ICT Strategy Section Three – Information Management ... - Directorate


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ICT Strategy

Information Management Strategy

Section Three



Section Three

Revision History

Version No.

Date of

Summary of changes


Initial draft for discussion



DISAG approval



Revision to reflect changes in appropriate strategies



DISAG approval



Section Three



In order to help the University achieve the aims within its Strategic Plan and in the key
strategies related to learning, teaching, research and administration, there needs to be
recognition of a number of important political, economic, social, technologic
al and
legislative factors relating to information and information management:

The importance of providing students, academic staff, researchers, academic
support staff and administrators with immediate access to a wide range of
relevant information, wit
h associated tools for analysis.

The increasing importance and implications of information compliance and
regulation, e.g. Data Protection Act 1998, Freedom of Information Act 2000.

The increasing requirements for external reporting to the Funding Counci
ls and
other bodies.

The increasing emphasis on knowledge management and the exploitation of
information and the related Intellectual Property Rights issues.

The need for communication and the sharing of information within the
University and between the
University and all external stakeholders.

The continuing technological change related to access to information and its
storage, management and dissemination.


The Information Management Strategy has a number of key principles:

University sy
stems will be set up to enable staff and students to access, create,
analyse, publish, store and archive information and data.

Staff and students will have easy access to relevant information, on campus or
remotely, according to need and in accordance wit
h relevant legislation.

nformation will be fit for purpose, i.e. relevant, up to date, accurate, secure and
compliant with legislation and University policies. Wherever possible,
information will be shared and duplication minimised.

Each area of informa
tion will have a person responsible for ensuring the quality
of data and for providing appropriate access.

All users will be made fully aware of their rights and responsibilities in accessing
and using information.

An appropriate infrastructure will be put in place for the handling of information
across the University. Appropriate, integrated information systems will provide
and regulate access and provide facilities for secure storage, access and
dissemination, with

appropriate procedures for the deployment and use of
these systems.

Systems will be put in place for the communication of information to staff,
students and external stakeholders.

An appropriate information governance framework will be put in place in o
to meet regulatory, compliance and other requirements.


Scope of Information Management Strategy

Section Three

Scope of Information Management Strategy

The Strategy will be developed over time in accordance with the Principles above and will
cover the areas of activity outlined below. New or revised regu
lations, policies, procedures
and projects arising from these areas of activity will be submitted to DISAG for approval and

Area of Activity

Current developments

Target / Monitored by

Regulations, including computing and
library regulations

The University's 'Regulations for the development,
deployment and use of University computing and
telecommunications facilities' were last revised in 2007. A
gap analysis against the UCISA Information Security
toolkit is in progress to identify areas needi
ng attention.
Some new policies have been introduced to reflect
changes in legislation, technology and user behaviour
(e.g. Social media and mobile devices). These will be
incorporated into the revised Regulations. The wording of
the Regulations will need
to be reviewed to ensure that it
is simple and understandable as possible, and a Welsh
language version produced.

Completion of gap analysis by July 2012 (LCSS

Major revision of regulations by December
2012 (LCSS LR)

'Plain English' rewording a
nd restructuring of
regulations to produce the final version by
March 2013 (LCSS LR)

Welsh translation by July 2013 (LCSS LR)

Promoting good practice in information

Restructuring in 2011 to create an Information
Governance team with a single

manager reflects a belief
in the importance of using good Records Management
practice to underpin effective compliance with Data
Protection, Freedom of Information, Intellectual Property
and Information Security legislation and policy.

The team needs to

continue to rebuild expertise in
records management if the full benefits of an integrated
approach are to be achieved.

Basic training in Information Governance matters is now
offered with an online option for new starters and
existing staff, but more ad
vanced training needs to be
developed for managers and other key staff who may be
involved directly in key processes, such as responding to
FoI requests.

Continue to use available channels, including
IGUF (Information Governance User Forum), to
consult with colleagues and promote
information gover
nance good practice (LCSS LR)

Seek appropriate training opportunities for
team members by July 2013 (LCSS LR)

Devise one or more information governance
training programmes for senior managers and
other relevant staff by July 2014 (LCSS LR)


Scope of Information Management Strategy

Section Three

Area of Activity

Current developments

Target / Monitored by

The range of guidance documents available on the
Information Governance web site has increased
antially. These must be kept up to date and added
to where appropriate.

