Iam Tool v2 0 E1

Welcome to the Information Asset Management (IAM) Maturity Model & Assessmen
Information is the basis of most activity in the public sector. It is used for planning, decision making and customer s
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'
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 characte
• 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 manage
a program to assist agencies improve the management of their information assets. This program provides assistan
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
particularly important in the management of full and accurate records.
This Assessment Tool will assist agencies identify their information management priorities and when necessary pre
implement IAM systems.
The Information Asset Management Maturity Model & Assessment Tool have been developed as a guide for NSW
from using the Assessment Tool are the responsibility of individual agencies and the Government Chief Information
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 ?
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What is Information Asset Management ?
Information assets include documents, emails, web content, business data, images, video and other content in bot
Information Asset Management Systems (IAMS) are software applications that capture, manage and store physica
The term for these systems for some years has been Records and Information Management Systems (RIMS). How
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
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 Governm
panel contract as Information Asset Management Systems (IAMS) which encapsulates not only the end to end sof
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 n
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 ag
GCIO is leading a program to assist agencies implement better management of their information assets. This prog
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
both operational needs and legislative compliance.
To meet these needs agencies may be able to use existing records, document and content management systems.
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, proc
or procuring replacement systems to undertake a number of tasks.
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How does the tool work ?
The Information Asset Management Maturity Model has been developed to provide agencies with a means of dete
information assets together with an assessment of future requirements.
The accompanying Assessment Tool enables agencies (by answering a series of questions) to position their requir
Model.
These results, including factors such as size, shared services arrangements etc should be used to recommend sol
will direct agencies to Information Asset Management Systems which offer an appropriate level of functionality on t
Systems (GSAS) panel contract.
The results of using the Assessment Tool are intended as a guide only, and directly relate to the selection of respo
will be at the discretion of the agencies to select and negotiate the purchase of an Information Asset Management
Application Systems (GSAS) guidelines).
The Maturity Model consists of four layers, each of which must be considered in determining overall maturity and c
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 Managem
considering the product options available on the Government Selected Application Systems (GSAS) panel contrac
numbers (for licensing options, eg. concurrent or per seat), geographic spread and location (for implementation op
This is also an opportunity for agencies to consider shared service arrangements with the Central Corporate Servic
Business Drivers
This section of the Assessment Tool relates to the current information management systems in place in the agency
use and / or change those systems.
Agencies need to consider the business reasons for recommending the purchase of a new Information Asset Mana
observations in any business case they prepare for Gateway review.
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Implementation Capability
Completing this section of the Assessment Tool will assist agencies to consider the wider implications of implemen
System. Including:
- readiness of the agency, in terms of having in place foundation Information Management practices, policies and p
- 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
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, docu
collaboration and knowledge management functionality. The headings in this section of the Assessment Tool are a
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
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 repo
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 w
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What to do with the results ?
GCIO recommends that agencies considering procurement of an Information Asset Management System include t
the Assessment Tool in any business cases submitted for Gateway Review. This will encourage the development o
which are better aligned to agency business needs, and demonstrate to the Gateway Review panel that the propos
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-governmen
identified in PeopleFirst) which would provide a direction for all GCIO projects requiring Information Management c
Agencies are requested to save the results from the Tool as a new file and forward a copy of the completed Tool to
If you have any comments or questions relating to the use of the Assessment Tool or results, please contact kate.h
What’ s next ?
Agencies will need to review the Government Selected Application Systems (GSAS) panel contract for vendors at
technical specification to assist in planning, budgeting and procurement of Information Asset Management is availa
(www.commerce.nsw.gov.au).
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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.
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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 8
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

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 9
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
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 ? ###
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Capacity
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 11
Welcome to Part 1 of the Records Management Health Check questionnaire.

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 Weight

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 the Yes
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 skills Yes
and knowledge for these tasks?
###
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No
Some
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 recordkeeping Yes
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

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

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
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Some
41 Are records accurate? Yes ###

No
Some
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 15
Welcome to Part 2 of the Records Management Health Check questionnaire.
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 Weight

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
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

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64 Are shelving and handling equipment clean, in good condition and appropriate to the format and retention Yes
period of the records? ###
No
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

