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					Welcome to the Information Asset Management (IAM) Maturity Model &
Assessment Tool.
Information is the basis of most activity in the public sector. It is used for planning, decision making and
customer service. The better information is managed, the more effective these activities will be.

An asset in this context is a definable piece of information, stored in any manner which is recognised as
'valuable' to the agency. Information assets include documents, emails, web content, business data, images,
video and other content in both physical and digital form.

Irrespective of the nature of the information assets themselves, they all have one or more of the following
characteristics :

• They are recognised to be of value to the agency,
• They are not easily replaceable without cost, skill, time, or resources,
• They form a part of the agency's corporate identity.

Information assets need to be classified, structured, validated, valued, secured, monitored, measured and
managed efficiently and effectively. GCIO is leading a program to assist agencies improve the management of
their information assets. This program provides assistance and support in the classification, storage, search,
To effectively manage information assets agencies may also wish to implement an Information Asset
Management System (IAMS). These systems are particularly important in the management of full and accurate
records.

This Assessment Tool will assist agencies identify their information management priorities and when necessary
prepare a business case to obtain funding to implement IAM systems.


The Information Asset Management Maturity Model & Assessment Tool have been developed as a guide for
NSW Government agencies. Results obtained from using the Assessment Tool are the responsibility of
individual agencies and the Government Chief Information Office accepts no liability for the outcome of any
decisions made in agencies as a result of using the Tool.

The following guide explains how to use the Assessment Tool:


What is Information Asset Management ?
Why manage information ?
How does the tool work ?
What to do with the results ?
What‘ s next ?




                                                   Page 1
What is Information Asset Management ?
Information assets include documents, emails, web content, business data, images, video and other content in
both physical and digital form.

Information Asset Management Systems (IAMS) are software applications that capture, manage and store
physical and digital information.

The term for these systems for some years has been Records and Information Management Systems (RIMS).
However, agencies requiring more complex use from their information holdings have driven a shift in the way
records and information management is viewed.

This has been coupled with market development and product mergers with software providers moving from
offering single product solutions, to life cycle / end to end product ranges which enable better management of a
range of information assets.

In recognition of this, the term Records and Information Management Systems has been redefined in the
Government Selected Application Systems (GSAS) panel contract as Information Asset System (IAMS) alone
However, it is important to note that the purchase of an Information Asset Management Management Systems
will not address agencies capabilities in terms of State Records Act compliance or business requirements.


Why manage information ?
Effective information management results from having the practices in place to meet the business needs of your
agency.

GCIO is leading a program to assist agencies implement better management of their information assets. This
program provides support to agencies for the classification, storage, search, use and exchange of information
through policies, guidelines and tools.

One of the most significant decisions an agency will make regarding the management of information assets will
be the system or systems it deploys to meet both operational needs and legislative compliance.

To meet these needs agencies may be able to use existing records, document and content management
systems. However, needs change and a system implemented some time ago may not be sufficient in the
current environment.

The use of existing systems may be improved by integrating or interfacing them with other business systems,




                                                 Page 2
How does the tool work ?
The Information Asset Management Maturity Model has been developed to provide agencies with a means of
determining their current ability to manage information assets together with an assessment of future
requirements.

The accompanying Assessment Tool enables agencies (by answering a series of questions) to position their
requirements and capabilities against the Maturity Model.

These results, including factors such as size, shared services arrangements etc should be used to recommend
solutions to meet the needs of agencies and will direct agencies to Information Asset Management Systems
which offer an appropriate level of functionality on the Government Selected Application Systems (GSAS) panel
contract.

The results of using the Assessment Tool are intended as a guide only, and directly relate to the selection of
responses entered into the tool by the agency. It will be at the discretion of the agencies to select and negotiate
the purchase of an Information Asset Management System (according to Government Selected Application
Systems (GSAS) guidelines).

The Maturity Model consists of four layers, each of which must be considered in determining overall maturity
and capability for implementing Information Asset Management Systems. The layers of the Maturity Model are:

• Organisational Context
• Business Drivers
• Implementation Capability
• Information Asset Management Requirements
Organisational Context

Completing this section of the Assessment Tool will assist agencies frame the type of Information Asset
Management System appropriate to them. When considering the product options available on the Government
Selected Application Systems (GSAS) panel contract, agencies will need to be aware of staff numbers (for
licensing options, eg. concurrent or per seat), geographic spread and location (for implementation options, eg.
web enabled, LAN etc).

This is also an opportunity for agencies to consider shared service arrangements with the Central Corporate
Service Unit or NSW Buinsesslink.

Business Drivers

This section of the Assessment Tool relates to the current information management systems in place in the
agency and the business decisions being taken to use and / or change those systems.

Agencies need to consider the business reasons for recommending the purchase of a new Information Asset
Management System, and include these observations in any business case they prepare for Gateway review.




                                                  Page 3
Implementation Capability

Completing this section of the Assessment Tool will assist agencies to consider the wider implications of
implementing an Information Asset Management System. Including:
- readiness of the agency, in terms of having in place foundation Information Management practices, policies
and procedures,
- capacity of the agency, in terms of existing projects and staff resources, and
- ability of the agency to implement change.

There are plans to enhance this section of the Assessment Tool by enabling the generation of a report detailing
the level of State Records Act compliance, and an overall weighted position / score against the Implementation
Capability Scale.
Information Asset Management Requirements

This section of the Assessment Tool considers a range of information management needs including; records,
document and content management, as well as collaboration and knowledge management functionality. The
headings in this section of the Assessment Tool are aligned to the technical specifications used to evaluate
vendors on the Government Selected Application Systems (GSAS) panel contract.

Agencies are asked to complete the questions considering the current needs and capability of the agency, and
also the projected needs of the agency in five years time. This assists in recommending a product that will
provide best return on investment.

Completing the Information Asset Management Requirements section of the Assessment Tool will generate a
report relating to this layer of the Maturity Model only. This ‗custom‘ report for the agency will recommend a
solution at one of the following levels:




Agencies are encouraged to leverage existing investment to reach their recommended ‗level‘ and adopt
solutions which complement existing agency systems.




                                                 Page 4
What to do with the results ?

GCIO recommends that agencies considering procurement of an Information Asset Management System
include their ‗custom‘ report / results extracted from the Assessment Tool in any business cases submitted for
Gateway Review. This will encourage the development of Information Management business cases which are
better aligned to agency business needs, and demonstrate to the Gateway Review panel that the proposed
solution is well thought out, alternatives have been considered and the best alignment to business needs is
recommended.

GCIO would also like to use data gathered from the Assessment Tool in the development of a whole-of-
government Information Management Framework (as identified in PeopleFirst) which would provide a direction
for all GCIO projects requiring Information Management capabilities (sharing, interoperability etc). Agencies are
requested to save the results from the Tool as a new file and forward a copy of the completed Tool to
info.gcio@commerce.nsw.gov.au

What’ s next ?
Agencies will need to review the Government Selected Application Systems (GSAS) panel contract for vendors
at their recommended level. A User Guide and technical specification to assist in planning, budgeting and
procurement of Information Asset Management is available on the Commerce website
(www.commerce.nsw.gov.au).




                                                 Page 5
The diagram below demonstrates each layer of the IAM Maturity Model and how they align to each other.

The following worksheets contain questions relating to each layer of the IAM Maturity Model.




                                                              Page 6
Questionnaire
The Assessment Tool contains five worksheets which should be completed in accordance with the instructions contained in each sheet. The results of
completing this questionnaire may be used by agencies for business and investment planning.
Agencies are encouraged to be as honest and accurate as possible when completing the questionnaire as incorrect results could lead to poor
business decisions. This is a Tool - not an exam !
Please click on the following numbers to access the worksheets (sections of the questionnaire):


Q1        Organisation Context and Business Drivers
Q2        Records Management Health Check - Part 1
Q3        Records Management Health Check - Part 2
Q4        Implementation Capability
Q5        IAM Requirements




                                                                         Page 7
                        Welcome to the Organisation Context and Business Drivers Questionnaire.

                                                 Please complete the following Questions.



                                                            Organisation Context

1     What is the name of your agency ?

2     How many FTE employees are there in the agency ?

3     Is this survey being completing on behalf of:                         A - the entire agency
                                                                            B - a single unit / division of the agency

    a Name of the unit / division (if applicable) ?

    b How many FTE employees are there in the unit / division (if applicable) ?

4     How many sites does the agency (or unit / division) currently have?

5     Does the agency (or unit / division) act as an umbrella organisation for a number of smaller organisations ?


6     Does the agency (or unit / division) have corporate information services provided by an umbrella organisation,
      Government corporate services provider or external service provider ?


    a Name of the unit / division (if applicable) ?

    b What services do they provide (if applicable)?                        HR
                                                                            Finance
                                                                            IAM Systems
                                                                            IAM Functions


                                                                Business Drivers
                                                                            Number in order of importance (1 - most important to 9 - least important)
7     What are the most significant drivers for your agency ?               Improve efficiency
                                                                            Reduce costs
                                                                            Better performance
                                                                            Better customer service
                                                                            Leadership / competitive advantage
                                                                            Faster turnaround / improved response
                                                                            Compliance
                                                                            Risk Management / Business Continuity
                                                                            Other - (rank)
                                                                            - details

                                                                       select all which apply - select YES in the corresponding box
8     Which of the following are of immediate concern to your agency ? Compliant and systematic management of
                                                                       emails
                                                                            Reducing physical storage costs
                                                                            Managing digital legacy data
                                                                            Systematic capture and disposal of information

                                                                            Establishing routine and easy access to
                                                                            information assets
                                                                            Embedding document and records
                                                                            management processing into other support and
                                                                            core business processes via workflow
                                                                            Other - please describe

                                                                            select all which apply - select YES in the corresponding box
9     What RIMS product/s does your agency currently use ?                  CARMS CS
                                                                            DocuMap
                                                                            DocBanq
                                                                            Inmagic
                                                                            SAP
                                                                            TRIM Captura
                                                                            TRIM Context
                                                                            Objective
                                                                            Documentum
                                                                            Filenet
                                                                            RecFind
                                                                            Knowledge One
                                                                            Sharepoint
                                                                            Open Text
                                                                            Vignette
                                                                            Dataworks
                                                                            In-House Developed - please specify
                                                                            Other - please specify
                                                                            None




                                                                                        Page 8
                                                                         select all which apply - select YES in the corresponding box
10     What are / would be the primary reasons for changing your current Accessibility
       RIMS product ?                                                    Accountability
                                                                         Interoperability
                                                                         Collaboration
                                                                         Workflow
                                                                         Identity Management
                                                                         Ease of Use
                                                                         Agility to support technology and cultural needs

                                                                            Other - please describe

                                                                       Please select only 1 response
11     Which statement best describes your motivation in managing your A - Ensure complete and easy access to
       information assets ?                                            information
                                                                       B - Ensure trusted and quality information
                                                                       C - Provide a cost efficient information asset
                                                                       management service
                                                                       D - Instil business effective information asset
                                                                       management practices

                                                             Culture
                                                                            Please select only 1 response
12     Has the agency considered a sharing arrangement with an agency
       who has undertaken similar projects, captured lessons learnt etc ?


13     Does your agency promote information management as an integral
       part of its business culture ?

14     Are information assets identified in the strategic planning
       documents of the agency ?
     a ICT Strategic Plan                                                   A - major role
                                                                            B - minor role
                                                                            C - none

     b Results & Service Plan                                               A - major role
                                                                            B - minor role
                                                                            C - none

     c Total Asset Management Plan                                          A - major role
                                                                            B - minor role
                                                                            C - none

15     Does the agency have a vital records protection plan and             A - Implemented
       procedure?
                                                                            B - In development
                                                                            C - No

16     How would you describe the culture of the agency ?                   A - willing to learn
                                                                            B - innovative
                                                                            C - slow to adopt

17     Has the agency evaluated its current use of information ?

18     Does the agency have a culture that values information assets?


19     How complex is the relationship between the agency and the           A - Does not share information
       external information environment (does it share a lot of information
       assets with other organisations - eg the Justice sector)?

