3. 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

4. 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 Building Planning Rates
Animal Occupation and Land use Property
Management built form records Ownership
records

5. Council Services are Ongoing
But delivered at a point in time
Service Continuity
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.
In order to make good decisions the service
owner needs to know
What has What is What is planned
happened in the happening for the future
past now

6. The Multi-headed Beast

7. The Multi-headed Beast at work
CEO/Directors
Councillors
IT Manager
Business Unit
Manager Records Business
Manager Systems

8. ?COLAC

9. Harness the Beast
Electronic
Documents
•Shared RECORD KEEPING
Drives FRAMEWORK
•Team rooms
•Quick places Policy & Guidelines
•Twitter Create Review Version Strategy
•SMS
•Web Business Classification
•Scanned Disposal Schedules
Education & Awareness
Compliance Monitoring &
Assistance Reporting
Hard Copy Management Reporting
Files
SYSTEM X
Process, Rules &
Email and Behaviours
Tools & Systems
attachments
Business
Applications
and Records
Public Records Office Managed
Victoria Disposal
PROV

10. Aggravating the Beast
FOI Requests @ Yarra Ranges
80
70
0
60 10
20
50
30
40 40
50
30
60
20 70
80
10
0
2007-8 2008-9 2009-10

11. Aggravating the Beast
Council History
?Amalgamation 1994-1995
Greater 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

12. 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

13. Calm, Slow, Easy Does it – the
Beast Responds
Governance
?IM Committee – PROV, Business Analysts and IT
?ECM Steering Committee – PROV Business
Analysts and IT
?Participating Councils
?MAV Records Storage and Digitisation Executive
Committee

14. Back-Scanning Shared Service
Victorian Local Government Investment Logic Map
PROBLEM INTERVENTIONS BENEFITS SOLUTION
High Level Changes Assets needed
Poor content Greater public Quality assured audit
management & Assured protection transparency and All councils undertake process
changes to legislation and preservation of accountability in
are causing councils to councils critical periodic audit, analysis
records. the area of and classification of all
be more vulnerable to Council’s records. their records.
adverse legal action. 20% Baseline of expected
15% records
35%
Intrinsic valuation of
record class
Increasing customer Improved
expectations & legal Council’s treatment of Risk assessment of
rights to access responsiveness of records is based upon record class
Effective discovery councils to a social, economic and
council’s records is of council records. customers’ environmental
fuelling demand & 25% requests for Retrieval schedule of
stressing the system assessment of the
information. 45% content. record class
close to failure. 20%
Disposal schedule of
record class
Current storage Electronic capture,
Reduced costs and Councils collaborate in storage and delivery
practice is exposing Efficient and exposure to
councils to increasing effective storage and a shared service that technologies
risk of failure in areas retrieval of council damages manages the lifecycle
associated with logistics for both Classification and
of business continuity records. legal actions. physical and electronic
& evidence discovery. 25% metadata schemas
25% records.
30% Physical handling
storage & logistics
services
A lack of capacity to Adequately Policy framework
Reduced
access expertise is resources whole of operational cost of Manage the collective
leading to poor sector strategic Common quality
strategic planning & records maintaining a transfer of permanent assured lifecycle
inadequate customer management plan. council record. records to PROV. business processes
service 15% 30% 15%
Key Performance Indicators
Benefit: Greater public transparency and accountability in the area of
Council’s records. 15%
KPI 1: description
KPI 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 record
KPI 2: description
31/08/2011 14
Template Version 1.0 Facilitator David Platt Last Modified dd/mm/yyyy

15. Audit Begins
The ECM Step Program
Maturity Model
How well are we doing it?
Poorly
Poorly Very Well
Very Well
Adhoc Managed Standardised Predictable Optimised
Standardised Optimised
Level 5 --Optimised
Level 5 Optimised
Processes and practices are continuously
Processes and practices are continuously
improved through innovation and organisational
improved through innovation and organisational
learning based on ongoing monitoring and review.
learning based on ongoing monitoring and review.
Level 4 -- Predictable
Level Predictable
Processes and practices are actively managed and
and practices are actively managed and
routinely measured to ensure delivery of desired
measured ensure delivery of desired
results.
results.
Level 3 - Standardised
Level 3 - Standardised
Processes and practices are defined, documented,
practices are defined, documented,
well understood and used consistently across the
used consistently across the
whole of the council
council
Level 2 - Managed
Level 2 - Managed
Processes and practices are defined to varying
Processes and practices are defined to varying
degrees but are not applied consistently. Basic
degrees but are not applied consistently. Basic
management controls and disciplines are in place.
management controls and disciplines are in place.
Level 1 - Adhoc
Level 1 - Adhoc
No systematic or formal approach exists in relation
No systematic or formal approach exists in relation
to this component of records management activity.
to this component of records management activity.
Processes and practices are fragmented or
Processes and practices are fragmented or
nonexistent. Where processes and practices exist
nonexistent. Where processes and practices exist
they are applied in an ad-hoc manner.
they are applied in an ad -hoc manner.

16. Highest Possible Score
6
1 Policy
2 Strategy
5 3 Responsibilities
4 Capability
4 5 Performance Mgt
6 Compliance & Risk
7 Security Mgt
3
8 Disposal
9 Business Process Mgt
2 10 Electronic
11 Enterprise Applications
1 12 Digital Conversion
13 Physical
14 Store-preserve Digital
0
15 Store-preserve Physical
1
16 Deliver
Yarra Ranges ECM Health Audit November 2009
17 Enable Security Services

17. 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

18. 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

19. 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

20. Correspondence Creation / Receipt
IN / OUT / INTERNAL
1. Australia
Post
Other Business Systems
2. Central
Fax / Email
3. Email to
Pathway
Network
Individuals
Email
4. Fax to /
from Dept
5. Customer
Service / Links
6. Network
SOE
7. Business
Systems
8. Telephone Interoperability Dataworks

21. Harness the Beast
Ride on
?Dealing with the painful past
?Back Scanning and storage
?Changing work practices
?Building innovation
?Collaboration across professions and sectors

23. Moving Forward
Improvement 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

24. Moving Forward
Improvement 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’