Changes in the Service Paradigm for Councils
?Integrated, citizen-centric service delivery (vs answer depends on which Council department you talk to) ?Electronic service delivery?Single source of information from Council ?Whole of government integration and service
delivery?Shared services across LG?
Information management, and council records underpin ALL of the above
Quality Content is Critical to a Quality Service.
?In all most all of councils services the quality of the information content they manage is just as critical as the asset in delivering a quality service.
Local Laws
Animal Management
Building
Occupation and built form records
Rates
Land use records
Planning
Property Ownership
Council Services are Ongoing
What is happening
now
In order to make good decisions the service owner needs to know
What has happened in the
past
What is planned for the future
Service Continuity
But delivered at a point in time
Whilst the service is delivered at a point in time, for example an M&CH consultation or a planning permit
approval the decisions that accompany them are made in the context of the past and future.
The Multi-headed Beast
The Multi-headed Beast at work
Business Unit Manager
IT Manager
CEO/Directors
Councillors
Records Manager
Business Systems
?COLAC
Hard Copy Files
Create Review Version
Tools & Systems
Process, Rules & Behaviours
Electronic Documents•Shared Drives•Team rooms•Quick places•Twitter•SMS•Web•Scanned
Email and attachments
Public Records Office VictoriaPROV
Managed Disposal
Business Applications and Records
RECORD KEEPING FRAMEWORK
Policy & Guidelines
Strategy
Business Classification
Disposal Schedules
Education & Awareness
Compliance Monitoring & Assistance Reporting
Management Reporting
SYSTEM X
Harness the Beast
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10
20
30
40
50
60
70
80
2007-8 2008-9 2009-10
FOI Requests @ Yarra Ranges
0
10
20
30
40
50
60
70
80
Aggravating the Beast
Aggravating the BeastCouncil History?Amalgamation 1994-1995Greater Scrutiny on IM and RM?Freedom of Information Act 1989 – FOI Commissioner?VAGO Report Records Management in Vic Gov 2008?Changes to the Evidence Act 2010?PROV Standards 2009 – 2011 – ( from 5 to 214+
compliance measures) ?Public Records Act to be reviewed?Public Sector Information Release Framework
September 2011?Ombudsman and 2011 Work Safe Report - $$$
penalties
Calm the Beast
?In 2009/10, the MAV initiated the Step Enterprise Content Management (Records Management) Program to produce:? a Records Management Better Practice Guide and
checklist?The development of an FOI Good Practice Guide and
checklist?The development of a Privacy Good Practice Guide and
checklist
Calm, Slow, Easy Does it – the Beast RespondsGovernance?IM Committee – PROV, Business Analysts and IT
?ECM Steering Committee – PROV Business Analysts and IT
?Participating Councils
?MAV Records Storage and Digitisation Executive Committee
Key Performance IndicatorsBenefit: Greater public transparency and accountability in the area of
Council’s records. 15%KPI 1: descriptionKPI 2: description
Benefit: Improved responsiveness of councils to customers’ requests for information. 45%
KPI 1: Decrease in the time taken to process FOI.KPI 2: Decrease in the average time taken to retrieve archived information
Benefit: Reduced costs and exposure to damages associated with legal actions. 25%
KPI 1: Decrease in the per case cost of defending legal action.KPI 2: Decrease in the % of cases for which council has to pay damages
Benefit: Reduced operational cost of maintaining a council record. 15%KPI 1: Reduction in the unit cost of maintaining a council recordKPI 2: description
Assured protection and preservation of
councils critical records.20%
Effective discovery of council records.
25%
Efficient and effective storage and
retrieval of council records.25%
Back-Scanning Shared ServiceVictorian Local Government Investment Logic Map
Council’s treatment of records is based upon a social, economic and
environmental assessment of the
content.
Councils collaborate in a shared service that manages the lifecycle
logistics for both physical and electronic
records.
Manage the collective transfer of permanent
records to PROV.
Reduced costs and exposure to
damages associated with
legal actions.25%
Poor content management &
changes to legislation are causing councils to be more vulnerable to adverse legal action.
35%
Version 1.0Template Last Modified dd/mm/yyyyFacilitator David Platt
Greater public transparency and accountability in
the area of Council’s records.
15%
All councils undertake periodic audit, analysis and classification of all
their records.
Increasing customer expectations & legal
rights to access council’s records is fuelling demand &
stressing the system close to failure. 20%
Classification and metadata schemas
Quality assured audit process
BENEFITSPROBLEM SOLUTIONChanges Assets needed
INTERVENTIONSHigh Level
Current storage practice is exposing
councils to increasing risk of failure in areas of business continuity & evidence discovery.
30%
A lack of capacity to access expertise is
leading to poor strategic planning & inadequate customer
service 15%
Improved responsiveness of
councils to customers’ requests for
information. 45%
Reduced operational cost of
maintaining a council record.
15%
Adequately resources whole of
sector strategic records
management plan.30%
Baseline of expected records
Intrinsic valuation of record class
Risk assessment of record class
Retrieval schedule of record class
Disposal schedule of record class
Common quality assured lifecycle
business processes
Electronic capture, storage and delivery
technologies
Policy framework
Physical handling storage & logistics
services
31/08/2011 14
Maturity Model
Level 1 - Adhoc
No systematic or formal approach exists in relation to this component of records management activity. Processes and practices are fragmented or nonexistent. Where processes and practices exist they are applied in an ad-hoc manner.