                                                                            B - Shares information informally with 1 or 2
                                                                            external organisations
                                                                            C - Has formal point-to-point data exchanges
                                                                            with 1-5 external organisations
                                                                            D - Undertakes active two-way information
                                                                            exchanges with multiple organisations

20     Does the agency have a senior manager responsible for
       information management outcomes ?

21     Does the agency have trained staff to provide support and on-
       going training relating to information management practices ?




                                                                                        Page 9
                                                       Capacity
                                                                         Please select only 1 response
22   Does the agency manage change well ?                                A - Well
                                                                         B - Adequate
                                                                         C - Poor

23   Are there any other major change projects being undertaken at the
     same time as the proposed IAMS project ? (eg. HR, SAP)


24   Does the agency have in place an enterprise architecture            A - Implemented
     framework ?
                                                                         B - In development
                                                                         C - No

25   Does the agency have a business intelligence and reporting          A - Implemented
     framework?
                                                                         B - In development
                                                                         C - No




                                                                                   Page 10
                   Welcome to Part 1 of the Records Management Health Check questionnaire.

                                           Please complete the following Questions.
     The Records Management Health Check questionnaire is a way for you to assess the extent to which your records management
     program fulfils the compliance requirements from the suite of records management standards issued by State Records. It is not a
     formal tool for compliance measurement, but is a simple tool designed to help with your own internal monitoring and improvement
     activities, particularly when considering your organisation's readiness to implement a new IAMS application. The results sheet for
     the questionnaire provides a broad assessment and indication of areas you may need to focus attention.

     For advice on the records management standards, contact State Records - www.records.nsw.gov.au


     Refer to Government Recordkeeping Manual - State Records Authority.


     http://www.records.nsw.gov.au/recordkeeping/government_recordkeeping_manual_3573.asp


                                        A. The appraisal and disposal of State records

                                                                           Please select only 1 response for each question
1    Are decisions on the creation, capture, and disposal of records based on an analysis of the        Yes
     administrative, legal, social, and recordkeeping contexts within which records are created and
     maintained?
                                                                                                        No
                                                                                                        Some

2    Are appraisal decisions documented and justified?                                                    Yes
                                                                                                          No
                                                                                                          Some

3    Are recordkeeping requirements, appraisal decisions, and retention and disposal authorities for      Yes
     the public office regularly reviewed?
                                                                                                          No
                                                                                                          Some

4    Are retention periods and disposal actions for records in any format and of all business functions   Yes
     and activities of a public office documented in approved retention and disposal authorities?

                                                                                                          No
                                                                                                          Some

5    Are legacy records or records of non-current business functions and activities of a public office    Yes
     documented in approved retention and disposal authorities?
                                                                                                          No
                                                                                                          Some

6    Are decisions to keep, destroy or transfer records authorised?                                       Yes
                                                                                                          No
                                                                                                          Some

7    Are disposal activities approved, supervised and authorised in accordance with established           Yes
     procedures and by those with the appropriate delegated authority?
                                                                                                          No
                                                                                                          Some

8    Is the sentencing of records monitored before disposal actions are carried out?                      Yes
                                                                                                          No
                                                                                                          Some

9    Is disposal of all records documented including the nature and time of the disposal action, the      Yes
     identity of the person authorising the action and the disposal authority authorising the action?
                                                                                                          No
                                                                                                          Some

10   Are sentencing and records disposal activities carried out by personnel who have appropriate         Yes
     skills and knowledge for these tasks?
                                                                                                          No
                                                                                                          Some

                                                                       Page 11
11   Do policy, procedures and business rules direct how appraisal and disposal activities undertaken   Yes
     in the public office?
                                                                                                        No
                                                                                                        Some

12   Are records sentencing and disposal actions undertaken as a routine and regular part of the public Yes
     office's Records Management Program?
                                                                                                        No
                                                                                                        Some

13   Are records identified as State archives transferred to State Records' control when no longer in   Yes
     use for official purposes in the public office?
                                                                                                        No
                                                                                                        Some



                      B. Counter Disaster Strategies for Records and Recordkeeping Systems
                                                                           Please select only 1 response for each question
14   Has a risk assessment of potential disaster events identifying threats to records and              Yes
     recordkeeping systems been performed?
                                                                                                        No
                                                                                                        In preparation


15   Has a counter disaster plan for records and recordkeeping systems been developed and               Yes
     implemented?
                                                                                                        No
                                                                                                        In preparation

16   Is the counter disaster plan for records and recordkeeping systems tested regularly and modified   Yes
     over time to reflect organisational, technological and recordkeeping changes?
                                                                                                        No

17   Are vital records identified and documented?                                                       Yes
                                                                                                        No
                                                                                                        Some

18   Does vital records protection, including recovery and restoration procedures, form part of the     Yes
     counter disaster plan for records and recordkeeping systems?
                                                                                                        No

19   Have preventative measures for protecting vital records been implemented?                          Yes
                                                                                                        No

                                        C. Managing a Record Management Program
                                                                        Please select only 1 response for each question
20   Is records management directed by policy adopted at the corporate level?                        Yes
                                                                                                     No

21   Do policy statements direct that records are made, captured, maintained and disposed of in         Yes
     accordance with the legal, regulatory and business needs of the public office?
                                                                                                        No

22   Does policy define the responsibilities of all personnel who manage records or carry out           Yes
     recordkeeping activities?
                                                                                                        No

23   Are long and short term records management goals identified and documented in the planning         Yes
     mechanisms of the public office?
                                                                                                        No
                                                                                                        Some

24   Are adequate resources allocated to achieve long and short term records management goals?          Yes

                                                                                                        No

25   Is the overall responsibility for the records management program assigned to a Nominated Senior Yes
     Officer?
                                                                                                     No


                                                                      Page 12
26   Are the specialist records management skills required to implement the records management           Yes
     program and component recordkeeping systems available to the organisation?
                                                                                                         No
                                                                                                         Some
27   Are skills for staff undertaking records management appropriate to their positions and              Yes
     responsibilities and are kept up to date?
                                                                                                         No
                                                                                                         Some

28   Are records made, captured and maintained in official recordkeeping systems in accordance with      Yes
     legal, regulatory and business needs?
                                                                                                         No
                                                                                                         Some

29   Do business systems meet identified requirements for making and maintaining records?                Yes
                                                                                                         No
                                                                                                         Some

30   Is current retention and disposal authorisation in place for all records, regardless of format, of the Yes
     public office?
                                                                                                            No
                                                                                                            Some

31   Are records disposed of in accordance with authorised retention and disposal authorities and        Yes
     appropriate processes ?
                                                                                                         No
                                                                                                         Some

32   Are staff trained in recordkeeping practices and procedures, and training is appropriate to their   Yes
     positions?
                                                                                                         No
                                                                                                         Some

33   Do staff use official recordkeeping systems and services and have access to appropriate advice? Yes

                                                                                                         No

34   Are all aspects of the records management program regularly reviewed against performance            Yes
     objectives?
                                                                                                         No

35   Are opportunities identified for improving the effectiveness, efficiency and quality of records     Yes
     management systems, processes and tools through regular monitoring and review?
                                                                                                         No

36   Are areas for improvement addressed in records management planning?                                 Yes
                                                                                                         No

                                                    D. Full and Accurate Records
                                                                            Please select only 1 response for each question
37   Are requirements to make records identified and documented?                                         Yes
                                                                                                         No
                                                                                                         Some

38   Do policy, procedures and business rules direct how and when records should be made and             Yes
     captured?
                                                                                                         No
                                                                                                         Some

39   Are all staff aware of their responsibilities to make records?                                      Yes
                                                                                                         No
                                                                                                         Some

40   Are required records made?                                                                          Yes
                                                                                                         No
                                                                                                         Some

41   Are records accurate?                                                                               Yes
                                                                                                         No
                                                                                                         Some



                                                                        Page 13
42   Are records made at the time of or as soon as practicable after the event or transaction to which   Yes
     they relate?
                                                                                                         No
                                                                                                         Some

43   Are records routinely captured into official recordkeeping systems?                                 Yes
                                                                                                         No
                                                                                                         Some

44   Is appropriate metadata created and captured, or otherwise associated with records?                 Yes
                                                                                                         No
                                                                                                         Some

45   Is unauthorised access, alteration, deletion or destruction of records forbidden by office policy and Yes
     practice.?
                                                                                                           No
                                                                                                           Some

46   Are recordkeeping systems and storage facilities designed and implemented to protect records        Yes
     from unauthorised access, alteration, deletion or loss ?
                                                                                                         No
                                                                                                         Some

47   Are records uniquely identified ?                                                                   Yes
                                                                                                         No
                                                                                                         Some

48   Is the migration of records from one system to another controlled and documented?                   Yes
                                                                                                         No
                                                                                                         Some

49   Are records linked to the business context?                                                         Yes
                                                                                                         No
                                                                                                         Some

50   Are records relating to the same business activity or transaction linked to each other?             Yes
                                                                                                         No
                                                                                                         Some

51   Are location and use of records recorded and tracked?                                               Yes
                                                                                                         No
                                                                                                         Some

52   Are records accessible for as long as they are required?                                            Yes
                                                                                                         No
                                                                                                         Some




                                                                       Page 14
                  Welcome to Part 2 of the Records Management Health Check questionnaire.

                                           Please complete the following Questions.


     Refer to Standards on the Physical Storage of State Records - issued April 2000 - State Records Authority.

     http://www.records.nsw.gov.au/recordkeeping/physical_storage_of_state_records_4617.asp

                                              E. Physical Storage of State Records
                                                        Location


                                                                          Please select only 1 response for each question
53   Has the Corporate Record Manager approved all locations for record storage?                              Yes

                                                                                                                  No
                                                                                                                  Some

54   Are the buildings chosen for records storage entirely weatherproof?                                          Yes
                                                                                                                  No
                                                                                                                  Some

55   Do the storage areas have good drainage?                                                                     Yes
                                                                                                                  No
                                                                                                                  Some

56   Are the storage areas dedicated to either records or records and library storage?                            Yes
                                                                                                                  No
                                                                                                                  Some

57   Are the storage areas intruder resistant and access controlled?                                              Yes
                                                                                                                  No
                                                                                                                  Some

                                                          Environmental control
                                                                              Please select only 1 response for each question
58   Are active and semi active records kept in a stable environment, within suitable humidity and temperature Yes
     ranges appropriate to the format and retention period, as specified in Appendix A and Appendix B of
     Standard on the Physical Storage of State Record?
                                                                                                                  No
                                                                                                                  Some

59   Are records of archival value transferred when they are inactive to environmentally controlled storage as    Yes
     close as possible to the range for "Permanent and Long Term Temporary Value Records" as specified in
     Appendix B of Standard on the Physical Storage of State Record?
                                                                                                                  No
                                                                                                                  Some

60   Are records, required to be retained for a finite period in accordance with approved disposal authorities,   Yes
     stored in suitable conditions until the records are destroyed?
                                                                                                                  No
                                                                                                                  Some

61   Do records storage areas exclude all direct sunlight?                                                        Yes
                                                                                                                  No
                                                                                                                  Some

62   Does the air in records storage areas circulate freely, and is there an intake of fresh air?                 Yes
                                                                                                                  No
                                                                                                                  Some