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
73 Are records storage areas and buildings regularly maintained and monitored as part of an ongoing program? Yes
###
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
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
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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 ###
No
Some
Accessibility
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 quickly Yes
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
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
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?
###
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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
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
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 19
Welcome to the Implementation Capability questionnaire.
Records Management
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 records? A - Implemented
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
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Information Management
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
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
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Project Management
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
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
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Governance
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 23
Page 24
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 25
Business Qst
Requirements
Actual Current Future Q
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? 2 N Analogue video or audio recordings
Y/ ###
3 N Electronic assets such as email, word processing documents, spreadsheets
Y/ ###
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 The capability of declaring a document or information object as a 'record'.
Y/ ###
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
Page 26
### Y/ To identify manage and protect vital records ###
N
Page 27
###
###
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.
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)
5 What imaging capability does the agency require? 1 Y/ Ad hoc scanning ###
N
2 Y/ Low resolution ###
N
3 Y/ High volume scanning ###
N
4 Y/ Scanning to more easily access and distribute documents and records ###
N
5 Y/ High resolution ###
N
6 Y/ Scanning to preserve documents, records or archives ###
N
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% ###
###
###
User and Identity Management Position Needs Needs
Identity and user information includes: Staff information - names, contact information, and Login credentials - ID and password. ###
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.
Page 28
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 29
###
Document Relationship Management Position Needs Needs
The relationship between various types of information assets. ###
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 ###
3 N Capability to ensure perpetual links, annotations and aggregations are applied
Y/ ###
N and controlled
9 Does the agency have in its custody information, ### ###
documents or records older than 30 years from the
date they were created?
###
###
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. ###
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 Ability to link a user with storage location (i.e. create link between location -
Y/ ###
N local file storage location and/or desk - and organisational position and user
name).
including documents and records, is regarded as B 5% - 20% ###
containing physical security related material e.g.
plans of Government buildings, bridges, security C 21% - 50% ###
access codes and security watch schedules ?
(estimate only). D More than 50% ###
###
Page 30
###
Security and Access Management Position Needs Needs
User (role and individual), Organisation-based and Group-based Security ###

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 Authentication and identity management via encryption, digital signatures or
Y/ ###
N biometrics
8 Y/ Security management across systems where interfaces / integration has been ###
N applied
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 31
###
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.
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 Simple word search using full text indexing of content and metadata using a
Y/ ###
N single word, phrases, Boolean operators or wildcards
5 Y/ Saved searches ###

N
6 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)

15 What is the estimated number of litigation cases the 1 A Less than 10 ###
agency has been subjected to in the last 10 years? B 10 - 50 ###
C 51 - 100 ###
D 101 - 500 ###
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 32
###
Reporting Position Needs Needs
Relates to the ability to generate reports from an IAM system. ###

17 What reporting capability does the agency require? 1 Y/ Standard records management reports ###
N
2 Y/ Reports from searches ###
N
3 Y/ Ad hoc reporting ###
4 N
Y/ Statistical reporting ###
N
5 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,
Ombudsman or the Audit Office? C Between 1 and 4 or once every 5 or more years ###
D None ###
###
###
Audit Management Position Needs Needs
Relates to users and content control and reporting. ###
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 ###
N
3 Y/ Capture changes to content ###
4 N Select which system tables to be logged
Y/ ###
N
5 Y/ Monitor performance and compliance ###
N
###
###
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. ###
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 33
###
Content Management Position Needs Needs
The management of the information content contained within information asset management systems. ###
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. ###
N
3 Y/ Redaction of content with time/date stamp and reason for redaction overlayed ###
N
4 Y/ Annotation management ###
5 N Support for data entry standards ie applying data validation rules to ensure the
Y/ ###
N appropriate type or content is entered
6 Y/ Branding, style and formatting management ###
N
7 Y/ Aggregation and disaggregation of content ###
N
8 Y/ Syndication of content ###
N
9 Y/ End-user managed workspaces and presentation ###
N ###
###
Content Input/Output Management Position Needs Needs
Relates to systems input / output functionality and information exchange. ###
22 What content input/output capability does the 1 Y/ Bulk importing and exporting of content and metadata ###
agency require? N Content migration or conversion
2 Y/ ###
3 N Data testing and validation
Y/ ###
4 N Ability to export information assets and metadata in XML
Y/ ###
N
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 special ###
N 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 34
###
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.
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)
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 it ###
N
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
###
###
Content Quality and Organisation Controls Position Needs Needs
Relates to information assets located in all enterprise systems. ###
26 What content quality and organisation controls does 1 Y/ Indexing of metadata relating to physical documents or records ###
the agency require? N Full indexing of metadata, documents and records
2 Y/ ###
N Ability to manage multilingual content
3 Y/ ###
N ###
###
Content Rights Management Position Needs Needs
Relates to content rights applied to all information assets. ###
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 Ability to register and maintain a register of intellectual property
Y/ ###
N ###
Page 35
###
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.
28 What web content management capability does the 1 Y/ Publishing static content ###
agency require? 2 N Applying AGLS metadata to published content
Y/ ###
3 N Web content template management
Y/ ###
N
4 Y/ Web content capture as a record ###
5 N Website statistics
Y/ ###
6 N Website simple search and retrieval
Y/ ###
7 N Web content workflow
Y/ ###
8 N Web content auditing and version control
Y/ ###
9 N Multi-channel syndication management
Y/ ###
N
### Y/ Integrated web content, document and records management ###
### N Multilingual website presentation
Y/ ###
N
### Y/ Website transaction management ###
### N Website payment services
Y/ ###
N
### Y/ Website subscription management ###
N ###
Page 36
###
Collaboration and Productivity Position Needs Needs
Business effective information management. Collaborative document authoring. ###

