for users.
Educator/ Coach	Provides advice and guidance to users on their record keeping responsibilities and how to meet these responsibilities. Monitors the record keeping activities of users. Liaises with Level 1 specialist to ensure that the changing needs of users continue to be met through the design and implementation of the record keeping system. Raises the awareness of managers and other users about the importance of record keeping to the business activities and accountability of government.

Key Skills, Knowledge and Abilities

knowledge of adult learning principles interpersonal skills presentation skills ability to explain concepts in language free of jargon ability to instill confidence in and solicit respect from the users in solving their record keeping challenges ability to assume the role of a team player knowledge of the business functions of the users ability to translate needs into solutions knowledge of business and accountability needs of the department

Participants commented that while they envision two specific levels of expertise, they do see some overlap in the roles and responsibilities of the two levels of records specialist. Participants also argued that during the transitional phase toward the record keeping vision, users will rely most heavily on the level 2 specialist for guidance and support, given that this is the individual that users will have the most direct contact with.

3.5 Key Considerations

In the discussions that followed the identification of the core competencies for the future records specialist, participants were asked to assess what other factors would have an impact on the evolution of the vision with respect to the records specialist. During this discussion, some topics invoked intense debate among the participants. While time constraints resulted in a consensus not being reached, a number of hypotheses emerged.

The most significant included:

• The expertise for the level 1 records specialist may not exist within the federal government. While the IT and IM communities are the most obvious sources for recruitment of a future records specialist, neither community has the exact combination of skills, knowledge and abilities required to fill the role. This is a highly controversial topic within the two communities, and participants expressed concern that the necessary expertise cannot be developed unless the two communities collaborate on a strategy. Without collaboration, either one or the other community will assume the role of future records specialist in a particular department, potentially losing one of the key perspectives required.
• Leveraging information technology is seen as critical to the success of restructuring and renewal in the federal government. In many cases, the IT functions are now driving the strategic planning process in departments, replacing the key position that finance and administration once held. At the same time, there is an indication that the information technology community is increasingly taking on tasks that have traditionally been considered within the domain of the IM community and vice versa. The net result could be that over time the roles and responsibilities of the future records specialist may be assumed by the IT job function, effectively eliminating a stand-alone level 1 records specialist position.
• In the information age, knowledge workers have greater capabilities to access information, to seek solutions and to provide services. As a result, while the level 2 specialist may have a key role through the transitional phase to the vision of record keeping, once a system is in place, the level 2 specialist position may not be justifiable based on the fact that knowledge workers will be empowered to carry out their own record keeping responsibilities and access their own information. The other aspect is cost. Participants expressed concern that departments may not be willing to fund this position given that resources are scarce and record keeping is not seen as a priority.

3.6 Education and Development

Lastly, participants were asked to comment on their own training requirements to make the transition to the vision. A few participants commented that they will need very little development as they have a sound understanding of technology and their record keeping responsibilities within a electronic work environment. On the other hand, some participants feel very uncomfortable with their levels of competence in the use of hardware and software and are unsure of the existence of record keeping standards and procedures, let alone how to comply with them.

Most participants fall between these two poles of understanding. As more of the responsibility for record keeping is transferred to users, it will become increasingly important that they acquire "basic skills" through training. A "basic" level of confidence would include, as a minimum, training in the following areas:

• basic awareness of the capabilities of technology as it relates to record keeping in an electronic work environment;
• an awareness of their responsibilities for the identification, description, classification, organization, storage, protection, retention and disposition of records; and
• search and retrieve/navigation skills for records, regardless of physical form or location.

Participants noted that they, and many of their colleagues are attempting to acquire computer and record keeping skills on-the-job, but time constraints, and the lack of adequate training/coaching, make this a lengthy, difficult process. Participants suggested that formal training on user responsibilities for record keeping could be offered through organizations such as Training and Development Canada, CCMD, and the Institute. Similarly, by providing formal courses in record keeping, professional organizations such as ARMA or RMI could educate users, while at the same time raise awareness of the importance of record keeping. Additionally, record keeping should be integrated into existing and emerging courses for helping people manage and deliver programs and services.

Participants from the IT and IM communities suggested that universities could offer continuing education courses in electronic record keeping to assist members of these two communities in upgrading their expertise in this area. In addition, these participants suggested that government training organizations such as the Institute and Training and Development Canada could expand their curriculum to include courses in record keeping in an electronic work environment.

