Information Management EvolutionInformation Management EvolutionCorrective Services NSWCorrective Services NSW

Peter Konstantin, Director Information ManagementPeter Konstantin, Director Information Management

peter.konstantin@dcs.nsw.gov.aupeter.konstantin@dcs.nsw.gov.au

ComplianceCompliance

2000 & 2001: 2000 & 2001: Severe Criticism from State Audit OfficeSevere Criticism from State Audit Office

2003:2003: Corporate Information Corporate Information Management System Project Management System Project establishedestablished

DeliverableDeliverable

DCS RM Framework DCS RM Framework

Stage 1: Records Management Fundamentals:Stage 1: Records Management Fundamentals:Addressing Compliance Addressing Compliance

Records Records Management Management FrameworkFramework

Records Records Management Management FrameworkFramework

Information Information SecuritySecurity

Records and Records and CollectionsCollections

ManagementManagement

Freedom of Freedom of Information & Information &

PrivacyPrivacy

PolicyPolicy Procedures, Procedures, StandardsStandards

Enablers: Enablers: OrganisationOrganisation

System,System,TrainingTraining

Deliverable:Deliverable:

DCS “vanilla” TRIM DCS “vanilla” TRIM

Change to the BusinessChange to the Business

Electronic Document Management – Corporate OfficeElectronic Document Management – Corporate Office

Basic Workflow / Action TrackingBasic Workflow / Action Tracking

Granular Security MatrixGranular Security Matrix

““Integration” with Corporate systems to manage record Integration” with Corporate systems to manage record lifecycle lifecycle

• 2004:2004: NSW Records Management Assessment: NSW Records Management Assessment:

═ 26.43% Full Compliance; 58% Partial Compliance26.43% Full Compliance; 58% Partial Compliance

Stage 2: ERDMSStage 2: ERDMS

Information Management Lifecycle and Information Management Lifecycle and PrinciplesPrinciples

CollectionCollection

UseUse

DisposalDisposalStorageStorage

AccessAccess

Definition Ownership

Sensitivity

Accessibility

Quality

Records Records Management Management FrameworkFramework

Records Records Management Management FrameworkFramework

Information Information SecuritySecurity

Records and Records and CollectionsCollections

ManagementManagement

Freedom of Freedom of Information & Information &

PrivacyPrivacy

PolicyPolicy Procedures, Procedures, StandardsStandards

Enablers: Enablers: OrganisationOrganisation

System,System,TrainingTraining

Corporate Corporate Information Information

Management Management FrameworkFramework

Corporate Corporate Information Information

Management Management FrameworkFramework

e-officee-office

Web Content

Web Content

Management

ManagementBusiness Business

IntelligenceIntelligence

Rec

ords

and

Rec

ords

and

Col

lect

ions

Col

lect

ions

Man

agem

ent

Man

agem

ent

Integrations &

Integrations &

Data

Data

Managem

ent

Managem

ent

Sec

urity

, FO

I

Sec

urity

, FO

I &

Priv

acy

& P

rivac

y

Business EngagementBusiness Engagement

Business Management Business Management CommitteesCommittees

Business Management Business Management CommitteesCommittees ICT Architecture OwnersICT Architecture OwnersICT Architecture OwnersICT Architecture Owners

ICT Executive ICT Executive Management GroupManagement Group

ICT Executive ICT Executive Management GroupManagement Group

BOM / Steering BOM / Steering Committees / Business Committees / Business

SponsorsSponsors

BOM / Steering BOM / Steering Committees / Business Committees / Business

SponsorsSponsors

OwnershipOwnership

PartnershipPartnership

User Groups / Business User Groups / Business ChampionsChampions

User Groups / Business User Groups / Business ChampionsChampions

User Groups / Business User Groups / Business ChampionsChampions

User Groups / Business User Groups / Business ChampionsChampions

Business Project TeamsBusiness Project TeamsBusiness Project TeamsBusiness Project Teams Technology Project TeamsTechnology Project TeamsTechnology Project TeamsTechnology Project Teams

“ The customer is always right” Harry Gordon Selfridge But ……..

