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© 2008 Inform Consult Ltd
DLM April 2008 1
Corporate Information Architecture
Martin WaldronIn-Form Consult
Topics
Corporate Information Management Drivers for e-records
Information Architecture Framework– Case Study Illustrations of Issues
Bridging Information & Compliance
© 2008 Inform Consult Ltd
DLM April 2008 2
Corporate Record Management Drivers
ClassicComplianceEmerging
Drivers for Corporate Information Management
Information Chaos– Silos of Information & no
corporate view– Misplaced & Lost Documents
Security– Fraud– Misuse– Disclosure– Loss
Availability – Customer Service– Productivity– Staff Moral
Compliance & Audits– Regulator– Freedom of Information Act– Data Protection Act– Auditors Requirements
Corporate Governance– Responsibility – Stakeholders – Public Responsibility – E-discovery
© 2008 Inform Consult Ltd
DLM April 2008 3
Records Management Business Drivers
- 1,000/1,000+-1,000/1,000+No. of Staff
%-%Business Driver
38/26 36/28.3Improve Efficiency
37/4731/38.1Compliance & Risk Management
North AmericaEuropeBusiness Driver
Business Drivers for Records Management
AIIM Survey 2008
Two Worlds of Information Management
IM/RM Dept
Organise√
Manage ?
Compliance Dept
Control & Comply
Corporate Information
Management Architecture
User
© 2008 Inform Consult Ltd
DLM April 2008 4
Issue: stakeholders are not sharing a common language and approach
Records manager
Business Analyst
End User
Systems IntegratorArchivist
Regulator
Corporate IM Architecture Framework
Programme Management
User Support
Organisation &
ManagementCompliance
Fileplan Development
Training& Education
EDRM Specification
CorporateInformation Architecture
© 2008 Inform Consult Ltd
DLM April 2008 5
IMA Assessment
0102030405060708090
100Programme Management
User Support
EDRMS
Fileplan Development
Compliance
IM Organisation
Education & Training
Financial Investment
Goals Corp Assessment 1
IMA Assessment
Case Studies – Typical Information Issues & Challenges in Large Corporations
Oil Company– User Buy In– Fileplan – Asset Based
Law Enforcement agency– Complex Organisation– Executives Disinterest– Paper Driven
International Financial Group– National, USA & European Regulations– Compliance Issues– Standardisation
© 2008 Inform Consult Ltd
DLM April 2008 6
SinglePoint of
Authority
O & G Corporate Transformation Map
People and Organisation2006
2008
Sources: D&C Task Force PID, Angola Programme IM Strategy, DM Workshop Nov06, User Interviews
Can’t find what youneed or even where
to look
No processes in place to supportfull collaboration
No help availableto improve current
document organisation
No training ingood doc
managementpractice
Tools available tosupport users
eg onlinetraining guides
Properlyresourced to
get the job done
Keep everyoneinformed of what
is going on
Win hearts & minds and build trust that things
will improve
People too busyto tackle the
problem
Ownership notclearly defined
‘It’s part of yourjob – like safety’ –you are measured
on it
User friendly& intuitivesolutions
Filing is systematic-right documentis in right place
-always
“Ruthless standardisation”
Built in tojoiner & leaver
processes
Formal handoverof ‘official’
documents viadoc controller
process
Regular monitoringand review – just
like safety
Full audit trail,readability etc
maintained overfull lifecycle
Transformation MapTechnology2006 2008
Sources: D&C Task Force PID, Angola Programme IM Strategy, DM Workshop Nov06, User Interviews
Disparate solutions- not
interconnected
Few controls in place to prevent
unauthorisedaccess
Poor responsetimes – eg in Luanda
Not accessible byall participantseg 3rd parties
Searchable through‘single search’
facility
Document structureis fixed but ‘user view’ iscustomisable
Docs available atpoint-of-need
and attime-of-need – to
whoever isauthorised to request them
eg business userauditor orregulator
Access controls maintained acrossall search types
It’s the documentthat matters not
the system which stores it
© 2008 Inform Consult Ltd
DLM April 2008 7
Lifecycle Management Model
PersonalWorkspace
SharedWorkspace
CorporateWorkspace
Loca
l
Net
wor
ked
Team
Doc
umen
ts
Pro
ject
Doc
umen
ts
Topi
c-re
late
dD
ocum
ents
Con
trolle
dD
ocum
ents
Pape
r(e
lect
roni
c in
dex)
Corporate Document Virtual Repository
ABU document(controlled)
Team document(draft or managed)
My document(draft)
User
DocumentcontrollerHandover
Arc
hive
dD
ocum
ents
EngineeringTechnicalPractice
Asset-Based Filing Scheme
Well
SPUPolicy
HydrocarbonReportingPartner
Approvals Operating Licenses
Joint VentureAgreements
Legal
Communications GovernmentRelations
PropertyManagementCentral HQ
Engineering ISSOW Contracts
SafetyIncidents Rig Surveillance
Block
Project
DevelopmentPlan
ReservoirEngineering