The next section of the report presents a preliminary job model for the record keeping specialist in an electronic work environment.

4. ANALYSIS OF FINDINGS

This section of the report presents a preliminary record keeping job model for an electronic work environment, which is based on the results of the interviews and focus groups within the context of the record keeping vision and the example of the vision as described in Appendix A. Section 4.1 details the model itself, including the key job functions and corresponding skills, knowledge and abilities. In addition, a high level list of the main tasks for each job function is presented. Section 4.2 summarizes the education and development implications given the preliminary job model. This section also incorporates the comments and suggestions made during the interviews and focus groups.

4.1 Job Model - Record Keeping Specialist

The job model presents the preliminary list of the core competencies (skills, knowledge and abilities) given a set of key job functions. The job model aggregates the list of roles and responsibilities developed by the focus group participants into four key job functions: Systems Designer, Policy Driver, Retrieval Expert, and Advisor/Coach.

Figure 1 on page 14 presents an overview of the record keeping job model. Figures 2 through 5 provide a detailed description of the main tasks associated with each job function.

4.2 Education and Development Implications

One of the discussion points in the interviews and focus groups was the extent to which existing IT and IM community members have the necessary core competencies to take on the role of records specialist in an electronic work environment. Most participants agreed that neither community currently has all of the required skills, knowledge and abilities.

In a recent survey conducted by Duxbury, Higgins and Associates (1996) for the Treasury Board Secretariat, over 10,000 Canadian federal government public servants responded to questions that were designed to help TBS define the information technology and information management communities and their education/training requirements. Based on an analysis of responses to a question asking each survey participant to self identify themselves as IM, IT or both, it was concluded that a new combined IM/IT community was emerging. Employees in this community are more likely than employees in each of the IM and IT communities to perform all of the tasks identified with the traditional IT (computer operations; database administration and support; designing, developing and maintaining software; end-user desktop support; and IT client interface) and IM (collection, acquisition and appraisal of information; information retrieval; and the use, research and reference of information) roles. It is interesting to note that employees in the IT/IM group indicated that they spend a large amount of time completing IT related tasks.

Job Model Overview
Record Keeping Specialist

Job Function:

Systems Designer

• Understand the business of the organization and its processes and workflows as well as the accountability needs of the organization
• Understand what types of records need to be captured in the organization
• Ensures that record keeping requirements are built into the design of business applications, work processes and management functions

Policy Driver

• Develops the rules of record keeping (i.e. policies for what needs to be captured based on the business needs of the organization; procedures; standards, practices for identification, description, classification, organization, storage, protection, retention and disposition

Retrieval Expert

• Provides access to information stored in records, and the tools for navigating through information sources in order to locate specific records for users

Advisor/Coach

• Raises awareness of senior managers and other users about the importance of records as an information resource, as well as an instrument to help meet accountability requirements
• Provides advice and guidance to users on their record keeping responsibilities and how to meet these requirements

Skills, Knowledge and Abilities for Record Keeping Specialists:

• knowledge of business functions and activities of government institutions
• knowledge of current information management and information technology concepts and practices
• knowledge of generally accepted record keeping practices
• knowledge of emerging technologies
• communication skills
• presentation skills
• coaching skills
• ability to analyze and conceptualize
• ability to translate ideas into structure
• ability to develop creative solutions

Job Model Overview
Record Keeping Specialist: Systems Designer

Job Function:

Systems Designer

• Understands the business of the organization and its processes and workflows as well as the accountability needs of the organization
• Understands what types of records need to be captured in the organization
• Ensures that record keeping requirements are built into the design of business applications, work processes and management functions

Main Tasks:

• keeps up-to-date with developments in record keeping and related fields and shares what is relevant with colleagues
• as part of the senior management team, ensures that record keeping is a component of strategic and operational plans
• develops an understanding of the needs and concerns of the whole organization i.e., across functions, attempts to find common solutions, thus a avoiding "stove-pipe" record keeping; demonstrates to senior management the advantages of incorporating record keeping in daily operations and suggests mechanisms to support its use; participates in professional development activities that earn the respect of peers, superiors and subordinates in the records management and related communities
• formulates action plans from high level strategies
• analyzes both the current and future record keeping needs of the organization and its users, and develops practical solutions
• develops relationships and communications channels with management, peers and users that support a culture which recognizes the importance of record keeping within the context of business processes and accountability structures