“If I asked my customers what they wanted they would have said a faster horse” Henry Ford

• 20052005 : Internal Audit Assessment (Corporate) : Internal Audit Assessment (Corporate)

═ 78.9% Full Compliance; 17.6% Partial 78.9% Full Compliance; 17.6% Partial

• 20062006: State Records Authority (Desktop Review); : State Records Authority (Desktop Review);

- validates DCS Self- Auditing agencyvalidates DCS Self- Auditing agency

• 20072007: External Audit (administrative sites, additional criteria : External Audit (administrative sites, additional criteria and standards;and standards;

-- 63.5% Full compliance; 20% Partial63.5% Full compliance; 20% Partial

• 20082008: External Audit (all sites and operational records); : External Audit (all sites and operational records);

- 77% Full Compliance; 18% Partial; <1% non-compliant77% Full Compliance; 18% Partial; <1% non-compliant

• 20092009: External Audit (focus on digital records); : External Audit (focus on digital records);

- 75% Full Compliance; 15% Partial; 10%; 0% non-compliant75% Full Compliance; 15% Partial; 10%; 0% non-compliant

Stage 3: Corporate Information Management Stage 3: Corporate Information Management System CIMSSystem CIMS

Stage 3-4: DCS Corporate Information (Asset) Stage 3-4: DCS Corporate Information (Asset) Management Systems CIMSManagement Systems CIMS

………………..

inter agency Information inter agency Information exchange, scheduling exchange, scheduling and referralsand referrals

Web 2.0Web 2.0

alertsalerts

imagesimages

sound / voicesound / voice

videovideo

dynamic geospatialdynamic geospatial

biometrics biometrics

voice activated portalsvoice activated portals

………………..

DeliverablesDeliverables

Integrated Information Asset ManagementIntegrated Information Asset Management

Web Content / Web ServicesWeb Content / Web Services

Business Intelligence Business Intelligence

Interoperable: Line of Business SystemInteroperable: Line of Business System

Enterprise/Federated SearchEnterprise/Federated Search

Functional Information “Views”Functional Information “Views”

Role-based access / identity managementRole-based access / identity management

ComplexityComplexity

Case Management of Offenders Case Management of Offenders

The Core BusinessThe Core BusinessArrest Court Hearing Conviction Pre Sentence Sentence Release Post ReleaseBail Result Post Sentence

SentenceManagement

Pre Release

Bail Refused Custody

CaseManagement

Classification

Assessment(LSIR, AOD, Transitional

& Screening)

ScreeningCHS & Welfare

Reception

CaseManagement

Classification

Assessment

Reception

Fined

Fine Default(Failure to pay)

State DebtRecovery

Referral to DrugCourt

Drug Court

Detox UnitCorrectional

Center

IntensiveSupervision

(P&P)

CorrectionsHealth Service

(CHS)

Bail Granted

Bail Supervision

CaseManagement

No Supervision

Assessment(LSIR)

Home DetentionAssessment

Home Detention

Periodic Detention

Periodic DetentionStage II

AppealCommunity

CSO/CSO FineDefault

Work Assigned

SheriffsOffice

Programs

Work Release

Day & WeekendRelease

AEVTI

Bay Cottage

Good BehaviourBond

AssessmentLSIR

reviewed 6/12

CaseManagement

Programs

Completion/Termination

Application forRevocation

Application forRevocation

CompletionIntensive

Supervision(P&P)

Parole

CaseManagement

AssessmentLSIR

CSI - WorkReadiness

CrisisIntervention

Team

Mental HealthReviewTribunal

SecurityThreat

CommitteeHRMU

OfficialVisitors

AdultYoung

Offenders

Mothers &Children

JuvenilleJustice

CHS

AssessmentLSIR

CaseManagement

OS&P

TransitionalCentres

Releasing Authority(presentation of report)

ReleaseParole Board

Release CourtBased Parole

Decision toRelease

Parole Board

Supervision

No Supervision

TherapeuticUnits

(Ngara Nura,Cubit, Violence

Prevention,ACMU)

As at 30/06/2004Throughcare Overview Draft Version v 4

Throughcare & E Case Management Workflow Diagram

MeritProgram

AboriginalSpecialists

Offender

Successful Integrationinto Community

Reoffence

Programs

ReportPreparation

ACT ParoleBoard

CommonwealthAttorney General

Department ofImmigration

NSW Parole Board

Indentification of Inmatesof Interest to P&P

PSR Preparation

Paid

InterstatePrisonerTransfer

InternationalPrisonerTransfer

InterstateCommunity

based OrderTransfers

InterstateParole Order

Transfers

Bail Granted

SORC

Discharge fromCorrectional Centre

Arrest Court Hearing Conviction Pre Sentence Sentence Release Post ReleaseBail Result Post SentenceSentence

