Information Audit

1. Information Audit Presented by: Virginia Hendricks

2. Definition of an Information Audit • An Information Audit is a fact-finding, analysis, interpretation and reporting activity about the • use • user needs • characteristics • management of information as a resource in an organisation.

3. It should also cover • All information lifecycle activities like; • Creation • Receipt • Collection • Organising • Storage • Maintenance • Access • Dissemination • Disposal

4. Lifecycle activities

5. Range and level of the Audit • The range and level of the Information Audit is influenced • by the purpose of the audit. • The purpose is to obtain an objective assessment of an organisations record keeping practices. • It is the first and most important step towards getting control of records and the information which they contain. • It is a time-consuming and labour-intensive process, but is likely to produce insights into many aspects of the business (including those that some might prefer to keep hidden).

6. Range and level of the Audit • Everyone within an organisation has a role in creating and using information – even if they do not realise it! • One of the positive side effects of a well-run information audit is that it raises the awareness across the organisation of the value of information and the value of sharing knowledge. • It is a clear example of rational and good management practice and an important element of good corporate governance.

7. Information Audit…in a NUT- SHELL “Information Audit is the gathering of the necessary information to understand what the organization does and how it does it”

8. Benefits of an Information Audit • highlight where there is unnecessary duplication of records • indicate where business processes might be streamlined for more efficient administration • show up where records are kept too long • where information is treated as a personal asset to be shared grudgingly rather than as a resource to be shared by all as needed • what genuinely needs to be confidential and what does not • where there might be cost savings • Identify the information needs of the organisation itself, the various business units and divisions, and the specific needs of individuals

9. Benefits of an Information Audit • Identify the information created and assess its value to the organisation • Identify the information gaps • Identify quick win/win solutions that could be implemented to produce immediate benefits • Review the use of internal information resources, how valuable they are, and how they may be improved • Map the information flows and current bottlenecks • Develop a set of Information management principles that will underpin the information management within the organisation.

10. Information Audit will also help us to • Compile a functional subject file plan; • Compile a disposal authority list; • Compile a Registry procedure manual; • To plan the Registry layout; • To plan the Registry structure(Job descriptions) • Business Processes and Workflow Diagrams • Produce a complete inventory of all information resources.

11. Where to Start The approach required for success in the audit will depend upon the commitment of the team and management as well as the size and structure of the institution.

12. Whatever the starting point, the audit needs to be pre-planned carefully. This should include:- • Project leader • Steering committee • A clear commitment and support from senior management • A clear list of objectives • A communication strategy • Collection and processing of the data gathered • Design and completion of forms

13. Methodology - definition A methodology can be regarded as a collection of activities, procedures, techniques, tools applied or used to reach a specified goal, within specific circumstances, in an orderly manner

14. Step E: Identify strategies to satisfy requirements Step A: Conduct Information Audit Step B: Analyze business Activities Step C: Identify requirements for records Step F: Design records system Design Policy Implementation Step D: Assess existing systems Standards Step H: Conduct post- implementation review Step G: Implement records system Primary Process Feedback

15. Methodology- Planning Stage 1 • What is the structure of the division? • Obtain an organogram of the division • What are the division’s responsibilities? • What mandatory standards/legal framework? • What does the division do? • Who are the division’s clients/ customers or target audience? • Who do they correspond with?

16. Methodology- Planning Stage 2 • Arrange Interviews • Send out Questionnaires • Make an Inventory of information/ files in offices and storerooms (by using the “S” Method to guide you) • Investigate existing file systems electronic and hard copy

17. The Document Warehouse Information Audit consists of the following steps. S = Systems (types) S = Services (offered) S = Sources (where does it come from & Kept) S = Subjects (what subjects) S = Storage (what type is being used) S = Stage (at what stage are the records) S = Security (what security is in place) S = Size (of file) S = Style (Type of files used) S = Stack (volume)

18. A few Tips to bear in mind • Above all it is a people issue. • It is vital that whoever is tasked with carrying out the audit communicates with colleagues, and brings them along with the objectives. • The approach should emphasise the 'carrot' rather than the 'stick'. • If at all possible identify ‘ a quick win solution' which makes a demonstrable impact and difference to working situations and will produce co-operation which no amount of theory or explanation can match.

19. Finally • Once the information audit is complete and recommendations have been implemented the information audit should not be forgotten. • Organisations change and information needs and work-flows change – the information audit should be a regular feature of an organisation helping to maintain and capitalise on this vital asset “Information and Records Management” .

20. Questions? Thank You Ref: University of West England -Records Management Project Ref: Rob Birkett -The Information Audit Ref: The Document Warehouse- Information Audit – “S” formula