Information Strategy
2011 - 2013
Version 1.0
Version Control
Version
Number
0.1
Date
Author
Comments
15 August 2011
Angie Reid
Senior Manager,
Corporate Information
0.2
26 August 2011
0.3
23 September
2011
0.4
26 September
2011
0.5
18 October
2011
1.0
20 October
2011
Angie Reid
Senior Manager,
Corporate Information
Angie Reid
Senior Manager,
Corporate Information
Angie Reid
Senior Manager,
Corporate Information
Angie Reid
Senior Manager,
Corporate Information
Angie Reid
Senior Manager,
Corporate Information
Initial Document with input from
 Strategic Policy Advisor –
Equality
 Information Manager, Adult
and Local Services
Updated to include comments from
Records Management Service
Version 1.0
Updated to include comments from
ICT Client Team
Updated to include comments from
Information Governance Group
Updated to include reference to Data
Quality Strategy
Version for publication. Approved
February Cabinet.
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Contents
Version Control ......................................................................................................................................................2
1. Foreword ...........................................................................................................................................................4
2. Introduction .......................................................................................................................................................5
3. About Cumbria ..................................................................................................................................................6
4. The national, regional and local context ...........................................................................................................7
5. Our vision, outcomes, priorities ........................................................................................................................9
5.1 Seven Principles ...........................................................................................................................................9
5.2 Current Status........................................................................................................................................... 10
6. Delivering the strategy ................................................................................................................................... 11
6.1 Responsibilities ......................................................................................................................................... 11
6.2 Timetable .................................................................................................................................................. 11
6.3 Programmes of Work ............................................................................................................................... 11
6.3.1 Implement an eDRMS............................................................................................................................ 11
6.3.2 Maximise use of eProcessing and Forms............................................................................................... 12
6.3.3 Security Enhancements ......................................................................................................................... 12
6.3.4 Information Management Education Programme ................................................................................ 12
6.3.5 Clutter Free Cumbria ............................................................................................................................. 12
6.3.6 Develop and Agree an Information Management Policy Framework................................................... 12
6.3.7 Digitisation............................................................................................................................................. 13
7. Performance managing and reviewing the strategy ...................................................................................... 14
8. Shaping the strategy ....................................................................................................................................... 14
8.
Glossary of Terms ...................................................................................................................................... 15
10 Point Strategy Checklist and Information sheet ............................................................................................ 20
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1. Foreword
Cumbria County Council receives, owns, creates and is custodian of masses of information. This
information is held on computers, in paper documents, on telephones and other portable electronic
devices. It may be regarded as both an asset and a liability.
Information as an asset
Information is a powerful tool in ensuring good decision making and determining the direction of
service improvement. Our daily contacts with our customers provide a rich seam of information to
help us ensure that we are doing the right things in support of the strategies on Economic
Development through to care of vulnerable people. It is the benchmark that ensures that the
service we are providing delivers what is needed.
Information as a liability
The County Council holds a lot of sensitive and confidential information. The information is
attributable to individuals and can be of a personal nature. The County Council is governed by
legislation to ensure that we process data and manage information carefully and ensure that it is held
securely, used appropriately and remains accurate. When information has reached the end of its
usefulness there is a duty on the County Council to dispose of it responsibly to ensure that the
information is destroyed completely beyond recovery.
This strategy will help us to understand the information we have, how we look after it and how it
can be shared and communicated appropriately.
Councillor Elizabeth Mallinson
Cabinet Member for Organisational Development
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2. Introduction
“The stone age was marked by man’s clever use of crude tools; the information age, to
date, has been marked by man’s crude use of clever tools.” (Anon)
The Council is committed to delivering the best services for our communities. Whilst we face
significant financial and operational challenges, we recognise information is a key enabler in
responding to these challenges. Over the lifetime of this strategy and beyond, the Council is
expected to deliver better services with fewer resources at a time when demand for services
increases. A quote from the Cumbria County Council Plan 2011 – 2014 highlights this ambition
“We are re-engineering council services to ensure that we are delivering services in the
most efficient and effective ways.”