ManagementPre Release

Bail Refused Custody

CaseManagement

Classification

Assessment(LSIR, AOD, Transitional

& Screening)

ScreeningCHS & Welfare

Reception

CaseManagement

Classification

Assessment

Reception

Fined

Fine Default(Failure to pay)

State DebtRecovery

Referral to DrugCourt

Drug Court

Detox UnitCorrectional

Center

IntensiveSupervision

(P&P)

CorrectionsHealth Service

(CHS)

Bail Granted

Bail Supervision

CaseManagement

No Supervision

Assessment(LSIR)

Home DetentionAssessment

Home Detention

Periodic Detention

Periodic DetentionStage II

AppealCommunity

CSO/CSO FineDefault

Work Assigned

SheriffsOffice

Programs

Work Release

Day & WeekendRelease

AEVTI

Bay Cottage

Good BehaviourBond

AssessmentLSIR

reviewed 6/12

CaseManagement

Programs

Completion/Termination

Application forRevocation

Application forRevocation

CompletionIntensive

Supervision(P&P)

Parole

CaseManagement

AssessmentLSIR

CSI - WorkReadiness

CrisisIntervention

Team

Mental HealthReviewTribunal

SecurityThreat

CommitteeHRMU

OfficialVisitors

AdultYoung

Offenders

Mothers &Children

JuvenilleJustice

CHS

AssessmentLSIR

CaseManagement

OS&P

TransitionalCentres

Releasing Authority(presentation of report)

ReleaseParole Board

Release CourtBased Parole

Decision toRelease

Parole Board

Supervision

No Supervision

TherapeuticUnits

(Ngara Nura,Cubit, Violence

Prevention,ACMU)

As at 30/06/2004Throughcare Overview Draft Version v 4

Throughcare & E Case Management Workflow Diagram

MeritProgram

AboriginalSpecialists

Offender

Successful Integrationinto Community

Reoffence

Programs

ReportPreparation

ACT ParoleBoard

CommonwealthAttorney General

Department ofImmigration

NSW Parole Board

Indentification of Inmatesof Interest to P&P

PSR Preparation

Paid

InterstatePrisonerTransfer

InternationalPrisonerTransfer

InterstateCommunity

based OrderTransfers

InterstateParole Order

Transfers

Bail Granted

SORC

Discharge fromCorrectional Centre

INTAKE

Addresses - OCDADDRE

The addresses screen allows the retrieval and recording of an offender’s current address. A history of addresses is also provided.

Admission - OCDINTAK

The admission screen is to-view open contacts- to create/reopen a contact- record reporting direction either immediate/ future and add a comment.

Disability - OIDDISDE- The disability screen allows the retrieval and recording of information regarding an offender’s disabilities. It also lists any equipment issued to aid the offender.

Alerts - OCDALERT- The alert screen displays special instructions regarding an offender that will alert officers to any life threatening or special needs

Profile Details History

Displays history of changes to identification profiles

Admission - OIDADMIT

The admission screen is used to record the admission and placement details for offenders who are being transferred or admitted (New Booking).

Aliases - OCDALIASThe aliases screen records and retrieves assumed names used by offenders. Identifier block is used to record details of any identification such as CNI etc.

Identification - OCDIDENT

The identification screen- allows the offenders origin to be recorded- allows identification profile to be recorded

Physical Marks - OIDPMARK

This screen is used to enter in details of identifying marks on the offender such as scars and tattoos.

Identifiers - OCDCIDEN

Displays details of those records that are used to identify an authorized visitor.

Personal and Professional Contacts - OCDCTACT

Screen displays a record of known associates of the offender and the type of association and relationship

Contact Numbers - OCDCCONT

Displays contact information for the contact

Person Search / Update

Allows the user to search for a particular contact if the prior screen didn’t have the appropriate name listed. Also allows a user to enter in a new contact

INQUIRIES -Booking Summary - OIIBOOKS

Verification Window - OMUVERIF

An entered alert is verified in this pop up. Alert must be verified by another user.

Section 4 Details -OIDCHPCN

This screen is currently not in use but is intended to be used to enter details of Section 4 orders on the Courts behalf.

