cycle to work scheme - west yorkshire fire & rescue · pdf filepurpose on 17 february 2017...

Purpose On 17 February 2017 the capital bid for the reintroduction of a cycle to work scheme during the financial years 2017/18, 2018/19 was approved by the Authority. This reports seeks approval for the release of funds, £95,000 associated with the 2017/18 financial year

Recommendations That approval is given to proceed with the cycle to work scheme

Summary The Authority has previously operated a cycle to work scheme which was stopped due to the administrative burden. A third party organisation has been identified who will now run the scheme for us. The previous scheme ran for 3 years and in that time approx 300 staff members took advantage of it. The re-introduction of a cycle to work scheme is often requested from our staff, suggesting the demand is still high.

Introduction of the scheme would be a demonstration of the commitment of the Authority to support our staff, improve employee engagement and morale, reduce the cost of staff purchasing the bicycle, improve employee health & wellbeing and save the Authority money with reduced National Insurance contributions.

OFFICIAL

Cycle to Work Scheme Finance & Resources Committee Date: 21 April 2017 Agenda Item: 5Submitted By: Chief Employment Services Officer

Local Government (Access to information) Act 1972

Exemption Category: None

Contact Officer: Mark Dixon, Occupational Health & Safety Manager Tel: 5878

Background papers open to inspection: None

Annexes: None

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1 Introduction 1.1 Cycle to work is a recognised salary sacrifice scheme, which falls within the Government’s Green

Transport Plan

1.2 Cycle to work benefits the individual’s health. On average an employee cycling 5 miles to work and back each week will burn an extra 4,485 calories (cyclescheme.co.uk), with the associated health benefits this brings. There are also benefits to the environment with a reduction in an individual’s carbon footprint.

1.3 We should also not underestimate the positive message supporting such a scheme would send to our staff, which is consistent with the Authority’s wider agenda of engaging with our staff and improving the culture and values of the organisation. There is good evidence to demonstrate the benefits of having a more engaged workforce such as improved morale, productivity, customer satisfaction and innovation along with reduced sickness absence and accidents.

2 Information

2.1 The Authority previously ran a cycle to work scheme, but was stopped due to the administrative burden. - this was due to the Authority running the scheme itself. However, there are now a number of third party organisations who will run the scheme on our behalf, meaning there would be very little administrative burden on the Authority. The previous scheme ran for 3 years and in that time approx 300 staff members took advantage of it. The re-introduction of a cycle to work scheme is often requested from our staff, suggesting the demand is still high.

2.2 There are a number of providers, who have been awarded supplier status under the ESPO (Eastern Shires Purchasing Organisation) Framework and are used by other public sector bodies, a mini competition exercise has been undertaken to determine which provider offers the most benefit.

2.3 After conducting this exercise cyclescheme.co.uk have been assessed as offering greatest benefit due to their larger independent cycle shop network.

2.4 The scheme would work in the following way:

1. the employee would register an interest in the scheme with the provider, along with theamount they want to spend

2. the provider would then contact OHSU to check the employee is eligible for the scheme(and that making the payments does not take them below the minimum wage)

3. following confirmation of eligibility, the provider would issue the employee with an e-voucher. [At this point OHSU would inform Finance of the voucher value and Financewould set up a salary sacrifice for that amount, spread over 12 months]

4. the individual would then take their e-voucher to any one of the providers recognised cyclestores and purchase the bicycle (approx 2000 nationally and 40 within West Yorkshire).The responsibility and cost of insuring the bicycle lies with the individual and not theemployer.

2.5 The scheme is a hire scheme whereby the organisation pays for the package up-front and hires it back to the individual, recouping the expenditure over a 12 month period. At the end of this agreement period, the individual has the option of taking full ownership by paying a one-off fee or returning the bike back to the scheme provider (not the Authority) for them to dispose of. The end of hire agreement is wholly administered by the scheme provider.

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2.6 As with all salary sacrifice schemes, the scheme attracts tax benefits allowing individuals to reduce their overall tax burden, therefore offsetting against the cost of the bicycle. Based on a basic rate taxpayer, this would equate to a saving of approximately 25% of package price, once the end of hire payment is taken into account.

3 Financial Implications

3.1 Included within the capital plan is a scheme for £190,000 for the funding of the cycle to work scheme including £95,000 for 2017/2018. This payment covers the initial purchase price of the cycles.

3.2 The employee then pays a monthly contribution for the cycle which will be used to fund the capital expenditure. This contribution is made before the deduction of national insurance and pension contributions which means there will be a small saving to the Authority in employer NI and pension costs.

3.3 It should be noted that because the deduction is made before pension contributions are deducted the scheme does slightly reduce the employee’s pension entitlement.

4 Human Resources and Diversity Implications

4.1 No equality implications are envisaged. As stated above this scheme can benefit employee engagement and inclusion. Consideration should be given to making the scheme accessible to potential users, encouraging broad participation where possible.

5 Health and Safety Implications

5.1 The introduction of a cycle to work scheme will increase the health and wellbeing of our staff along with increased levels of engagement, with all the accepted advantages this brings.

6 Service Plan Links

6.1 This links with providing a safe skilled workforce that serves the need of a diverse community.

7 Conclusions

7.1 The many benefits of introducing a cycle to work scheme detailed in the paper, far outweigh the small cost in administering the scheme and it is recommended the money is released.

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Purpose To inform the Finance and Resource Committee members of the funding for Fire Control Room upgrades and additional Local Transition Resource required for transition onto Emergency Service Network (ESN)

Recommendations 1. Finance and Resource committee members note the Home Office funding.2. Approval is given to the proprietary purchase of services set out in paragraph 2.2 ofthe report under Standing Order 4(IX) 3. Approval is given to sign the ESN Usage Conditions and Framework Agreement aspart of the enrolment process.

Summary Emergency Services Mobile Communications Programme (ESMCP) grant funding has recently been allocated to all user organisations for the IT Health Check, the Control Room Upgrade work and the Direct Network Service Provider (DNSP), this is the connection between the Emergency Service Network (ESN) and the Control Room. The next stage of enrolment is underway - FRS’s are required to sign 2 key documents.

OFFICIAL

Emerency Services Mobile Communication Programme - update and grant funding allocation Finance & Resources Committee Date: 21 April 2017 Agenda Item: 6Submitted By: Director of Service Support



Contact Officer: GM Ben Bush – ESMCP Project Manager

T: 01274 473781

E: [email protected]

Background papers open to inspection: Click here to enter text.

Annexes: Annex A – Funding Letter from Home Office

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mailto:[email protected]

1 Introduction 1.1 The Emergency Services Mobile Communications Programme (ESMCP) is a national, Home

Office led programme to procure a resilient and secure communications network for use by the emergency services. This will replace the existing communications network provided by Airwave Solutions Ltd (ASL). The new network will be called the Emergency Service Network (ESN).

1.2 The existing Airwave contract ends in December 2019 and, as such, this is the target date for the new ESN network to be live and fully operational across the country. The timeline is challenging and this is recognised by the national programme, suppliers and individual user services.

1.3 Any delay in the delivery beyond December 2019 would result in a significant cost to the public which is estimated to be £475 million per year nationwide.

2 Information

2.1 The Home Office (HO) has written to Chief Fire Officer on 28 March 2016 (Annex 1) informing FRS’s that they will provide funds to support works that a FRS will be required to undertake for ESN.

2.2 West Yorkshire Fire and Rescue Services (WYFRS) provided the following estimates for work to the Home Office.

• £175,717.91 plus £36,399 - Upgrades to the Integrated Communication Control System(ICCS) and Control room upgrades.

• £16,000 plus £1604 per month -Direct Network Service Provider (DNSP).

• £222,192.57 plus £15,041 - IT Health Check remediation work

• Total £465,911.28

• The Home office has provided WYFRS £476,860

• An additional £100,000 has been provided by the Home Office to the region as a result ofthe programme timeline being extended and therefore the need to extend the period thatthe transition team need to be in place.

2.3 The Home office has provided WYFRS £476,860 in line with WYFRS estimates for the above works on the basis that records of expenditure for the three items at 2.2 be kept and any unused monies are to be kept by WYFRS for ESMCP work.

2.4 Following the recent changes to the Programme timeline, the HO has agreed to provide some additional Local Transition Resource to aid regions to manage the increased time through to transition. Each Lead Authority will have an additional £100,000 added to their allocation total for that region.

2.5 WYFRS is a Lead Authority for the Yorkshire and Humberside Region. The additional £100,000 will be added to the transitional budget to allow for the programme running for longer than the HO originally anticipated.

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3 Enrolment (Pre-registration) 3.1 As part of the process towards transition, Fire and Rescue Services wishing to migrate onto

the ESN are required to submit documentation as a form of pre-registration. This process known as ‘enrolment’ or ‘pre-registration’ is designed to provide the User Services supplier, Motorola, with information to pre-populate their databases, in part to enable early aspects of testing to take place.

3.2 Members should note that enrolment / pre-registration is not binding in terms of take up to ESN and should be viewed as an administrative process. Signing the Access Agreement does not prejudge the outcome of the acceptance testing process and does not commit the Fire Authority to transitioning onto ESN if it is not willing to do so.

3.3 The documents that require signatures by 30 April 2017 are:

• The Emergency Service Network Usage Conditions – is a commitment from WYFRSthat it will comply with the Code of Connection (CoCo) and Code of Practice.

• The Framework Agreement - The Framework Agreement is an agreement between theuser organisation and EE, allowing the user organisation to enter into the contract signedby the Home Office. It is however only committing the signatory organisation to what isordered in the “Service Order Requirements” section. The Home Office are aware thatsome details are not finalised. (E.g. the number of devices and additional coveragesolutions). Where that is the case, FRS’s should leave the “Service Order Requirements”section blank and the information can be updated through the Motorola self-service portalas transition approaches. In signing the Framework Agreement, users are establishing alegal relationship with EE, but one which contains no financial commitments. Thosecommitments will be made when users place their orders through the Motorola Self ServicePortal. Users cannot be charged until those orders are placed and the connectionsactivated.

3.4 The Framework agreement is an agreement between WYFRS and EE therefore WYFRS are establishing a legal relationship with EE but one which contains no financial commitments. Those commitments will be made when WYFRS places orders through the Motorola Self Service Portal. WYFRS cannot be charged until those orders are placed and the connections activated.


4.1 The report provides details of government grant received to fund transition work to the new ESMCP totalling £476,860 and requests approval to spend this funding. It will be necessary for the majority of this work to be carried out by Systel who provide the command and control system which means that this work will not be subject to competitive tender.

4.2 It is therefore necessary to obtain approval for the work under contract standing order 4 (1X) services provided by a supplier of goods connected to the maintenance and developing of those goods.

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5 Human Resources and Diversity Implications 5.1 As WYFRS is required to deliver some elements of the programme locally, an assessment of

capacity and internal resources will be undertaken and monitored. If capacity is an issue temporary, fixed-term contracts may be required to ensure the programme is resourced appropriately.


6.1 The programme will aim to ensure that the health and safety of personnel is maintained throughout the delivery and transition phase by assessing the impact on internal departments workloads and providing additional resource where required.

6.2 The existing and replacement radio network is critical for incident communications. It is vital that this system is reliable and resilient to minimise the risk to the health and safety of the public and firefighters.