This strategy defines the framework for how Cumbria County Council will use, embrace and
develop information to improve the way it provides services for the people of Cumbria. It is
relevant to all who create or use information held or created by the Council. This includes service
users, staff, elected members and partner organisations. Sound management of our information
assets will play a pivotal role in achieving the delivery of effective and efficient services.
The Information Strategy should not be viewed as a standalone document, it supports and links into
the Council’s budgetary framework and reflects all the outcomes set out in the Council Plan and the
Community Strategy. Furthermore, it is a significant supporting mechanism for the Council’s major
initiatives including the development of Shared Services, the Better Places to Work and Better
People Programmes.
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3. About Cumbria
Some key facts about the county:
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Cumbria is the second largest county in England
More than half of the county’s population live in rural areas
All the land in England that is over 3,000 feet in height is in Cumbria
Cumbria is home to England’s largest National Park, the Lake District National Park
The World Heritage Site of Hadrian’s Wall runs across the northernmost reaches of the
county
Over recent years the county’s population has been growing at a faster rate than the
northwest region, but more slowly than the England average
Population forecasts show a decline in the number of working age people and the fastest
decline in the number of children of any county in England
Within the county South Lakeland is forecast to see the biggest decline in the number of
young people for any district in England, while Eden is forecast to experience the biggest
increase in older people
The proportion of residents from Black and Minority Ethnic (BME) groups is much lower in
Cumbria than it is nationally; 4% in Cumbria compared to 16.4% nationally
In recent years, however, the proportion of BME residents has been increasing much more
rapidly in Cumbria than it has been nationally so that over time the ethnic profile of Cumbria
is changing to become more representative of the rest of the UK.
Economy
• Gross Value Added is £7,876m (2008) with 57% from East Cumbria
• Slowest growing sub region 1995-2003
• Sixth fastest growing 2003-2008
• Short term growth especially strong in West Cumbria, faster than the UK average
The proportion of the population living in rural areas and the fact that the county is the second least
densely populated county in England means the way information is shared has great significance.
The success of this strategy depends on creating efficient ways that information can be created,
stored and retrieved from across the county, removing the constraints of geographic location.
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4. The national, regional and local context
Information does not exist in isolation and without context, it has no meaning. Development and
delivery of this strategy is therefore influenced by a number of internal and external factors.
Legal Context
The Council has an obligation to comply with the legislation pertaining to information held or
created by the Council.
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The Data Protection Act (1998) requires that computer held information is adequate,
relevant, accurate and kept up to date. It also requires that information is not kept longer
than is necessary and is stored securely.
The Freedom of Information Act (2000) creates a general right of access, on request, to
non-exempt information held by the Council.
The Environment Information Regulations (2004) provides a statutory right of access to
environmental information held by the Council.
Local Government (Access to Information) Act (1985) gives the Council duties to publish
certain information, including meetings, reports and documents subject to specified
confidentiality provisions.
Public Records Act (1958 and 1967) requires the Council to give access to information.
Equality Act (2010) requires the Council to prevent discrimination and advance equality of
opportunity throughout all its functions.
The Local Government Act 1972 (s224) states “Without prejudice to the powers of the
custos rotulorum to give directions as to the documents of any county, a principal council
shall make proper arrangements with respect to any documents which belong to or are in
the custody of the council or any of their officers.” This Act figures heavily in National
Archive guidance.
National Standards and Best Practice
There are a number of standards that determine how the Council should categorise and store its
information. This means that where appropriate, County Council information can be shared with
partner organisations. This facilitates delivery of a one stop shop where information can be
provided to the public. These standards are defined or described in the following documents:
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ISO 8601: 2004 - Data Elements and Interchange Formats – Information Interchange –
Representation of Date and Time
ANSI/AIIM/ARMA TR48-2006: Revised Framework for Integration of Electronic Document
Management Systems and Management Systems
BS 10008 - Code of practice for evidential weight and legal admissibility of information
stored on electronically
Local Government Classification Retention Scheme (2009)
e-Government Metadata Standard v.3.1 (2006)
e-GMS Version 3.1. for Websites (2006)
e-GMS Encoding Scheme – Type v.1.0.
e-GMS Encoding Scheme – Audience
Dublin Core Metadata Initiative (DCMI) – Metadata Terms
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ISO 15836:2003 Information and Documentation: The Dublin Core metadata element set
ISO/IEC 27001:2005 Information Technology – Security Techniques – Information Security
Management Systems - Requirements
ISO/IEC 27002:2005 Information Technology – Security Techniques – Code of Practice for
Information Security Management
PD ISO/TR 15489 - Information and Documentation – Records Management (Part 1 and Part
2)
BS 7799 – Information Security Management – Code of Practice for Information Management
‘Tell us Once’ is a major programme, being led by DWP on behalf of Government as a
whole, to transform the way in which people can tell Government (central and local) about
changes to their circumstances. This has implications on how the Council produces and
shares information about our customers.