63   Are the storage areas for magnetic media protected from magnetic fields?                                     Yes
                                                                                                                  No
                                                                                                                  Some

                                                       Shelving and packaging
                                                                          Please select only 1 response for each question
64   Are shelving and handling equipment clean, in good condition and appropriate to the format and retention Yes
     period of the records?
                                                                                                              No

                                                                        Page 15
                                                                                                                Some

65   Are item containers clean, in good condition and appropriate to the format and retention period of the     Yes
     records they hold?
                                                                                                                No
                                                                                                                Some

66   Do record storage facilities, shelving and equipment meet occupational health and safety requirements?     Yes

                                                                                                                No
                                                                                                                Some

                                                        Protection from disaster
                                                                           Please select only 1 response for each question
67   Do risk management exercises within the public office include examination of records storage areas?       Yes
                                                                                                                No
                                                                                                                Some

68   Do fire prevention and suppression measures include heat/smoke detection, fire alarms and extinguishers? Yes

                                                                                                                No
                                                                                                                Some

69   Do records storage areas being constructed or substantially renovated have sprinklers installed?           Yes
                                                                                                                No
                                                                                                                Some

70   Are current disaster reaction and recovery plans in place which cover each records storage location?       Yes
                                                                                                                No
                                                                                                                Some

71   Are staff assigned responsibilities in the records disaster management process, and trained to meet them? Yes

                                                                                                                No
                                                                                                                Some

72   After recovery from a disaster, is the cause identified and treated or managed and the plan reviewed?      Yes
                                                                                                                No

                                                               Maintenance
                                                                           Please select only 1 response for each question
73   Are records storage areas and buildings regularly maintained and monitored as part of an ongoing          Yes
     program?
                                                                                                               No
                                                                                                               Some

74   Are repairs to records storage areas and buildings carried out promptly after identification?              Yes
                                                                                                                No

75   Is mould or pest infestation treated promptly and appropriately?                                           Yes
                                                                                                                No

76   Is appropriate conservation action undertaken as required but repairs to records do not damage the record Yes
     further?
                                                                                                               No

                                                             Careful handling
                                                                            Please select only 1 response for each question
77   Are guidelines for the handling and use of records defined and communicated to all users (including staff, Yes
     contractors and the public)?
                                                                                                                No

78   Are guidelines for the safe transport of records defined and communicated to all staff and contractors?    Yes
                                                                                                                No
79   Are policies and procedures implemented to ensure that records of long term value are handled with care?   Yes

                                                                                                                No
                                                                                                                Some

80   Are records handled carefully during conversion and are converted according to recognised standards?       Yes


                                                                        Page 16
                                                                                                                    No
                                                                                                                    Some

                                                                 Accessibility
                                                                                Please select only 1 response for each question
81   Do the location of records storage areas and record facilities facilitate prompt retrieval?                    Yes
                                                                                                                    No
                                                                                                                    Some

82   Are there standards for documentation and controls that enable records to be identified and retrieved          Yes
     quickly and easily?
                                                                                                                    No
                                                                                                                    Some

                                                       F. Digital recordkeeping

     Refer to Standard on Digital Recordkeeping, State Records Authority.
     http://www.records.nsw.gov.au/recordkeeping/standard_on_digital_recordkeep_15539.asp
                                                 Digital recordkeeping system functionality
                                                                                 Please select only 1 response for each question
83   Does the public office define the digital State records that it will make and keep?                             Yes
                                                                                                                     No
                                                                                                                     Some

84   Are the digital State records that the public office defined captured into an official digital recordkeeping   Yes
     system (eg a business system with recordkeeping functionality, a business system linked with a dedicated
     records management / information asset management system, or a dedicated records management
     /information asset management system) ?
                                                                                                                    No
                                                                                                                    Some

85   Does any digital recordkeeping system used for official records possess the following functionalities:-        Yes
     - capture read only versions of digital records;
     - retrieve and present digital records in human readable form;
     - restrict or permit access to records by specified individuals or groups;
     - Capture and manage the minimum required recordkeeping metadata as defined in the standard?

                                                                                                                    No
                                                                                                                    Some

                                                            Recordkeeping metadata
                                                                             Please select only 1 response for each question
86   Are digital records captured into a digital recordkeeping system with:-                                     Yes
     - unique identifier;
     - title;
     - data of creation;
     - who/what created the record;
     - the business function/process it relates to;
     - the creation application;
     - record type (eg letter / memo / report / contract / fax...)?
                                                                                                                    No
                                                                                                                    Some

87   Are the recordkeeping processes:                                                                               Yes
       • registration of a record into a recordkeeping system
       • apply or change access rules for a record
       • transfer of control of a record
       • destruction of a record
       • migration of a record
     documented with the following details:
      - the date of the action;
      - the identification of who/what undertook the action;
      - what action was undertaken?
                                                                                                                    No
                                                                                                                    Some

88   Is the transfer of control or destruction of records documented with:                                         Yes
     - process metadata;
     - an authorisation reference for the transfer or destruction;
     - in the case of transfer of the record, the name of the receiving organisation (eg Dept of X; State Records)
     ?
                                                                                                                   No
                                                                       Page 17
                                                                                                                 Some

89   Is the minimum required recordkeeping metadata as specified in the standard persistently linked with digital Yes
     records and aggregations of digital records, including when they are transferred out of their original creating
     environment and through subsequent migration?
                                                                                                                 No
                                                                                                                 Some

                                                       Metadata management
                                                                          Please select only 1 response for each question
90   Is recordkeeping metadata disposed of in accordance with the requirements of the State Records Act?      Yes
                                                                                                                 No
                                                                                                                 Some

91   Are metadata mappings from the minimum requirements of the standard to organisational digital               Yes
     recordkeeping systems documented and maintained, including any changes to these?
                                                                                                                 No
                                                                                                                 Some




                                                                     Page 18
                                          Welcome to the Implementation Capability questionnaire.

                                                    Please complete the following Questions.


                                                                 Records Management
                                                                              Please select only 1 response for each question
1     Does your agency have a strategy in place to guide the systematic planning of records           A - Implemented
      management improvement activities ?
                                                                                                      B - In development
                                                                                                      C - No

2     Does the agency have a records management policy?                                              A - Implemented
                                                                                                     B - In development
                                                                                                     C - No

3     Does your agency have a knowledge of what records it needs to make and keep to support its     A - Implemented
      business?
                                                                                                     B - In development
                                                                                                     C - No

4     Does your agency have a developed procedure and system to ensure the capture and               A - Implemented
      management of these records?
                                                                                                     B - In development
                                                                                                     C - No

5     Does your agency have systems in place which will ensure that records:
    a can be proven to be genuine?                                                                   A - Yes
                                                                                                     B - No

    b are accurate and can be trusted?                                                               A - Yes
                                                                                                     B - No

    c are secure from unauthorised alteration, deletion and access?                                  A - Yes
                                                                                                     B - No

    d are findable and able to be read?                                                              A - Yes
                                                                                                     B - No

    e are related to other relevant records?                                                         A - Yes
                                                                                                     B - No

    f a preservation strategy for its records?                                                       A - Yes
                                                                                                     B - No

    g a regular schedule of audits of its records management practices?                              A - Yes
                                                                                                     B - No

6     Does the agency have valid and authorised disposal authorities for all its core business       A - Implemented
      records?
                                                                                                     B - In development
                                                                                                     C - No

7     Has the agency identified its recordkeeping requirements and included these in all key business A - Implemented
      processes and workflows?
                                                                                                      B - In development
                                                                                                      C - No

8     Has the agency defined its recordkeeping requirements for all of its functions?                A - Implemented
                                                                                                     B - In development
                                                                                                     C - No




                                                                        Page 19
                                                    Information Management
                                                                         Please select only 1 response for each question
9    Does your agency have an information management framework in place to strategically capture A - Implemented
     and manage information, including records, in a coordinated way?
                                                                                                 B - In development
                                                                                                 C - No

10   Does the agency have an information management policy?                                          A - Implemented
                                                                                                     B - In development
                                                                                                     C - No

11   Does the agency use a business classification scheme (BCS) for classifying information assets   A - Implemented
     ?
                                                                                                     B - In development
                                                                                                     C - No

12   Has the agency undertaken an inventory of its information assets?                               A - Implemented
                                                                                                     B - In development
                                                                                                     C - No

13   Has the agency defined its own requirements for security and access to information (with        A - Implemented
     reference to govt requirements eg Info security standard)?
                                                                                                     B - In development
                                                                                                     C - No

14   How well does the agency integrate its Information asset processes/systems with other           A - Well
     technology?
                                                                                                     B - Adequate
                                                                                                     C - Poor

                                                            Procedures
                                                                       Please select only 1 response for each question
15   Does the agency have information management or records management procedures?             A - Implemented
                                                                                               B - In development
                                                                                               C - No

16   Does the agency have information, document and records management audit standards and           A - Implemented
     procedures?
                                                                                                     B - In development
                                                                                                     C - No

17   Are staff responsibilities for recordkeeping defined in organisational policy and procedures?   A - Implemented

                                                                                                     B - In development
                                                                                                     C - No

18   Does the agency have document and file/folder naming standards and procedures?                  A - Implemented
                                                                                                     B - In development
                                                                                                     C - No

19   Does the agency have data quality standards and procedures?                                     A - Implemented
                                                                                                     B - In development
                                                                                                     C - No




                                                                        Page 20
                                                         Project Management
                                                                              Please select only 1 response for each question
20     Does the agency have the capability to manage a project to implement a complex new IAMS?       A - Yes

                                                                                                       B - No

21     Does the agency apply a recognised Project Management Methodology ? (eg PRINCE 2,               A - Yes
       PMBOK)
                                                                                                       B - No

22     Does the agency have experienced resources in project management ?                              A - in-house
                                                                                                       B - available

23     Have the key stakeholders been identified ? (both internet and external)                        A - Yes
                                                                                                       B - No

24     If the agency has implemented major change in the past, was it successful ?                     A - Yes
                                                                                                       B - No

25     How will the agency employ the specialist skills needed to implement the project ?              A - in-house
                                                                                                       B - vendor supplied
                                                                                                       C - externally recruited


                                                             Digital Readiness
                                                                             Please select only 1 response for each question
26     Has the agency addressed the management of email as records in policy and procedures?         A - Implemented
                                                                                                       B - In development
                                                                                                       C - No

27 a Has the agency defined its recordkeeping requirements :-                                          A - Implemented
     for information it publishes on the Internet and on its Intranet?                                 B - In development
                                                                                                       C - No

     b considered how these records will be maintained?                                                A - Yes
                                                                                                       B - No

28 a If the agency plans to digitise paper records has it:
     defined which records are eligible for digitisation?                                              A - Yes
                                                                                                       B - No

     b defined which analogue records can be destroyed after they have been digitised?                 A - Yes
                                                                                                       B - No

     c defined how long analogue records that are approved for destruction must be retained for quality A - Yes
       control purposes?
                                                                                                       B - No

     d established procedures for digitisation including quality control measures?                     A - Yes
                                                                                                       B - No


29     Does the agency have an agency or cluster specific metadata standard or implementation set?     A - Implemented

                                                                                                       B - In development
                                                                                                       C - No


30     Has the agency defined the metadata it wants to keep with and about its records and information A - Implemented
       / business functions and processes / organisations, people and workgroups?
                                                                                                       B - In development
                                                                                                       C - No




                                                                          Page 21
                                                            Governance
                                                                                Please select only 1 response for each question
31     Does the agency have a process of prioritising projects and recognising dependencies?            A - Implemented
                                                                                                        B - In development
                                                                                                        C - No

32     Have all interdependences been identified ?                                                     A - Yes
                                                                                                       B - No

33 a Will this project consolidate other applications across the business ?                            A - Yes
                                                                                                       B - No

     b If so, have the owners of these systems been consulted and support the project ?                A - Yes
                                                                                                       B - No




                                                                        Page 22
                    Welcome to the Information Assets Management (IAM) requirements questionnaire.