7.1 This programme supports WYFRS strategic priorities to:

• Deliver a professional and resilient emergency response service

• Provide effective and ethical governance and achieve value for money

There is a specific objective within the 2017/18 Service Action Plan to:

• Work collaboratively across the Yorkshire and Humber Region to prepare for transition tothe ESN as part of the ESMCP.

8 Conclusions

8.1 Funding has been received from the HO for the next stages of the ESMCP programme, the amount of funding is in line with the estimates submitted to the HO by WYFRS.

8.2 The signing of the Usage Conditions and The Framework is a requirement of the enrolment process and must be completed to progress to using the Emergency Services Network. The Framework agreement is an agreement between WYFRS and EE therefore WYFRS are establishing a legal relationship with EE but one which contains no financial commitments.

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www.gov.uk/home-office

West Yorkshire FRS John Roberts Chief Fire Officer,

24 March 2016

Fire and Resilience Directorate / Crime and Policing Group Home Office 2nd Floor, Fry Building, North West, 2 Marsham Street, London, SW1P 4DF T 0207 035 3323

Dear Chief Fire Officer,

Funding for Fire Control Room upgrades and additional Local Transition Resource required for transition onto Emergency Services Network (ESN).

This letter relates to funding for Fire and Rescue Authorities to support the rollout of the Emergency Services Mobile Communication Programme. We are writing to you because your Fire and Rescue Authority has received grant funding to undertake works associated with the Programme. This grant funding allows Fire and Rescue Authorities to undertake works to ensure readiness to connect to the Emergency Services Network.

In the past 12 months, Fire and Rescue Authorities have undertaken IT health checks which have resulted in identifying programmes of works required to comply with the Public Services Network (PSN) code of connection, due to the fact that secure IT network and an appropriate code of connection is a requirement to transition to the Emergency Services Network. Fire and Rescue Authorities have now provided the Home Office with estimated costs to carry out remediation works but due to a number of still unknown areas within the Programme the estimates are not able to be confirmed. Officials in the Home Office have engaged with a number of Fire and Rescue Authorities to test which of the remediation works are likely to be essential for connection to ESN, and which can be mitigated without immediate, or in some cases any, intervention.

The Home Office recognises that there is a good deal of work for Fire and Rescue Authorities to do to determine which of the items fall within the essential category and which can be mitigated but we are also aware that without prompt funding in place this will be a process that would be difficult for Fire and Rescue Authorities to progress. With that in mind, the Home Office has agreed to fund the remediation works in accordance with the current estimates but is aware that, based on the testing exercises so far carried out, those estimates may reduce once Fire and Rescue Authorities are able to dedicate the time and resource to scrutinise remediation action plans and make decisions on the appropriateness of each task.

In order that the Home Office is able to identify any potential underspend in the remediation works, Fire and Rescue Authorities are requested to keep a record of forecast spend against actual spend when it is known, and that any unused money is kept for ongoing ESMCP work. The Home Office has secured the services of one of the Programme IT security team to assist in distinguishing

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which identified actions are essential and is happy to offer his services to you should you have any doubt, or are unsure of whether an identified risk would impact on your ability to connect to ESN.

This grant covers, where appropriate, Integrated Communication Control System (ICCS) and Control Room upgrades, Direct Network Service Provider connections, IT health check remediation works, with follow-up IT health check and Local Transition Resource.

Following the recent changes to the Programme timeline, we have agreed to provide some additional Local Transition Resource to aid regions to manage the increased time through to transition. Each Lead Authority area, based on those Lead Authorities previously paid local transition resource, will have an additional £100,000 added to their allocation total for that region. This mirrors the way in which the first tranche of local transition resource was allocated in summer 2016.

Based on the information presented by your project manager, Home Office has allocated your project:

Project Allocation Fire Authority paid to

West Yorkshire £576,860.00 West Yorkshire Fire and Rescue

Authority

This includes £100,000 transition resource for your region.

Yours sincerely

Shehla Husain Deputy Director I National Resilience and Fire Programmes

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Purpose To seek approval for the Information Management Strategy and Framework and the purchase of software to support this. To seek approval for the ICT Service Level Agreement (SLA) and departmental restructure to enable its delivery.

Recommendations That Committee approve the Information Management Strategy and Frameworkand the purchase of the associated software as detailed in section 3. That Committee approve the ICT Service Level Agreement (SLA) and departmental restructure as detailed in section 4.

Summary In the ICT strategy report to Finance and Resource Committee in April 2016 it was agreed that all expenditure against the strategy would be brought back to this Committee for approval. This report seeks approval of the Information Management Strategy and Framework and the purchase of information asset management software, with the procurement process set out in section 3. This report also seeks approval for the ICT SLA and the financial implications of an ICT department restructure to support the delivery of the service level agreement. The Human Resources (HR) elements of the restructure have been approved by HR Committee and details can be found in section 4.

OFFICIAL

ICT Strategy Programme Report Finance & Resources Committee Date: 21 April 2017 Agenda Item: 7Submitted By: Director of Service Support



Contact Officer: Gayle Seekins, ICT Strategy Programme Manager E: [email protected] T: 01274 655802


Annexes: Information Management Strategy Information Management Framework ICT Service Level Agreement

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1 Introduction 1.1 The ICT strategy formed one of the strands of the efficiency research programme along with IRMP

3, Ways of Working and the Strategic Asset Review. The aim of the strategy is to make the most of technology to make things simpler, smarter and engaging. The strategy has identified several ways in which technology can assist us in being able to work smarter and simpler and engage more effectively with our staff, community and partners. The full benefits are detailed within the strategy but some examples include:

• Ensuring the right information is available when and where needed with the appropriate levelof security

• Using the information we collect more effectively to enhance the service we provide to ourdiverse community

• Enabling our staff to work more effectively by removing repetition, making applications easierto use and providing appropriate ICT training

• Provide electronic ways of working to increase our capability to deliver more prevention andprotection activities

• Providing mechanisms to exchange information electronically with our partners

1.2 The ICT strategy was approved at Finance and Resources Committee (F&R) in April 2016 and it was agreed that all business cases would go to the appropriate Committee for approval. This report provides an update on projects previously approved. It also requests approval of the Information Management strategy and to purchase a toolkit to enable the strategy to be implemented effectively.

1.3 The report also provides information on the ICT SLA that has been agreed between the ICT department and the rest of the organisation and seeks approval for the departmental structure needed to enable the SLA to be delivered.

2 Information

2.1 ICT Strategy Progress

Project Specialist Resources

Business Case Implementation Complete Comment

Review of electronic maintenance of competence records

n/a n/a This work commenced prior to the strategy. May become part of the HR project.

ICT training function

n/a ICTSP1 HR 08/07/16 F&R 15/07/16

07/2016 – 09/2016

Yes ICT Training Coordinator appointed – start date 03/10/16

Information management strategy

n/a ICTSP2 F&R 15/07/16

07/2016 – 12/2017

Draft strategy and purchase of toolkit included within this report

HR and rostering solution

F&R 22/04/16 ICTSP3 F&R 14/10/16

2016 - 2018 Change control approved to move completion of requirements catalogue to 31/10/2017

System security and Active Directory

F&R 22/04/16 ICTSP4 F&R 14/10/16

2016 onwards Tender process commenced. Approval for software purchase to F&R July 2017

ITIL service management

F&R 22/04/16 ICTSP5 F&R 14/10/16

2017 - 2019 SLA and department restructure included within this report

SharePoint upgrade

F&R 22/04/16 ICTSP6 F&R 21/04/17

2017 - 2018 Project governance, objectives and timeline being drafted.

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Electronic forms solution

n/a ICTSP7 F&R 21/04/17

2017 - 2021 Project finance moved back in the strategy following MB star chamber

Paperless meeting solution

n/a ICTSP8 F&R 14/10/16

2016 - 2017 Project governance in place. Research of solutions will be followed by trials with approval to purchase at F&R January 2018

Operational risk solution

n/a ICTSP9 F&R 27/01/17

2017 - 2018 Project moved back to allow new ways of working to be trialled

Protection solution n/a ICTSP10 F&R 27/01/17

2017 - 2018 As above

ICT system review strategy

n/a ICTSP11 F&R 27/01/17

2017 - 2019 Moved into the ITIL project

The table above shows current projects, future projects will be added as they commence.

3 Items for approval – Information Management Strategy

3.1 The outline business case to implement an information management strategy and tools to help our staff manage and use West Yorkshire Fire and Rescue Service’s (WYFRS) information assets effectively was approved by F&R in July 2016. This fell into two main areas, the first is the development and implementation of an overarching Information Management Strategy and the resulting Information Management Policy Framework and Action Plan.

3.2 The benefits to be realised from this Strategy are:

• Effective management of all our information assets

• Users confident in managing and sharing the information they use

• Users confident in the quality and timeliness of the information they use

• Users able to access the right information when needed

• Reduced cost of storage and backups

• Reduced time to run backups

• Fully compliant with regulations

The overarching strategy and the policy framework are attached for approval.

3.3 The second area is having the right tools to enable our employees and departments to easily identify and manage the information assets that WYFRS holds. The introduction of appropriate information asset management software to host the Information Asset Register (IAR) will enable this and also provide information management staff and information asset owners (IAOs) the tools to monitor and report on key performance indicators, risks and any retention and disposition issues associated with individual information assets.

3.4 A research exercise was undertaken to identify potentially suitable solutions that are on the open market. The research identified that there was a very narrow range of applicable products, however, five products were selected for further evaluation. Each was evaluated based on a 20-point output specification criteria along with a live demonstration of each system, where available.

3.5 The top three solutions shortlisted all provided an online demonstration environment which enabled further testing. The assessment was based on functionality and ease of use. The results were very close with each of the three having very positive attributes, although the Apira

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Information Asset Manager was the only product that was aligned to the new General Data Protection Regulations (GDPR) which will come into force in the UK in May 2018.

3.6 The Apira offering can be cloud-based or on-premise and the costs are based on the number of information assets registered rather than a per user basis. For a 500 information assets block, which would be suitable for WYFRS based on the current IAR entries, the cost is £250 per month or an annual cost of £2000 if paid in one up-front sum. Additional asset blocks can be purchased at any point in the future if we need to expand.

3.7 Based on the evaluation and the costs the preferred option is the Apira Information Asset Register and it is proposed that this product is procured subject to approval by MB and F&R.

3.8 Apira is offered by Kaleidoscope Consultants a UK company founded in 2001. They specialise in providing advice and guidance to health and social clients in the public sector and organisations supporting and supplying them on how to exploit the data they hold lawfully and ethically. They have worked extensively with NHS England, delivered training for Department of Health, supported Commissioning Support Units and Clinical Commissioning Groups and worked with all types of NHS care providers and local authorities, including Public Health, as well as software houses and other NHS services.

3.9 The proposal is for the cloud hosted option. This essentially means that Apira will “host” the solution, maintain it and ensure any support and issues are dealt with. Data will also be backed up and securely accessible from any internet enabled device. This makes access to the solution more flexible in terms of devices and external access for both the users logging and IM/ICT staff who may need to access the register remotely particularly out of hours.

This links to the vision of the ICT strategy to make things Simpler, Smarter and Engaging.