A public consultation process is underway on ‘Making Open Data Real: This seeks views on the
government’s proposed approach for a transparency and open data strategy for public services. The
consultation sets out proposals for embedding a culture of openness and transparency in public
services. It sets out how the government hopes to create the ‘pull’ (a right to data) and the ‘push’ (a
presumption of publication). The closure date for the public consultation 27 October 2011.
Technological Context
There is a clear link between information and the means by which it is created, processed and made
available. Developments in computing have developed rapidly with an ever increasing proportion of
the population using computers and demanding that information is made available to them via the
internet. Search engines have transformed the public approach to finding data and an ever
increasing number of Cumbrian residents are willing and wanting to perform day to day household
transactions electronically.
Social context
Recent high profile cases have created great public concern on how public bodies use their
information assets. These cover the full spectrum of mismanagement e.g.
 where too much information is made available, such as the ‘loss’ of data concerning
approximately 25 million people in the UK (nearly half of the country's population). The
personal data was thought to include names, addresses and dates of birth of children,
together with the National Insurance numbers and bank details of their parents
 where information is not made available or shared in an appropriate manner, such as the
Baby Peter case.
 Where electronic systems are implemented without enough consideration to implications of
issues like security and confidentiality, such as the NHS Care Records Service, which can
lead to systems being abandoned or not fully utilised.
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5. Our vision, outcomes, priorities
“In your thirst for knowledge, be sure not to drown in all the information” (Anthony J.
D’Angelo)
The vision for this strategy is that
Council Information will be created, stored, retrieved and disposed of in a cost
effective, secure and efficient manner whilst complying with the statutory obligations.”
5.1 Seven Principles
To achieve this vision seven information management principles have been identified. These
principles do not define the actions needed to achieve the vision, but they do establish a framework,
against which all future information policies, processes and procedures must be tested.
5.1.1 Accuracy
Information retrieved from the Council information assets will be accurate, up to date, appropriate,
and not stored for longer than is necessary. Accuracy will be managed by controlling the
mechanisms for information capture, processing, storage, disposal and retrieval.
5.1.2 Security
Information stored by the Council will be secure, ensuring that the integrity and reliability of
information is not compromised by unauthorised access, modification or loss.
5.1.3 Accessibility
The County Council will make information available in a way that suits the purpose of the
information, its content, its users and the available delivery mechanisms. Information availability will
be location independent, so users can access appropriate information irrespective of their physical
location. Reasonable steps will be taken to ensure that users with specific communication needs
related to disability or language can access information on an equal basis.
5.1.4 Openness
The County Council will not restrict access to information unless there is a justifiable reason to do
so. These reasons are clearly defined and arise from legal obligations such as the Data Protection
Act (1998), commercial considerations or the protection of the personal safety of employees. This
principle matches the Government shift to require public bodies to have ‘Open Data’.
5.1.5 Effective and Efficient Processing, Storage and Delivery
The County Council will manage the delivery of information so it is closely allied with service
provision. Combining service design and information management processes will result in best
value, fit for purpose services. Whenever practicable, information will be gathered, stored and
delivered electronically, but there will be an equivalent rigour applied to the management of physical
information resources.
5.1.6 One version of the truth
Information will be captured and stored only once. This will reduce storage requirements and
lessen the cost of input and maintenance. Superseded versions of information may be stored if this
is of benefit to the organisation, but in this instance, the current version must be readily identifiable.
5.1.7 Information as an asset
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Information will be treated and managed as a corporate asset with clear ownership and stewardship.
Staff will be trained and understand the value of information and the risks and costs associated with
its poor management.