Level 1 - Adhoc
No systematic or formal approach exists in relation to this component of records management activity. Processes and practices are fragmented or nonexistent. Where processes and practices exist they are applied in an ad-hoc manner.
Level 2 - Managed
Processes and practices are defined to varying degrees but are not applied consistently. Basic management controls and disciplines are in place.
Level 2 - Managed
Processes and practices are defined to varying degrees but are not applied consistently. Basic management controls and disciplines are in place.
Level 3 - Standardised
Processes and practices are defined, documented, well understood and used consistently across the whole of the council
Level 3 - Standardised
Processes and practices are defined, documented, well understood and used consistently across the whole of the council
Level 4 - Predictable
Processes and practices are actively managed and routinely measured to ensure delivery of desired results.
Level 4 - Predictable
Processes and practices are actively managed and routinely measured to ensure delivery of desired results.
Level 5 - Optimised
Processes and practices are continuously improved through innovation and organisational learning based on ongoing monitoring and review.
Level 5 - Optimised
Processes and practices are continuously improved through innovation and organisational learning based on ongoing monitoring and review.
How well are we doing it?Poorly Very WellPoorly Very WellAdhoc OptimisedManaged Standardised PredictableAdhoc OptimisedManaged Standardised Predictable
Level 1 - Adhoc
No systematic or formal approach exists in relation to this component of records management activity. Processes and practices are fragmented or nonexistent. Where processes and practices exist they are applied in an ad-hoc manner.
Level 1 - Adhoc
No systematic or formal approach exists in relation to this component of records management activity. Processes and practices are fragmented or nonexistent. Where processes and practices exist they are applied in an ad-hoc manner.
Level 2 - Managed
Processes and practices are defined to varying degrees but are not applied consistently. Basic management controls and disciplines are in place.
Level 2 - Managed
Processes and practices are defined to varying degrees but are not applied consistently. Basic management controls and disciplines are in place.
Level 3 - Standardised
Processes and practices are defined, documented, well understood and used consistently across the whole of the council
Level 3 - Standardised
Processes and practices are defined, documented, well understood and used consistently across the whole of the council
Level 4 - Predictable
Processes and practices are actively managed and routinely measured to ensure delivery of desired results.
Level 4 - Predictable
Processes and practices are actively managed and routinely measured to ensure delivery of desired results.
Level 5 - Optimised
Processes and practices are continuously improved through innovation and organisational learning based on ongoing monitoring and review.
Level 5 - Optimised
Processes and practices are continuously improved through innovation and organisational learning based on ongoing monitoring and review.
How well are we doing it?Poorly Very WellPoorly Very WellAdhoc OptimisedManaged Standardised PredictableAdhoc OptimisedManaged Standardised Predictable
Audit BeginsThe ECM Step Program
0
1
2
3
4
5
6
1
Yarra Ranges ECM Health Audit November 2009
Highest Possible Score
1 Policy
2 Strategy
3 Responsibilities
4 Capability
5 Performance Mgt
6 Compliance & Risk
7 Security Mgt
8 Disposal
9 Business Process Mgt
10 Electronic
11 Enterprise Applications
12 Digital Conversion
13 Physical
14 Store-preserve Digital
15 Store-preserve Physical
16 Deliver
17 Enable Security Services
Action Priorities Achieved?1. Strategic Management?Records Management Policy endorsed and promoted?Records Management Procedures and Advices developed,
promoted?Records Management Awareness Training commenced
?2. Records Capture?Training Needs Analysis for ECM system?Commence development of council-wide procedures for records
capture and maintenance
?3. Store and Preserve?Develop and implement Archives Strategy and Plan?Commence preservation of vital records through Scanning
Action Priorities in Progress?4. Deliver?Process Mapping to identify potential improvements commenced? Business terms? System improvements? Analysis for further training
?5. Security Services? Incorporate Access databases into major corporate systems to
ensure compliance with record keeping requirements
?Update the IT Security Policy and Operational Procedures, publish and apply
ECM (Records Management) Awareness
?Lift the profile of records management as good for business?Inform on staff rights and responsibilities?Provide guidance on good practice?Promote a culture of good record keeping – “This
is the Yarra Ranges Way”?Promote collaborative learning and customer-
centric development of DataWorks (ECM) and system integration for a single source of truth
Correspondence Creation / Receipt
2. CentralFax / Email
3. Email toIndividuals
4. Fax to / from Dept
5. Customer Service / Links
1. Australia Post
7. Business Systems
6. Network SOE
8. Telephone
Em
ail
Pathw
ay
Netw
ork
Other B
usiness System
s
Dataworks
IN / OUT / INTERNAL
Interoperability
Harness the Beast Ride on
?Dealing with the painful past ?Back Scanning and storage
?Changing work practices
?Building innovation
?Collaboration across professions and sectors
Moving ForwardImprovement Challenge Performance standards and public reputation rely on accurate records … Failure to effectively implement sound administrative practices and professional standards can compromise an agency’s functions, undermine its credibility and impact negatively on the public’s perception of it and the public sector in general. Worksafe Ombudsman's Report
Moving ForwardImprovement Challenge
Marian Wright Edelman:
‘We must not, in trying to think about how we can make a big difference, ignore the small daily differences we can make which, over time, add up to big differences that we often cannot foresee’