A procedure for a records management good practice
review was devised in early 2011 but not implemented
due to staff restructuring. This will be adapted to create
an Information Gove
rnance good practice review process
with implementation starting when the ICT regulations
have been revised.

Conduct an annual review of available guidance
and update documents where required (LCSS

By July 2013, devise an information governance
good practice review and implementation
schedule (LCSS LR)

Records and document management
systems, p
olicies and procedures

An off
site commercial records store now meets a large
part of the University's paper records storage
requirements, and several onsite stores have been
closed. This will need to be sustained when current
DISAG revenue funding is ex

Following a review of a number of dedicated records
management software systems, changes in the market
led to the conclusion that Microsoft SharePoint would
offer a more cost effective way of integrating document
and records management with
collaborative working. A
migration from SharePoint 2003 to 2007 took place in
2011 as a step towards the eventual aim of moving
towards a version of SharePoint (probably 2010) pre
Submit a bid to DISAG for cont
inuing funding of
the off
site store by February 2013 (LCSS LR)

Produce a project plan by July 2012 for
configuring SharePoint 2010 by July 2013 prior
to a migration from SharePoint 2007 (LCSS)


Scope of Information Management Strategy

Section Three

Area of Activity

Current developments

Target / Monitored by

configured to meet our records management

Two other developm
ents are prerequisites for the
SharePoint 2010 implementation:

The first version of the University Records Retention
Schedule (RRS) was completed in 2008. Regular updating
is needed but has proved difficult, in part because it is a
very large document in

an inflexible format. If this
problem can be overcome there is potential to make the
document much more useful by adding (e.g.) details of
the security classification of each record type.

A file plan based on the JISC HE Business Classification
Scheme w
as devised in 2010 for the work of the Quality
Unit in preparation for the SharePoint 2010 pilot
implementation which to date has not been proceeded

Development of the file plan to eventually cover all
business areas should be linked to the impleme
ntation of
SharePoint 2010

Address the research council requirements for applying
Data Curation Centre standards to the management of
research data.

Convert the RRS into a more easily
and updatable format and expand the
information held to include Security
classification by July 2014 (LCSS LR)

Include milestones for developing the file plan
in the project plan for SharePoint 2010 (LCSS

Develop a
roadmap for meeting the EPSRC
expectations for research data (by September
2012) with implementation by May 2015 (LCSS,
Research Office)

Temporarily relocate the archive to J block

Scope of Information Management Strategy

Section Three

Area of Activity

Current developments

Target / Monitored by

The Archive consists primarily of material which no
longer needs to be maintained for business re
asons, but
has historical value. Improved holdings lists have been
prepared but the collection resides in a store room and
needs relocation to an access
controlled but easily
accessible area in the refurbished Treforest LRC

during refurbishment work and return it to the
Treforest LRC by April 2
014 (LCSS LR)

Identity and Access Management

The digital identity of users and the management of
access to information is paramount to the confidentiality,
integrity and availability of the University’s data.

Systems have been implemented to

facilitate the
accurate, secure and efficient provisioning and
management of digital identities that reflects an
individual’s current relationship with the University and
supports the business objectives of customer groups.
Consideration will be given to
the procurement of a
commercial Identity Management System to streamline
the provision and management of digital identity.

on and federated access management
technology is utilised to provide authentication and
access to internal and external
systems. The University
has standardised on Shibboleth technology for Federated
Access Management.

Current uses of single
on and federated access
July 2013 undertake a review of LCSS’s
Identity Management procedures, to follow
good practice guidelines within a revised JISC
Identity Management Toolkit, which is
expected to be published by Autumn 2012

Continual monitoring of developments in

rapidly changing field of access management.
Improvements to current systems and services
will be implemented as required. (LCSS IS)


Scope of Information Management Strategy

Section Three

Area of Activity

Current developments

Target / Monitored by

management include access to the University’s student
and staff portals, student mail, and many internal

based external electronic resources.

These technologies have been extended to members of
the Glamorgan Group,

These technologies are becoming the standard access
method for University web
based services requiring

IPR / copyright policies and procedures

The Student IPR Policy was revised in 2011.

The Staff IPR Policy needs to
be revised to bring it into
line with the Student Policy and to take account of
developments in technology and approaches to teaching
and learning.

