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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


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


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


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


DLM April 2008 5

IMA Assessment

0102030405060708090

100Programme Management

User Support

EDRMS


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


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


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


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


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:


User Support

Organisation &



Training& Education

EDRM Specification


Corporate IM Architecture


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


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


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


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)


DLM April 2008 14


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


User Support

Organisation &



Training& Education

EDRM Specification



DLM April 2008 16

Any Questions

Martin WaldronIn-Form Consult

www.inform-consult.com