5.2 Current Status
Since its inception, the County Council has been producing and using information as an integral part
of its operation. In recent years, the increased availability and reduced cost of technological
solutions has meant effective information management has become a reality. With some notable
exceptions, the Council still operates in “information silos” and has yet to leverage fully the
potential economic, efficiency and reputational gains from having a coherent approach to its
information assets. As discussed in a Overview and Scrutiny Committee, Task and Finish Group
held 22 November 2010 on Managing Information,
“The organisation cannot continue working with the current volumes of paper. The use of
paper has increased 6 fold since 2006. This is not records but duplicated information. The authority
has to move to electronic solutions for information sharing and storage”.
The Council’s information assets are currently disparate in format, medium and geographical
location. The retrieval process is generally people intensive and relies on the knowledge and skills
of officers.
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6. Delivering the strategy
6.1 Responsibilities
Overall responsibility for delivery of this Strategy will lie with the Senior Manager, Corporate
Information with support from the Information Governance Group. Specific responsibilities are
highlighted in each of the programmes of work detailed in section 6.3 Programmes of Work.
However, it is of note that the effective and efficient management of information is a Council wide
discipline, with all officers having some level of responsibility.
There are a wide range of disciplines needed to deliver this strategy. These include:
 Access to Information
 Information Security
 Records Management
 Knowledge Management
 Data Sharing
 Data Quality
 Data Discovery
With key Corporate involvement around:
 Equality to include the principles of Openess, Security and Accessibility
 IT Systems and the link to the ICT Strategy
 The Data Quality Strategy (2009) which includes the principles of Accuracy, One Version of
the Truth and Information as an Asset.
6.2 Timetable
The delivery of this Strategy is very closely linked to the ICT Strategy. The review cycles of the two
strategies have therefore been aligned, even though this results in this Strategy only having an
eighteen month lifespan.
6.3 Programmes of Work
The strategy will be delivered by seven programmes of work, some of these are already underway
and some will be initiated as a result of this strategy.
6.3.1 Implement an eDRMS
The high level activities to achieve this initiative are:
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Select and procure a corporate Electronic Document Management System (eDRMS)
Audit and document fully the Council’s current information assets, to include the
identification of paper stores and the key data sets used in corporate systems.
Define and implement the corporate file plan to be used for storing information assets
The eDRMS is installed and available for use across the Council
Where appropriate, all new electronic information in shared folders or email is stored in the
eDRMS
Where appropriate, all new information is produced and stored in electronic format in the
eDRMS.
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-
If appropriate, install and implement a de-duplication tool to remove multiple copies of the
same files
Where appropriate, all corporate systems are linked to the eDRMS so there is only one
source for information
Where appropriate, legacy electronic records are added to the eDRMS
Where appropriate, legacy records from corporate systems are migrated to the eDRMS
Where appropriate, information is automatically published where it can be retrieved on
demand by stakeholders
This initiative has already been identified in the ICT Strategy (2010 – 2013) with funding in the ICT
Strategy capital budget. Delivery will be led by ICT, with best practice input from the Records
Management Service.
6.3.2 Maximise use of eProcessing and Forms
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Analyse the requirements for information sharing between partners and where appropriate,
automate the information sharing.
Create a Collaboration Strategy that defines which tools will be used, how their use will be
optimised and what/how information will be published.
Deliver a comprehensive audit of opportunities for digitising manual transactions
Develop a plan for migration of manual transactions to be electronic.
6.3.3 Security Enhancements
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Identify a board member as Senior Information Risk Officer (SIRO) in accordance with the
Security Policy Framework and Local Government Association Data Handling Guidelines.
Encrypt all Council owned laptops
Establish the policy and enforce appropriate physical security for Council buildings, to include
secure processes for Council-wide confidential waste disposal
Prevent the use of non-encrypted USB devices on the Council network
Define the policy for storing and printing paper files for home and mobile workers
Under the rules of the Code of Connection 4.1, define how the Council will identify and
control access to PROTECT and RESTRICTED documents.
This initiative will be led by the Information Governance Group
6.3.4 Information Management Education Programme
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Establish and deliver an education programme to promote the value of effective information
management
Update the Council induction programme to include information management.