By September 2012, produce a project plan for
devising and implementing a new Staff IPR
policy by Decembe
r 2014. (LCSS LR)

Freedom of Information, Data

Protection and Publication Scheme

Document the FoI requests and complaints processes and
consider a panel approach to deciding the application of

Policies need to be updated to reflect recent
changes in
the law e.g. Protection of Freedoms Act 2012, and in ICO
requirements e.g. changes to publication schemes.

Survey and record data transmission to external agencies
and associated security measures, to ensure compliance
with DPA (as recommende
d by internal audit)

Prepare a revised FoI requests and complaints
handling procedure for submission to DISAG by
December 2012. (LCSS LR)

Review implications of changes for UoG and
propose alterations to policy or procedure as
appropriate (ongoing). (LCSS LR)

Encourage departments to be proactive in
making information available through the
Publication Scheme by July 2013 (LCSS LR)


Scope of Information Management Strategy

Section Three

Area of Activity

Current developments

Target / Monitored by

The team has a role in supporting the Glamorgan Group
including Merthyr Tydfil College and RWCMD.

ent an annual return by HoDs of
personal data sent externally and how it is
secured by September 2012 (LCSS LR)

Provide support for other institutions in the
Glamorgan group, as agreed from time to time.

University website, inc. policies and

procedures, e.g. publishing on the web,

blogs etc

Web Presence Steering Group set up to focus on high
level strategy and to develop the University’s Web
Presence Strategy. Operational Group established to lead
on tech
nical aspects. Legislative issues dealt with under
the Strategy are:

Freedom of Information / the provision of a
Publication Scheme

Data Protection



Targets as defined by the Web Presence
Steering and Operational

Steering Groups.


Scope of Information Management Strategy

Section Three

Area of Activity

Current developments

Target / Monitored by

Welsh language

Open Access Research, including
repository systems, policies and
procedures; open access journal publishing
and open access research data

There is currently no formal University policy on open
access research dissemination. However, a R
Output Submission process has been developed that
requires all research and scholarly outputs to be
submitted for entry to the ReMIS and export to the

In terms of Open Access Publishing, the University does
not currently have a mechani
sm for facilitating this, e.g.
by providing funding for ‘author pays’ publication
models. The recently published Finch report highlights
the need for a University strategy on open access.

Research Council requirements for retention of research
data for many years after the closure of a research
project may have implications for systems used to
manage research data, since work so far has
concentrated on research outputs, not data.

ue to feed / repurpose repository
content, with links to full text where possible,
by July 2013 (LCSS LR, Research Office, Heads of

Define University strategy on open access by
July 2013 (Deputy Vice
Chancellor (Research &
Student Experience),
Director of LCSS, Head of
Research Office)

Address any issues identified in the Research
data roadmap, with implementation by May
2015. (LCSS, Research Office)

Provision of high quality library and

information services, to include access

electronic information resources in

all forms to support teaching, learning

and research

As defined in the LCSS e
resources strategy

Monitor developments in the Knowledge Base
(KB+) project, managed by JISC Collections, and
implement as appropriate by Ju
ly 2013 (LCSS

Play an active role in the WHELF JISC funded
project ‘Business Case Evaluation: Library
Systems Shared Services ’ by December 2012
and any follow on work (LCSS LR)


Scope of Information Management Strategy

Section Three

Area of Activity

Current developments

Target / Monitored by

Implement Talis

Aspire resource list
management software by July 2012 (LCSS LR)

Implement Talis Aspire

integration by September 2012 (LCSS)

Investigate the inter
relationship / integration
of Talis Aspire and ICIS by July 2013 (LCSS,
Academic Registry)

fine effective business processes for reading
list creation, library acquisition and collection
development by July 2013 (LCSS LR)

Produce and pursue an academic engagement
strategy for reading lists by July 2013 (LCSS LR)

Continue to promote the use o
f e
books to
students and staff by all available channels by
July 2013 (LCSS LR)

Implement arrangements to ensure e
content is available on a range of portable
devices by July 2013 (LCSS)

Participate in a potential WHELF collaborative
approach to t
he Patron Driven Acquisition of e
books by July 2013 (LCSS LR)


Scope of Information Management Strategy

Section Three

Area of Activity

Current developments

Target / Monitored by

Promote the use of the Secure Electronic
Delivery service to students and staff by all
available channels by July 2013 (LCSS LR)

Lead the further development of an all Wales
approach to e
procurement through the WHEEL (Wales
Higher Education Electronic Library) initiative to
extend to arrangements with other publishers
by July 2013 (Director of LCSS)

Utilise Glamorgan’s membership of the Journal
Usage Statistics Por
tal and suppliers’ websites
to develop more coherent e
resources usage
statistics by July 2013 (LCSS)

Continue to analyse workflows via the LCSS e
resources management group (LCSS)

Assess local applicability of Talis Education’s
DRP software pilot relea
se for managing
digitised resource recommendation, approval,
storage and delivery by July 2013 (LCSS LR)

Provide information skills and information
literacy training to enable students and
staff to access, evaluate and use the
information resources they


Opportunities to embed information literacy within the
curriculum are being sought with colleagues in the
Faculties following the production and approval of the
Information Literacy Approach document.