  Please complete the following 32 questions answering in accordance with:
  - the actual IAM practice today in your agency in column marked "Actual Position";
  - the current requirements of your agency in column marked "Current Needs";
  - the future requirements of your agency in column marked "Future Needs" (consider requirements in 5 years time).

  The following examples demonstrate how to complete your answers to this section:
                                                                                                                                        Business
                                                                                                                                      Requirements
                                                                                                                              Actual Current Future
                                                                                                                              Position Needs Needs

                                                                     select all which apply - place a 'y' in the corresponding box
1 What type of information assets does the       Y/ Paper-based records and files                                                y      y      y
  agency need to capture?                        N

                                                 Y/ Physical audio-visual assets such as audio tapes, video tapes and films      y      y      y
                                                 N

                                                 Y/ Electronic assets including emails, word processing documents,               y      y      y
                                                 N spreadsheets.

                                                 Y/ Electronic assets including digital photographs, multimedia files and        y      y      y
                                                 N web pages.

                                                                                 select only 1 response in each column
2 What type of records does the agency need to   A Paper-based records only
  capture?
                                                                                                                                 A      A      B
                                                 B A mix of electronic and paper-based records
                                                 C Electronic records only




                                                                    Page 23
                                                                                                                                                          Business
                                                                                                                                                        Requirements
                                                                                                                                                Actual Current Future
                                                            Records Management
                                                                                                                                                Position Needs Needs
  Records management is ‗the discipline and organisational function of managing records to meet operational business needs,
  accountability requirements and community expectations.‘ AS4390.1-1996 Clause 4.23

  Records are ‗recorded information, in any form, including data in computer systems, created or received and maintained by an
  organisation or person in the transaction of business or the conduct of affairs and kept as evidence of such activity.‘ AS4390.1-1996
  Clause 4.21.
                                                             select all which apply - place a "y" in the corresponding box
1 What type of information assets does the agency       1 Y/ Paper based documents and files

  need to capture as records?                             N
                                                        2 Y/ Analogue video or audio recordings

                                                          N
                                                        3 Y/ Electronic assets such as email, word processing documents, spreadsheets

                                                          N
                                                        4 Y/ Electronic assets such as digital photographs, multimedia files or web pages

                                                          N
                                                             select only 1 response in each column
2 What type of records does the agency need to         1   A Paper-based records only
  capture?
                                                       1   B A mix of electronic and paper-based records
                                                       1   C Electronic records only
                                                              select all which apply - place a "y" in the corresponding box
3 What records management capability does the          1   Y/ To be able to find records
  agency require?                                      2   N
                                                           Y/ The capability of declaring a document or information object as a 'record'.
                                                       3   N
                                                           Y/   To ensure records and their associated metadata (information about the
                                                           N    record) are fixed and unalterable
                                                       4   Y/   Manage the disposal of records
                                                       5   N
                                                           Y/   Classify records so they are systematically identified and arranged
                                                       6   N
                                                           Y/   Capability to support a minimal level of recordkeeping metadata required
                                                           N    under the State Records Act ie basic records management registration and
                                                                control
                                                       7   Y/   To be able to track records as they are distributed, used and actioned by the
                                                           N    organisation
                                                       8   Y/   To rollback and view previous versions of a record or information about a
                                                           N    record
                                                       9   Y/   To manage and maintain disposal schedules
                                                       #   N
                                                           Y/   To manage and maintain classification schemes, lists of controlled terms and
                                                           N    thesauri
                                                       #   Y/   Capability to fully support the NSW Recordkeeping Metadata Standard
                                                       #   N
                                                           Y/   To identify manage and protect vital records
                                                           N                     Page 24
                                                                                                                                              Actual Current Future
                                                           Document Management                                                                Position Needs Needs
  Document management controls the life cycle of documents in your organisation — how they are created, reviewed, published, and
  consumed, and how they are ultimately disposed of or retained.
                                                           select all which apply - place a "y" in the corresponding box
4 What level of document management capability       1 A Capture and basic registration of physical documents

  does the agency require?                           2 B Document type and format management
                                                     3 C Version control

                                                       4   D Forms and template management and control
                                                       5   E Retention alerts and controls e.g. Documents tagged with e review for deletion
                                                             date of 5 years from last viewing
                                                       6   F Management of compound documents (e.g. a dynamic collection of a word
                                                             document, image and spreadsheet that together form 'a document' but each
                                                             component may be managed as a document in its own right)
                                                              select all which apply - place a "y" in the corresponding box
5 What imaging capability does the agency require?     1   Y/ Ad hoc scanning
                                                           N
                                                       2   Y/ Low resolution
                                                       3   N
                                                           Y/ High volume scanning
                                                       4   N
                                                           Y/ Scanning to more easily access and distribute documents and records
                                                       5   N
                                                           Y/ High resolution
                                                       6   N
                                                           Y/ Scanning to preserve documents, records or archives
                                                           N select only 1 response in each column
6 What proportion of the agency's information,         1   A   Less than 5%
  including documents and records, is regarded as          B   5% - 20%
  containing personal information? (estimate only)         C   21% - 50%
                                                           D   More than 50%
                                                                                                                                              Actual Current Future
                                                      User and Identity Management                                                            Position Needs Needs
  Identity and user information includes: Staff information - names, contact information, and Login credentials - ID and password.
                                                              select all which apply - place a "y" in the corresponding box
7 What user and identity management functionality      1   Y/ Ability to link people (name) to positions (position description, position
  does the agency require ?                                N number), with start and finish dates (multiple).
                                                       2   Y/ Ability to link access and user permissions, and security levels to positions
                                                           N with individuals holding positions at specific times inheriting those
                                                              permissions.
                                                       3   Y/ Ability to define types of user permissions (e.g. access not permitted, read
                                                           N only, read/write, annotate, amend/correct, delete, etc).
                                                                                Page 25
                                                                                                                                                     Actual Current Future
                                                    Document Relationship Management
                                                                                                                                                     Position Needs Needs
   The relationship between various types of information assets.
                                                             select all which apply - place a "y" in the corresponding box
 8 What relationship management functionality does      1 Y/ Ability to specify and maintain links between metadata records and other

   the agency require ?                                   N information assets
                                                        2 Y/ Ability to support automatic linking between versions

                                                          N
                                                        3 Y/ Capability to ensure perpetual links, annotations and aggregations are applied

                                                            N and controlled
                                                               select all which apply - place a "y" in the corresponding box
 9 Does the agency have in its custody information,
   documents or records older than 30 years from the
   date they were created?

                                                                                                                                                     Actual Current Future
                                                Storage, Movement & Location Management
                                                                                                                                                     Position Needs Needs
   Relates to the movement of physical items, electronic document storage and barcode control and support for property and records.
                                                            select all which apply - place a "y" in the corresponding box
10 What storage, movement & location management 1 Y/ Distributed physical storage management, including outsourced arrangements
   functionality does the agency require ?                N and storage details

                                                        2   Y/ Physical Repository Management – location and space management,
                                                            N monitoring available space and storage configuration, environmental
                                                               management
                                                        3   Y/ Ability to allocate objects at any layer of aggregation to a physical storage
                                                            N location either manually or by barcoding
                                                        4   Y/ Ability to set different default electronic repositories for different record types
                                                            N
                                                        5   Y/ Ability to batch process electronic objects into an electronic store
                                                        6   N
                                                            Y/ Ability to link a user with storage location (i.e. create link between location -
                                                            N local file storage location and/or desk - and organisational position and user
                                                               name).
                                                               select only 1 response in each column
11 What proportion of the agency's information,         1   A Less than 5%
   including documents and records, is regarded as          B 5% - 20%
   containing physical security related material e.g.
                                                            C 21% - 50%
   plans of Government buildings, bridges, security
   access codes and security watch schedules ?              D More than 50%
   (estimate only).



                                                                                  Page 26
                                                                                                                                                     Actual Current Future
                                                          Security and Access Management                                                             Position Needs Needs
   User (role and individual), Organisation-based and Group-based Security
                                                            select all which apply - place a "y" in the corresponding box
12 What security and access management capability 1 Y/ Individual and role based security
   does the agency require?                              N
                                                       2 Y/ Document and record based security and folder or file based security

                                                         N
                                                       3 Y/ Access rights management for individuals, roles, groups, objects, actions, etc.

                                                         N
                                                            4   Y/ Basic system and network based authentication and identity management
                                                            5   N
                                                                Y/ System integrity to prevent the unauthorised access, destruction, alteration or
                                                                N removal of content
                                                            6   Y/   Security markings, classifications, caveats, etc
                                                            7   N
                                                                Y/   Authentication and identity management via encryption, digital signatures or
                                                                N    biometrics
                                                            8   Y/   Security management across systems where interfaces / integration has been
                                                                N    applied
                                                                     select only 1 response in each column
13 What proportion of the agency's information,             1   A    Less than 5%
   including documents and records, is regarded                 B    5% - 20%
   'cabinet-in-confidence'? (estimate only)                     C    21% - 50%
                                                                D    More than 50%
   Note: Refer to the NSW Government's 'Guide to
   Labelling Sensitive Information' for definitions and
   examples of information regarded as cabinet-in-
   confidence.




                                                                                      Page 27
                                                                                                                                                   Actual Current Future
                                                               Search and Retrieval
                                                                                                                                                   Position Needs Needs
   The process of identification of objects or groups of objects through user-defined parameters, for the purpose of confirming, locating,
   accessing, retrieving objects and/or their attributes.
                                                                select all which apply - place a "y" in the corresponding box
14 What type of search and retrieval capability does     1   Y/ Simple search interface for only the basic registration and management
   the agency require?                                       N metadata using a single word, phrases, Boolean operators or wildcards
                                                         2   Y/ Simple keyword search for all metadata using a single word, phrases,
                                                             N Boolean operators or wildcards
                                                         3   Y/ User-defined and controlled searches
                                                         4   N
                                                             Y/ Simple word search using full text indexing of content and metadata using a
                                                             N single word, phrases, Boolean operators or wildcards

                                                         5   Y/ Saved searches
                                                         6   N
                                                             Y/ Integrated thesaurus search and natural language search
                                                             N
                                                         7   Y/ Advanced search options - fuzzy logic, proximity, natural language, thesaurus
                                                             N and multilingual support
                                                         8   Y/ Repository search (ie querying and retrieving data within a single repository or
                                                             N content management system such as a GSAS IAMS product)
                                                         9   Y/ Federated search (ie querying and retrieving data separate repositories but
                                                             N through a single search)
                                                        #    Y/ Enterprise search and retrieval (ie querying and retrieving data from multiple
                                                             N electronic repositories and or datasets within the agency or organisation)

                                                               select only 1 response in each column
15 What is the estimated number of litigation cases      1   A Less than 10
   the agency has been subjected to in the last 10           B 10 - 50
   years?
                                                             C 51 - 100
                                                             D 101 - 500
                                                               select only 1 response in each column
16 How many FOI Applications did the agency receive      1   A Less than 51
   last year? (estimate only)                            1   B 51 - 500
                                                             C 501 - 1000
                                                             D 1001 - 1500
                                                             E 1501 - 2000
                                                             F More than 2000