29 What collaboration tools does the agency require? 1 Y/ Collaborative workspaces (eg. Blogs, Wikis) ###
N
2 Y/ Schedule management ###
N
3 Y/ Virtual meetings ###
4 N
Y/ Management of content distribution, contribution, circulation etc ###
N
5 Y/ Asynchronous content development and review ###
N
6 Y/ Synchronous content development and review ###
7 N
Y/ Support for collaboration from a variety of ICT devices - portable and fixed ###
N
30 Does the agency share information: 1 Y/ Internally within workteams or business areas? ###
N
2 Y/ Internally within the agency? ###
N
3 Y/ Externally with less than 5 other NSW State Government Agencies? ###
N
4 Y/ Externally with 5 or more other NSW Government agencies? ###
N
5 Y/ Externally with Local Government Authorities? ###
6 N
Y/ Externally with Commonwealth Government agencies? ###
N
7 Y/ Externally with private sector partners, clients or providers within Australia ###
8 N Externally with overseas Government bodies?
Y/ ###
9 N Externally with overseas private sector organisations
Y/ ###
N ###
Page 37
###
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.

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.
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 Learning Management functionality ?
Y/ ###
N
5 Y/ A Customer Relationship Management (CRM) system ? ###
N
###
Page 38
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 39
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 40
Page 41
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.

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

0% the standard for Managing Record
Management Program Management Program.

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

0% the standard for Physical Storage of State
Records Records.