Simpler

• A user friendly and accessible IAR• Drill down dashboard with full reporting module

Smarter

• Allows the organisation to better exploit the information it holds• Senior management team have full view of information asset/flow risk• Risk assessment of each individual data flow and asset• Assists with service redesign and the organisation’s information strategy• Will aid with Information Sharing as it can be determined which data can be shared with which

organisation and what controls need to be in place• Aligned with the GDPR requirements regarding the processing of data, security of data, Data

Protection Impact Assessments, the Data Protection Officer and authorisation for flows ofdata.

Apira Information Asset Manager

Costs are based on blocks of assets: • 10 assets,• 100 assets and;• 500 asset blocks.The 500 asset block would be the most appropriate for WYFRS and has unlimited users Additional blocks can be purchased if required.

£ 2,000.00

TOTAL Per Year - Year 1 (Revenue) £ 2,000.00 Total Per Year - Year 2+ (Revenue) £ 2,000.00

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Engaging

• Engages users and managers in ‘owning’ use of personal information

4 Items for approval – ICT Service Level Agreement and Department Restructure

4.1 The outline business case for the introduction of ITIL service management was approved by F&R in October 2016. Following this, approval was given in January 2017 to purchase an ITIL approved service desk management system. This system will enable us to monitor, track and report on performance against the SLA and demonstrate the effectiveness of the service provided. The draft SLA was approved by Management Board, subject to its affordability, following a survey to establish what the departments wanted from ICT. The SLA is included with this report for Committee approval.

4.2 In order to deliver the SLA and provide a more resilient team able to deliver business as usual, project work and the SLA, the ICT department needs to be restructured. The proposed new structure has been built based on ITIL standards and with each job description incorporating the ITIL role requirements and the associated level of ITIL certification.

4.3 The structure sees the IT and Data Teams combined which will provide greater ICT operational efficiency, see a reduction in duplication of effort and ensure that the business gets the best solution to their requests / issues. The introduction of the service desk will provide the single point of contact for all IT / data issues and requests and the service desk will be supported by the more technical 2nd and 3rd line support tiers. This will ensure that we are maximising the skills of our staff, focusing them on areas requiring their specialist skills. It also provides greater resilience with crossover of skills to minimise the impact of staff absence.

4.4 The new structure was approved by HR committee on 31st March 2017 subject to F&R committee approving the cost implications.

4.5 The current cost of staffing within the department is £1,292,138 (including on costs and standby payments) for 34 establishment posts and 1 non-establishment post. The cost of staffing under the proposed structure would be £1,309,630 for 35 establishment posts.

All costs are based and compared on all employees working full time and at the top of their grade. Anyone moving into a new role will start at the bottom of the grade and some employees work part time hours meaning the full increase in cost of £17,492 is unlikely to be reached.

5 Estimated Costs 5.1

Apira Information Asset Manager

Costs are based on blocks of assets: • 10 assets,• 100 assets and;• 500 asset blocks.The 500 asset block would be the most appropriate for WYFRS and has unlimited users Additional blocks can be purchased if required.

£ 2,000.00

TOTAL Per Year - Year 1 (Revenue) £ 2,000.00 Total Per Year - Year 2+ (Revenue) £ 2,000.00

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5.2 ICT department restructure costs

Total Salary Cost

Variance Establishment Non-establishment

Current £1,292,138 34 1

Proposed £1,309,630 £17,492 35 0


6.1 The tables in the previous paragraph identify additional revenue expenditure of £20,000 per year for the provision of the asset manager software and the restructure of the IT department. The 2017/2018 budget included an additional £173,000 to fund additional revenue expenditure arising from the implementation of the IT strategy. These costs will therefore be met from within this additional budget provision.


7.1 A full equality impact assessment for the ICT restructure has been completed with the support of the Corporate Diversity Team and is a living document that will utilised throughout the process. All policies and procedures will be adhered to and the process is being fully supported by the HR department.


8.1 There are no direct health and safety implications arising from this report.

9 Organisational Dependencies

9.1 There is a potential for existing projects to be impacted by the restructure with staff changing roles, leaving and new staff joining. However the timeline set out should help to minimise this impact. Once in place the new structure will enable ICT to support projects more effectively.


10.1 Provide effective and ethical governance and provide value for money.

Provide a skilled workforce that serves the needs of a diverse community

11 Conclusions

11.1 The implementation of the information management strategy and framework will enable effective and compliant management of our information and provide a clear action plan of the areas where improvement is needed. The asset management software will provide us with a clear understanding of the information we collect, hold and share.

It is therefore recommended that:

• Committee approve the information management strategy and framework• Committee approve the purchase of Apira Information Asset Manger

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11.2 The SLA has been developed based on the requirements of all the departments and approved at Management Board. It will provide a clear understanding of what the departments can expect from ICT and will enable performance management against the agreed service levels.

The introduction of the new structure will provide a proactive service that is better aligned to the requirements of the Authority and will enable the delivery of the service level agreement and project work. The proposed structure enables the full SLA to be delivered with the total cost not realised until all staff reach the top of their grade. HR Committee approved the change to the structure on 31st March 2017.

It is therefore recommended that:

• Committee approve the service level agreement• Committee approve the financial aspects of the ICT department restructure

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Information Management Policy Framework

OFFICIAL Ownership: Corporate Services Date Issued: [Issue Date] Version: 0.1 Status: Draft

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OFFICIAL

Issue Date: [Issue Date] File ID: [File Id]

07 - ICT Strategy annex 1 Framework - F and R 21.04.17 (Draft)

Page 1 of 14 OFFICIAL

Revision and Signoff Sheet

Change Record

Date Author Version Comments

24/01/2017 Allan Darby 0.1 First Draft

Reviewers

Name Version Approved Position Organisation Date

24/01/2017

Distribution

Name Position Organisation

Document Properties

Item Details

Document Title 07 - ICT Strategy annex 1 Framework - F and R 21.04.17

Author Allan Darby

Creation Date 24 January 2017

Last Updated 11 April 2017

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OFFICIAL




Contents 1 Introduction .......................................................................................................................... 3

1.1 Purpose.................................................................................................................................. 3

1.2 Audience ................................................................................................................................ 3

1.3 Scope ..................................................................................................................................... 3

2 Background .......................................................................................................................... 3

2.1 What is the Information Management Policy Framework? ...................................................... 3

2.2 What is Information? .............................................................................................................. 3

2.2.1 What is data? ......................................................................................................................... 3

2.2.2 What is an information asset? ................................................................................................ 3

2.2.3 What is knowledge? ............................................................................................................... 3

2.2.4 What is information management? ......................................................................................... 4

2.2.5 Other terms ............................................................................................................................ 4

2.3 Why was the Information Management Policy Framework developed? .................................. 4

2.4 How can the Information Management Policy Framework be used? ...................................... 6

2.5 How is the Information Management Policy Framework structured? ...................................... 6

2.6 WYFRS Information Management Policy Framework ............................................................. 7

3 Information Management Policy Framework Domain Definitions .................................... 8

3.1 Information Governance ......................................................................................................... 8

3.2 Knowledge Management ........................................................................................................ 9

3.3 Information Asset Management .............................................................................................. 9

3.4 Information Asset Access and Use Management ................................................................. 10

3.5 Record-keeping .................................................................................................................... 11

3.6 Data Management ................................................................................................................ 12

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OFFICIAL




1 Introduction

1.1 Purpose The Information Management Policy Framework (IMPF) identifies and defines the various areas (domains) which contribute to effective information management, and serves as an organising framework for ensuring appropriate policy coverage and avoiding overlaps which may occur without such a framework.

1.2 Audience This document is primarily intended for:

• Individuals with information governance responsibilities• Information Asset Owners• Information management staff.

1.3 Scope This document will be of value to all departments.

2 Background

2.1 What is the Information Management Policy Framework? The Information Management Policy Framework is an organising framework for ensuring appropriate information management policy coverage and avoiding overlaps which may occur without such a framework.

2.2 What is information? For the purpose of the WYFRS Enterprise Architecture, information includes data, information assets and knowledge. The terms data, information assets and knowledge are only used when specific reference is required.

2.2.1 What is data? The representation of facts, concepts or instructions in a formalised (consistent and agreed) manner suitable for communication, interpretation or processing by human or automatic means. Typically comprised of numbers, words or images. The format and presentation of data may vary with the context in which it is used. Data is not information until it is utilised in a particular context for a particular purpose.

2.2.2 What is an information asset? An information asset is an identifiable collection of data stored in any manner and recognised as having value for the purpose of enabling the service to perform its business functions, thereby satisfying a recognised business requirement.

The Information Asset Management Policy contains additional guidance as to the information assets.

2.2.3 What is knowledge? A body of understanding that is constructed by analysis of information. Knowledge is often embedded within people and increased through interaction with other people and

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information.

Knowledge has many facets:

• It can be highly personal and may be consciously or subconsciously understood.Knowledge resides in a person’s mind and may include aspects of culture or ‘ways ofdoing things’ (often referred to as tacit knowledge).

• It can be recorded as information in a document, image, film clip or some othermedium.

• It can be considered as a component of an organisation’s asset base.Every organisation will have knowledge based on its accumulated business experience, as well as the individual experiences of every person with whom it is associated. Capturing and exploiting knowledge remains a significant area of challenge for organisations.

2.2.4 What is information management? Simply put, information management is the term used to describe all activities concerned with the use of information in all its forms.

More formally, information management is defined as the means by which an organisation plans, identifies, creates, receives, collects, organises, governs, secures, uses, controls, disseminates, exchanges, maintains, preserves and disposes of its information; as well as any means through which the organisation ensures that the value of that information is identified and exploited to its fullest extent.

The primary aim of information management is to ensure that the right information is available to the right person, in the right format and medium, at the right time.

2.2.5 Other terms

What are records? Records are information objects that document business activities and transactions. To be regarded as evidence a record must be complete. Complete records comprise contextual and structural data as well as content data.

Contextual data is information about the creation and use of the data. The context refers to the business function and activity in the course of which the record is created. Contextual data is concerned with the who, what, where, when and how of the creation and management of the information object. Contextual data may be intrinsic or extrinsic to the information object.

Structural data includes formal internal structures of the information object and the structural relations between records in an electronic record that are used by the interaction of software and hardware to constitute the equivalent of the physical record in the paper environment. Structural data may be intrinsic or extrinsic to the information object.

Content data is the information contained within the information object. The content is intrinsic to the information object and is what the record is about.

2.3 Why was the Information Management Policy Framework developed? A key driver for the development of the Information Management Strategy and this Information Management Policy Framework has been the Information Strategy Review Project which was commissioned to scope, develop and deliver an ICT Strategy by undertaking a review of current information usage and make recommendations for change.

The Information Strategy Review Project identified several ways in which technology can

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assist us in being able to work smarter and simpler and enable us to engage more effectively with our staff, community and partners. As a result, the Information Management Strategic Framework (see Figure 1) was developed which recognised that in order to achieve the required maturity of practice in information management, the overarching Information principles and Information policy needed to be supplemented by more specific and detailed policies, Information Standards and supporting materials covering the various aspects of information management.

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Figure 1: WYFRS Information Management Strategy

This Information Management Policy Framework fulfils this need as it identifies and defines the various areas which contribute to effective information management, and serves as an organising framework for ensuring appropriate policy coverage and avoiding overlaps which may occur without such a framework.