It is proposed to pilot the services by July 2013


Scope of Information Management Strategy

Section Three

Area of Activity

Current developments

Target / Monitored by

Existing online study skills and information
skills modules are being reviewed.

Make proposals to update and refresh the
online modules by January 2013 (LCSS LR)

Email systems for staff and students

The University is very d
ependent on Email services as a
communications mechanism and as an information store.

Student email is now hosted by Google as part of the
Google Applications Education Edition suite which also
provides students with collaboration tools and access to
e 8GB of data storage.

The staff mail system has recently been upgraded to
Microsoft Exchange 2010 on new hardware platforms to
provide much needed improvements to capacity,
performance and resilience.

University staff now benefit from a default 2GB of d
storage within the email system.

Exchange 2010 and a complementary system Microsoft

will offer opportunities for Unified Messaging and
Unified Communications to further improve the
University’s communications and collaboration
capabilities by means of integration of voice

The staff mail system is continuing to be used
as an
information archive, holding a wide range of confidential
and non
confidential business and personal information.
Evaluation of Unified Communications and
Collaboration solutions, and production of a
Unified communications and collaboration
strategy and development roadmap by
November 2012. This is likely to be undertaken
in conjunction with an ICT Stra
tegic Partner.

Introduction of Unified Communications
integrated with Microsoft Exchange by July
2013. (LCSS IS)

Production of a Digital Preservation Strategy by
July 2013 which will include recommendations
on archiving of information held with
in email
systems (LCSS)


e of Information Management Strategy

Section Three

Area of Activity

Current developments

Target / Monitored by

It is anticipated that an email archiving system will need
to be introduced to form part of a University Records
Management and Data Arc
hiving system

Corporate information, e.g. HR, Finance,
Estates, Accommodation, Risk

Through the implementation of the Corporate and
Business Systems Strategy, the University will:

Provide customers with access to all relevant
information and s
ervices on
line in an easy
friendly and personalised manner.

Optimise its business processes to operate at minimal
cost and optimum customer satisfaction.

Meet its legal obligations to external stakeholders
e.g. Welsh and UK Governments, HEFCW, UCA

Provide staff with access to all the business data they
require to fulfil their duties.

Information control will be placed in the hands of
designated business process owners and managers

Information quality will be assured by data
where applicable

In order to maximise the quality of data, participants
in information manipulation will be trained on the
business process and be made aware of the
importance of their role within the whole process

Wherever possible, the universit
y will standardise on
a single suite of reporting tools across all corporate
information areas e.g. IBM Cognos Business
Intelligence suite

For more detail see the Corpo
rate and Business
Systems Strategy and associated Key
Performance Indicators


Scope of Information Management Strategy

Section Three

Area of Activity

Current developments

Target / Monitored by

The development of reports will be undertaken by
designated knowledge workers to ensure the
meaning of data is
reflected in the accuracy of

In line with the data quality strategy and under the
guidance of business process managers, data quality
reviews will be undertaken to inform process changes
and guide system developments

Internal and external communication

policies and processes, inc.

communication from staff to students

Through the implementation of the Web Presence
Strategy, the University

Provide user centric web

based systems that have
clear and effective navigation, searching and

Promote the publication of high quality content.

Support the publication of content and streamline
the publishing process.


internal and external communication.

Provide the enabling support infrastructure for web
content providers.

Develop a significant range of web
enabled user led
services and processes.

Promote efficiency.

Integrate portal developments to enhance the user

Provide appropriate technical infrastructure.

As defined by the Web Presence Steering


Scope of Information Management Strategy

Section Three

Area of Activity

Current developments

Target / Monitored by

Systems, procedures and

responsibilities for ensuring the quality

of information and access

Delivered through University management, committee,
ect management and quality assurance processes