6.3.5 Clutter Free Cumbria
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Capitalise on the work of the Clutter Free Cumbria programme to reduce the paper legacy
Establish a fit for purpose records management storage facility, providing safe and accessible
storage for paper records, and a digitisation suite.
Review the legacy of existing records. Securely dispose of appropriate records as defined in
the Records Retention and Disposal Schedule.
6.3.6 Develop and Agree an Information Management Policy Framework
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Create and agree the Policy framework to manage the operational delivery of this strategy. This
includes
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Create, approve and implement a Corporate Records Digitisation Policy
Create, approve and implement a Records Retention and Disposal Policy and Schedule
Create, approve and implement a Records Management Policy
Review the Email Policy to ensure consistency with the values of this strategy
Review the Information Security Policy to ensure consistency with the values of this strategy
Create, approve and implement a Sharepoint records storage policy
Review the web strategy to ensure consistency with this strategy. It must define the
technology to be used in creating, storing, updating and processing web based information
and transactions
Dependent on the policy, delivery will be led either by ICT or by the Records Management Service
6.3.7 Digitisation
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Establish a digitisation facility
Where appropriate, digitise and store legacy paper documents in the eDRMS
Where appropriate, update business processes to include the scanning of documents and
storage in the eDRMS
Run a pilot study for a digital mailroom where paper mail is delivered to a central area,
scanned and electronically distributed.
Funding for the hardware to establish a digitisation facility will be taken from the ICT Strategy capital
budget. Delivery will be led by the Records Management Service.
In section 5, the seven principles of information management were identified.
1. Accuracy
2. Security
3. Accessibility
4. Openness
5. Effective and Efficient Processing, Storage and Delivery
6. One version of the truth
7. Information as an asset
The table below shows how these principles will be delivered by successful completion of the
initiatives listed above.
Principle
Initiative
1 2
3
4
5
6
7
Implement an eDRMS
✓
✓
✓
✓
✓
✓
Maximise use of eProcessing and Forms
✓
✓
✓
✓
✓
Security Enhancements
✓
✓
Digitisation
✓
✓
✓
✓
✓
Education Programme
✓ ✓
✓
✓
✓
✓
✓
Clutter free Cumbria
✓
✓
✓
✓
✓
Develop and Agree a Policy Framework
✓ ✓
✓
✓
✓
✓
✓
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7. Performance managing and reviewing the strategy
Progress against this Strategy will be monitored through the Council’s performance monitoring
system (Performance +) and will be reported in the annual Organisational Development Directorate
Service Plan.
Progress made against the overall Strategy will be informed by the use of key performance
indicators for individual projects and benchmarking data where Council performance is measured
against other local government organisations.
The Information Governance Group (IGG) is a cross directorate group with a remit to advise the
Corporate Management Team on matters relating to the proper governance of Information
Management and Technology; to oversee programmes, strategies and plans; to advise on priorities
in the deployment of resources supporting information management and to provide advice
promoting the development of the best possible information environment for staff and customers.
The group meets quarterly and will provide overall governance for implementation of this strategy.
8. Shaping the strategy
Consultation on the development of this strategy was undertaken with key stakeholders. This
includes:
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The Information Governance Group
The Information Management Task and Finish Group for the Overview and Scrutiny
Committee
Strategic Policy Advisor – Equality
Overview and Scrutiny, November 2011
Agilisys (the Council’s ICT partner until April 2012))
Policy Planning Group
The Council Management Team (CMT)
Council Cabinet
This consultation has enabled the Strategy to become a cohesive plan aligned to the outcomes the
Council has set as its priorities.
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8. Glossary of Terms
Term
Information
Data :
Digitisation
Document:
Electronic document and records management
system (EDRMS):
Record (1)
Record (2):
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Description
Interpretation and analysis of data that when
presented in context represents added value,
message or meaning.
Electronic representations of information
suitable for communication, interpretation and
processing, generally by a computer system.
The conversion of analogue materials (such as
paper documents) into digital form so that they
can be stored and accessed electronically. A
record that has been converted from hard copy
or manual form to digital form is referred to as a
digitised record.
Information or data fixed in some medium,
which may or may not be considered in whole
or in part an official record.