Skills, Knowledge and Abilities for Systems Designers:

• knowledge of business functions and activities of government institutions
• knowledge of current information management an information technology concepts and practices
• knowledge of generally accepted record keeping practices
• knowledge of emerging technologies
• communication skills
• presentation skills
• coaching skills
• ability to analyze and conceptualize
• ability to translate ideas into structure
• ability to develop creative solutions

Job Model Overview
Record Keeping Specialist: Policy Driver

Job Function:

Policy Driver

• Develops the rules for record keeping (i.e. policies for what needs to be captured based on the business needs of the organization; procedures, standards, practices for identification, description, classification, organization, storage, protection, retention and disposition of records)

Main Tasks:

• develops and continuously improves record keeping practices that are relevant to the organization's business functions, activities and processes
• learns latest proven record keeping tools and information technology
• identifies ways of making record keeping transparent to users
• shares ideas with peers in the IM and IT communities
• continuously assesses user needs

Skills, Knowledge and Abilities for Policy Drivers:

• knowledge of business functions and activities of government institutions
• knowledge of current information management and information technology concepts and practices
• knowledge of generally accepted record keeping practices
• knowledge of emerging technologies
• communication skills
• presentation skills
• coaching skills
• ability to analyze and conceptualize
• ability to translate ideas into structure
• ability to develop creative solutions

Job Model Overview
Record Keeping Specialist: Retrieval Expert

Job Function:

Retrieval Expert

• Provides access to information stored in records, and the tools and techniques to help navigate through the volumes of information sources available to locate specific information for users

Main Tasks:

• locates records at user request
• conducts searches using various search and retrieval techniques
• provides guidance on information sources

Skills, Knowledge and Abilities for Retrieval Experts:

• knowledge of business functions and activities of government institutions
• knowledge of current information management and information technology concepts and practices
• knowledge of generally accepted record keeping practices
• knowledge of emerging technologies
• communication skills
• presentation skills
• coaching skills
• ability to analyze and conceptualize
• ability to translate ideas into structure
• ability to develop creative solutions

Job Model Overview
Record Keeping Specialist: Advisor/Coach

Job Function:

Advisor/Coach

• Raises awareness of senior managers and other users about the importance of records as a source of information for the delivery of programs and services, as well as an instrument to help meet increased accountability requirements
• Provides advice and guidance to users on their record keeping responsibilities and how to meet these requirements

Main Tasks:

• encourages management support for record keeping activities
• represents the department in the record keeping community
• Are expertise with peers and other members of the department
• guides and coaches users on effective record keeping practices
• works with users to interpret needs into functionality of the system and practices
• inspires confidence in the system's reliability
• acts as a resource for research, record keeping and systems issues

Skills, Knowledge and Abilities for Advisor/Coaches:

• knowledge of business functions and activities of government institutions
• knowledge of current information management and information technology concepts and practices
• knowledge of generally accepted record keeping practices
• knowledge of emerging technologies
• communication skills
• presentation skills
• coaching skills
• ability to analyze and conceptualize
• ability to translate ideas into structure
• ability to develop creative solutions

Overall, the Duxbury study indicates that the IT/IM group are the most diverse with respect to the types of tasks they do. Duxbury suggests that the IT/IM role is poorly understood in many departments and employees within this group are expected to be "jack-of-all-trades". However, for the purposes of the record keeping job model outlined above, the IT/IM group most closely reflects the combination of skills, knowledge and abilities that will be required to carry out the corresponding record keeping job functions.

Given this scenario in addition to the examination that was made of other education/training initiatives underway, there are a number of steps which can be taken by training organizations across the federal government as well as in other public and private sector organizations, to develop the set of core competencies required to meet the vision of record keeping in an electronic work environment. Table 1 presents a summary of organizations and the steps that can be taken to promote electronic record keeping expertise in the federal government.