Print Notice

Creates a Section 5 or 6 Order in Crystal Forms with the offenders details. This form is issued to the offender.

Child Protection - OIDCHPRT

This screen acts as an alert regarding offences against and the future release dates of offenders

Offence Details - OIUOFFEN

Lists details of the offences for the offender.

Child Protection Exceptions - OIDCHEXC

Used by Sentence Administration for the creation of child protection orders.

SEARCH/ASSIGN-Name Search-

OSIEXACT

SEARCH/ASSIGN-Assign MIN- OSDASSID

Languages - OCDLANGS

The languages screen records the offender’s primary and secondary languages and specifies whether and interpreter is needed.

Offender Questionnaire -OIDOQUES

The Offender Questionnaire is a series of questions relating to self harm, health and lodgment details.

Education - OCDEDUCO

The Education screen records an offender’s education history.

Forensic Procedure -OIDFORPR

The Forensic Procedure screen records details such as indictable offences and if forensic testing has been undertaken.

Corrective Services Test Details

Records details of forensic tests conducted by DCS includes information such as ATSI status, type of test, people present etc

Employment - OCDEMPLO

The employment screen records an offender’s employment history

Finances - OCDFINAN

The Financial screen is used to record offender income, expenses, assets and liabilities

Current Employment

Current Employment navigation button accesses the Current Employment window.

Health - OCDHEALT

The Health screen maintains a general description of the offender's health problems for use in assessments and placement into programs.

Jurisdictional Transfers - OCDJURTR

The Jurisdictional Transfers screen records details and progress of application for transfer between jurisdictions.

LEGAL ORDERS - Imprisonment Status -

OIDISTAT

Substance Abuse - OCDSABUS

Used to record the offenders Alcohol/Drug use and the treatment received (Training is not provided in the use of this screen)

Assessment - OCDOASSE

Displays existing assessments and records new assessments.

LSI-R

The Level of Service Inventory - Revised

Case Plan - OCDCPLAN

Details the most recent case plan for an offender.

Case Notes - OCDCNOTE

Records all contacts made in relation to a specified MIN.

Offender Documents - OCDDOCUM

Lists all reports/letters created for an offender.

In Box - Microsoft Word

Print

Case Notes can be printed for each entry or for all entries from the Case Notes screen.

Approval - OCDOAAPP

Lists all Assessments completed for an offender to be reviewed by a Senior Officer.

Event Scheduler - OCDEVENT

Lists events entered such as CSO work dates, Program dates and appointments for an offender.

PROGRAMS - Resource Directory - OCIREDIR

Name Search - OIICMNAM

Displays only those offenders who have not yet been included in the allocation process.

Offender Case Management Staff - OIDCMSTF

Records the Correctional Centre - Case Supervisor and Case Officers for an offender.

CASE MANAGEMENT

Supervisor History

Records a history of case supervisors that the offender has been assigned.

Case Officer History

Records a history of case officers etc. that the offender has been assigned.

EVENTS AND OFFENCES, ORDERS, REQUESTS - Order -

OCDORDER

EVENTS AND OFFENCES, ORDERS, Request - OCDREQUE

Transfer Plan

Used to transfer the Case Plan between Locations.

Review Plan

Records the Senior Officers review of the Case Plan.

Print Plan

Case Plan Summary with the details of the Case Plan to be printed.

PROGRAMS - Referral for Program/Service -

OCDREFER

CLASSIFICATION - Classification -

OIDCLASS

INQUIRY - Booking Summary - OIIBOOKS

PROGRAMS - Waiting List for Program/Services

- OCDWLIST

Resource Directory - OCIREDIR

Presents a summary of program information entered on the three program/service maintenance screens.

Course/Activity Information

Details the course/activity selected in the Resource Directory screen.

Detailed Schedule

Displays the schedule of the selected course/activity as set up on the Maintain Program Service, Courses/Activity screen.

Print Search Results

Triggers a report submission displaying the search results.

Referral for Program/Service - OCDREFER

Records referrals for a specific program or service.

Waiting List for Programs/Services - OCDWLIST

Displays all offenders who have been referred to programs and services but are not yet assigned to a specific course/activity.

Assignments - OCDAOTPS

Assigns approved offenders to specific program/services courses or activities.

Order/Requests Allocated Against this Offence

Displays the offender’s current Orders

Available Courses/ActivitiesDisplays all available sessions of the program/service selected in the Assignments screen.