There is already a large body of information standards, policies and supporting materials. The various supporting action plans (see Figure 1) identify further policies, standards, guidelines and tools which will cover important gaps in departmental and authority-wide practice, and help improve maturity and consistency of practice across the service.

2.4 How can the Information Management Policy Framework be used?

The Information Management Policy Framework will:

• provide a basis at both department and authority-wide level to identify and prioritiserequirements for additional IM standards, policies and tools by mapping current policyeffort and identifying gaps or duplications

• inform the development of authority-wide information maturity models within each Level1 domain

• organise authority-wide information management policy, information standards,guidelines and tools by domain, making requirements in specific areas clearer andrelated assistance more accessible

• form a basis for a consistent information management vocabulary across WYFRS.

2.5 How is the Information Management Policy Framework structured? The framework represents information management policy domains at two levels of detail. Level 1 domains, are the high level domains and are as follows:

• Information Governance – focus on overall policy, governance, architecture anddirection for information and information management

• Information Asset Management – focus on full lifecycle management of informationas an asset and classifying and cataloguing it so it can be found and used

• Information Asset Use and Access Management – focus on sharing, licensing anduse of information so information is easy to find and able to be exploited as widely aspossible

• Record-keeping – focus on ensuring legislative and regulatory requirements are metin the handling of our information

• Knowledge Management – focus on extracting extra value from our information,including analysis and reporting

• Data Management – focus on the management, and maintenance of the data thatunderlies our information

• Information Security – focus on confidentiality, integrity and availability of informationin line with ISO 27001 and other relevant standards.

Each Level 1 domain contains a number of lower Level 2 domains which define the elements of that (Level 1) domain in more detail where required.

All domains are fully defined in section 4 Information Management Policy Framework Domain Definitions.

Each area of the policy framework will be supported by specific authority-wide policy,

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information standards, guidelines and other tools.

It should also be noted that all parts of the policy framework operate together. For example, the ability to truly obtain value from knowledge management, is dependent on sound data management, Information Asset Management, Information Asset Use and Access Management, and so on. The division into domains is not intended to give the impression that the areas can be dealt with entirely independently.

2.6 WYFRS Information Management Policy Framework

Intellectual Property

Copyright

Search and Discovery

Exchange

Publishing

Access and Accessibility

Licensing and Rights

Management

Pricing

Privacy

Registration

Information AssetClassification

Metadata

Information Custodionship

Business Intelligence Analytics Knowledge

Transfer

Data Mining Data Warehousing Reporting

Meta-knowledge

Data ModellingData Quality and

Integrity Data Capture

Data Integration

Redress Mechanisms

Data Cleansing

Data De-Duplication

Data Migration

Record Management Archiving Conservation and Preservation

Record Creation and Capture

Collection Management

Retrieval and Access

Retention and Disposal

Digital Continuity

Information and IM Strategy and Planning

Information and IM Policy, Principles and

Architecture

IM Workforce Management

Information and IM Quality Managment

Information Governance

Processes

Policy, Planning and Governance

Asset Management

Human Resources Management

Physical and Environmental Management

Communications and Operations

Management

Access Management

System Acquisition, Development and

Management

Incident Management

Business Continuity Management

Compliance Managemet

Information Governance

Knowledge ManagementInformation

Security

Information Asset

Management

Information Asset Access and Use Management

Record-keeping

Data Management

Data Conversion and Transformation

WYFRS Information Management Policy FrameworkInformation Management = Management of Data, Information Assets and Knowledge

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Figure 2: WYFRS Information Management Policy Framework

3 Information Management Policy Framework Domain Definitions

3.1 Information Governance Information Governance is the system by which the current and future use of information and its management is directed and controlled.

Domain Definition

Information and Information Management Strategy and Planning

Information and Information Management Strategy defines the future strategic direction for the utilisation and management of information as a valued core strategic asset. Information and Information Management Planning is concerned with ensuring that information and its management aligns with Strategy and conforms to legislative and policy requirements.

Information and Information Management Policy, Principles and Architecture

Information and Information Management Policy, Principles and Architecture provide direction and guidance with respect to information and information management activities, ensuring alignment with business requirements.

Information Management Workforce Management

Information Management Workforce Management is concerned with the planning and maintaining of the information management workforce to meet organisational needs.

Information and Information Management Risk Management

Information and Information Management Risk Management adapts the generic process of risk management (i.e. controls such as policies, procedures and practices to mitigate the effects of risk to an acceptable level) to information and information management.

Information and Information Management Quality Management

Information and Information Management Quality Management adapts the generic activities of data quality management (i.e. coordinated activities that direct and control) to information and information management.

Information Governance Processes

Information Governance Processes are the specific processes that deliver information governance including the assigning of information governance roles and responsibilities.

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3.2 Knowledge Management Knowledge Management is concerned with improving organisational outcomes and learning, through maximising the use of knowledge and capturing and applying learning.

Domain Definition

Business Intelligence Business Intelligence is concerned with supporting better decision making by analysing internal and external information.

Data Mining Data Mining is concerned with retrieving hidden patterns and relationship from data.

Analytics Analytics is concerned with the application of rigorous statistical tools and techniques to the authority’s information in order to improve decision making.

Data Warehousing Data Warehousing is concerned with collecting and storing data to support decision-making.

Knowledge Transfer Knowledge Transfer is concerned with how tacit knowledge (i.e. knowledge that resides within a person’s mind) is transmitted among people.

Reporting Reporting in this context is concerned with large scale report generation from data warehouses.

Meta-knowledge Meta-knowledge is knowledge about knowledge.

3.3 Information Asset Management

Information Asset Management is concerned with valuing and managing information assets with the same rigour as that applied to other strategic assets.

Domain Definition

Registration Registration is the recording of an information asset in a repository for information management purposes for example, an Information Asset Register.

Information Asset Classification

Systematic arrangement of information assets into groups or categories according to established criteria. Examples of established criteria for arranging information assets include among others the Keyword AAA, WYFRS File Plan and the WYFRS Information Security Classification Framework.

Metadata Metadata is data about a particular information asset. Specifically, metadata is the contextual information about an information asset. A library catalogue record for a specific book is an example of a set of metadata (e.g. author, title, date, subject, location) that describe the information asset (the book).

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Domain Definition

Information Asset Ownership

Information Asset Ownership is concerned with the assigning of responsibilities to an individual or a group (the Information Asset Owner) for an information asset, who ensures that the information asset is appropriately identified and managed throughout its lifecycle and is accessible to appropriate stakeholders.

3.4 Information Asset Access and Use Management Information Asset Access and Use Management is concerned with how information is to be accessed, exchanged and used, by whom and on what terms.

Domain Definition

Access and Accessibility Access and Accessibility is concerned with both:

• how access to government information is maximised for useand reuse

• ensuring that all reasonable steps are taken to minimisesocial, economic and geographic disadvantage toaccessing information.

Licensing and Rights Management

Licensing is concerned with determining and managing the rights of use of government information to be granted under a licence. An example is the Open Government Licensing Framework which provides a single, consistent method for specifying how official information may be used lawfully. For the purpose of this framework, licensing includes rights management.

Pricing Pricing is concerned with the transparent and consistent pricing of government information.

Privacy In the context of information management policy, Privacy is concerned with how personal information is collected and handled by a public authority. This extends to an individual’s right to privacy and to access and amend their personal information.

Intellectual Property Intellectual Property covers the various legal rights to protect the result of original and creative effort.

Copyright Copyright is the most common form of intellectual property owned or used by WYFRS. Copyright protects original expression of ideas.

Search and Discovery Search and Discovery is concerned with the processes through which one searches, identifies and retrieves government information.

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Domain Definition

Exchange Exchange is concerned with the multi-directional sharing or exchanging of information between fire and rescue services and with other appropriate organisations.

Publishing Publishing is concerned with assembling information, into a desired format and disseminating it to a wide target audience, generally the public. Examples of the output of publishing include the WYFRS website or a Government Data Observatory.

3.5 Record-keeping The act of making and keeping evidence and memory of authority business in the form of recorded information.

Domain Definition

Record Management The efficient and systematic control and maintenance of records, including the maintenance of their integrity and authenticity.

Record Creation and Capture

The act of bringing into existence and/or accumulating evidence of business activities, i.e. records, and undertaking a deliberative action which results in the registration of the record into a record-keeping system

Collection Management In the context of this framework, collection management is concerned with managing a collection of information throughout its lifecycle. Examples of collections include:

• collections that are permanent in nature (e.g. archives)• libraries• museums.

Archiving Archiving is the process of transferring inactive records from current storage areas to a repository for long-term storage, preservation and access.

Retrieval and Access Retrieval and access of records is concerned with ensuring there are appropriate means of finding, retrieving, using and making sense of the records.

Retention and Disposal Retention and Disposal is concerned with defining the temporary or permanent status, retention periods, disposal triggers, and consequent disposal actions authorised for classes of records.

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Domain Definition

Conservation and Preservation

Conservation embraces those processes or actions necessary to ensure the continued survival of collections without further degradation. Preservation is a conservation activity involving processes and operations for both physical and electronic material that prevent loss of information and minimise any deterioration over time.

Digital Continuity The planning and processes for ensuring digital records remain accessible despite the obsolescence of hardware and software formats and media.

3.6 Data Management Data Management is concerned with valuing and managing data as a strategic asset of WYFRS with the same rigour as that applied to other strategic assets.

Domain Definition

Data Modelling Data Modelling is a method used to define and analyse the data requirements needed to support WYFRS processes and service delivery.

Data Integration Data Integration is the process of combining data residing at different sources and providing the user with a unified view.

Redress Mechanisms Redress Mechanisms provide transparent complaints and appeals processes in order to ensure data is maintained and of high quality. An example of a redress mechanism is the provision of a means for amending one’s personal information held by WYFRS.

Data Quality and Integrity Data Quality and Integrity is concerned with ensuring methodical data collection and practices to enhance quality, and integrity with respect to accuracy and completeness.

Data Cleansing Data Cleansing is concerned with detecting and correcting or removing corrupt or inaccurate data.

Data De-duplication Data De-duplication is concerned with the elimination of redundant data to reduce required storage capacity and establish a source of truth.

Data Capture Data Capture is concerned with the collection, possible manipulation and/or interpretation and storage of data. Data Capture may be automated. Effective data capture can improve quality, coverage and reliability of data.

Data Migration Data Migration is concerned with transferring data between either storage types, formats or computer systems.

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Domain Definition

Data Conversion and Transformation

Data Conversion is the process of converting data from one format to another. Data Transformation converts data from a source data format into destination data.