An electronic system or process – managed with
the aid of computers and software –
implemented in order to manage both electronic
documents and electronic records within an
organisation. Electronic document and records
management systems combine the functions of
document and records management.
In a records and archives environment,
documentary evidence, regardless of form or
medium, created, received, maintained and used
by an organisation (public or private) or an
individual in pursuance of legal obligations or in
the transaction of business.
In a computer environment, a complete set of
information in a database. Database records are
composed of fields, each of which contains one
item of information.
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Appendix 1 – Action Plan
Code
EDRMS1
EDRMS2
EDRMS3
EDRMS4
EDRMS5
EDRMS6
EDRMS7
Action
Select and procure a
corporate Electronic
Document Management
System (eDRMS)
Audit and document
fully the Council’s
current information
assets to include the
identification of paper
stores and the key data
sets used in corporate
systems.
Timescale
01/04/201
2
Senior
Manager
Corporate
Information
30/06/201
2
Senior
Manager
Corporate
Information
01/04/201
2
Define and implement
the corporate file plan
to be used for storing
information assets
The eDRMS is installed
and available for use
across the Council
Develop and action a
programme of work to
transition from the use
of shared folders to the
use of the eDRMS
Develop and action a
programme of work to
transition from the use
of paper records to the
use of electronic
records stored in the
eDRMS
If appropriate, install and
implement a deduplication tool to
remove multiple copies
of the same electronic
files
EDRMS8
Where appropriate, all
corporate systems are
linked to the eDRMS so
there is only one source
for information
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Owner
Senior
Manager
Corporate
Information
Senior
Manager
Corporate
Information
31/12/201
2
Senior
Manager
Corporate
Information
30/06/201
3
Senior
Manager
Corporate
Information
30/06/201
3
Senior
Manager
Corporate
Information
31/08/201
2
Senior
Manager
Corporate
Information
30/06/201
3
Expected outcome
of activity
A fit for purpose
eDRMS will be
identified and ready
for installation.
A comprehensive list
of electronic and
physical information
assets.
A corporate file plan is
available that defines
how to categorise all
information assets.
The chosen eDRMS
will be installed, with
appropriate capacity
to support all Council
users and the
identified information
assets.
Lead Directorate
Organisation
Development
Resources
ICT, RMS,
Technology
partner
Organisation
Development
RMS, ICT
Organisation
Development
RMS, all
directorates
Organisation
Development
ICT,Technolog
y partner
Organisation
Development
ICT, RMS,
Technology
partner
Organisation
Development
ICT, RMS,
Technology
partner,
Business
Improvement
Organisation
Development
ICT, RMS,
Technology
partner
Organisation
Development
ICT, RMS,
Technology
partner
Where appropriate, all
new electronic
information in shared
folders or email is
stored in the eDRMS
Where appropriate, all
new information is
produced and stored
in electronic format in
the eDRMS.
Information assets are
rationalised so
duplicates are
removed.
All relevant
unstructured data
from corporate
systems is
automatically stored
into the eDRMS with
the appropriate meta
data pre-populated
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Code
EDRMS9
EDRMS10
eForms 1
eForms 2
eForms 3
eForms 4
Security 1
Security 2
Security 3
Security 4
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Action
Owner
Senior
Manager
Corporate
Information
Timescale
31/12/201
3
Senior
Manager
Corporate
Information
30/06/201
3
Senior
Manager
Corporate
Information
31/12/201
2
Analyse the
requirements for
information sharing
between partners and
where appropriate,
automate the
information sharing.
Create a Collaboration
Strategy that defines
which tools will be used
, how their use will be
optimised and what/how
information will be
published
Senior
Manager
Corporate
Information
01/04/201
2
Deliver a comprehensive
audit of opportunities
for digitising manual
transactions
Senior
Manager
Corporate
Information
01/06/201
2
Senior
Manager
Corporate
Information
Complete the migration
of manual transactions
to be electronic.
Identify a board member
as Senior Information
Risk Officer (SIRO) in
accordance with the
Security Policy
Framework and Local
Government Association
Data Handling
Guidelines.
Encrypt all Council
owned laptops
Establish the policy and
enforce appropriate
physical security for
Council buildings, to
include secure processes
for Council-wide
confidential waste
disposal
Prevent the use of nonencrypted USB devices
on the Council network
Lead Directorate
Organisation
Development
Where appropriate,
legacy unstructured
data from the
corporate systems is
migrated to the
eDRMS.
