Ruth edge presentation

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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2007-8 2008-9 2009-10

FOI Requests @ Yarra Ranges

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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

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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’