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39

Information Management Strategy

OFFICIAL Ownership: Corporate Services Date Issued: [Issue Date] Version: 0.2 Status: Draft

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Issue Date: [Issue Date] File ID: CS-STR007

07 - ICT Strategy Annex 2 - F and R 21.04.17 (Draft)



Change Record


24/01/2017 Allan Darby 0.1 First Draft

16/03/2017 Allan Darby 0.2 Amendments to structure and content

Reviewers


Distribution


Document Properties

Item Details

Document Title 07 - ICT Strategy Annex 2 - F and R 21.04.17

Author Allan Darby

Creation Date 24 January 2017

Last Updated 11 April 2017

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Contents The vision.... ........................................................................................................................................... 3

What is information management? ....................................................................................................... 4

Why is information management important? ....................................................................................... 4

The case for change ............................................................................................................................... 4

The challenges ....................................................................................................................................... 5

Our goals …………………………………………………………………………………………………………..6

How will we achieve this? ...................................................................................................................... 6

The WYFRS Information Principles ....................................................................................................... 8

The Information Governance Strategy and Policy ............................................................................... 8

The Information Management Policy Framework ................................................................................ 8

The Information Management Action Plan ........................................................................................... 9

Making it happen .................................................................................................................................... 9

How will we measure success? .......................................................................................................... 10

Who can I contact? .............................................................................................................................. 10

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The vision

West Yorkshire Fire and Rescue Service’s (WYFRS) vision is to be a trusted leader in the use and management of information, fully exploiting its value as a strategic asset, to deliver better governance and improved service delivery to the community by ensuring:

“Information is:

COLLECTED ONCE; managed digitally in an

OPEN AND SECURE environment;

ACCESSIBLE; and

USED TO ITS FULLEST POTENTIAL.”

This Information Management (IM) Strategy aims to provide a framework around managing our information throughout its lifecycle and to give a focus which, before now, has been missing. It aligns with the ICT Strategy Vision of:

“We will make the most of technology to make things simpler, smarter and engaging”

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What is information management? Formally, information management is defined as the means by which an organisation plans, identifies, creates, receives, collects, organises, governs, secures, uses, controls, disseminates, exchanges, maintains, preserves and disposes of its information; as well as any means through which the organisation ensures that the value of that information is identified and exploited to its fullest extent.

Simply put, information management is the term used to describe all activities concerned with the use and management of information in all its forms.

The primary aim of information management is to ensure that the right information is available to the right person, in the right format and medium, at the right time.

Why is information management important? 1. Providing an easy to use Information Management Strategy and tools to help staff understand,

manage and use information links into the corporate priority to ‘Provide effective and ethicalgovernance and achieve value for money’.

2. To help achieve the vision it is essential that we provide an information management strategy andtools to help our staff manage and use WYFRS’s information assets effectively.

3. Information is at the very heart of the Authority’s operations. Most service delivery activities, andall decision-making and planning activities are founded on information.

4. Ensuring the quality, reliability, and integrity of the Authority’s information is therefore paramountto ensuring good decision-making, and the delivery of effective, efficient and well-targetedservices.

5. Likewise, effective information management underpins the public’s right to information, acornerstone of an open, accountable and participatory authority.

6. A better informed community is also empowered to participate in the design and delivery ofservices, unlocking the value of Authority information.

7. The Authority, therefore, recognises that information stands as a key asset, along with people,finances and infrastructure.

8. As a key asset, information must, therefore, be proactively managed in order to maintain its value,and ensure the maximum value is derived from its use.

9. Information assets are contained in many forms including data, documents and records, and in theknowledge, experience and judgment of people.

10. This strategy seeks to establish the vision for information and identify actions to continue theAuthority’s journey to realise that vision.

The case for change

A key driver for the development of this Information Management Strategy has been the Information Strategy Review Project which was commissioned to scope, develop and deliver an ICT Strategy by undertaking a review of current information usage and make recommendations for change.

The Information Strategy Review Project identified several ways in which technology can assist us in being able to work smarter and simpler and enable us to engage more effectively with our staff, community and partners.

We will maximise the use of electronic ways of working, simplify systems and provide a consistent user experience reducing repetition and exploiting the value of the information we hold within a secure and resilient infrastructure. The benefits from doing this include:

• Providing information through a variety of communication channels including social media.• Providing more ways for our community to communicate with us.• Using the information collected within our diverse community to enhance the services we provide.

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• Providing value for money.• Using technology to ensure we are transparent and accountable to the community we serve.• Enabling us to use our resources more effectively in our communities that are at greater risk.• The strategy will benefit our staff by:

o Making our systems easier to use.o Ensuring information is readily available to enable them to do their job when and where it is

needed.o Reducing administration time by enabling the electronic collection of information at source.o Using technology to automate time-consuming manual processes.o Providing mechanisms to exchange information electronically and securely.

It is important to recognise that there can be substantial economic benefits from better information management and better access to and use of information. Additionally, improved information management practices can improve the quality of business decision making, particularly where decisions are best based on evidence, and this in turn can lead to savings in service delivery.

In 2008 an Information Governance framework was introduced to put the policies and guidance in place to meet our compliance requirements and to ensure information security was managed to internationally recognised standards. The Information Security Management System (ISMS) was established as part of this framework following the ISO 27001 standard and integrates with the Protective Security framework that also covers personnel and physical security.

The next stage is to create and implement a strategy which will identify the tools needed to ensure our information is captured and managed effectively throughout its lifecycle.

This Information Management Strategy addresses and fulfils these requirements, delivering for the first time a comprehensive policy framework outlining all elements of information and information management and capitalising on a range of existing efforts to progress WYFRS’s implementation of information management.

The challenges

In seeking to achieve the vision, there are many information related challenges facing the service.

They include how to:

• support the public’s right to access, use and re-use WYFRS information• raise the profile of information management and improve our information management

capability• enable an open, accountable and participatory public authority• meet the expectations of a more ‘online’ community• support more efficient business practices• support improved emergency response preparedness• respond to increasing expectations for information sharing and interoperability across partner

agencies• manage the growth in information created and used by departments, driven by new

technologies• manage unstructured information (e.g. emails, documents)• maximise opportunities for generating economic value from Authority information• comply with increasing legislative and regulatory requirements.

These challenges will be addressed by defining key goals and developing and implementing action plans to achieve these goals.

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Our goals A clear governance, authorising and accountability environment for information

• Information governance arrangements are in place.• Responsibilities for managing information assets throughout their lifecycle are assigned.• Information management is planned annually and links to WYFRS and government plans.• Meet our information management legal, regulatory and ethical responsibilities.

Improved information management capability and practice

• Proactively improve the information management skills of staff.• Have proven best practices in place.• Design information systems to collect and retrieve the information we need for our work.• Reduce duplication and rework through better core business processes that embed good

information management practice.

Improve access to and use of our information

• Ensure the right information is available, to the right person, at the right time, in the rightformat, at the right place, enabling open and accountable governance, a better informedcommunity, and improved business decisions.

• All information has a single point of truth.• Make it easier to find information.

Treat information as a valued asset

• WYFRS information needs are defined.• Maximise social and fiscal returns on information asset investment through improved data,

information and knowledge sharing and management.• Be able to readily exchange information across the service and externally when appropriate.• Facilitate additional value creation through the provision of re-use opportunities.

How will we achieve this?

The WYFRS Information Management Strategy will help achieve these goals. It is designed to ensure that in all aspects of our work we apply the fundamental principles, quality assurance, and lifecycle management policies inherent in good information management.

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Figure 1: WYFRS Information Management Strategy

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The Information Management Strategy has four key elements – Information Principles, Information Governance Strategy and Policy, the Information Management Policy Framework and action plans.

The WYFRS Information Principles and Information Governance Strategy and Policy are at the heart of the framework, and these are supported by action plans which will drive the ongoing improvement of the Authority’s information management capabilities.

The Information Management Action Plan is derived from this strategy, whilst the other action plans will be developed and published separately.

The WYFRS Information Principles The following principles establish WYFRS’s values and approach to information, its use, and its management.

The principles are:

Transparent The public has a right to information.

Trustworthy Information is accurate, relevant, timely, available and secure.

Private Personal information is protected in accordance with the law.

Equitable Information is accessible to all.

Valued Information is a core strategic asset.

Managed Information is actively planned, managed and compliant.

By ensuring these principles are considered when developing policies, processes or services that deal with information, our vision for information can be realised.

More information on each principle and their use is available from the Information Principles document.

The Information Governance Strategy and Policy The Information Governance Strategy and Policy establishes the overarching requirements of departments and the Authority as a whole. It states:

“Information is a vital asset, in terms of both the management of individual customers and the efficient management of services and resources. It plays a key part in corporate governance, service planning and performance management.

It is therefore of paramount importance that information is efficiently managed, and that appropriate policies, procedures and management accountability provide a robust governance framework for information management.”

The Information Management Policy Framework

To achieve the required maturity of practice in information management, the overarching WYFRS Information Principles and Information Governance Strategy and Policy need to be supplemented by

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http://wyfirespace/projects/ISP/Information%20Management/Papers/IM%20Principles.docx

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more specific and detailed policies, information standards and supporting materials covering the various aspects of information management.

The WYFRS Information Management Policy Framework identifies and defines the various areas which contribute to effective information management, and serves as an organising framework for ensuring appropriate policy coverage.

The key areas of the Information Management Policy Framework are outlined below.

• Information governance – focus on overall policy, governance, architecture and direction forinformation and information management.

• Information asset management – focus on full lifecycle management of information as anasset and classifying and cataloguing it so it can be found and used.

• Information asset access and use management – focus on sharing, licensing and use ofinformation so information is easy to find and able to be exploited as widely as possible.

• Record-keeping – focus on ensuring legislative and regulatory requirements are met in thehandling of our information.

• Knowledge management – focus on extracting extra value from our information, includinganalysis and reporting.

• Data management – focus on the management, and maintenance of the data that underliesour information.

• Information security – focus on confidentiality, integrity and availability of information in linewith ISO 27001 and other relevant standards.

Each area has defined sub-areas, and full definitions are available from the Information Management Policy Framework and Information Security Policy framework, published on the intranet.

Each area of the policy framework is supported by specific policy, information standards, guidelines and other tools which define the requirements of departments.

There is already a large body of information standards, policies and supporting materials. The various supporting action plans identify further policies, standards, guidelines and tools which will cover important gaps in department and authority-wide practice, and help improve maturity and consistency of practice across the sector.

The Information Management Action Plan This plan contains the actions that seek to achieve the four key goals of this strategic framework:

1. A clear governance, authorising and accountability environment for information2. Improved information management capability and practice3. Improve access to and use of our information4. Treat information as a valued asset

Making it happen

The Information Governance and Security Group has responsibility for the implementation of this action plan and will work with key departments to ensure these actions are completed. The Information Governance and Security Group will continually review and update the Information management strategic framework and the supporting action plans, as well as managing and maintaining the supporting policies and tools. It will also continue an active role in promoting information management awareness across the Authority.

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How will we measure success? 1. Measuring success is critical to ensuring that the Information Management Strategy translates into

results.2. An annual assessment of WYFRS’s information management maturity will be undertaken using

proven maturity models.3. The results of these assessments will be used to guide revision of this strategy, the policy

framework and its actions as the Authority continually works towards its goals.

Who can I contact? For further information please contact the Information Management Officer.