Where appropriate,
legacy records from
corporate systems are
migrated to the eDRMS
Where appropriate,
information is
automatically published
where it can be
retrieved on demand by
stakeholders
Expected outcome
of activity
Resources
ICT, RMS,
Technology
partner
Organisation
Development
ICT,Technolog
y partner
Organisation
Development
ICT,Technolog
y partner
Organisation
Development
ICT,Technolog
y partner
A list of manual
transactions that can
be automated.
Organisation
Development
ICT,Technolog
y partner,
Buisness
Improvement
31/12/201
2
Identified manual
transactions are
nade electronic.
Organisation
Development
ICT,Technolog
y partner,
Buisness
Improvement
Information
Governance
Group
31/12/201
1
A SIRO is identified.
Organisation
Development
Information
Governance
Group
31/03/201
2
All laptops are
encrypted.
Organisation
Development
ICT,Technolog
y partner
Information
Governance
Group
31/03/201
2
Organisation
Development
SIRO
Information
Governance
Group
31/12/201
2
Organisation
Development
ICT,Technolog
y partner
End to end processes
are established for
appropriate types of
records, where
publiction is
automated
Information sharing
agreements are
reviewed and
updated as
necessary.
Automated
processes are
established to
provide information
sharing.
An agreed strategy
is in place.
Only encrypted,
identified USB
devices are used on
the Council network
or Council
workstations.
Page 17 of 21
Code
Security 5
Security 6
Educ1
Action
Define the policy for
storing and printing
paper files for home and
mobile workers
Under the rules of the
Code of Connection 4.1,
define how the Council
will identify and control
access to PROTECT and
RESTRICTED
documents.
Owner
Information
Governance
Group
Timescale
31/12/201
1
Information
Governance
Group
31/12/201
2
Information
Governance
Group
31/12/201
2
Establish and deliver an
education programme to
promote the value of
effective information
management
CFC 1
CFC 2
CFC 3
CFC 4
Policy 1
Policy 2
Policy 3
Policy 4
Version 1.0
13/06/201
2
Create, approve and
implement a Records
Management Policy
Review the Email Policy
to ensure consistency
with the values of this
strategy
Resources
RMS
Organisation
Development
ICT, RMS,
Technology
partner
Organisation
Development
ICT, RMS
Organisation
Development
Learning &
Development
Organisation
Development
RMS
Organisation
Development
RMS
Organisation
Development
RMS
Organisation
Development
RMS
Organisation
Development
RMS
Stakeholders are
trained on how to
make best use of the
Council’s information
assets.
Update the Council
induction programme to
include information
management.
As part of the Better
Places for Work
programme, identify
directorate
representatives for
Clutter Free Cumbria
Develop a programme
of clutter free days,
covering all buildings in
the County
Establish a fit for
purpose records
management storage
facility, providing safe
and accessible storage
for paper records plus a
digitisation suite.
Review the legacy of
existing records.
Securely dispose of
appropriate records as
defined in the Records
Retention and Disposal
Schedule.
Create, approve and
implement a Corporate
Records Digitisation
Policy
Create, approve and
implement a Records
Retention and Disposal
Policy and Schedule
The file plan and
eDRMS allow for the
control of PROTECT
and RESTRICTED
documents.
Lead Directorate
Organisation
Development
Stakeholders are
trained on how to
make best use of the
Council’s information
assets.
Information
Governance
Group
Educ2
Expected outcome
of activity
A policy is in place.
Principal
Records
Manager
31/12/201
1
Seven representatives
are identified.
Principal
Records
Manager
31/12/201
1
Senior
Manager
Corporate
Information
30/06/201
2
An agreed programme
of work is in place.
A storage facility is in
place to accommodate
all paper records.
Principal
Records
Manager
31/12/201
1
All aged records are
disposed of securely.
A policy is in place.
Principal
Records
Manager
31/12/201
1
Principal
Records
Manager
31/10/201
1
A policy is in place.
Organisation
Development
RMS
Principal
Records
Manager
31/12/201
1
A policy is in place.