Organization	Suggested Activity
The Institute	Expand curricula to include IM modules that incorporate courses in electronic record keeping to target existing IT and IM community members.
CCMD	Include an electronic record keeping component in all management level courses.
TDC	Expand curricula to include courses in electronic record keeping
Alliance of Libraries, Archives and Records Management (ALARM)	Encourage associations to develop training in electronic record keeping (within an IM context) under the life-long learning action plan for ALARM
Universities	Develop continuing education in the area of electronic record keeping that will permit individuals to develop the necessary expertise in this area. Include electronic record keeping courses or modules in specific disciplines such as: Computer Science, Management Science, Law, and Public Administration.

Table 1: Education and Development Action Plan

5. RECOMMENDATIONS

Based on the results of the interviews, focus groups and review of the literature, it is recommended that steps be taken to:

• refine and elaborate upon the job model in order to develop a clear view of the tasks involved in establishing and maintaining a record keeping infrastructure in institutions.
• create fora at which the IM and IT communities can come together to discuss/develop solutions concerning their roles and responsibilities for establishing and maintaining a record keeping infrastructure within the context of the vision.
• refine and elaborate upon the core competencies required to carry out the tasks described in the job model;
   

• carry out a parallel initiative to incorporate the record keeping issue in existing and emerging course programs.
   

• initiate a dialogue with universities on how existing programs can be modified to incorporate record keeping issues into existing "feeder" programs such as computer science, public administration, etc.
• study the results of existing or planned record keeping pilot projects across government to develop best practices and share "lessons learned".
• develop sub-visions or intermediate steps to achieving the record keeping vision to assist managers and employees in making the transition.
• develop evaluation criteria that can be used to measure effectiveness.

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APPENDIX A

Record Keeping Vision and Example
(package distributed to focus group participants)

Record Keeping in the
Electronic Work Environment
- Vision -

Information Management Standards and Practices Division
National Archives of Canada

May 1996

Table of Contents

VISION STATEMENT

INTRODUCTION

STRATEGIC DRIVERS

OUTCOMES

PREREQUISITES

Prerequisites of the Users
Prerequisites of the Organization

REQUIREMENTS

Management Requirements
People Requirements
Record Keeping Requirements
Technology Requirements

VISION STATEMENT

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Record keeping and accountability are built into the business processes and electronic work environment thereby ensuring that records are available, understandable and usable.

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INTRODUCTION

Information is often created, collected or received in today's office systems environment without being subject to the procedures or rules that govern such factors as when a record should be kept, where it should be kept, by whom, and for how long. For instance, email messages and other electronic documents are often transmitted without the benefit of built-in rules for routing and filing. Concerns have been raised that records of government decision making and transactions that support government activities, especially those in electronic form, are difficult identify, track and maintain.

For the purpose of this document, record keeping is defined as the act of capturing and maintaining records in an available, understandable and usable form to meet business and accountability requirements throughout their life cycle. This document presents a vision of record keeping in the electronic work environment, and how it can be applied consistently within institutions and across government.

STRATEGIC DRIVERS

The record keeping vision is based on strategic drivers that are placing demands on organizations to change the way in which they carry out their responsibilities for record keeping. These strategic drivers are as follows.

• Increased recognition at the executive level that records are an important information resource as well as an instrument to help meet increased accountability requirements.
• Increased recognition by the public that new communications technologies (i.e. the information highway) will close the gap between the government and society and enhance the potential for permitting the public to more directly review the conduct of government business by electronically accessing its records.
• Increased demand to reduce costs through the redesign of work processes, the keeping of only those records that are required to be kept, the reduction or elimination of paper, the automation of manual records classification and filing operations and the reduction in the number of staff responsible for such operations.
• Increased shift to consider the electronic rather than the paper record as the defacto record of doing government business.
• Increased recognition of user responsibility for record keeping and a willingness among users to assume such responsibility as long as it does not present an undue burden.
• Increased availability of technologies that will permit record keeping to be placed "behind the screen" such that it is transparent to users and permits flexibility in records storage strategies (i.e. centralized, decentralized, distributed, etc.) which, in turn, will enhance the need to adopt more varied and innovative ways of managing records.
• Increased concern about the ability of government to preserve those records it needs to support the delivery of programs and services and to meet the accountability requirements of various laws and policies.

OUTCOMES

The achievement of the vision will lead to the following outcomes.

• Government institutions plan for, create, collect and maintain adequate, reliable, purposeful and usable records in the normal course of business.
• Government records are identified, described, classified, organized, stored and protected so that they remain accessible for as long as needed by government and the public.
• Government officials understand the function of records and apply good record keeping principles based on policies, procedures, standards and practices developed by authorized officials.