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ICT Customer Charter ICT Service Level Agreement (SLA)

OFFICIAL Ownership: ICT Department Date Issued: Version: 1.4 Status: FINAL

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Issue Date: File ID: ICT CC v 1.4

ICT Customer Charter Page 1 of 16 OFFICIAL


Change Record


03/11/16 Richard Lian 1.0 DRAFT

21/11/16 Richard Lian 1.1 Following review by GS/DS/AS/SR

06/12/16 Richard Lian 1.2 Following Management Team review

06/03/17 Richard Lian 1.3 Following ICT Dept staff comments

12/03/17 Richard Lian 1.4 Changes following Management Board Approval

Reviewers


ICT Management / DSS

1.4

Management Board

1.4 10/03/17

Distribution


Management Team/Board

All WYFRS Staff

Document Properties

Item Details

Document Title ICT Customer Charter

Author Richard Lian

Creation Date 06 March 2017

Last Updated 12/03/2017

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Contents

1. Introduction ............................................................................................................................ 32. Service Objective 2016-2019 ................................................................................................. 33. Assumptions .......................................................................................................................... 34. Customer Experience ............................................................................................................. 45. Contact Details ....................................................................................................................... 66. Service Availability ................................................................................................................. 77. Response and Resolution ...................................................................................................... 88. Priority Functions List ............................................................................................................. 99. Service Communications ...................................................................................................... 1110. ICT Equipment, Software and Services ................................................................................ 1111. Systems Availability ............................................................................................................. 1212. Escalation ............................................................................................................................ 1313. Compliments/Complaints ..................................................................................................... 141.1 Appendix A – Service Catalogue .......................................................................................... 151.2 Appendix B – Key Performance Indicators ........................................................................... 161.3 Appendix C – Definitions ...................................................................................................... 17

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1. IntroductionThe founding aim of this SLA is to ensure that the ICT Department is a central point of contact for the processing and resolution of all incidents and requests relating to ICT equipment and services across WYFRS. The following agreement has been established to ensure that a high quality, prioritised ICT Service can be delivered. It will ensure that all ICT issues and requests can be dealt with in a timely and organised manner.

2. Service Objective 2016-2019We will make the most of ICT Services and Technology to make things Simpler, Smarter and Engaging. Information Technology Infrastructure Library (ITIL) is a core part of this to ensure best in class IT Service Management and Delivery. We will achieve this through:

Understanding what WYFRS business and staff needs are

Providing an ICT service with the right resources and skills to proactively support our organisation

Clear Service Level Agreements (SLAs) and processes in place so staff know what to expect

when contacting ICT

A single point of contact for all ICT queries, issues and requests

Staff able to track the progress of their query, issue or request in real-time

Published reports on Service Level Agreements (SLAs) and Key Performance Indicators (KPIs)

3. AssumptionsFor the avoidance of doubt it should be assumed that this is a working document and will therefore be reviewed regularly and published accordingly.

ICT Department Definition

For the purpose of this document, the ICT Department is currently defined as all functions that are listed within with ICT Department organisational unit.

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4. Customer ExperienceCustomers are defined as any WYFRS staff member or external partner that receives a service from the ICT Department.

Customer Experience is defined as the entirety of the interactions a customer has with the ICT department and its products/services. Understanding customer experience is an integral part of ICT customer relationship management. The overall experience reflects how the customer feels about the ICT department and its offerings.

What customers’ / service users can expect from the ICT Department

Service Standard

Giving information, advice and guidance

We will treat customers with respect, fairness, understanding and courtesy.

We will listen carefully and give clear explanations in a timely manner and in a professional, helpful and knowledgeable way.

We will meet an individual’s additional support needs where we have been informed of their requirements.

Where we are unable to offer further assistance, we will help our customers to find internal or external services that may be of use to them.

Communicating with customers

Individual members of ICT staff will take ownership of customer enquiries and endeavour to resolve them immediately, keeping the customer informed of the progress of their enquiry until it is completed.

Where possible, we will personalise correspondence and provide a named ICT representative for future contact.

ICT staff will answer all calls with a suitable message and tone.

Voicemail and automated e-mail services

Our voicemail greetings and automated e-mail messages will be up to date.

E-mail messages will include a corporate signature.

An ‘Out of Office’ e-mail message will be sent to customers if a member of staff is unable to access their e-mails due to absence.

Dealing with complaints

ICT staff members will pass a complaint to the relevant area as per the process in section 13 of this document. This will always be done in a timely manner.

The relevant manager will acknowledge and process complaints in a reasonable time frame.

Health and Safety

ICT staff will be aware of health and safety issues and responsibilities and report concerns in the appropriate way.

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What we expect from our customers’ / service users

That all customers will treat ICT Department colleagues with dignity and respect.

Customers to be aware that ICT staff carry out a number of roles and are not always available to

assist immediately.

Customers will work co-operatively and understand that ICT staff may have different demands and

priorities to manage and that they will share information which will enable ICT staff to provide

accurate information and advice to customers.

Customers will check that information required is not readily available on WYFirespace, the ICT

Knowledgebase or other source before contacting the ICT department.

Service Standard

Requesting information, advice and guidance

Customers will treat ICT Staff with respect, fairness, understanding and courtesy.

Customers should have the information we might need ready when they contact the ICT Department and give full and accurate information when requested.

Customers should ask the ICT Department to explain anything they are not sure of.

Customers should inform a member of staff of their individual needs as soon as possible to enable additional support to be provided where necessary.

Communicating with the ICT Department

Customers should communicate with the ICT Department in a timely and suitable manner.

Customers are encouraged to communicate with the ICT Department to share their ideas and feedback.

Dealing with complaints Complaints should be received as soon as possible following the event, action or issue causing dissatisfaction.

Health and Safety All customers should be aware of health and safety issues and responsibilities and report concerns in the appropriate way.

Surveys The ICT Department will carry out a number of surveys throughout the year and customers are encouraged to take part in these in order to help the ICT Department to identify areas where standards are not being met or which need further development in order to meet our customers’ needs with the resources available.

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5. Contact DetailsAll issues or requests should be directed via the ICT Service Desk. The ICT Service Desk can be contacted via any of the methods listed below:

Telephone: TBC

Email: TBC

ICT Service Portal: TBC

In Person: ICT/BA Building, FSHQ.

(Note that you should have already logged an issue or request before visiting the ICT office as access is governed on a priority basis).

Information Required

When an issue or request is raised, the following information is required to enable efficient and effective processing. Please be prepared to provide this when you raise an issue or request.

Your name and service number

Your contact number and email address

Your location

Your availability

Description of Incident or Request

Description of Equipment effected

FSID number of Equipment (if applicable)

Impact of Incident

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6. Service Availability

ICT Service Core Hours

08:00 – 18:00 Monday-Friday

Service Desk available from 07:30 until 20:00.

The ICT Service Desk will be available between the times listed above to deal with the items as described in the ICT Service Core Hours table in section 7. A voicemail service, email inbox, Service Desk portal and self-help resources are available outside of these hours.

ICT Service Non-Core Hours

All other times not listed under the ICT Service Core Hours.

Public Holidays.

A Non-Core Hours service will be available between the times listed above to deal with the items as described in the ICT Service Non-Core Hours table in section 7.

Weekend Service Non-Core Hours

08:30 – 16:30 Saturday and Sunday

A limited reasonable endeavours based service via the ICT Service Desk will be available between the times listed above. Support on each priority level will be provided where possible.

ICT Service Non-Core hours’ response and resolution as per the table in section 7 will apply.

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7. Response and ResolutionReasonable endeavours will be made to resolve issues and requests ASAP. Tickets will be prioritised in accordance with impact on operational and support activities as shown below:

ICT Service Core Hours

Priority Description Response Time

Resolution Time

Priority 1 (P1) Any system or service defined as P1 in the Priority Functions List

Immediate

(Must be reported by phone)

2 Working Hours

(Impact Assessed)


15 Minutes 16 Working Hours


15 Minutes 24 Working Hours

Service Requests (SR)

Request for Change (RFC)

3rd Party Maintained Systems/Services

Any request for advice, project support, purchasing or area not covered under P1-P3 in the Priority Functions List

4 Hours 10 Working Days

(Dependant on request)

ICT Service Non-Core Hours

Priority Description Response Time

Resolution Time

Priority 1a (P1a) Any system or service defined as P1a in the Priority Functions List

Immediate

(Must be reported by phone)

2 Working Hours

(Impact Assessed)

All other systems and services will be dealt with during core hours as per the ICT Service Core Hours table above.

The resolution time counter will begin/pause at the start/end of ICT Service Core Hours for anything other than Priority 1a. The Priority 1a resolution counter will remain through core and non-core ICT Service Hours.

Response Time: The maximum time a user will wait for a response from ICT once a ticket has been raised. This could be in the form of an email, phone call or face to face communication.

Resolution Time: The maximum time a user will wait for a resolution from ICT once a ticket has been progressed. A resolution could entail a workaround or temporary fix to enable the user to continue with the system or service whilst a permanent resolution is enacted. A ticket would then be re-prioritised accordingly.

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8. Priority Functions List

System or Service Priority

Core Servers and Storage Systems 1 1a Wired Network Infrastructure (LAN) 1 Wired Network Infrastructure (WAN) 1 1a Wireless Network Infrastructure (WIFI) 1 Access to network drives and storage 1 Remote Access Systems 1 1a Westyorksfire e-Mail System 1 1a SharePoint / WYFirespace 1 1a Systel, Control Systems and mobilising (Including MDT’s) 1 1a Radios Systems (Airwave, fire ground etc.) 1 1a Mobile phones - Operational (On-Call) 1 1a SAP – Urgent functions e.g. shift planning 1 Links to KMC financial systems 1


Desktop/Laptop support 2 Printers (Standalone and Network, Not MFD's) 2 Microsoft Packages / Microsoft Office Applications 2 Internet Access 2 User accounts / permissions 2 Radios - Individual Handsets (Airwave, fire ground etc.) 2 Mobile Phones 2 Landline telephone systems (Including Handsets) 2 Appliance CCTV 2 Prevention Database (CRM and Partnership Referrals) 2 IRS 2 BW Shift planning report for CST 2 Corporate Gazetteer / Location Finder 2 SAP (Non-urgent functions) 2 Opex Finance System 2 Tranman 2 Red Kite EMS 2 Safety event reporting system 2

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Additional Computer Peripherals – e.g. Scanners 3 Apple Mac support 3 Lync / Skype Internal 3 Support for Software Installations 3 Support for Development and testing environments 3 Hotline calls facility 3 SCIP 3 Text tools 3 Business Warehouse (General Reports) 3 Mosaic 3 Red Kite E Mocs 3 E learning 3 Bing mapping 3 Firemap 3

3rd Party System or Service This table shows any system or service that is provided by or supported by a 3rd party. The areas listed may appear in the tables above but have been duplicated to show which areas may have a delay attached to them due to 3rd party support agreements.

Priority

Sky guard N/A OPAS- Occupational health medical database N/A Group Texts to personnel to inform of 'Critical' matters (Via Control) N/A Systel, control Systems and mobilising N/A Links to KMC financial systems N/A Tranman N/A Opex Finance System N/A PAC Access System N/A Access to Station CCTV system N/A ANPR N/A Red Kit E Mocs N/A Internet Site (Redbullet) N/A Command Unit N/A PRD N/A Routefinder N/A MapInfo N/A Cadcorp N/A SAP N/A Incident Reporting N/A CRM N/A

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9. Service CommunicationsUpdates and information in regards to ICT Systems and Services will be published via a combination of the following means:

ICT Service Desk Portal

WYFireSpace Announcements

Westyorksfire email

Phone / In-Person

Via Operational and Corporate communication methods

10. ICT Equipment, Software and ServicesBefore placing any order for ICT equipment, software or services; you should first consult with your line manager and/or budget holder for approval, followed by the ICT Department via the ICT Service Desk. This will ensure that suitable compatible equipment, software or services can be purchased.