ReservesReporting
SedimentologyField
End of WellReports
Daily DrillingReport
WellSoR
Petrophysics Well Test DataEnvironmental
Impact
Example Documents
© 2008 Inform Consult Ltd
DLM April 2008 8
Law Enforcement Organisation
45,000 Workforce300 Business Units700 Record Series1,000 Record Keeping Requirements30 + Pieces of Legislation & DirectivesIngrained Paper Culture
360 - Recruitment ACTIVITY
The activity of recruitment is distinct from managing employment. [360 - Agency Files] Case File
A file is maintained for each recruitment agency which the MPS uses or engages in correspondence with. Excludes tendering exercises to select preferred agencies. [360 - Job Position Files] Case File
The file for a specific job position that is being recruited. Refferals; Advertising; Sourcing plans; Request letters; Decision notes/letters; Managing campaigns; agency briefing documentation; attraction plan; media messages; job adverts; purchase order for agency;event feedback; event effectiveness report; graduate engagement plan; staff association engagement plan; borough engagement plan; business engagement plan; Met careers engagement plan; Applications; Interview plans; Interview notes; Test results; Assessment notes; Security vetting forms; medical forms; Certificates; Police Officer Selection papers 360 - Attracting Candidates Task
Sub-folder for Job Position File Refferals; Advertising; Sourcing plans; Request letters; Decision notes/letters; Managing campaigns; agency briefing documentation; attraction plan; media messages; job adverts; purchase order for agency;event feedback; event effectiveness report; graduate engagement plan; staff association engagement plan; borough engagement plan; business engagement plan; Met careers engagement plan; 360 - Managing Appeals by Unsuccessful Candidates Task
Sub-folder in Job Position file Appeal letters; Decision letters; Appeal notes
360 - Position File - Administering Offers Task
Sub-folder of Job Position File Offer letters; Contracts, Terms and Conditions Information on this file may also be stored on the personnel file under "360 - Personnel File - Recruitment" 360 - Position File - Inducting a New Recruit Task
Sub-folder of Job Position File Information may also be held on the Personnel File under "360 - Personnel File - Recruitment" 360 - Position File - Selecting Candidates Task Sub-folder of Job Position file Applications; Interview plans; Interview notes; Test results; Assessment notes; Security
Regulation of Investigatory Powers Act 2000
Regulation of Investigatory Powers (Source Records) Regulations 2000 SI No. 2725
Police Act 1996
PACE - Police and Criminal Evidence Act 1984
MPS Security Code
MPS Property Manual
MPS 'Police Use of Firearms', 1 May 2004
MPA Contract Regulations
Limitation Act 1980
Licensing Act 1964
Home Office Codes of Practice on Accessing Communications Data
Home Office Code of Practice on Covert human Intelligence Sources
Finance Manual
Data Protection Act 1998
Criminal Procedures and Investigations Act (CPIA) 1996.
Criminal Justice and Courts Services Act 2000
Crime and Disorder Act 1998
Childrens Act 1989
ACPO Police Dog Training and Care Manual 2002
ACPO Crime Committee Manual (April 2000) on Major Incident Room Standardised Administrative Procedures (MIRSAP)
IMA Main Programme Streams
EDRM ProcurementPaper Registry Replacement SystemCorporate Fileplan DevelopmentPaper/Physical Asset Archive StrategyBusiness Process Change Stricter Compliance Requirements
IssuesNational Standards – inter-force collaborationCorporate Barriers
– RM Low Profile – Lack of Senior Management Support– SAP & other factions
© 2008 Inform Consult Ltd
DLM April 2008 9
Training & Educational Programmes
Corporate IM Team85 Local Information ManagersTraining Levels– Senior Management
Seminars– Information Managers
RMComplianceSoftskills
– User TrainingBasic Record KeepingCompliance awareness
On-Line HelpOn-going User Assessment Programme
Information Management Learning Resource
MPS RM 3 - Information Management
Skills Gap Development
MPS RM 2 - FOI Programme Guidelines
MPS RM 1- Record Management Basics
Skills Audit
Review of Current Information Management/Records Management Practices and Standards
Core Programme Modules
Group work and facilitated discussionFormat:
What is a record?General terminology and definitionsInformation as an organisational
resource
Illustrative Topics:
One dayDuration:
To introduce participants to the fundamental principles of information and records management, as a foundation for their work as IMs
Learning Objectives:
Managing MPS Information: Principles and ConceptsTitle:
One dayDuration:
To introduce participants to the key elements of a records and information management system and to relate these to the work of the MPS