                                                                                  Page 28
                                                                                                                                   Actual Current Future
                                                                     Reporting                                                     Position Needs Needs
   Relates to the ability to generate reports from an IAM system.
                                                                select all which apply - place a "y" in the corresponding box
17 What reporting capability does the agency require?    1   Y/ Standard records management reports
                                                             N
                                                         2   Y/ Reports from searches
                                                         3   N
                                                             Y/ Ad hoc reporting
                                                         4   N
                                                             Y/ Statistical reporting
                                                         5   N
                                                             Y/ Graphical reporting
                                                         6   N
                                                             Y/ Dashboard style reporting
                                                             N select only 1 response in each column
18 Has the agency been subject to any external           1   A More than 10 investigations or at least once every 2 years
   investigations conducted by ICAC, the Police              B Between 5 and 9 or once every 3 or 4 years
   Integrity Commission, The Transport Regulator,
                                                             C Between 1 and 4 or once every 5 or more years
   Ombudsman or the Audit Office?
                                                             D None

                                                                                                                                   Actual Current Future
                                                                 Audit Management
                                                                                                                                   Position Needs Needs
   Relates to users and content control and reporting.
                                                                select all which apply - place a "y" in the corresponding box
19 What auditing capability does the agency require?     1   Y/ Monitor emailing of objects and links from enterprise systems
                                                             N
                                                         2   Y/ Capture Check-out/check-in activity for documents and records
                                                         3   N
                                                             Y/ Capture changes to content
                                                         4   N
                                                             Y/ Select which system tables to be logged
                                                         5   N
                                                             Y/ Monitor performance and compliance
                                                             N
                                                                                                                                   Actual Current Future
                                                                 Email Management
                                                                                                                                   Position Needs Needs
   Tools and features specific to the management of business emails received and sent by NSW Public Sector personnel and agents.
                                                                 select only 1 response in each column
20 What features are required for capturing and          1   A   Print and hardcopy file emails and attachments
   managing emails?                                      1   B   Capture attachments separately
                                                         1   C   Capture full email at individual level
                                                         1   D   Capture full email at server level



                                                                                  Page 29
                                                                                                                                                    Actual Current Future
                                                                  Content Management                                                                Position Needs Needs
   The management of the information content contained within information asset management systems.
                                                                   select all which apply - place a "y" in the corresponding box
21 What content management capability does the            1   Y/   Viewing or rendering of content originally generated using standard business
   agency require?                                            N    applications over the past decade
                                                          2   Y/   Simple redaction or 'blacking out of content not to be viewed.
                                                          3   N
                                                              Y/   Redaction of content with time/date stamp and reason for redaction overlayed
                                                              N
                                                          4   Y/ Annotation management
                                                          5   N
                                                              Y/ Support for data entry standards ie applying data validation rules to ensure the
                                                              N appropriate type or content is entered
                                                          6   Y/ Branding, style and formatting management
                                                          7   N
                                                              Y/ Aggregation and disaggregation of content
                                                          8   N
                                                              Y/ Syndication of content
                                                          9   N
                                                              Y/ End-user managed workspaces and presentation
                                                              N
                                                                                                                                                    Actual Current Future
                                                      Content Input/Output Management
                                                                                                                                                    Position Needs Needs
   Relates to systems input / output functionality and information exchange.
                                                               select all which apply - place a "y" in the corresponding box
22 What content input/output capability does the          1 Y/ Bulk importing and exporting of content and metadata

   agency require?                                          N
                                                          2 Y/ Content migration or conversion

                                                            N
                                                          3 Y/ Data testing and validation

                                                            N
                                                          4 Y/ Ability to export information assets and metadata in XML

                                                            N
                                                               select all which apply - place a "y" in the corresponding box
23 What integration and exchange capability does the 1 Y/ Ability to utilise XML to exchange data
   agency require ?                                         N
                                                          2   Y/ Ability to support specialist software that may be required by users with
                                                              N special needs, according to such guidelines as Accessibility in ICT
                                                                 Procurement; W3C Web Content Accessibility Guidelines; Microsoft Official
                                                                 Guidelines for User Interface Development.
                                                          3   Y/ Ability to convert electronic documents/records from different authoring
                                                              N formats.




                                                                                    Page 30
                                                                                                                                                        Actual Current Future
                                                                        Workflow                                                                        Position Needs Needs
   The required workflow functionality may be achieved through in-built document routing capability, integrated/interfaced third party
   workflow, or a combination of the two.
                                                            select only 1 response in each column
24 What level of workflow complexity does the agency 1 A Routing (simple routing with email alerts that a document needs attention)
   require?
                                                       1 B Workflow (complex processes where an event can trigger a series of parallel

                                                            and usually different actions)
                                                          1   C Business Process Management (does everything that workflow does, but
                                                                extends it to a data integration layer across multiple tools and applications)
                                                                   select all which apply - place a "y" in the corresponding box
25 What advanced workflow capability does the             1   Y/   Ability to define workflow processes
   agency require?                                            N
                                                          2   Y/   Ability for a single document to have more than one workflow associated with
                                                              N    it
                                                          3   Y/   Ability for individuals external to the agency to initiate a query to be processed
                                                              N    by workflow
                                                          4   Y/   Ability to configure workflow support to control electronic publishing of web
                                                              N    pages

                                                                                                                                                        Actual Current Future
                                                  Content Quality and Organisation Controls
                                                                                                                                                        Position Needs Needs
   Relates to information assets located in all enterprise systems.
                                                               select all which apply - place a "y" in the corresponding box
26 What content quality and organisation controls does 1 Y/ Indexing of metadata relating to physical documents or records
   the agency require?                                      N
                                                          2 Y/ Full indexing of metadata, documents and records

                                                            N
                                                          3 Y/ Ability to manage multilingual content

                                                            N
                                                                                                                                                        Actual Current Future
                                                          Content Rights Management                                                                     Position Needs Needs
   Relates to content rights applied to all information assets.
                                                                 select all which apply - place a "y" in the corresponding box
27 What content rights management capabilities does       1   Y/ Ability to set up user defined rules for User and Groups for viewing, printing,
   the agency require?                                        N copying, circulating and retaining content
                                                          2   Y/ Ability to include content rights management in metadata and audit trail
                                                              N
                                                          3   Y/ Ability to control copyright / watermark records
                                                          4   N
                                                              Y/ Ability to register and maintain a register of intellectual property
                                                              N


                                                                                     Page 31
                                                                                                                                     Actual Current Future
                                                           Web Content Management
                                                                                                                                     Position Needs Needs
   Tools and features for managing content that is published to intranet and internet sites and the management of transactions and
   services provided through those sites.
                                                              select all which apply - place a "y" in the corresponding box
28 What web content management capability does the     1   Y/ Publishing static content
   agency require?                                     2   N
                                                           Y/ Applying AGLS metadata to published content
                                                       3   N
                                                           Y/ Web content template management
                                                       4   N
                                                           Y/ Web content capture as a record
                                                       5   N
                                                           Y/ Website statistics
                                                       6   N
                                                           Y/ Website simple search and retrieval
                                                       7   N
                                                           Y/ Web content workflow
                                                       8   N
                                                           Y/ Web content auditing and version control
                                                       9   N
                                                           Y/ Multi-channel syndication management
                                                       #   N
                                                           Y/ Integrated web content, document and records management
                                                       #   N
                                                           Y/ Multilingual website presentation
                                                       #   N
                                                           Y/ Website transaction management
                                                       #   N
                                                           Y/ Website payment services
                                                       #   N
                                                           Y/ Website subscription management
                                                           N




                                                                                Page 32
                                                                                                                                                Actual Current Future
                                                       Collaboration and Productivity                                                           Position Needs Needs
   Business effective information management. Collaborative document authoring.
                                                           select all which apply - place a "y" in the corresponding box
29 What collaboration tools does the agency require? 1 Y/ Collaborative workspaces (eg. Blogs, Wikis)
                                                       N
                                                        2   Y/ Schedule management
                                                        3   N
                                                            Y/ Virtual meetings
                                                        4   N
                                                            Y/ Management of content distribution, contribution, circulation etc
                                                        5   N
                                                            Y/ Asynchronous content development and review
                                                        6   N
                                                            Y/ Synchronous content development and review
                                                        7   N
                                                            Y/ Support for collaboration from a variety of ICT devices - portable and fixed
                                                            N
                                                               select all which apply - place a "y" in the corresponding box
30 Does the agency share information:                   1   Y/ Internally within workteams or business areas?
                                                        2   N
                                                            Y/ Internally within the agency?
                                                        3   N
                                                            Y/ Externally with less than 5 other NSW State Government Agencies?
                                                        4   N
                                                            Y/ Externally with 5 or more other NSW Government agencies?
                                                        5   N
                                                            Y/ Externally with Local Government Authorities?
                                                        6   N
                                                            Y/ Externally with Commonwealth Government agencies?
                                                        7   N
                                                            Y/ Externally with private sector partners, clients or providers within Australia
                                                        8   N
                                                            Y/ Externally with overseas Government bodies?
                                                        9   N
                                                            Y/ Externally with overseas private sector organisations
                                                            N




                                                                                 Page 33
                                                                                                                                                Actual Current Future
                                                           Knowledge Management
                                                                                                                                                Position Needs Needs
   A trans-disciplinary approach to improving organisational outcomes and learning, through maximising the use of knowledge. It involves
   the design, implementation and review of social and technological activities and processes to improve the creating, sharing, and
   applying or using of knowledge.

   Knowledge management is concerned with innovation and sharing behaviours, managing complexity and ambiguity through knowledge
   networks and connections, exploring smart processes, and deploying people-centric technologies.
                                                             select only 1 response in each column
31 Which statement best describes your agency ?        1   A An established organisation exposed to major structural change or reform and
                                                             searching for new ways to adapt operationally and innovate.
                                                       1   B An established organisation with well-networked members but hindered by low
                                                             levels of knowledge sharing.
                                                       1   C A new organisation with highly knowledgeable staff that lack trust or cohesive
                                                             networks between them.
                                                       1   D A merged organisation facing major change and seeking to retain its corporate
                                                             memory.
                                                       1   E An existing organisation with a well-developed culture of knowledge sharing
                                                             and well-networked team members looking to raise their performance to the
                                                             next level.
                                                              select all which apply - place a "y" in the corresponding box
32 Does your agency use or require:                    1   Y/ The harvesting of targeted data and information from within the organisation to
                                                           N support strategic and operational decision-making ?
                                                       2   Y/ Its IAM system to interface with other enterprise systems, such as MIMS,
                                                           N SAP, Oracle, library systems, etc. to enable approval actions and records in
                                                              those systems to be create ?
                                                       3   Y/ Enterprise portal functionality ?
                                                       4   N
                                                           Y/ Learning Management functionality ?
                                                       5   N
                                                           Y/ A Customer Relationship Management (CRM) system ?
                                                           N




                                                                               Page 34
Results
The Information Asset Management Maturity Model & Assessment Tool have been developed as a guide for NSW Government
agencies. Results obtained from using the Assessment Tool are the responsibility of individual agencies and the Government
Chief Information Office accepts no liability for the outcome of any decisions made in agencies as a result of using the Tool.

Please click on the following numbers to access the worksheets (results for sections of the questionnaire):

R1        Context Recommendations
R2        Record Management Health Check Results
R3        Organisation Maturity
R4        Implementation Capability
R5        Alignment to GSAS level


The results provided in these reports have been generated in response to your input to the questionnaire. Results should be
interpreted as a guide only.




                                                              Page 35
                               Context Recommendations
This report provides some recommendations based on input to the Organisational Context and
Business Drivers questions.

The results for your agency may be used to make business decisions and formulate a business
case for organisational change.