Digital Recordkeeping 0% the standard for Digital Recordkeeping.
Page 42
Information Asset Management - Organisation Maturity
Overall
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 43
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.
Implementation Capability
100%
50%
Max %
0% Survey score %
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 44
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).
This represents the level of change ( ‘implementation gap’ ) involved in moving from your actual position to your current and future needs
and should be used for risk analysis, project planning and change management activities.
%Match
100%
90%
80%
70%
60%
Actual Position
Current Needs
50% Future Needs
40%
30%
20%
10%
0%
Page 45
10%
0%
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.
The following (over) provides a high-level explanation of results:
Page 46
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
• Audit Management
Levels 1 B Basic Basic Electronic 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)
Page 47
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 48
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 49
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 50
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.
Page 51
Native application / The software package used to create or author or automatically create the object,
software e.g. SAP, MS Word, PeopleSoft etc.
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 52
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 Server ELO enterprise 6 Bizflow; Content Management Netcat Bridge v6.1;
Bizflow; Records Mgt; 9.7 Symantec Enterprise (ECM) v7 Netcat Transformation v6.1
Symantec Enterprise Content Intelligence and (Doc Mgt; Records Mgt; Vault;
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 Services, XML, .NET, and J2EE. Kofax - C++, VB, VB.NET. C#.net
Environment Kofax - C++, VB, VB.NET.. 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
HP-UX, Sun Solaris. AIX HP-UX 11i SuSe Linux SLES 9/10/10.1 Windows, Linux or Unix Kofax - Windows. Windows Server 2003
Server Operating
Kofax - Windows. SuSe Linux Redhat Linux Enterprise EnterpriseVault-Windows. SuSe Linux
Systems Required
EnterpriseVault-Windows RedHat Linux SuSe Linux Enterprise Redhat Linux
VMWare
[component dependent]
TRIM - MS-SQL, Oracle, Oracle Oracle Oracle Windows 2003 - Oracle, 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 MS-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 EnterpriseVault-MS-SQL. [Portal - Also Sybase, check
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 Weblogic. VMWare, Citrix. IBM Websphere 5.1/6.1 Kofax - NA. Server)
required Kofax - not applicable. BEA Weblogic 8.1 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 browser Office. Collaboration, Records & Authoring/admin - browser.
Sharepoint - Browser or MS Webtop). Desktop, Office & Acrobat. based client. BizFlow - Browser. Documents - browser
Office. Kofax - Rich client. interface.
User Interface BizFlow - Browser. EnterpriseVault - Rich client IDM - both thin and fat client.
Kofax - Rich 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 fully Provides a flexible data Recommends that the Generally no. Fixed database schema, Generally no. Sharepoint - data model can Content - user definable Can introduce new metadata
schema, however data altered. User interface can configurable and extensible model. underlying data model not to however the data model is be altered. content type; without changing the data
model is configurable. be modified using forms, data model. be modified. configurable. Bizflow - data model can be Collaboration - user model.
Sharepoint - data model can templates, HTML/XML and modified but not definable object types;
be altered. scripting. recommended. Document & Record -
Bizflow - data model can be Kofax - data model can be configurable.
3. Extensibility - can modified but not altered.
data model be recommended. EnterpriseVault - data
altered 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 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. and .NET development 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 & toolkit. 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
BizFlow - various options. or use Application Connector and release any type of files.
Integration with MS Kofax - can import process SDK. EnterpriseVault - Outlook
Office & 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 Business 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 Process Integrator, Portlet 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. Integration or Programmatic 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 Integration including APIs, integration with SAP. JD Edwards. within a Netcat web page.