All software must be accompanied by a site license for use on the WYFRS network, otherwise the software will be installed on the number of machines that the license states. If the software does not have an accompanying licence, it will not be installed on WYFRS systems. Please be aware that not all software is compatible with our systems, so occasionally it may not be possible for your request to be carried out.

If any ICT equipment, software or service is purchased without prior consultation with the ICT Department; it will not be installed or commissioned for use on WYFRS systems.

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11. Systems AvailabilityAvailability, in the context of an ICT system, refers to the ability of a user to access information, services or resources. The areas listed in the table below show the availability targets which will be aspired to and measured.

Area/Service Description Availability Service Hours

WAN Connectivity Network links across West Yorkshire providing connectivity for all FRS sites, fire stations, HQ and SDC

99.99% 24/7

LAN Connectivity Network links within buildings/sites 99.99% Core Hours

Servers and Storage Platform Core servers and storage systems 99.99% 24/7

Corporate Email Westyorksfire.gov.uk Microsoft Exchange email 99.9% 24/7

WYFirespace Corporate SharePoint platform 99.99% 24/7

Remote Access Systems

Access to corporate network systems from home or non-WYFRS sites. 99.9% 24/7

For reference, the following table shows the anticipated down-time for different availabilities for a time of 12 months/one year.

90% 99% 99.9% 99.99% 99.999% 99.9999%

40 days 4 days 9 hours 50 minutes 5 minutes 30 seconds

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12. EscalationIn the event of a predicted failure of an SLA (or in exceptional circumstances that require direct escalation) the escalation process can be invoked by either the user concerned, the ICT Operations Manager or the relevant Team Leader/Manager.

Functional (Technical) Escalation

After logging the call, functional (technical) escalation will commence automatically if the Incident can’t be resolved at first line. The functional escalation process will move the incident through second line/third line support to the point of resolution and recovery. Resolution and recovery should be met within the SLAs as described in the response and resolution table within the service hours described. If this is not the case and the SLAs are breached, then hierarchical (management) escalation can be invoked alongside functional escalation.

Hierarchic (Management) Escalation

Hierarchic (management) escalation ensures correct profiling and visibility of the Incident is provided within Management Teams for both parties. Invoking hierarchic escalation can aid the speed of resolution and recovery by providing a route into business relationships, contracted expedite routes with sub-contractors and third parties and raising the profile of the incident in all areas.

The table below details the hierarchic escalation path.

Escalation Level

Escalation Break Point Position Contact Details

1 Potential SLA breach or cause for concern

Relevant Team Leader

2 SLA breach

+ 2 hours

ICT Operations Manager

3 SLA breach

+ 8 hours

ICT Service Delivery Manager

4 SLA breach

+ 24 hours

Director of Service Support

Steve Rhodes Director of Service Support / Assistant Chief Officer 01274 655703 [email protected]

First Line Second

LineThird Line

3rd Party Support Agreements

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13. Compliments/ComplaintsIf you would like to provide feedback on the ICT service, please submit this to the ICT Service Desk or directly to the ICT Operations Manager.

If at any time, you feel that your issue or request is not being progressed reasonably in accordance with the service level targets stated, please refer to the Hierarchic (Management) Escalation table in section 12.

If this process has failed and you wish to raise a complaint; please contact the ICT Operations Manger. If you feel that an adequate response has not been provided by the ICT Operations Manager; contact the ICT Service Delivery Manager. The final escalation point is the Director of Service Support.

Contact details are listed in section 12 under the Hierarchic (Management) Escalation table.

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1.1 Appendix A – Service Catalogue

Insert link / reference to document when complete

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1.2 Appendix B – Key Performance Indicators

Reported to the ICT Service Delivery Manager and Director of Service Support on a monthly basis (Service Period x12). Reports will also be reviewed by the ICT Governance Board every two months.

KPI No.

Description

1 Systems Availability – Report of Systems Availability as listed in Section 11

Purpose: To demonstrate the reliability of critical services.

2 Incidents Resolved – Report of incidents resolved in/out of SLA period

Purpose: To demonstrate SLA performance and trend delivery targets

3 Problems Resolved – Report of problems resolved during SLA period


4 Service Requests – Report of service requests opened/closed/escalated during SLA period.


5 RFC Completion – Report to show number of changes and successful/un-successful completion

Purpose: To ensure all recorded changes are monitored to completion.

6 3rd Party Contract Performance – Report to show performance of 3rd parties against contractual agreements.

Purpose: To monitor 3rd party performance and impact on ICT SLA.

7 Patch Management – Report detailing the updates needed, split by Server and User Access Device. Number of patches installed shown as a percentage against target timescales.

Purpose: To monitor patch management and assess vulnerability of desktop/server systems.

8 Antivirus and Security – Report detailing client/server AV status. Firewall and AV analysis showing any logged attempted intrusion/attack.

Purpose: To monitor AV and security management and assess vulnerability of desktop/server/network systems.

9 Customer Experience – Detail of any compliments/Complaints. Customer experience measure taken by regular survey such as net promotor score or average experience rating.

Purpose: To monitor level of customer service vs service targets. To ensure continual improvement of customer experience.

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1.3 Appendix C – Definitions

Term Definition

3rd Party Contractor/Supplier

A person or firm that undertakes a contract to provide materials or labour to perform a service or do a job.

Escalation A method of obtaining additional resources when needed to meet service targets or customer expectations. An escalation can be Functional; transferring an Incident to a team with a higher level of expertise or Hierarchical; informing or involving more senior levels of management to assist in an escalation.

Incident An unplanned interruption to service or a reduction in the quality of service.

Priority A category used to identify the relative importance based on the impact and urgency of the Incident

Problem The underlying cause of one or more Incidents

Service Request Request from a User for information or advice, a standard change or access to an ICT service as defined in an agreed service catalogue

RFC – Request for change

All changes that require Corporate System Owners approval or some kind of approval process as administered by ICT staff.

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Purpose To inform Members of how the COMAH (Control of Major Accident Hazards) Team has changed over the past 18 months and how the Team will manage COMAH sites in the future.

Recommendations That Members note the content of the report.

Summary With the introduction of the COMAH Regulations 2015, the COMAH Team has increased its establishment and, as a result, has been able to provide a better service to the COMAH operators in West Yorkshire. In addition, a new charging mechanism is being introduced with the aim to recover the costs of the COMAH Team.

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Update on COMAH arrangements Finance & Resources Committee Date: 21 April 2017 Agenda Item: 8Submitted By: Director of Service Delivery and Deputy Chief Fire Officer



Contact Officer: Station Manager Richard Gomersal T: 0113 3874384 E: [email protected]


Annexes: Peer Review of the COMAH Team

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1 Introduction

1.1 The COMAH Regulations 2015 state that every local authority, for an area where an upper tier COMAH establishment is located, must prepare a suitable emergency plan for dealing with the consequences of possible major accidents beyond the site. The Regulations also require a review and testing of the external emergency plan at a suitable interval but not exceeding three years.

1.2 In West Yorkshire there are 12 upper tier COMAH sites. An upper tier site is defined as an establishment having any dangerous substance at or above the qualifying quantity stated in Schedule 1 of COMAH Regulations 2015. The Regulations define dangerous substances using the Classification, Labelling and packaging Regulation 2008.

1.3 ‘Local authority’ can vary depending on the local government structure in Great Britain; the local authority will be a council or as in the case of West Yorkshire, the Fire Authority. The Fire Authority may charge a COMAH operator a fee for the preparation, review and testing of external emergency plans.

1.4 To undertake our duties and ensure compliance with COMAH Regulations, the COMAH Team has increased its establishment and a controlled charging mechanism has been introduced that will start from April 2017.

2 Information

2.1 Prior to the latest version of the COMAH Regulations, the COMAH Team consisted of 1 x Grade 6 Green Book employee who was supported by other departments. The Team is now made up of the following:

• 1 GM (10% of salary + on-costs)• 1 SM (25% of salary + on-costs)• 1 WM(a)• 1 Grade 6

The salaries and on-costs for the team will be recovered by charging the COMAH operators appropriately.

2.2 A new charging mechanism will be introduced from April 2017. The Finance Department has helped in developing a comprehensive recording system of every element of an exercise so an appropriate charge can be made for all exercises. The annual fee for the review and maintenance of external plans will increase and takes into account Treasury Guideline principles to recover full costs with the intention not to make a profit at the expense of the consumer nor make a loss for the taxpayers to subsidise. Due to the fluctuation in cost for each exercise, a review of the annual charge will take place to ensure compliance with Treasury Guidelines.

2.3 The Team has re-written the external emergency plan for all 12 COMAH sites that operate in West Yorkshire. A standard template is now being used that ensures consistency. External plans for the 2 utility companies whose pipelines go through West Yorkshire will be completed before the start of April 2017.

2.4 The 2 utility companies fall under the Pipeline Safety Regulations 1996 and the responsibilities for the preparation and testing of plans is the same as for upper tier COMAH sites.

2.5 Due to the influence of operational personnel now in the COMAH Team, operators have been helped with developing realistic exercises to test the external plan. We are now taking the opportunity to use COMAH exercises to train our own staff in realistic scenarios. (The cost of this additional resource at exercises is not charged to the operator.) It is planned that at least one COMAH exercise per year will be used as a District or Brigade exercise.

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2.6 It has been recognised that, due to the specialist nature of this work, the development of staff in the COMAH Team is important and appropriate external courses have been sourced. Staff are attending courses at the Emergency Planning College, York and at the Health & Safety Laboratories, Derbyshire.

2.7 We are working closely with the Local Resilience Forum (LRF) to ensure COMAH plans and exercises are on Resilience Direct (RD). RD is a secure, web-based platform for the resilience community to share information amongst all Category 1 and 2 emergency responders and agencies for planning, response and recovery. Future exercises will use RD at Tactical/Strategic Coordinating Groups.

2.8 As a Metropolitan Fire and Rescue Service, we have representation on the Mets COMAH Group. A three-year programme of peer review by the group has started with West Yorkshire having been reviewed in October 2016. The review identified areas of best practice that are being shared across the Metropolitan Brigades and the process was extremely positive for West Yorkshire. We have the responsibility to review COMAH Departments in two other Brigades in May and December this year.

2.9 To promote more engagement with COMAH operators’ representatives, we have offered to chair an annual user group meeting to discuss issues and share best practice.

2.10 A plan to increase operational awareness regarding COMAH sites will start from April 2017 including Watch visits and Flexi Duty System officer continuous professional development sessions.


3.1 The cost of operating the COMAH Team is £109,053.84. This is the amount to be recovered annually from the 12 x COMAH operators and the two utility companies whose pipeline extend through West Yorkshire.

3.2 Currently each of the operators who fall under the COMAH regulations is charged an annual fee of £1,000 for the preparation and maintenance of the external plan. In addition, the operator is charged for the exercise that tests the external plan once every three years. For the annual fee, invoices are raised in late January for payment before the end of the financial year. For exercises, invoices are raised following the exercise de-brief and to be paid within 28 days. The current average cost to WYFRS of an exercise is around £13,000.

3.3 From April 2017, the annual charge for the preparation and maintenance of the external plan will rise to £4,100. This is a true reflection of the amount that should be charged to recover costs. The invoice for this will be raised in April and be paid within 28 days of receipt. The way in which the recovery of exercise costs will be done is not changing; however we do not currently test the external plan for utility companies whose pipelines extend across West Yorkshire. This will be reviewed when the external plans are written for these companies.