The requirement for when a business case is to be prepared and submitted to Treasury is stated
in Treasury Policy and Guidelines Paper TPP 06-010. In summary, business cases are required
for all ICT investment proposals, including asset replacement, software upgrades and projects,
irrespective of the source of funds or the method of financing (owned or leased). Business cases
are required to be prepared for any project with an ETC greater than $250K irrespective of
whether the proposed investment is to be self-funded or Budget funded, and to specific projects
intended to be funded from a capital program with an approved global budget.



The success factors to be considered in the preparation of a business case include:

- Service Delivery
- Affordability (Value for Money)
- Sustainability
- Governance
- Risk Management
- Stakeholder Management
- Change Management


Shared Corporate Services is now widely regarded as leading practice for corporate services
delivery, through the benefits of economies of scale, access to expert advice, better customer
service, transparency of information and on-line access for users and clients.

The five common elements for all Shared Corporate Services arrangements, whether internal
within an agency, across a cluster of agencies, or sourced from an external provider, are:

- Consolidation of corporate services,
- Utilisation of available technology,
- Business process streamlining,
- Client focus, and
- Savings.

Information Management is considered to be a corporate service activity.

The classification highlighted below relates to your input at the Organisational Context questions
and should be used as a guide only:

Classification: Small                      Medium                    Large
Definition:      <350 full time            350-1000 full time        Agencies with over 1000
                 equivalent staff.         equivalent staff.         full time equivalent staff .

Options:         Each agency can           Each agency can           Agencies with over 1000
                 choose to:                choose to:                full time equivalent staff
                                                                     will establish an internal
                 Use the government's      Use the government's      Shared Corporate
                 Shared Corporate          Shared Corporate          Services unit. This
                 Services provider;        Services provider;        means internal
                 Join a cluster of other   Join a cluster of other   consolidation of
                 agencies.                 agencies;                 corporate services.
                                           Establish an internal
                                           Shared Corporate
                                           Services unit.




                                                     Page 36
           Records Management Standards Health Check Results
Records are a particular type of information asset, and the State Records Act (1988) requires
agencies to comply with various requirements around the creation, retention, protection,
accessibility and disposal of State records. A summary of key obligations under the state Records
Act 1998 can be found at http://www.records.nsw.gov.au/recordkeeping.


                          http://www.records.nsw.gov.au/recordkeeping

                                                            Note - 100%=Green,
                                                             Over 50%=Amber,
Health Check Aspects                                          Under 50%=Red

                                                   Your agency requires significant action to meet
Appraisal & Disposal                        0%     the standard for Appraisal & Disposal.


                                                   Your agency requires significant action to meet
Counter Disaster                            0%     the standard for Counter Disaster.

                                                   Your agency requires significant action to meet
Managing Record
                                            0%     the standard for Managing Record
Management Program                                 Management Program.


                                                   Your agency requires significant action to meet
Full & Accurate Records                     0%     the standard for Full & Accurate Records.


                                                   Your agency requires significant action to meet
Physical Storage of State
                                            0%     the standard for Physical Storage of State
Records                                            Records.


                                                   Your agency requires significant action to meet
Digital Recordkeeping                       0%     the standard for Digital Recordkeeping.




                                                      Page 37
               Information Asset Management - Organisation Maturity

This graph represents the information management maturity of your agency in terms of the support and
recognition of information management practices in your agency.

The higher the score along the wedge, the more likely an information management project is to be
successfully implemented. The overall score has been based on your responses to the questionnaire
and should be used as a guide only.




There are many risk assessment tools available to assist agencies identify and manage project risks.
This report is intended to supplement these tools not replace their use.

The matrix represents the likely risk level associated with the size of the proposed implementation and
the maturity (in terms of information management) identified in the agency based on responses to the
questionnaire.

The vertical axis relates to agency size, the horizontal axis relates to agency information management
maturity. The cell highlighted has been derived from this input.

You should also consider the ‗implementation gap‘ identified in the IAMS results (R5) to determine the
likely risks for your project.

                             Implementation Risk Matrix
Agency Size
                                         Medium-
Small (<350)                Medium       Low          Low
                            Medium-                   Medium-
Medium (350-1,000)          High         Medium       Low
                                         Medium-
Large (>1000)               High         High         Medium

                                Low        Medium          High   Organisation Maturity




                                                 Page 38
                                Implementation Capability Result
                The following is an indication of the implementation capability survey result.
To successfully implement a major change project in an agency several factors need to be taken into
consideration. This report does not replace the business case and planning required to undertake such
projects but is designed to provoke thought as to where further work is required.

The classifications identified in this spider-web graph represents some of the elements necessary to
successfully implement an information management project. Each arm of the web demonstrates the ability of
your agency to satisfy the requirements of the element shown at the tip.

The lower the score on each arm of the web, the more work required in that area.


                                Records                         Implementation Capability
                               Management
                                100%

                                 80%

                                 60%                   Information
        Governance
                                 40%                   Management
                                 20%
                                                                                   Max %
                                  0%
                                                                                   Survey score %



           Digital
                                                       Procedures
          Readiness



                                 Project
                               Management
Breakdown of results
                                         Survey           Survey
                            Max score     score    Max % score %
Records Management                14         0     100%        0%
Information Management             6         0     100%        0%
Procedures                         5         0     100%        0%
Project Management                 6         0     100%        0%
Digital Readiness                  9         0     100%        0%
Governance                         4         0     100%        0%




                                                   Page 39
                                    IAMS Recommendations for
                     (enter agency name in Organisational & Business Drivers)
These results relate to the Information Asset Management System needs of your agency.

The highlighted text against ‗Graph A‘ mirrors the levels of the GSAS panel contract for IAMS (2602). The cell highlighted yellow in each
row indicated the current state, desired state and aspirational level of your agency compared to the functional requirements detailed for
the GSAS panel contract for IAMS.

Note: Where the highest score is achieved at level 1, the highlighted cell will defer to the next highest value.


Graph A - Alignment to GSAS IAMS Contract

                                        Level 1                           Level 2          Level 3            Level 4                    Level 5
Actual Position
                                          0%                                  0%                0%                 0%                      0%
Current Needs
                                          0%                                  0%                0%                 0%                      0%
Future Needs
                                          0%                                  0%                0%                 0%                      0%


                                                                                                                                     SOPHISTICATED 5

                                                                                                            COMPLEX 4

                                                                                        ADVANCED 3

                                                                        ENHANCED 2

                                                   BASIC 1 (B)

                          BASIC 1 (A)




Graph B - Overview of IAMS Needs
‗Graph B‘ provides an overview of the position of your agency in relation to all levels of the IAM scale across actual position (blue), current
needs (green), and future needs (red).



              %Match
              100%


               90%


               80%


               70%


               60%
                                                                                                                   Actual Position
                                                                                                                   Current Needs
               50%
                                                                                                                   Future Needs


               40%


               30%


               20%


               10%


                0%
                         Level 1         Level 2          Level 3         Level 4     Level 5




                                                                    Page 40
Interpreting Results

Scores appear as a percentage of alignment with each level (1a Basic to 5 Sophisticated) of the IAM Requirements layer of the Maturity
Model.

These score are only a guide to your requirements. The scores highlighted in green display both the current position of your agency and
five year projection in terms of 'best fit'.

Selection of an IAMS that provides functionality at this level should give you the best return on investment.
The Information Management Maturity Assessment Tool is a component project of the Information Management Program. Information
Management is a discipline, not a product, and procurement of a IAM system alone will not address agency capabilities in terms of State
Records compliance or business requirements.

The IAM Maturity Model has been developed for agencies to assess their maturity for implementing IAM solutions. The Model consists of
four key layers, each of which must be considered in determining agency maturity for implementing IAM solutions.

This Assessment Tool enables agencies to position their requirements and capabilities against the Maturity Model (according to the
responses selected for a number of questions). The level of the Maturity Model highlighted above indicates the 'best fit' of your agency's
requirements to the functionality of vendors on the GSAS Panel contract 2602. It does not consider any factors outside your answers to
the 'IAM Requirements' tab.

GCIO recommends that agencies considering procurement of IAM products include their whole ‗custom‘ report / results in any business
cases submitted for Gateway Review. This will enable the development of an IAM business cases which is better aligned to your agency
business needs, and will demonstrate to the Gateway Review panel that the proposed solution is also aligned. This is where assessment
of 'Organisational Context', 'Implementation Capability' and 'Business Drivers' need to be considered.




                                                              Page 41
                                    Simple
                                  Description
                                   and Core                                                                        Recommended
          IAM Level             Functionalities                           Functionality                               Vendor
Levels 1 A          Basic        Documents &    BASIC (Level 1A)
                                 Records Mgt    This level of the Maturity Model applies to hardcopy              • Alphawest
                                   (Physical    storage & retention of records with electronic control and        • Oracle
                                   Records)     basic discovery tools. It includes:                               • EMC
                                                • Document management processing                                  (Documentum)
                                                • Records management processing, including printed                • Interwoven
                                                emails                                                            • Objective
                                                • Search and retrieval                                            • Open Text
                                                • Reporting                                                       (Hummingbird)
                                                • Holds management                                                • Tower Software
                                                • User management                                                 • ELO Digital
                                                • Security and access management
                                                • Storage management, movement and location
                                                management
                                                • Identity and relationship management
Levels 1 B         Basic       Basic Electronic • Audit Management
                                                BASIC (Level 1B)
                                Document Mgt This level of the Maturity Model applies to hardcopy and
                                                electronic records storage & retention for active records.
                                                It includes all functions at Level 1A plus:
                                                • Capture email as documents
                                                • Content quality and organisational controls
                                                • Content input/output management
Levels 2         Enhanced        Doc Tracking       ENHANCED (Level 2)
                               (basic Workflow)     This level of the Maturity Model applies to imaging of        • Alphawest
                                       &            electronic documents and task tracking/routing                • Oracle
                               User/Security Mgt    capabilities. It includes all functions at Level 1B plus:     • EMC
                                                    • Holds management                                            (Documentum)
                                                    • Identity and relationship management                        • Interwoven
                                                    • Content quality and organisational controls – basic         • Objective
                                                                                                                  • Open Text
                                                                                                                  (Hummingbird)
                                                                                                                  • Tower Software
                                                                                                                  • ELO Digital

Levels 3         Advanced         Advanced          ADVANCED (Level 3)
                                 Workflow &         This level of the Maturity Model applies to the ability to    • Alphawest
                                Administrative      capture records from native applications and provides         • Oracle
                                  Controls          complex workflow capabilities. It includes all functions at   • EMC
                                                    Level 2 plus:                                                 (Documentum)
                                                    • Content management                                          • Interwoven
                                                    • Content rights management                                   • Objective
                                                    • Content quality and organisational controls - advanced      • Open Text
                                                                                                                  (Hummingbird)
                                                                                                                  • Tower Software
                                                                                                                  • ELO Digital

Levels 4          Complex        Web Content        COMPLEX (Level 4)
                                 Management         This level of the Maturity Model applies to the interface     • Alphawest
                                   (WCM) &          with other ERPs, provides Business Process                    • Oracle
                                 Collaboration      Management (i.e. sophisticated workflow) capabilities         • EMC
                                    (basic)         and collaborative outputs eg. Blogs and Wiki‘s). It           (Documentum)
                                                    includes all functions at Level 3 plus:                       • Interwoven
                                                    • Content authoring                                           • Objective
                                                    • Web content management                                      • Open Text
                                                    • Collaboration and productivity – basic                      (Hummingbird)
                                                    OR specialist products for web content management             • Alphawest lite
                                                    (independent of other IAM functions).                         • Vignette
                                                                                                                  • NetCat (wcm)

Levels 5       Sophisticated       Advanced         SOPHISTICATED (Level 5)
                                Collaboration &     This level of the Maturity Model applies collaboration        • Alphawest
                                Knowledge Mgt       capabilities and knowledge management. It includes all        • Oracle
                                (i.e. Enterprise    functions at Level 4 plus:                                    • EMC
                                 Content Mgt)       • Collaboration and productivity - advanced                   (Documentum)
                                                    • Knowledge Management                                        • Interwoven
                                                                                                                  • Objective
                                                                                                                  • Open Text
                                                                                                                  (Hummingbird)
                                                                                                                  • Alphawest lite
                                                                                                                  • Vignette

                                                   Page 42
Supporting Material
The Information Asset Management Maturity Model & Assessment Tool have been developed as a guide for NSW Government agencies.
Results obtained from using the Assessment Tool are the responsibility of individual agencies and the Government Chief Information Office
accepts no liability for the outcome of any decisions made in agencies as a result of using the Tool.


