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