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Geoff Gray MBE, MBCS
Sustainable Information Management
Linked
• Alison North’s presentation in October which provided food for thought over other possibilities available.
• Elizabeth Shepard’s presentation in Dec on opportunities.
• The IRMS conference theme of “Agents of Change”.
• March IRMS Bulletin article – Jones Lukose Ongala• Records and Information Management and TOGAF
Intro
• What do I do?• Corporate Information & Records Manager• Lewisham Homes - ALMO
• What do I class myself as doing?• Information Management – but does this cover:
• Information Exploitation• Records Management• Information & Knowledge Management • Information & Records Management• Information Governance
What do I do – according to wiki?• Information management (IM) - a cycle of organisational activity: the acquisition of information from one
or more sources, the custodianship and the distribution of that information to those who need it, and its ultimate disposition through archiving or deletion
• Records management (RM) - organizational function devoted to the management of information in an organization throughout its life cycle, from the time of creation or inscription to its eventual disposition. This includes identifying, classifying, storing, securing, retrieving, tracking and destroying or permanently preserving records
• Knowledge management (KM) - process of creating, sharing, using and managing the knowledge and information of an organization. It refers to a multidisciplinary approach to achieving organisational objectives by making the best use of knowledge.
• Content management (CM), iprocesses and technologies that supports the collection, managing, and publishing of information in any form or medium. When stored and accessed via computers, this information may be more specifically referred to as digital content, or simply as content
• Information governance (IG) - set of multi-disciplinary structures, policies, procedures, processes and controls implemented to manage information at an enterprise level, supporting an organization's immediate and future regulatory, legal, risk, environmental and operational requirements.
What have I done – as an IM
• Information Management
• Records Management
• Information Governance
• Data Protection & Information Rights
• Information Security
• Change Management
• Risk Management
• Business Processing Modelling
• Information Flow Capture
• Enterprise Architecture
What I have learned• Measured approach:
• Understand the organisations business & priorities• Evaluate the information environment& communities• Establish & analyse the organisations information needs• Elicit & model the organisations processes & information flows• Improve the information flows that support decision making
• Design and deliver a realistic and implementable IM Plan
• Support Information Admin (IAdmin):• Information ways of working (IWoW)• Information storage & retrieval
• Information Assurance
Where I have done it
• RAF Electronics Engineer - Computer and information systems
• MOD -Information Management? 2004• UK operational medical records
• SharePoint & Meridio Implementations
• MOD Classification scheme
• IM UK Operations & Overseas bases.
• EU humanitarian missions & Swedish Military
• NATO IM Development
• Iraq Inquiries system
• Afghanistan Collaborative Environment.
• Local Government
• NHS Trust
IM Plan
Sustainable Information Management
Digital Transformation Vision
“By 2020 every resident will have access to
manage their housing needs, anytime, anywhere,
and any way they choose”
Digital transformation
Two major challenges were identified:
• legacy systems and the scale of change required.
• Quality of our information.
We identified were we want to be:
• Great customer experience.
• Enriched and responsive resident portal with resident apps for smart device.
• Innovative mobile working and self-service applications.
• 2 way Mobile apps for field workforce replacing paper forms and delivering end-to-end
information flow.
• A 360 degree view of all our key data, to all of our organisation.
• staff can see all records about a property, resident and related finances from a single view
• An innovative mind-set throughout our work.
Without good quality and free-flowing information we will never deliver our vision
Housing
Management System
Corporate
Finance
records
Payroll System
Contractor
payments
Rent Cards
Income
RepairsContractor
system
Business
reporting
system
Fileshare
(Letters &
Docs)
Finance system
Asset Mgmt
HR system
Complaints
system
Income system
Payments
Task system
Contractor
Payment
system
Contractor
Contractor
Housing
Benefit System
External
Housing
System
Residents
Portal
Geo system
Prime AssetsAssets
Training
system
Teams
H&S
H&S
H&S
Environ Serv
External Digital Data
Internal Digital Data
Internal Digital Standalone Data
IntranetBOBETTE
LBL Digital Standalone
DataFinancial
Models:
Databases and
Spreadsheets
EXCHANGE
Call system
ICT
management
Telephony
ICT Helpdesk
LBL
Active
Directory
Contractor
Asset
Management
Record store
Geo system
Paper Records
Held in Off-Site
Storage
(76,000)
Spreadsheets
various
Held in filing
cabinets
EDRM
Shared Drives
Inte
rim
Sta
te
enterprise service bus
Resident portal w/ Mobile appsEnterprise Digital platform
Bi directional information flow
Mobile Apps for staff
Housing
Management System
Corporate
Finance
records
Payroll System
Contractor
payments
Rent Cards
Income
RepairsContractor
system
Business
reporting
system
Fileshare
(Letters &
Docs)
Finance system
Asset Mgmt
HR system
Complaints
system
Income system
Payments
Task system
Contractor
Payment
system
Contractor
Contractor
Housing
Benefit System
External
Housing
System
Residents
Portal
Geo system
Prime AssetsAssets
Training
system
Teams
H&S
H&S
H&S
Environ Serv
External Digital Data
Internal Digital Data
Internal Digital Standalone Data
IntranetBOBETTE
LBL Digital Standalone
DataFinancial
Models:
Databases and
Spreadsheets
EXCHANGE
Call system
ICT
management
Telephony
ICT Helpdesk
LBL
Active
Directory
Contractor
Asset
Management
Record store
Geo system
Paper Records
Held in Off-Site
Storage
(76,000)
Spreadsheets
various
Held in filing
cabinets
EDRM
Shared Drives
Futu
re S
tate
enterprise service bus
Resident portal w/ Mobile apps
Mobile Apps for staff
Staff 360 view tenants and property
Bi directional information flow
CRM
Housing Management
System
Asset
management
HR
IntegraDRS
SharePoint / Skype
Scenario
Information held in various information
storage “buckets” with no agreed structure
Limited governance in place
Information is known only by a few and
therefore withheld from the many
Reliance on staff knowledge to know where
information is held to enable searching.