integration with SAP. system integration. J2EE, Web Services. EnterpriseVault - NA Netcat SDK for Javascript,
EnterpriseVault - NA. 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 Directory. authentication. Directory BizFlow - Yes. Directory.
synchronisation tool for 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 53
Pt# Ans Text LookupAns Level 1 Level 2 Level 3 Level 4 Level 5
(SORT)
1 Y Paper based documents and files Q01.01Y 20.0 0.0 0.0 0.0 0.0
2 Y Analogue video or audio recordings Q01.02Y 0.0 0.5 0.0 0.0 0.0
3 Y Electronic assets such as email, word processing documents, spreadsheets Q01.03Y 0.0 1.0 0.0 0.0 0.0
4 Y Electronic assets such as digital photographs, multimedia files or web pages Q01.04Y 0.0 0.5 2.0 0.0 0.0
1 A Paper-based records only Q02.01A 20.0 0.0 0.0 0.0 0.0
1 B A mix of electronic and paper-based records Q02.01B 0.0 10.0 15.0 0.0 0.0
1 C Electronic records only Q02.01C 0.0 15.0 20.0 0.0 0.0
1 Y To be able to find records Q03.01Y 5.0 0.0 0.0 0.0 0.0
2 Y The capability of declaring a document or information object as a 'record'. Q03.02Y 5.0 0.0 0.0 0.0 0.0
3 Y To ensure records and their associated metadata (information about the record) aQ03.03Y 5.0 0.0 0.0 0.0 0.0
4 Y Manage the disposal of records Q03.04Y 5.0 0.0 0.0 0.0 0.0
5 Y Classify records so they are systematically identified and arranged Q03.05Y 5.0 0.0 0.0 0.0 0.0
6 Y Capability to support a minimal level of recordkeeping metadata required under Q03.06Y 5.0 0.0 0.0 0.0 0.0
7 Y To be able to track records as they are distributed, used and actioned by the org Q03.07Y 5.0 0.0 0.0 0.0 0.0
8 Y To rollback and view previous versions of a record or information about a record Q03.08Y 5.0 0.0 0.0 0.0 0.0
9 Y To manage and maintain disposal schedules Q03.09Y 5.0 0.0 0.0 0.0 0.0
10 Y To manage and maintain classification schemes, lists of controlled terms and the Q03.10Y 5.0 0.0 0.0 0.0 0.0
11 Y Capability to fully support the NSW Recordkeeping Metadata Standard Q03.11Y 5.0 0.0 0.0 0.0 0.0
12 Y To identify manage and protect vital records Q03.12Y 5.0 0.0 0.0 0.0 0.0
1 Y Capture and basic registration of physical documents Q04.01Y 0.0 2.0 0.0 0.0 0.0
2 Y Document type and format management Q04.02Y 0.0 2.0 0.0 0.0 0.0
3 Y Version control Q04.03Y 0.0 2.0 0.0 0.0 0.0
4 Y Forms and template management and control Q04.04Y 0.0 2.0 0.0 0.0 0.0
5 Y Retention alerts and controls e.g. Documents tagged with e review for deletion daQ04.05Y 0.0 2.0 0.0 0.0 0.0
6 Y Management of compound documents (e.g. a dynamic collection of a word docume Q04.06Y 0.0 2.0 0.0 0.0 0.0
1 Y Ad hoc scanning Q05.01Y 0.0 0.5 0.0 0.0 0.0
2 Y Low resolution Q05.02Y 0.0 0.5 0.0 0.0 0.0
3 Y High volume scanning Q05.03Y 0.0 0.5 0.0 0.0 0.0
4 Y Scanning to more easily access and distribute documents and records Q05.04Y 0.0 0.5 0.0 0.0 0.0
5 Y High resolution Q05.05Y 0.0 0.5 0.0 0.0 0.0
6 Y Scanning to preserve documents, records or archives Q05.06Y 0.0 0.5 0.0 0.0 0.0
1 A Less than 5% Q06.01A 0.0 1.0 0.0 0.0 0.0
1 B 5% - 20% Q06.01B 0.0 2.0 0.0 0.0 0.0
1 C 21% - 50% Q06.01C 0.0 3.0 0.0 0.0 0.0
1 D More than 50% Q06.01D 0.0 4.0 0.0 0.0 0.0
1 Y Ability to link people (name) to positions (position description, position number), wiQ07.01Y 0.0 0.5 1.0 0.0 0.0
2 Y Ability to link access and user permissions, and security levels to positions with i Q07.02Y 0.0 0.5 1.0 0.0 0.0
3 Y Ability to define types of user permissions (e.g. access not permitted, read only, Q07.03Y 0.0 0.5 1.0 0.0 0.0
1 Y Ability to specify and maintain links between metadata records and other informa Q08.01Y 0.0 0.5 1.0 0.0 0.0
2 Y Ability to support automatic linking between versions Q08.02Y 0.0 0.5 0.5 0.0 0.0
3 Y Capability to ensure perpetual links, annotations and aggregations are applied anQ08.03Y 0.0 0.5 0.5 0.0 0.0
1 N #REF! Q09.01N 0.0 0.0 0.0 0.0 0.0
1 Y 0 Q09.01Y 0.0 1.0 1.0 0.0 0.0
1 Y Distributed physical storage management, including outsourced arrangements anQ10.01Y 0.0 1.0 1.0 0.0 0.0
2 Y Physical Repository Management – location and space management, monitoring Q10.02Y 0.0 1.0 1.0 0.0 0.0
3 Y Ability to allocate objects at any layer of aggregation to a physical storage locat Q10.03Y 0.0 1.0 1.0 0.0 0.0
4 Y Ability to set different default electronic repositories for different record types Q10.04Y 0.0 1.0 1.0 0.0 0.0
5 Y Ability to batch process electronic objects into an electronic store Q10.05Y 0.0 1.0 1.0 0.0 0.0
6 Y Ability to link a user with storage location (i.e. create link between location - loc Q10.06Y 0.0 1.0 1.0 0.0 0.0
1 A Less than 5% Q11.01A 0.0 1.0 1.0 0.0 0.0
1 B 5% - 20% Q11.01B 0.0 2.0 2.0 0.0 0.0
1 C 21% - 50% Q11.01C 0.0 3.0 3.0 0.0 0.0
1 D More than 50% Q11.01D 0.0 4.0 4.0 0.0 0.0
1 Y Individual and role based security Q12.01Y 0.0 0.5 1.0 0.0 0.0
2 Y Document and record based security and folder or file based security Q12.02Y 0.0 0.5 1.0 0.0 0.0