PREREQUISITES

In order for the outcomes to be achieved, the following prerequisites must be accomplished.

Prerequisites of the Users

• Users understand their responsibilities for ensuring the identification, description, classification, organization, storage, protection, retention and disposition of the records created, collected or received as a result of their business activities.
• Users have access to tools, procedures and expertise to help them ensure that their record keeping responsibilities are carried out in an effective and transparent manner.
• Users know that relevant records are being kept and that they can retrieve them when they need them to support their work, as well as the work of others, and to permit them to meet their accountability requirements.

Prerequisites of the Organization

• The organization ensures the development of rules for record keeping (i.e. policies, procedures, standards and practices for the identification, description, classification, organization, storage, protection, retention and disposition of records).
• The organization ensures the dissemination of the rules to those who are responsible for the delivery of the organization's programs and services.
• The organization ensures that the record keeping rules are reflected in the plans, tools and techniques used to develop, implement, evaluate and audit the organization's programs and services.
• The organization ensures that advice is provided on the development and modification of record keeping requirements to ensure that business and accountability requirements can continue to be met.

REQUIREMENTS

To achieve the vision of record keeping, the following management, people, record keeping, and technology requirements must be met.

Management Requirements

The following management requirements are needed for effective record keeping across the organization.

• Senior management understands and supports the role of record keeping in the delivery of programs and services and has assigned accountability for record keeping across the organization.
• Plans, policies, procedures, standards and practices are in place to ensure that records are available, understandable and usable for as long as there exists a business need, a legislative or policy requirement, or an historic or archival importance.
• Roles, responsibilities and accountability of those responsible for the policies, procedures, standards and practices for record keeping are clearly defined.
• Guidelines and controls for record keeping are integrated into the business processes in a manner that permits users to carry out their record keeping responsibilities in a seamless and transparent manner.
• Users are provided with criteria to permit them to identify records within the context of their business activities, and with the retrieval tools necessary to access and retrieve the records they require to support decision making, the delivery of their programs and the ability to hold themselves accountable.
• A consistent approach to the identification, description, classification and organization of records has been adopted to ensure their ongoing intellectual control and access.
• A consistent approach to the storage, protection, retention and disposition of records has been adopted to ensure that records are retained for only as long as necessary regardless of their physical location.

People Requirements

People are the key to successful record keeping, and organizations need to ensure that people have the appropriate knowledge and skills required to support the business and accountability needs of the organization. People requirements include the following.

• A corporate culture in which users at all levels understand their responsibility for keeping records.
• A willingness to share information and to maintain a spirit of openness and trust.
• A continuous learning environment to ensure that record keeping knowledge and skills for all staff are current and relevant.
• Relevant skills supported by the those who are responsible for designing, with clients, records capture and records access and retrieval systems.
• Respect by users for the knowledge and abilities of those responsible for facilitating the application of record keeping standards and practices and a willingness to seek out their services.

Record Keeping Requirements

The following record keeping requirements must be met across the organization.

• Appropriate records are kept as evidence of business activities.
• Records must have sufficient content, context and structure to provide evidence of the activities they document.
• Records remain available, understandable and useable for as long as they are needed for business and accountability purposes.
• Records are preserved and protected from accidental or intended damage, destruction and unauthorized access.
• Records of historic or archival importance are identified and stored in a manner that ensures their preservation.
• Records not of historic or archival importance are destroyed or otherwise disposed of when no longer required, in accordance with Records Disposition Authorities approved by the National Archivist.

Technology Requirements

As business applications, work processes and management functions are automated, record keeping requirements should be built into their design. Based on a technology infrastructure of networks, servers, communications facilities and workstations, the technology requirements for record keeping include the following.

• Networks that connect clients, users and functional specialists with local and distributed record keeping systems and services they require and share.
• Servers, particularly file, mail and information servers (e.g. data warehouses, databases, and document libraries) which provide processing services, storage and access/retrieval services.
• Communication facilities and workstations to facilitate access to record keeping services and to facilitate access, transmission and use of records where and when needed.
• Standardized, interconnected tools implemented throughout the infrastructure to facilitate the management of records throughout their life cycle, from creation, collection or receipt through to disposition.