Organisation
Development
RMS
ICT Client
Team
Manager
31/12/201
1
A policy is in place.
Organisation
Development
ICT
Page 18 of 21
Code
Policy 5
Policy 6
Policy 7
Digital 1
Action
Review the Information
Security Policy to ensure
consistency with the
values of this strategy
Create, approve and
implement a Sharepoint
records storage policy
Review the web strategy
to ensure consistency
with this strategy. It
must define the
technology to be used in
creating, storing,
updating and processing
web based information
and transactions
Establish a digitisation
facility
Digital 2
Where appropriate,
digitise and store legacy
paper documents in the
eDRMS
Digital 3
Where appropriate,
update business
processes to include the
scanning of documents
and storage in the
eDRMS
Digital 4
Version 1.0
Run a pilot study for a
digital mailroom
Owner
ICT Client
Team
Manager
Timescale
31/03/201
2
Expected outcome
of activity
A policy is in place.
Lead Directorate
Organisation
Development
Resources
ICT
Principal
Records
Manager
31/03/201
2
A policy is in place.
Organisation
Development
RMS
ICT Client
Team
Manager
31/03/201
2
A strategy is in
place.
Organisation
Development
ICT, RMS
Principal
Records
Manager
31/12/201
1
The digitisation
facility is
commissioned and
operational.
Organisation
Development
ICT, RMS
Principal
Records
Manager
31/12/201
3
Back scanning of
appropriate legacy
paper documents is
complete.
Organisation
Development
RMS
Senior
Manager
Corporate
Information
31/12/201
2
Organisation
Development
ICT, Business
Improvement
31/06/12
Organisation
Development
RMS, ICT,
Business
Improvement
Principal
Records
Manager
Page 19 of 21
10 Point Strategy Checklist and Information sheet
This 10 point checklist and information sheet has a number of uses – it provides a reminder of some
of the issues you need to have considered during the development of the strategy and it will be used
by the Policy and Performance Team to log details of the strategy.
The checklist should be removed from the draft strategy once it has been approved by CMT.
Title of strategy:
Purpose and rationale for the strategy:
(include relevant outcomes)
Organisation responsible for developing the
strategy:
Lead directorate:
Name of Committee, Elected Member or Chief
Officer commissioning the strategy:
Job title of lead officer:
Life span of strategy:
Anticipated date of approval:
Anticipated date of refresh:
Approval Committee or body:
Information Strategy
To provide a framework for the use and
storage of information within the Council.
Cumbria County Council
Organisational Development
Cllr E Mallinson
Jim Savege, Corporate Director –
Organisational Development
2011 – 2013
February2012
December 2013
Cabinet
Policy framework and routes of approval
Q1
Is this strategy part of the Council’s Policy
Framework?
No
Q2
Which County Council committee or group
will provide final approval of the strategy?
Cabinet
Q3
Will the strategy be adopted or endorsed by
partners/ a partnership?
Provide name of partner or partnership and
rationale
Impact assessments
Q4
Q5
Which formal impact assessments have been
undertaken for the strategy and where are
they published?
An EIA and Sustainability Appraisal must be
completed for all strategies and made available
What populations and geographies will the
strategy impact on?
Service users, staff, elected members
Version 1.0
Page 20 of 21
Q6
What impact will the strategy and its delivery
have on the public perception of the council
and the achievement of priority outcomes?
Improved access to accurate information will
improve the perception of the Council.
Successful implementation of the strategy will
give demonstrable improvements in the
priority areas of:
 The county’s carbon footprint is
reducing
 People have confidence that their
Council delivers effective and efficient
services that provide value for money
 People find Council services easy to use
 The Council has the right number of
people with the skills, attitudes and
behaviours to work in modern and
efficient ways
 People can have a say about decisions
that affect them
Other strategies and plans
Q7
Which other strategies and plans does
this strategy link to?
Council Plan
ICT Strategy
Budget and resources
Q8
Q9
What finance or resources are required in
order to deliver the strategy?
Where does this strategy fit with the scheme
of delegation?
The strategy will be led by Organisational
Development.
Political
Q10
What is the political significance of this
strategy?
Version 1.0
The portfolio holder is Cllr E Mallinson.
Page 21 of 21