3 Y Access rights management for individuals, roles, groups, objects, actions, etc. Q12.03Y 0.0 0.5 1.0 0.0 0.0
4 Y Basic system and network based authentication and identity management Q12.04Y 0.0 0.5 1.0 0.0 0.0
5 Y System integrity to prevent the unauthorised access, destruction, alteration or re Q12.05Y 0.0 0.5 1.0 0.0 0.0
6 Y Security markings, classifications, caveats, etc Q12.06Y 0.0 0.5 1.0 0.0 0.0
7 Y Authentication and identity management via encryption, digital signatures or biomQ12.07Y 0.0 0.5 1.0 0.0 0.0
8 Y Security management across systems where interfaces / integration has been ap Q12.08Y 0.0 0.5 1.0 0.0 0.0
1 A Less than 5% Q13.01A 0.0 0.0 0.0 0.0 0.0
1 B 5% - 20% Q13.01B 0.0 1.0 0.0 0.0 0.0
1 C 21% - 50% Q13.01C 0.0 2.0 1.0 0.0 0.0
1 D More than 50% Q13.01D 0.0 3.0 2.0 0.0 0.0
1 Y Simple search interface for only the basic registration and management metadataQ14.01Y 0.0 0.5 1.0 0.0 0.0
2 Y Simple keyword search for all metadata using a single word, phrases, Boolean o Q14.02Y 0.0 0.5 1.0 0.0 0.0
3 Y User-defined and controlled searches Q14.03Y 0.0 0.5 1.0 0.0 0.0
4 Y Simple word search using full text indexing of content and metadata using a sin Q14.04Y 0.0 0.5 1.0 0.0 0.0
5 Y Saved searches Q14.05Y 0.0 0.5 1.0 0.0 0.0
6 Y Integrated thesaurus search and natural language search Q14.06Y 0.0 0.5 1.0 0.0 0.0
7 Y Advanced search options - fuzzy logic, proximity, natural language, thesaurus andQ14.07Y 0.0 0.5 1.0 0.0 0.0
8 Y Repository search (ie querying and retrieving data within a single repository Q14.08Y 0.0 0.5 1.0 0.0 0.0
9 Y Federated search (ie querying and retrieving data separate repositories but thro Q14.09Y 0.0 0.5 1.0 0.0 0.0
10 Y Enterprise search and retrieval (ie querying and retrieving data from multiple elec Q14.10Y 0.0 0.5 1.0 0.0 0.0
1 A Less than 10 Q15.01A 0.0 0.0 0.0 0.0 0.0
1 B 10 - 50 Q15.01B 0.0 1.0 0.0 0.0 0.0
1 C 51 - 100 Q15.01C 0.0 2.0 1.0 0.0 0.0
1 D 101 - 500 Q15.01D 0.0 3.0 2.0 0.0 0.0
1 A Less than 51 Q16.01A 0.0 0.0 0.0 0.0 0.0
1 B 51 - 500 Q16.01B 0.0 1.0 0.0 0.0 0.0
1 C 501 - 1000 Q16.01C 0.0 2.0 1.0 0.0 0.0
1 D 1001 - 1500 Q16.01D 0.0 3.0 2.0 0.0 0.0
1 E 1501 - 2000 Q16.01E 0.0 4.0 3.0 0.0 0.0
1 F More than 2000 Q16.01F 0.0 5.0 4.0 0.0 0.0
1 Y Standard records management reports Q17.01Y 0.0 1.0 0.0 0.0 0.0
2 Y Reports from searches Q17.02Y 0.0 1.0 0.0 0.0 0.0
3 Y Ad hoc reporting Q17.03Y 0.0 1.0 0.0 0.0 0.0
4 Y Statistical reporting Q17.04Y 0.0 1.0 0.0 0.0 0.0
5 Y Graphical reporting Q17.05Y 0.0 1.0 0.0 0.0 0.0
6 Y Dashboard style reporting Q17.06Y 0.0 1.0 0.0 0.0 0.0
1 A More than 10 investigations or at least once every 2 years Q18.01A 0.0 1.0 0.0 0.0 0.0
1 B Between 5 and 9 or once every 3 or 4 years Q18.01B 0.0 2.0 1.0 0.0 0.0
1 C Between 1 and 4 or once every 5 or more years Q18.01C 0.0 3.0 2.0 0.0 0.0
1 D None Q18.01D 0.0 0.0 0.0 0.0 0.0
1 Y Monitor emailing of objects and links from enterprise systems Q19.01Y 0.0 1.0 1.0 0.0 0.0
2 Y Capture Check-out/check-in activity for documents and records Q19.02Y 0.0 1.0 1.0 0.0 0.0
3 Y Capture changes to content Q19.03Y 0.0 1.0 1.0 0.0 0.0
4 Y Select which system tables to be logged Q19.04Y 0.0 1.0 1.0 0.0 0.0
5 Y Monitor performance and compliance Q19.05Y 0.0 1.0 1.0 0.0 0.0
1 A Print and hardcopy file emails and attachments Q20.01A 0.0 1.0 1.0 0.0 0.0
1 B Capture attachments separately Q20.01B 0.0 2.0 2.0 0.0 0.0
1 C Capture full email at individual level Q20.01C 0.0 3.0 3.0 0.0 0.0
1 D Capture full email at server level Q20.01D 0.0 10.0 5.0 0.0 0.0
1 Y Viewing or rendering of content originally generated using standard business appQ21.01Y 0.0 0.0 0.5 0.0 0.0
2 Y Simple redaction or 'blacking out of content not to be viewed. Q21.02Y 0.0 0.0 0.5 0.0 0.0
3 Y Redaction of content with time/date stamp and reason for redaction overlayed Q21.03Y 0.0 0.0 0.5 0.0 0.0
4 Y Annotation management Q21.04Y 0.0 0.0 0.5 0.0 0.0
5 Y Support for data entry standards ie applying data validation rules to ensure the a Q21.05Y 0.0 0.0 0.5 0.0 0.0
6 Y Branding, style and formatting management Q21.06Y 0.0 0.0 0.5 0.0 0.0
7 Y Aggregation and disaggregation of content Q21.07Y 0.0 0.0 0.5 0.0 0.0
8 Y Syndication of content Q21.08Y 0.0 0.0 0.5 0.0 0.0
9 Y End-user managed workspaces and presentation Q21.09Y 0.0 0.0 0.5 0.0 0.0
1 Y Bulk importing and exporting of content and metadata Q22.01Y 0.0 1.0 1.0 0.0 0.0
2 Y Content migration or conversion Q22.02Y 0.0 1.0 1.0 0.0 0.0
3 Y Data testing and validation Q22.03Y 0.0 1.0 1.0 0.0 0.0
4 Y Ability to export information assets and metadata in XML Q22.04Y 0.0 1.0 1.0 0.0 0.0
1 Y Ability to utilise XML to exchange data Q23.01Y 0.0 1.0 1.0 0.0 0.0
2 Y Ability to support specialist software that may be required by users with special Q23.02Y 0.0 1.0 1.0 0.0 0.0
3 Y Ability to convert electronic documents/records from different authoring formats. Q23.03Y 0.0 1.0 1.0 0.0 0.0