The following example is an extract from:

John McDonald, 'Managing Records in the Modern Office: Taming the Wild Frontier', Archivaria 39, (Spring, 1995), pp 7-79

"What will this future look like? Right now my screen is full of icons that represent the "toolbox" of utilities (e.g. word processing, spreadsheet, email, database, etc.) That I need to do my work. In the future, and as a program manager, I want a screen that contains icons that reflect my business. In my own environment at the National Archives, I would like the icons to be based on the Operational Plan Framework (or OPF) of my department, the National Archives.

Every Canadian government department is required to have an OPF that describes its functions and activities. It is extremely important because it is used as the basis for the management of resources, reporting to parliament and performance measurement. An OPF is much more stable than an organization chart because it is based on functions and activities that tend to remain constant over time. For instance, the OPF of the National Archives has been in place since 1990 and has survived and indeed facilitated the reorganizations that we have experienced over those years.

All of the activities and sub-activities of the National Archives are related to its four functions: Services, Awareness and Assistance; Management of Government Information; Holdings Management, and; Administration. My own Division, which advises government departments on the application of standards and practices to the management of records, is responsible for nine activities that support three of these functions. All of the division's resources, its initiatives, everything that it does and for which I am accountable, are managed and reported on in accordance with the following activities: "development" of standards and practices, "advice", "professional development", "evaluation", "program support-Canadian", "program support-international", "related operational" activities, "planning" activities and "administration". These are the icons that I want on my screen.

An example might help to illustrate what I mean and how this is relevant directly to record keeping. When I click on 'development', for instance, I want to be provided with options that permit me to establish a project (e.g. on a guide on essential records), monitor a project, write a memo on the project, or organize a meeting about the project. But rather than have to develop a project proposal, or a project control sheet or even a memo from scratch, I would like to see the project proposal form already set up (through the development of style sheets and macros based on the use of the word processing or project management software) in a way that reflects the format and rules that my division has decided upon for developing project proposals. When I click on the routing list for my proposal, rather than having to select from all of the names of the staff in the National Archives, I want to see the names of those people who normally receive 'development' project proposals. I also want to know, as the proposal is sent, that the record keeping rules that were designed into the applications for documenting and otherwise supporting the tasks associated with the management of development projects are respected. Above all, just as I recognize my accountability for finance and personnel, I would like to think that I was able to carry my responsibility for applying the record keeping rules of the organization in a manner that supported, directly, the accountability and business requirements of my program. Naturally, I would also like to think that I could count on a facilitator (the records manager?) to help me meet my responsibilities.

Similarly, if I need to send a draft of the annual report to the ICA Electronic Records Committee to the committee members, I would click on "Program Support - International" and be presented with a suite of pre-designed and inter-connected utilities that would permit me to develop a covering letter, attach the report and send the package to the members (via the mail or internet) and to the people to whom I automatically carbon copy all Committee business. Again, all of the record keeping (tagging, storing, etc.) would happen automatically based on rules and criteria that were developed by the "records manager", in consultation with myself and my managers within the context of the organization's need to avoid corporate amnesia. There would be no "filing" icon. The rules for defining and establishing how the content, context, and structure of the records of the actions and transactions of my division's business activities are to be kept would have been set beforehand and designed into the applications - that is, behind the screen..

If I or any of my staff wanted to retrieve records then they could click on the "information locator" icon which would serve as a corporate 'gopher' (again pre-designed) that would search for records, information, and data regardless of where they were located. The mechanics involved in enabling this to happen would be designed into the navigation utilities located behind the screen. The need for a central repository of electronic and even hard copy records would diminish with the increase in the sophistication of the tools that I would employ to access and retrieve not only records but any information that we needed to support our work. I would not care if I was dipping into the records office or the library. All I want to know is that I received or gained access to all the information that I wanted and that it appeared before me in a way that was available, understandable and usable. Again I would like to think that I could count on a facilitator (the librarian?) to help me respond to my own access and retrieval needs, preferably by working with technical people and the records manager (i.e. the person who understands context) to develop and integrate the appropriate tools and place them behind the screen."

1. National Archives, Electronic Work Environment (EWE) - Vision Prepared for the EWE Management Board, 1995.

2. National Archives, Record Keeping in the Electronic Work Environment - Vision. 1995.