Sheet 1: Introduction

	
	

		
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, use and exchange of information through policies, guidelines and tools.
	
	

		
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 ?
	
	

		


	
	

		
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 Management Systems (IAMS) which encapsulates not only the end to end software products, but the processes that support their use.  It also recognises the importance of information as valuable corporate assets.
	
	

		
However, it is important to note that the purchase of an Information Asset Management System (IAMS) alone 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, procuring add-on products for existing systems, or procuring replacement systems to undertake a number of tasks.

	
	

		


	
	

		
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

Each of these layers is represented by a series of questions in the Assessment Tool.

	
	

		
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.

	
	

		
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. 

	
	

		


	
	

		
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

If you have any comments or questions relating to the use of the Assessment Tool or results, please contact kate.harrington@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).  
	
	

		


	



Sheet 2: Model

	
	

		
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.
		


		


		


		


		


		


		


		


		


		


		


		


	
	

		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		

 
		
		
	

		
	

		
	

		
	

		
	

		
	

		
	

		
	

		
	

		
	

		
	

		
	

		
	

		
	

		
	

		
	

		
	

		
	

		
	

		
	

		
	

		
	

		
	

		
	

		
	

		
	

		
	

		
	

		
	

		
	

		
	

		
	

		
	

		
	

		
	

		



Sheet 3: Questionnaire

	
	
	
	
	

		
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