1 A Routing (simple routing with email alerts that a document needs attention) Q24.01A 0.0 0.0 2.0 0.0 0.0
1 B Workflow (complex processes where an event can trigger a series of parallel and Q24.01B
u 0.0 0.0 3.0 0.0 0.0
1 C Business Process Management (does everything that workflow does, but extendsQ24.01C it 0.0 0.0 5.0 5.0 0.0
1 Y Ability to define workflow processes Q25.01Y 0.0 0.0 1.0 5.0 0.0
2 Y Ability for a single document to have more than one workflow associated with it Q25.02Y 0.0 0.0 1.0 5.0 0.0
3 Y Ability for individuals external to the agency to initiate a query to be processed b Q25.03Y 0.0 0.0 1.0 5.0 0.0
4 Y Ability to configure workflow support to control electronic publishing of web pagesQ25.04Y 0.0 0.0 1.0 5.0 0.0
1 Y Indexing of metadata relating to physical documents or records Q26.01Y 0.0 0.0 1.0 0.0 0.0
2 Y Full indexing of metadata, documents and records Q26.02Y 0.0 0.0 0.5 0.0 0.0
3 Y Ability to manage multilingual content Q26.03Y 0.0 0.0 0.5 0.0 0.0
1 Y Ability to set up user defined rules for User and Groups for viewing, printing, copyQ27.01Y 0.0 0.0 1.0 0.0 0.0
2 Y Ability to include content rights management in metadata and audit trail Q27.02Y 0.0 0.0 1.0 0.0 0.0
3 Y Ability to control copyright / watermark records Q27.03Y 0.0 0.0 1.0 0.0 0.0
4 Y Ability to register and maintain a register of intellectual property Q27.04Y 0.0 0.0 1.0 0.0 0.0
1 Y Publishing static content Q28.01Y 0.0 0.0 0.0 5.0 0.0
2 Y Applying AGLS metadata to published content Q28.02Y 0.0 0.0 0.0 5.0 0.0
3 Y Web content template management Q28.03Y 0.0 0.0 0.0 5.0 0.0
4 Y Web content capture as a record Q28.04Y 0.0 0.0 0.0 5.0 0.0
5 Y Website statistics Q28.05Y 0.0 0.0 0.0 5.0 0.0
6 Y Website simple search and retrieval Q28.06Y 0.0 0.0 0.0 5.0 0.0
7 Y Web content workflow Q28.07Y 0.0 0.0 0.0 5.0 0.0
8 Y Web content auditing and version control Q28.08Y 0.0 0.0 0.0 5.0 0.0
9 Y Multi-channel syndication management Q28.09Y 0.0 0.0 0.0 5.0 0.0
10 Y Integrated web content, document and records management Q28.10Y 0.0 0.0 0.0 5.0 0.0
11 Y Multilingual website presentation Q28.11Y 0.0 0.0 0.0 5.0 0.0
12 Y Website transaction management Q28.12Y 0.0 0.0 0.0 5.0 0.0
13 Y Website payment services Q28.13Y 0.0 0.0 0.0 5.0 0.0
14 Y Website subscription management Q28.14Y 0.0 0.0 0.0 5.0 0.0
1 Y Collaborative workspaces (eg. Blogs, Wikis) Q29.01Y 0.0 0.0 0.0 0.0 2.0
2 Y Schedule management Q29.02Y 0.0 0.0 0.0 0.0 2.0
3 Y Virtual meetings Q29.03Y 0.0 0.0 0.0 0.0 2.0
4 Y Management of content distribution, contribution, circulation etc Q29.04Y 0.0 0.0 0.0 0.0 3.0
5 Y Asynchronous content development and review Q29.05Y 0.0 0.0 0.0 0.0 3.0
6 Y Synchronous content development and review Q29.06Y 0.0 0.0 0.0 0.0 3.0
7 Y Support for collaboration from a variety of ICT devices - portable and fixed Q29.07Y 0.0 0.0 0.0 0.0 3.0
1 Y Internally within workteams or business areas? Q30.01Y 0.0 0.0 0.0 0.0 3.0
2 Y Internally within the agency? Q30.02Y 0.0 0.0 0.0 0.0 3.0
3 Y Externally with less than 5 other NSW State Government Agencies? Q30.03Y 0.0 0.0 0.0 0.0 3.0
4 Y Externally with 5 or more other NSW Government agencies? Q30.04Y 0.0 0.0 0.0 0.0 3.0
5 Y Externally with Local Government Authorities? Q30.05Y 0.0 0.0 0.0 0.0 3.0
6 Y Externally with Commonwealth Government agencies? Q30.06Y 0.0 0.0 0.0 0.0 3.0
7 Y Externally with private sector partners, clients or providers within Australia Q30.07Y 0.0 0.0 0.0 0.0 3.0
8 Y Externally with overseas Government bodies? Q30.08Y 0.0 0.0 0.0 0.0 3.0
9 Y Externally with overseas private sector organisations Q30.09Y 0.0 0.0 0.0 0.0 3.0
1 A An established organisation exposed to major structural change or reform and se Q31.01A 0.0 0.0 0.0 0.0 5.0
1 B An established organisation with well-networked members but hindered by low le Q31.01B 0.0 0.0 0.0 0.0 10.0
1 C A new organisation with highly knowledgeable staff that lack trust or cohesive n Q31.01C 0.0 0.0 0.0 0.0 15.0
1 D A merged organisation facing major change and seeking to retain its corporate Q31.01D 0.0 0.0 0.0 0.0 20.0
1 E An existing organisation with a well-developed culture of knowledge sharing and Q31.01E 0.0 0.0 0.0 0.0 30.0
1 Y The harvesting of targeted data and information from within the organisation to s Q32.01Y 0.0 0.0 0.0 0.0 5.0
2 Y Its IAM system to interface with other enterprise systems, such as MIMS, SAP, Ora Q32.02Y 0.0 0.0 0.0 0.0 5.0
3 Y Enterprise portal functionality ? Q32.03Y 0.0 0.0 0.0 0.0 5.0
4 Y Learning Management functionality ? Q32.04Y 0.0 0.0 0.0 0.0 5.0
5 Y A Customer Relationship Management (CRM) system ? Q32.05Y 0.0 0.0 0.0 0.0 5.0
1 Z Totalism Q99.01Z 100.0 148.0 143.5 95.0 150.0
2 Z less multiple choice alternatives Q99.02Z 47.0 41.0 0.0 50.0
3 Z Max possible score Q99.03Z 100.0 101.0 102.5 95.0 100.0
4 Z Totalism Q99.04Z