Staff knowledge is cognitive and therefore
not documented
o best case scenario is that it is plural and
some staff remain with the knowledge
o worst case scenario is that it was
singular and the staff member has left,
therefore it is lost.
File serverDMS
Information Management Goal
“Getting it right”
The right info, at the right time, in the right place,
in the right way to the right person.
In practice this means staff, residents and other stakeholders will have the ability to access information they require as when and where they need it and can trust in its accuracy and authenticity.
The bedrock of any IM framework is the implementation of clear principles
Getting it wrong
• General Consequences:
• Breaches of DPA can produce fines of up to £500k (May 2018 >£800K) and could lead to a prosecution.
• Poor Health & Safety information can lead to Unlimited fines
• Bad Reputation - can lead to contractual issues.
• Poor financial recording can lead to financial losses
• Information Ownership • Key Information • Single version of truth • Information Architecture• Definition• information Quality
• Corporate Information & Records Manager • Audit, Risk & Compliance Manager • Performance Manager
Accountability Controls Assurance
EMTCEOSIROIAOStaff3rd-party
PoliciesLegislationAsset Register.Training (DPA, H&S)
Ext. AuditInt. AuditRisk RegisterICT MonitoringPerf. MonitoringICT Board
Sustainable Information Management framework
Pri
nci
ple
s
Sup
po
rt S
tru
ctu
re
Info
rmat
ion
man
age
me
nt
lifec
ycle
Information
Governance
roles &
responsibilities
policy &
procedures
lines of workOutputs
SIRO
IAO
CIRM
ARCM
Head of ICT
ICT Board
Audit & Risk
Committee
FOI
DPA
RM
Info Assets
Key Info
IM
Info Sec
Info Asset RegisterKey Info Register
Info Risk Register
FOI
DPA
Info Risk
Records MgmtInfo
Classification
Protective
Marking
Retention &
Disposal
Accept Use
DPA Sys
Asurance
Info Sec
Incident
Info Sharing
SML
FOI / DPA Monitoring
Key Info Risk
Register
Info SecInfo Risk
IG Framework
Performance
Audit
BI
Audit plan
Business Intelligence
Reporting
Classification
Scheme
Retention & Disposal
SIM Project Plan
Key Information
• Information is important in everything we do, but some will have a substantial major impact if it is not accurate. This information is called Key Information (KI)
• Two levels of KI need to be identified based on the accuracy required of the KI• Critical KI if it must be 100% at all times.• Serious KI if it must be >80% at all times.
• Not managing KI can have a serious Legislative, Reputational and Financial impact.
• The first phase of the SIM project is to work with all areas in the capture of KI, its ownership and location.
Critical Key Information examples
• Health & Safety documentation - if not accurate could result in serious injury or loss of life.
• Fire Risk Assessments
• Gas Safety Check records
• Financial recording - if not accurate could lead to significant financial losses.
• Invoices raised >£100K per annum such as from Major Works & Repairs
• Rents & Service Charges (to be charged).
• Sensitive personal information (Residents & Staff) – loss or unauthorised disclosure is a serious DPA breach.
• Safeguarding information
• Staff confidential records about religion or health.
• Legal documents within the Housing Records
• Tenancy Agreements
• Leasehold Section 20 notices
Business Process Mapping
Business process mapping refers to activities involved in defining what a business entity does, who is responsible, to what standard a business process should be completed, and how the success of a business process can be determined.
Business Process Map - Tenancy Sign up
Tenancy sign up KI Involvement
SIM KI capture informing the Digital Transformation Program
Enterprise Architecture
• Enterprise architecture applies architecture principles and practices to guide organizations through the business, information, process, and technology changes necessary to execute their strategies.
• Without the enterprise architecture in the form of the TOGAF model, it is highly likely that all concerns and requirements to implement an IRM Policy would not have been considered nor met. - Jones Lukose Ongala
IM Maturity Model Tool
• The results from the tool has enabled us to:
– Identify strengths and weaknesses in IM
– Prioritise areas of IM that need attention
– Assist in setting goals for IM capability and skills development
– Support a case for resources or initiatives to improve information and
records manage
Questionnaire
• The questionnaire was divided into 4 parts and consisted of a total of 17 questions about different aspects of IM.
– People – covering the extent to which knowledge, skill, experience and attitude of staff contribute to good IM.
– Organisation – the context in which IM operates and the support IM receives from management.
– Information Lifecycle & Quality – management of information assets and the long term access to quality information.
– Business Systems & Processes. – Electronic and manual systems and processes that support IM practices