Please click on the following numbers to access the worksheets (supporting material):

SI        Glossary
S2        Technical Requirements (vendor)




                                                                   Page 43
                                            IAMS GLOSSARY

Access Groups             Groups of users defined by their user permissions
Access Restrictions       Categories of access restrictions applied to objects/aggregations
Agency                    The independent Government entity. Used as equivalent to organisation.
                          A generic term operating at various layers to indicate those organisations,
                          organisational sections, or persons with responsibility for creating, controlling,
Agent                     managing, or using records.
                          Generic term representing aggregation of records. May occur at a number of
                          layers – aggregations within aggregations. This term is used so as not to use
                          ―file‖, ―series‖, or ―box‖, which may imply that functionality is restricted only to
Aggregation               paper-based records.
                          Australian Government Locator Service, a metadata set adopted in NSW for use
                          in discovery of Government services and resources online. Specifications can
AGLS                      be found at http://www.naa.gov.au/recordkeeping/gov_online/summary.html
ASP                       Application Service Provider

                          Individuals with designated responsibility for undertaking, managing and
                          monitoring activities and processes associated with the RIMS. May exist at
Authorised person/s       various degrees of seniority with a variety of permissions to undertake processes.
                        Method of finding an object by starting at a known point and following terms
Browsing                linked to that point, following paths identified to detailed information required.
                        Generic term meaning carrying out work-related activity, as in ―doing something‖.
Business                Not restricted to the operations of private or public corporations.
                        A conceptual model of what an organisation does and how it does it. It involves
                        the identification and documentation of each business function, activity and
                        transaction and the documentation of the flow of business processes, and the
                        transactions which comprise them. It can be used to support a number of records
Business Classification management processes. (State Records of NSW Glossary of Recordkeeping
Scheme (BCS)            Terms)
                        The management of the information content contained within information asset
Content Management      management systems
Collaboration and
Productivity            Business effective information management. Collaborating document authoring.
                        The process of transferring documents and records from one medium to another
Conversion              or one format to another.
                        Any manifestation in the environment, which may include symbolic
Data                    representations that, in combination, may form the basis of information.
                        Complete obliteration of the container, object or aggregation beyond possibility of
Destruction             recovery or restoration by specialist data recovery facilities
                        Those documents with changing content complied on request from database
Dynamic documents       fields
                        Documents with embedded links; compound documents where more than one
Embedded documents media type are linked together.
                        Tools and features specific to the management of business emails received and
Email Management        sent by NSW Public Sector personnel and agents
Information             Data in a context to which meaning has been attributed.




                                                   Page 44
                        The replacement term for RIMS. This new IAMS label focuses on the fact that
                        "information" is an "asset".
                        We define Information Asset Management to include:
                        • Records
                        • Documents
                        • Content
                        • Web
Information Asset       • Business Systems Data
Management Systems      • Messaging (email) and
(IAMS)                  • Images, audio, video, maps

                        A set of control tools used as records and information management infrastructure.
                        These control tools are invoked or govern behaviour of records and information
                        management processes at various points. The required functionality for each
Information control/s   control is specified individually in the IAMS Functional Requirements.
                        Refers to application/s that is/are tightly bound with the IAMS. Integration implies
                        data being shared between applications, a common look and feel, and to the end
                        user, no sense that they are using disparate applications when accessing any
Integration             part of an integrated system.
                        A mechanism whereby data can be exchanged between applications. The
Interface               applications continue to operate separately.
                        A body of understanding and skills that is constructed by people and increased
Knowledge               through interaction with other people and with information.
                        A trans-disciplinary approach to improving organisational outcomes and learning,
                        through maximising the use of knowledge. It involves the design, implementation
                        and review of social and technological activities and processes to improve the
                        creating, sharing, and applying or using of knowledge.

                        Knowledge management is concerned with innovation and sharing behaviours,
                        managing complexity and ambiguity through knowledge networks and
Knowledge               connections, exploring smart processes, and deploying people-centric
Management              technologies.

                        A term used to represent the physical or intellectual grouping of objects. In the
                        physical environment these commonly include files, boxes, series, consignments
                        etc. In the electronic environment it is groupings of objects by metadata element,
                        e.g. those objects that share the same classification, or the same disposal date,
Layers of aggregation   or the same location etc. There may be multiple layers of aggregation.
                        Process of associating objects, people and functions together. In the physical
                        environment it is, in part, implicit – represented by the collocation of pieces of
                        paper together on a file. Other linkages or relationships are made between
                        aggregations of objects, e.g. files to other files as subsequent or previous parts,
                        or indicating other (often unspecified) relationships. In the electronic
Linkage                 environment, these links need to be made explicit.
                        Any contextual information created and maintained about an object, either system
Metadata                or manually generated.
                        Used to refer to specific sets of information required to be defined or attributed or
                        linked to an object. This term is used primarily to avoid using the term ―field‖ with
Metadata elements       its database structure associations.
                        The whole of the metadata associated with any individual object or any
Metadata record         aggregation, or layer of aggregation, of objects.
                        The process of transferring objects from one IAMS to another while maintaining
Migration               their authenticity and without n\major conversion or inputting of data.
Native application /    The software package used to create or author or automatically create the object,
software                e.g. SAP, MS Word, PeopleSoft etc.




                                                Page 45
Native format             The format in which the originating application stores objects.
                          NSW Recordkeeping Metadata Set.
NRKMS                     www.records.nsw.gov.au/publicsector/erk/metadata/rkmetadata.htm
                          A term used without technical computing intent, to avoid using ―document‖ or
                          ―record‖. Usually refers to a physical thing, which may be either paper or
                          electronic. Refers to a discrete entity, but may contain a group of linked
Object                    documents.
Product / module /        Generic terms used to refer to the whole solution offering, but not assuming any
component                 particular technical architecture.

                     Tools and features specific to the capture and management of documents and
Records and Document declaring and capturing records as fixed objects into an information asset
Management           management system and ensure the ongoing management of those records for
Processing           as long as they are required for legal, business and other purposes.
                     Records and Information Management System. Used as a generic term to cover
                     all aspects of the functionality outlined in this specification. Now replaced with the
RIMS                 term IAMS
                     The process of identification of objects or groups of objects through user-defined
                     parameters, for the purpose of confirming, locating, accessing, retrieving objects
Searching            and/or their attributes.
                     The total response proposed to satisfy this specification. Includes all products,
Solution             modules or components which make up the total vendor offering.
                     Alphabetically ordered representation of terms incorporated into the controlled
                     language of the Business Classification Scheme (BCS), including lead-in
Thesaurus            language to guide users to preferred terminology.
                     All individuals authorised to contribute to, or access IAMS. Trained to a minimal
                     level to use the software, but not specialist users or system administrators. The
                     majority of functions performed will generally be document creation, records
User                 capture, searching and retrieval.
                     Individual authorisations assigned to people or positions that define what access
                     they have to objects/aggregations and what actions they are permitted to
                     undertake in the IAMS. User permissions may be inherited from other
                     applications within the agency, provided links are robust enough to meet
User permissions     recordkeeping functionality.
                     Tools and features for managing content that is published to intranet and internet
Web Content          sites and the management of transactions and services provided through those
Management           sites.

                          A functionality within a software application that allows in-built document routing,
Workflow                  integrated/interfaced with third party applications and or a combination of the two.




                                                  Page 46
                      The information supplied in this worksheet was supplied by the vendors selected for the GSAS IAM contract.
                      The Government Chief Information Office does not guarantee the accuracy of this information and accepts no liability for decisions made based on this report.