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Welcome to the Information Asset Management (IAM) Maturity Model & Assessmen

• They are recognised to be of value to the agency,

The following guide explains how to use the Assessment Tool:

What is Information Asset Management ?

Why manage information ?

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

Information Asset Management Requirements

Q1 Organisation Context and Business Drivers

Please complete the following Questions.

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

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

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

b What services do they provide (if applicable)? HR

select all which apply - select YES in the corresponding box

Establishing routine and easy access to

select all which apply - select YES in the corresponding box

Other - please describe

Please select only 1 response

13 Does your agency promote information management as an integral

14 Are information assets identified in the strategic planning

b Results & Service Plan A - major role ###

c Total Asset Management Plan A - major role ###

17 Has the agency evaluated its current use of information ? ###

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

20 Does the agency have a senior manager responsible for

24 Does the agency have in place an enterprise architecture A - Implemented

25 Does the agency have a business intelligence and reporting A - Implemented

Please complete the following Questions.

Refer to Government Recordkeeping Manual - State Records Authority.

A. The appraisal and disposal of State records

Please select only 1 response for each question Weight

2 Are appraisal decisions documented and justified? Yes ###

6 Are decisions to keep, destroy or transfer records authorised? Yes ###

B. Counter Disaster Strategies for Records and Recordkeeping Systems

17 Are vital records identified and documented? Yes ###

C. Managing a Record Management Program

D. Full and Accurate Records

40 Are required records made? Yes ###

41 Are records accurate? Yes ###

47 Are records uniquely identified ? Yes ###

49 Are records linked to the business context? Yes ###

Please complete the following Questions.

E. Physical Storage of State Records

Please select only 1 response for each question Weight

55 Do the storage areas have good drainage? Yes ###

61 Do records storage areas exclude all direct sunlight? Yes ###

Shelving and packaging

Protection from disaster

75 Is mould or pest infestation treated promptly and appropriately? Yes ###

F. Digital recordkeeping ###

Refer to Standard on Digital Recordkeeping, State Records Authority.

87 Are the recordkeeping processes: Yes

88 Is the transfer of control or destruction of records documented with: Yes

Please complete the following Questions.

2 Does the agency have a records management policy? A - Implemented

b are accurate and can be trusted? A - Yes

c are secure from unauthorised alteration, deletion and access? A - Yes