Learning Objectives:
Managing MPS Information: IM Methodologies
Title:
Programme Management
User Support
Organisation &
ManagementCompliance
Fileplan Development
Training& Education
EDRM Specification
CorporateInformation Architecture
Corporate IM Architecture
© 2008 Inform Consult Ltd
DLM April 2008 10
IM Organisation
ExecutiveBoard
IM Executive
IM/RMDirector
Records Management
GroupArchives GroupBusiness unit IM
Managers
IT Director
Training & Monitoring
Compliance Manager
IM Organisation Units/Executives
Information Architecture Design Tools Review
Limited set of tools available for developing records managementinfrastructure
– MS Word
– Spreadsheets
– EDRM systems
Main Requirements:– Data entry / term linking was extremely time consuming
– Difficulty in managing the full suite of relationships required between compliance requirements and stakeholders
– Limited import/export Information Architecture and reporting functionalityMultiple jurisdictions,
Multiple EDRM systems
IA Design tools now available ref www.a-k-a.com.au
© 2008 Inform Consult Ltd
DLM April 2008 11
International Financial Group
Worldwide OperationsGrowing Regulatory Pressures Disparate IM/EDRM SystemsCentral Compliance Group
Corporate Compliance Group
Centrally managed Group Taxonomy
Group Taxonomy Structure (Classes)
Legal/Regulatory Requirements
(Source)
Legal Source Data & Research
General Business Users & Applications
Records Management Control Systems
External Legal Advice
Legal Rule Application & Interpretation
Read (Browse/File Transfer)
Provide RecordsFileplans RM Services Content management
Regulatory Archives
UBS Rules -Jurisdictional Exceptions
UBS Global Rule
Country Operations
Corporate Model Mappedto IM Architecture
In Scope
Centrally managed Group Taxonomy
Group Taxonomy Structure (Classes)
Legal/Regulatory Requirements
(Source)
Legal Source Data & Research
General Business Users & Applications
Records Management Control Systems
External Legal Advice
Legal Rule Application & Interpretation
Read (Browse/File Transfer)
Provide RecordsFileplans RM Services Content management
Regulatory Archives
UBS Rules -Jurisdictional Exceptions
UBS Global Rule
© 2008 Inform Consult Ltd
DLM April 2008 12
DIRKS -
Corporate Information Management Practices & Control
Taxonomyuse to
describe records Businessprocesses that generate records
Retention
policies for
managing the
records lifecycle
Regulatory &
Compliance
Requirements
Intellectual Architecture
Control
© 2008 Inform Consult Ltd
DLM April 2008 13
Fileplan Development Architecture
Disposal Report
Current retention, review and disposal rules, Linked to Sources and Stakeholders.
300-101 Investigating (Activity) The activity of inquiring into criminal activities. Includes technical and scientific evidence. Specific case (crime?) file - may include: . Forensic evidence . Witness Statements . Suspect’s Interviews Recordkeeping Requirements for DETECTING / Investigating Ref Description of Records / Disposal Action Recordkeeping Source Stakeholder Number Disposal Classes Requirements AUDIO Audio recording - Taped Interview Destroy 7 years after date Retention RECORDIN of conclusion of Required as evidence: Criminal G prosecution or decision not Procedure and Investigations to proceed Act (CPIA) 1996, items 5.6 - 5.9 Code of Practice and Special Notice 13-00. Threat of civil litigation (Limitation Act 1980). S0009 MPS DPCS8 Criminal Procedures MPS DPCS8 Central and Investigations Property Services Act (CPIA) 1996. S0005 MPS CO30 Limitation Act 1980 MPS CO30 Criminal Justice Office CJU Manager Criminal Justice Unit Manager B101 Premises Search book Retention Need for investigation. (Police and Criminal Evidence Act PACE 1984). Threat of civil litigation (Limitation Act 1980)
© 2008 Inform Consult Ltd
DLM April 2008 14
© 2008 Inform Consult Ltd
DLM April 2008 15
IMA Tool Typical Functions
Records Managers and Information Architects– tool for building and documenting taxonomies, thesauri
and records retention and disposal schedules– Links into Legislative and Stakeholder Requirements– Database for holding information– Provides queries and reporting features– Tools to import and export the data
XML Export Direct Export to EDRM systemsMS directory structure)
– Supports the DIRKS design methodology
EDRMS users– Online HELP tool– Describes each area in the fileplan– Search by subject/term to find where occurs– Web Reporting tools to assist users decide where
documents should go
Corporate IM Architecture Modules
Programme Management
User Support
Organisation &
ManagementCompliance
Fileplan Development
Training& Education
EDRM Specification
CorporateInformation Architecture
© 2008 Inform Consult Ltd
DLM April 2008 16
Any Questions
Martin WaldronIn-Form Consult
www.inform-consult.com