      Vendor                Alphawest -                       Oracle -                       EMC -                     Interwoven -                     Objective -                      Open Text                  Tower Software -                   ELO Digital -              Alphawest Lite -                   Vignette -                       NetCat -
                                                                                                                                                                                       (Hummingbird) -
                          TRIM Context v6;           Oracle Universal Content         Documentum 6 suite           Interwoven Doc Mgt;                 Objective v7.2;                                                  TRIM Context 6             ELO professional 6;           MS Sharepoint Server;          Vignette Enterprise             Netcat WCM v6.1;
                        MS Sharepoint Server;          Management 10G R3                                                   WCM;                       Netcat WCM v6.2               LiveLink Enterprise                                             ELO enterprise 6                   Bizflow;                Content Management              Netcat Bridge v6.1;
                              Bizflow;                                                                                 Records Mgt;                                                      Server 9.7                                                                               Symantec Enterprise                (ECM) v7                 Netcat Transformation
                        Symantec Enterprise                                                                       Content Intelligence and                                        (Doc Mgt; Records Mgt;                                                                                Vault;                                                         v6.1
                               Vault;                                                                              Content Distribution                                             Imaging; Advanced                                                                            Dicom Kofax Ascent &
                         Dicom Kofax Ascent                                                                                                                                       Workflow; Collaboration;                                                                            MS Office
                                                                                                                                                                                      other modules)
Maturity Model
Applicable Levels               1 to 5                          1 to 5                        1 to 5                        1 to 5                           1 to 5                          1 to 5                           1 to 3                        1 to 3                        4 to 5                         4 to 5                          4 (wcm)
1. Technical Environment
                     TRIM - C++, .NET, VB6.          JAVA                          Server - C++                  Generally servers - Java        J2EE, C++, Smalltalk,            Web technology, extendable C++, .NET, VB6                     JAVA                           Sharepoint - .NET.            JAVA, Python, C and C++        Javascript
                     Sharepoint - .NET.                                            Documentum API - Java         J2EE                            VB.net, Javascript, XML,         via Web Services using                                                                       BizFlow - Java, C, C++.                                      Delphi.net
Development          BizFlow - Java, C, C++.                                       User interface - JSP, Java    Client integration - .NET       JDBC, Corba, Web                 XML, .NET, and J2EE.                                                                         Kofax - C++, VB, VB.NET.                                     C#.net
Environment          Kofax - C++, VB, VB.NET..                                                                                                   Services, COM, etc.                                                                                                           EnterpriseVault-C & .NET.
                     EnterpriseVault-C & .NET.
                      TRIM - Windows.                Windows                       Windows Server 2003           Windows                         Windows 2003                     Windows 2000/2003         Windows 2000 / 2003                 ELO professional - MS          Sharepoint - Windows.         HP-UX 11i                      Windows 2000
                      Sharepoint - Windows.          HP-UX                         Sun Solaris 10                LINUX                           Sun Solaris 9/10                 Sun Solaris 8/9/10        server, IIS, .NET Framework         Windows                        BizFlow - Windows, AIX,       AIX                            Windows XP
                      BizFlow - Windows, AIX,        Sun Solaris                   AIX                           Solaris                                                          HP-UX 11i                                                     ELO enterprise - MS            HP-UX, Sun Solaris.           Sun Solaris 8/9/10             Windows 2003 server
Server Operating      HP-UX, Sun Solaris.            AIX                           HP-UX 11i                                                                                      SuSe Linux SLES 9/10/10.1                                     Windows, Linux or Unix         Kofax - Windows.              Windows Server 2003
Systems Required      Kofax - Windows.               SuSe Linux                    Redhat Linux Enterprise                                                                                                                                                                     EnterpriseVault-Windows.      SuSe Linux
                      EnterpriseVault-Windows        RedHat Linux                  SuSe Linux Enterprise                                                                                                                                                                                                     Redhat Linux
                                                                                                                                                                                                                                                                                                             VMWare
                                                                                                                                                                                                                                                                                                             [component dependent]
                      TRIM - MS-SQL, Oracle,         Oracle                        Oracle                        Oracle                          Windows 2003 - Oracle, MS- Oracle 10                            Oracle, MS-SQL Server,         MS-SQL server                  Sharepoint - MS-SQL.          Oracle,                      Any SQL database using a
                      DB2.                           Microsoft SQL                 Microsoft SQL                 MS-SQL Server                   SQL Server                 MS-SQL 2000/2005                     DB2 on any OS supported        Oracle                         BizFlow - MS-SQL, Oracle.     MS-SQL Server,               variety of connection /
                      Sharepoint - MS-SQL.           Sybase                        Sybase                                                        Solaris - Oracle                                                by the RDBMS vendor.           DB2                            Kofax - MSDE, MS-SQL.         DB2                          integration techniques.
Database              BizFlow - MS-SQL, Oracle.      IBM DB2                       IBM DB2                                                                                                                       [TRIM Context WCM - MS-        Informix                                                     [Portal - Also Sybase, check
                                                                                                                                                                                                                                                                               EnterpriseVault-MS-SQL.
                      Kofax - MSDE, MS-SQL.                                                                                                                                                                      SQL Server 2000/2005]                                                                       details]
                      EnterpriseVault-MS-SQL.
                      TRIM - MSI Installer.        May be required for             Optional components        Function dependent - eg            None                             Livelink requires a Web        None                           Apache Tomcat 1.5              Sharepoint - NA.              For Content and Portal - None
                      Sharepoint - not applicable. integration into third party    typically installed:       barcoding, scanning.                                                server or Web application                                     Java Runtime                   BizFlow - an App Server       Application Server
                      BizFlow - an App Server      applications.                   Directory server (LDAP),                                                                       server -                                                                                     such as Websphere, Sun,       (BEA WebLogic, IBM
                      such as Websphere, Sun,                                      Web server (Web publishing                                                                     IIS 5.0/6.0                                                                                  Tomcat on Windows, BEA        WebSphere, Tomcat, Jboss
Third Party
                      Tomcat on Windows, BEA                                       products),                                                                                     Tomcat 5.5x                                                                                  Weblogic.                     or Sun Java System App
components                                                                         VMWare, Citrix.                                                                                IBM Websphere 5.1/6.1                                                                                                      Server)
                      Weblogic.                                                                                                                                                                                                                                                Kofax - NA.
required                                                                                                                                                                          BEA Weblogic 8.1
                      Kofax - not applicable.                                                                                                                                                                                                                                  EnterpriseVault - NA.
                      EnterpriseVault - NA.                                                                                                                                       Sun App Server 8
                                                                                                                                                                                  New Atlanta Servlet Exec
                                                                                                                                                                                  4.1/5.0
Application Service   NO                             NO                            Will consider                 Will consider                   To be designed                   NO                             Not currently available        YES - with Equinix             Not applicable                NO                             Yes - with AC3
Provider (ASP)
Model offered?
2. User Interface
                   TRIM - Rich client or             Browser based.                Both thick client and browser Browser based.                  Both Windows client and          Web based or via client        Conventional full              Deployed as thin or fat client Sharepoint - Browser or MS    Content, Portal,                Complex functions- fat client,
                   browser.                                                        interface (Documentum                                         web client available.            integration into Microsoft     functionality client or                                       Office.                       Collaboration, Records &        Authoring/admin - browser.
                   Sharepoint - Browser or MS                                      Webtop).                                                                                       Desktop, Office & Acrobat.     browser based client.                                         BizFlow - Browser.            Documents - browser
                   Office.                                                                                                                                                                                                                                                     Kofax - Rich client.          interface.
User Interface                                                                                                                                                                                                                                                                                               IDM - both thin and fat client.
                   BizFlow - Browser.                                                                                                                                                                                                                                          EnterpriseVault - Rich
                   Kofax - Rich client.                                                                                                                                                                                                                                        client or browser.
                   EnterpriseVault - Rich
                   client or browser.
                   Microsoft IE                      Microsoft IE                  Microsoft IE                  Microsoft IE                    Microsoft IE                     Microsoft IE 6/7               Microsoft IE 5.5/6             Microsoft IE                   Microsoft IE                  Microsoft IE 6/7               Cross browser support
                   Firefox                           Mozilla                       Firefox                       Mozilla                         Firefox                          Netscape 7.0/8.1               Firefox 1.1                    Firefox                        Firefox                       Netscape 7.2.x
If browser based,  Safari                            Firefox                       Safari                        Firefox                         Safari                           Mozilla 1.7.13                 Safari 2                       Safari                         Safari                        Mozilla 1.7.x
browsers supported (check product                                                                                                                                                 Safari 2                                                                                     (check product                Safari 2.0.x
                   combinations)                                                                                                                                                  Firefox 1.5                                                                                  combinations)                 Firefox 1.5.x & 2.0.x
                                                                                                                                                                                                                                                                                                             [component dependent]
                       TRIM - Fixed database         Core data model cannot be     Documentum provides a         Provides a flexible data        Recommends that the          Generally no.                      Fixed database schema,         Generally no.                  Sharepoint - data model       Content - user definable       Can introduce new metadata
                       schema, however data          altered. User interface can   fully configurable and        model.                          underlying data model not to                                    however the data model is                                     can be altered.               content type;                  without changing the data
                       model is configurable.        be modified using forms,      extensible data model.                                        be modified.                                                    configurable.                                                 Bizflow - data model can be   Collaboration - user           model.
                       Sharepoint - data model       templates, HTML/XML and                                                                                                                                                                                                   modified but not              definable object types;
                       can be altered.               scripting.                                                                                                                                                                                                                recommended.                  Document & Record -
3. Extensibility - can Bizflow - data model can be                                                                                                                                                                                                                             Kofax - data model can be     configurable.
data model be          modified but not                                                                                                                                                                                                                                        altered.
altered                recommended.                                                                                                                                                                                                                                            EnterpriseVault - data
                       Kofax - data model can be                                                                                                                                                                                                                               model should not be
                       altered.                                                                                                                                                                                                                                                modified.
                       EnterpriseVault - data
                       model should not be
                       modified.
                       TRIM - WebServices in SDK     Supplies with JAVA and        Documentum Web                Interwoven Developer Suite - Software Development Kit -          Livelink SDK provides          Provides Web Service of the Provides Web Services             Sharepoint - WebServices      Java based API, and WSRP Netcat has a .NET extension
                       & .NET SDK.                   .NET development toolkit.     Development Kit (WDK),        tools for integration.       provides programmers with           integration in J2EE and .NET   comprehensive functionality through WSDL.                     & .NET object model.          remote portlets for .NET framework.
                       Sharepoint - WebServices                                    Document Foundation                                        the ability to emulate the          environments                   , built on HTTP, SOAP and                                     BizFlow- COM API,
                       & .NET object model.                                        Services (DFS) and                                         functions of the Objective          -check full documentation.     XML.                                                          WebServices, VBScript &
4. Integration with    BizFlow- COM API,                                           Document Process                                           client.                                                            A .NET SDK is available.                                      others.
Java / .NET            WebServices, VBScript &                                     Integrator support SOA.                                                                                                                                                                     Kofax - .NET framework.
                       others.                                                                                                                                                                                                                                                 EnterpriseVault - NA.
                       Kofax - .NET framework.
                       EnterpriseVault - NA.
                      TRIM - Closely integrated      Ships with desktop plug-ins   Integrates with Word,         Interwoven Office Integration   Integrates with MS Office        With Livelink Explorer,        Out of the box closely         Standard integration fully     Sharepoint - Closely           Vignette Business           MS Office documents can be
                      out of the box.                for MS Window Explorer,       PowerPoint, Excel through     Module available.               and other desktop - ability to   Livelink Enterprise server     integrated with desktop        embedded.                      integrated.                    Integration Studio provides created and edited within the
                      Sharepoint - Closely           Outlook, IBM Notes clients.   Application Connector.                                        save content and open            repositories appear as         applications and email                                        BizFlow - various options. adopters for MS Office tools. Netcat library.
                      integrated.                                                  Dedicated client for Outlook,                                 content.                         folders in Windows Explorer.   clients.                                                      Kofax - can import process
Integration with MS   BizFlow - various options.                                   or use Application Connector                                                                                                                                                                and release any type of files.
Office & Outlook      Kofax - can import process                                   SDK.                                                                                                                                                                                        EnterpriseVault - Outlook
                      and release any type of files.                                                                                                                                                                                                                           addin.
                      EnterpriseVault - Outlook
                      addin.

                      TRIM - SDK                     Ships with a series of        SAP integration out of the   Interwoven Developer Suite -     Application integration          Out of the box integration     SDK provided.                  Standard interface available   Sharepoint - WebServices      Vignette Business              Netcat's Pluggable Web
                      Sharepoint - WebServices       adopters for ERP eg.          box. Otherwise use           tools for integration.           should be done through           with SAP, else use API or                                     for SAP, MS Dynamics,          + .NET object model.          Integration Studio provides    Application (PWA) - allows
                      + .NET object model.           PeopleSoft, SAP, Oracle       Business Process Integrator,                                  WebTalk web services or          Web Services.                                                 Sage, MYOB & others.           BizFlow - various options.    adopters for most ERPs,        execution of third party
Integration with      BizFlow - various options.     EBS, JD Edwards.              Portlet Integration or                                        API.                                                                                           Can also use SOAP.             Kofax - release script        including SAP, PeopleSoft,     applications and code from
ERP/HR/Finance        Kofax - release script         HLLAPI toolkit for legacy     Programmatic Integration                                                                                                                                                                    integration with SAP.         JD Edwards.                    within a Netcat web page.
                      integration with SAP.          system integration.           including APIs, J2EE, Web                                                                                                                                                                   EnterpriseVault - NA                                         Netcat SDK for Javascript,
                      EnterpriseVault - NA.                                        Services.                                                                                                                                                                                                                                                Periscript or Vbscript.

                      TRIM - uses OS for          Yes - LDAP                       Yes - support LDAP, Active    Yes                             Yes - support LDAP, Active       Yes - LDAP or NT LAN           Uses OS for user               Yes                            Sharepoint - yes.           Yes - LDAP and Active            Yes
                      authentication -                                             Directory.                                                    Directory, eDirectory.           MANAGER, Active                authentication. Directory                                     BizFlow - Yes.              Directory.
                      synchronisation tool for                                                                                                                                    Directory.                     Synchronisation tool for                                      Kofax - Linked to OS groups
                      LDAP.                                                                                                                                                                                      integration with LDAP (eg                                     and users.
Integration with
                      Sharepoint - yes.                                                                                                                                                                          Active Directory, eDirectory                                  EnterpriseVault - Yes.
LDAP
                      BizFlow - Yes.                                                                                                                                                                             and OpenLDAP).
                      Kofax - linked to OS groups
                      and users.
                      EnterpriseVault - Yes.
                                                                                                                                                                                                                    Page 47

				
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