3.4 Due to fluctuations in the cost of exercising and the change in salary and on-costs for the COMAH Team, the annual fee will be reviewed prior to invoices being sent out in April.

3.5 Below is an illustration of how costs will be recovered from April 2017. The charging mechanism is recognised as best practice by the COMAH Mets Group during their recent peer review of WYFRS:

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4.1 There are no human resources and diversity issues.


5.1 The enhanced planning and exercising arrangements now in place not only ensure Firefighter safety but also improve public safety for the residents surrounding these sites and employees who work there.

6 Organisational Dependencies 6.1 Finance Department – we have been allocated a small portion of time from a clerk in the finance

accounts team who assists with the finance administration following the introduction of the new charging mechanism.

6.2 Operational Learning – more realistic exercises to test external plans will include the introduction of a more structured de-brief process and consequent action plan. This will be done in the same way as internal de-briefs with Operational Learning assisting with the debrief outcome forms and the nomination of officers and crews to exercises.

7 Service Plan Links 7.1 • Deliver a professional and resilient emergency response service

• Provide effective and ethical governance and achieve value for money in managingresources

8 Conclusions

8.1 The COMAH Team is now in a better position to provide a more professional service to the upper tier COMAH operators and major pipeline companies in West Yorkshire. The recovery of all the costs for running the COMAH Team will be met by the operators and companies in line with COMAH Regulations 2015, Pipeline Safety Regulations 1996 and Treasury Guidelines.

8.2 The progress of the Team has been recognised during a peer review and best practices have been shared nationally.

8.3 Better operational learning regarding COMAH sites will be achieved with an exercise programme involving crews and officers during the testing of site specific external plans.

100%

Total

TotalNr. of Sites in WY 14

£57,400.00

£109,400.00

% of Recovery Costs =

Total

Nr. Of Ex./Year 4£52,000.00

Annual Fee / Site £4,100.00

Predicted Recovery Costs 2017/18

Avg. Cost of Exercise £13,000.00

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Metropolitan Fire Brigades COMAH Group - Peer Review of West Yorkshire FRS COMAH Team

OFFICIAL 28 October 2016 Steve Innis (LFB) and Hannah Spencer (WMFRS)

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28 October 2016 Page 1

Contents

Introduction

Recommendations

Methodology

General Observations and Recommendations Information Gathering

Information Retention

Stakeholder Engagement

Meeting

External Emergency Plan

Style of plan

Compliance with COMAH Regs

Testing, exercising and reviewing of External Emergency Plans

Exercise Planning

Post Exercise Reporting

Lower Tier Sites

General Administration

Documentation

Operational Liaison

Annex A - Metropolitan Fire Brigades COMAH Group Peer Review Proforma

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Introduction.

Under the COMAH Mets Peer Review Scheme London Fire Brigade (Steve Innis – Lead Assessor) and West Midlands FRS (Hannah Spencer – Assessor) conducted a Peer Review of West Yorkshire FRS COMAH Team on Thursday 13th October 2016.

Recommendations.

Recommendation 1: Consider depositing hardcopies of plans at key locations i.e. SOR, Command Units and at the site.

Recommendation 2: Consider methods to increase more frequent face to face stakeholder engagement i.e. Safety Liaison Group

Recommendation 3: Consider changing covers to parts 1 and 2 to assist in identification of each part.

Recommendation 4: Consider including a sample TCG agenda as a guideline to TCG attendees.

Recommendation 5: Consider reviewing the site operator actions in Part 1 and Part 2 and rationalise to one part of the plan only.

Recommendation 6: Consider any potential conflicts between site operator actions in external emergency plan and the site operators’ internal emergency plan.

Recommendation 7: Consider way of increasing engagement with Lower Tier sites

Recommendation 8: Share the new cost recovery protocol with the Met Brigades COMAH Forum.

Recommendation 9: Document, information gathering and sharing systems are shared with the Met Brigades COMAH Forum as an example of good practice.

Methodology

The Host FRS and the Lead Reviewing FRS agreed a review methodology prior to the review date. The Host FRS (WYFRS COMAH team) would send a number of documents both electronically (where protective marking allowed) and by recorded delivery (where appropriate) to the Reviewing FRSs (LFB and WMFRS). The reviewing FRSs would carry out an initial review on the documentation received and then this would be supplemented by a face to face review meeting following the Mets Brigades COMAH Group meeting held at the Service Delivery Centre, West Yorkshire FRS.

The Lead Assessor sent WYFRS a Peer Review Proforma identifying areas to be covered by the review, the type of supplementary questions to be used to gather information and evidence, see Annex A.

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The following documents were reviewed as part of the initial review:

1. West Yorkshire Fire and Rescue Service (WYFRS) – Self Assessment Proforma Oct2016.

2. Upper Tier Site External Plan-Part 1 of 2, Multi-Agency Site Specific Information –Unilever UK Ltd, Leeds, LS14 2AR.

3. Upper Tier Site External Plan-Part 2 of 2, Multi-Agency Generic Information.

The Following elements were covered in the Peer Review Proforma:

• Information Gathering/Information Retention

• Stakeholder Engagement/Meetings

• External Emergency plans

• Testing, exercising and reviewing External Emergency Plans

• Lower Tier Sites

• General Administration

• Operation Liaison

Some of these elements were broken down into further sub groups (See Annex A)

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General Observations and Recommendations

Information Gathering

Information gathering appeared to be thorough. Information is provided by each stakeholder and is used to populate the External Emergency plan. A variety of methods are used to collate information including meetings, email and telephone communications.

Information retention

All information is stored in a well organised folder structure with additional resilience provided through two separate electronic back-up storage locations including Resilience Direct. The systems appear to be robust and easy to use, however there seems to be a reliance on ICT, although the probability is low the loss of ICT could lead to significant issues in accessing plans.

Recommendation 1: Consider depositing hardcopies of plans at key locations i.e. SOR, Command Units and at the site.

Stakeholder engagement

All relevant stakeholders involved during each stage of the COMAH process. Stakeholders are consulted early on and provided with a schedule of activities which requires their involvement. This allows buy-in at the earliest opportunity for multi-agency partners. Stakeholder engagement is currently limited to written and verbal (telephone) communications and stakeholders only appear to be met with during the planning phase for exercises. Experience has demonstrated that regular face to face engagement with stakeholders albeit as individual, individual agencies or as a multi-agency group1 brings dividends by building and developing working relationships, encouraging and embracing trust which in turn leads to open, honest and frank discussions.

Recommendation 2: Consider methods to increase more frequent face to face stakeholder engagement i.e. Safety Liaison Group.

Meetings

Meeting held set out in advance in the COMAH work schedule which is shared with stakeholders, they also including exercise planning through to multi-agency debrief. See Recommendation 2 above.

1 LFB engages stakeholders through the use of Safety Liaison Groups (SLG) meeting at 1) Strategic level and 2) Site Specific Level. There are Terms of Reference that provide the governance for these meeting and can be shared if required.

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External Emergency Plans

• Style of planThe plans are set out in a clear, logical format and are user friendly. They are dividedinto 2 parts Part 1 being site specific information and part 2 being information that isdeemed generic to all COMAH Upper Tier sites within the WYFRS area. Parts 1 and 2have the same cover page and this could lead to confusion. The plans targeted audience isthe Tactical Coordination Group (TCG) at SOR.

The plans are protectively marked Part 1 Site Specific – Official Sensitive and Part 2Generic Information – Official. Both parts of the plan contain actions for the SiteOperators, these could possible be at conflict with the sites internal emergency plan andcause confusion.

The use of hyperlinks within the plan is very useful and signposts and provides moredetailed associated information

Recommendation 3: Consider changing covers to parts 1 and 2 to assist in identificationof each part.

Recommendation 4: Consider including a sample TCG agenda as a guideline to TCGattendees.

Recommendation 5: Consider reviewing the site operator actions in Part 1 and Part 2and rationalise to one part of the plan only.

Recommendation 6: Consider any potential conflicts between site operator actions inexternal emergency plan and the site operators internal emergency plan.

• Compliance with COMAH regsThe External Emergency plan was reviewed against Regs 11.1 a-d Objectives ofEmergency plans, Reg 13 Preparation of external emergency plans specifically regs 13.6and 13.7of COMAH 2015. The plans were found to comply all the regulations statedabove

Testing Exercising and Reviewing External Emergency Plan

• Exercise PlanningExercise planning involves all relevant stakeholders who are invited to two exerciseplanning meetings to develop an appropriate scenario and provide agency specific injects.

Section 8 Exercises of Self Assessment Proforma pages 11-20 gave a comprehensiveoverview of the exercising regime employed by WYFRS. Exercises predominantlyinclude a live element that directly feeds into a table top element i.e. the running of aTCG meeting at SOR each element included all the relevant players needed to reflect amulti-agency response to an external emergency incident at an Upper Tier site.

• Post Exercise reportingA multi-agency debrief is carried out and an action tracking spreadsheet is populated andcontinuously updated following each exercise with the ability to clearly view details andthe action owner. Any learning from one exercise is applied to all other sites and planswhere relevant. This spreadsheet is shared with multi-agency partners on ResilienceDirect. Through the debriefing process lessons learnt, trends and any issues were raisedwith the appropriate agencies and the finding also feed into the training and exercisingworkstream of the LRF.

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Lower Tier sites

It was recognised that as ‘The COMAH Planning Authority’ that there was a heavy emphasise on dealing with Upper Tier sites and that the same focus was not given to Lower Tier site, although the COMAH do not require the same level of focus, if any on lower tier sites. The focus on Upper Tier site meant there was a gap in understanding the nature and issues around lower Tier sites. WYFRS are keen to proactively increase engagement with Lower Tier sites in the future.

Recommendation 7: Consider way of increasing engagement with Lower Tier sites

General Administration

• Cost RecoveryThe COMAH advised that a recent review of COMAH charging had resulted in a newcharging mechanism which will be implemented in April 2017. The new Cost Recoveryprotocol will recover COMAH costs more accurately. A number of the other MetBrigades are reviewing cost recovery, it would be very beneficial to all to share WYFRScost recovery protocol.

Recommendation:8 Share the new cost recovery protocol with the Met Brigades COMAH Forum.

Documentation

All documents appear to be very well organised and managed, including version control considerations. The electronic systems for gathering, retaining and sharing information are very well organised, user friendly and robust, particularly useful is the desktop shortcut to access plans

Recommendation 9: Document, information gathering and sharing systems are shared with the Met Brigades COMAH Forum as an example of good practice.

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OFFICIAL


Operational Liaison

There is no specific Policy Note /Standard Operating Procedure for COMAH, however, when crews carry out operational risk visits to sites part of the recording process is to identify the hazards and risks presented and reference the relevant SOP/s that apply.

Currently a training package is being developed that will be rolled out to all operational personnel within the Brigade. Evidence of receiving this training will be recorded their CPD records.

A training package is currently being developed that will be rolled out across the Brigade. Evidence of training will be recorded in individual CPD records.

Each site has a specific risk template that is produced by local crews and available via MDTs. Risk templates are regularly updated.

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cycle to work scheme - west yorkshire fire & rescue · pdf filepurpose on 17 february 2017...

Documents