CASE MANAGEMENT -Event Scheduler - OCDEVENT

Create/View Offender Documents - OMUDOCUM

Allows a document type to be selected and lists all the documents (if any) of this type that have been created for the offender in question.

Inbox - Microsoft Word

Attendance - OCDOATTE

Used to record attendance at a course/activity session.

Offender Progress and Results - OCDOPSPR

Provides the offender’s attendance record for each assigned program/service with edit capability.

Offender Evaluation Window

Provides entries of offender performance against the evaluation questionnaire.

PROGRAMS

Lots More..Lots More..

Offence in Custody Record - OIDOICRE

The offenders incident history while in Custody

Incidence Charges

Lists the charges for each incident.

Offence in Custody Hearing - OIDOICHE

The offenders incident history while in Custody

OIC Penalty - OMUOICPE

Penalty imposed as a result of an offence in custody can be view through this screen.

INCIDENTS

Offence in Custody Inquiry - OIIOICUS

This screen is a read only and is intended as a general inquiry screen.

DRUG ANALYSIS

Bulk Data Entry - OIDUBDESAllows the user to enter data pertaining to the authorising of urinalysis an entry of offenders by MIN# and Name who will be tested and generates a report of such.

Urinalysis - OIDURINA

Allows the user to enter data pertaining to the collecting and demand for urine samples, and the security labelling and consignment notes for transportation.

Urinalysis Summary

Provides an summary review of all current and past Urinalysis test current status and results

Laboratory Results

Allows the user to enter data pertaining to results returned from laboratory & any action required

Urinalysis Cancellation Facility - OIDUCANC

Possibly allows the user to cancel a pre-entered test in the bulk allocation or random entries

Bulk Data Entry Of Esky And Courier Details - OIDUBDEC

Possibly allows the user to track inmates tested by data entered against consignment notes and courier details

etcetc

Classification - OIDCLASS

Used for entering classification and placement recommendations (pending) by CMT and SORC

Classification Approval - OIDCAPPR

Used to approve or reject pending entries in the Classification screen.

Classification Inquiry - OIICLASS

Used to list all pending inmate classification review dates for the selected Correctional Centre.

Discharge Summary - OIDDISCS

Displays an offenders incarceration details and provides links to other screens.

Management Program - OIDMPROG

Contains management program information used for identifying which inmates are under PRLC, SORC, ERC etc.

Verification Window - OUMVERIF

Used by senior officers to verify information entered.

Imprisonment Status - OIDISTAT

Accesses the history of an offender’s imprisonment status.

CLASSIFICATION

Parole Board Sittings - OPDPSCIT

Displays scheduled Parole Commission Sittings.

Schedule Parole Hearing - OPDSPHEA

Used to schedule a parole hearing for an offender.

Hearing Charges - OPDHECHG

Used to record the offence for which offender is being reviewed.

Member Attendance - OPDMATTE

Used to record the Parole Board sitting date and members attending

Parole Decision - OPDPDECI

Used to record the decision of the parole Board to grant, revoke, refuse or defer in regard to parole, periodic and home detention

Parole Conditions

Pop-up window which allows data entry for individual parole conditions

Parole Reasons

Pop-up window which allows data entry for individual parole conditions

Hearing Charge - OPDHECHG

Parole Hearing Appearance - OPDHEAPP

Used to record Parole Board hearing dates and the inmates who are attending/under review

Print

Pop-up button which doesn’t work

Legal Details

Pop-up button which doesn’t work

Officers

Pop-up button which doesn’t work

PB Meeting Documents - OPDMETDO

used to record documents requested by the parole Board to assist in their deliberations.

PAROLE

LEGAL ORDERS - Order / Sentence Inquiry -

OIIORDER

INTAKE - Alerts - OCUALERT

INCIDENTS - Offences in Custody - OIIOICUS

Management Programs

Care in Placement

LessonsLessons

• Commence a program, not a projectCommence a program, not a project

• Engage in partnership with the business Engage in partnership with the business

• Offer an integrated solution in a lifecycle contextOffer an integrated solution in a lifecycle context

• ……building where possible on accepted practicesbuilding where possible on accepted practices

• Keep moving forward and pre-emptKeep moving forward and pre-empt

peter.konstantin@dcs.nsw.gov.aupeter.konstantin@dcs.nsw.gov.au