Guideline. Records Management Strategy. Public Record Office Victoria PROS 10/10 Strategic Management. Version Number: 1.0. Issue Date: 19/07/2010

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1 Public Record Office Victoria PROS 10/10 Strategic Management Guideline 5 Records Management Strategy Version Number: 1.0 Issue Date: 19/07/2010 Expiry Date: 19/07/2015 State of Victoria 2010 Version 1.0

2 Table of Contents 1. Introduction Public Record Office Victoria Standards Purpose Scope Related Documents Records Management Strategy: An Overview What is a records management strategy? Benefits of a Records Management Strategy Strategy & the Records Management Programme Governance Structures & Frameworks Records, Information & Knowledge Management Strategies Stakeholder Engagement The Strategy Development Process Developing the Records Management Strategy Strategy Formulation Step One: Plan Factors that make a Strategy Successful Strategy Formulation Step Two: Research & Analyse Research Information Sources for Research Language & Structure Analysis Using the Agency s Records Management Programme Strategy Formulation Step Three: Design & Draft Strategic Planning Methodology Aims, Missions & Objectives Issues, Actions & Measures Alignment with Key Business Strategies (Requirements 10-13) Drafting the Strategy (Requirement 9) Strategy Formulation Step Four: Endorse (Requirement 9) Implementing the Records Management Strategy Strategy Implementation Step One: Resource (Requirement 14) What are the key implementation tasks? Strategy Implementation Step Two: Plan (Requirement 15) The Strategy & Operational Plans Making use of your Records Management Programme Strategy Implementation Step Three: Deliver Consistent & Efficient Recordkeeping Practice What are the key tasks regarding delivery?...24 State of Victoria 2010 Version 1.0 Page 2 of 42

3 Communicating Your Strategy Monitoring the Records Management Strategy Strategy Evaluation Step One: Assess (Requirements 16 & 17) Monitoring Strategy Success Recommended Monitoring Method Independent Audit (Requirement 16) Self Assessment (Requirement 17) Other Monitoring Methods Strategy Evaluation Step Two: Report (Requirement 18) Strategic Reports Operational Reports Strategy Evaluation Step Three: Revise Regular Assessment for Continuous Improvement What can I do to improve the strategy? References...30 Appendix 1: Governance Structure Components...33 Appendix 2: Key Related Business Strategies...34 Appendix 3: Records Management Strategy Components...36 Appendix 4: Implementation Plan Template...38 Appendix 5: Records Management Strategy Checklist...39 Copyright Statement State of Victoria 2010 This work is copyright. Apart from any use as permitted under the Copyright Act 1968, no part may be reproduced through any process without prior written permission from the publisher. Enquiries should be directed to Public Record Office Victoria, PO Box 2100, North Melbourne, Victoria 3051 or Disclaimer The State of Victoria gives no warranty that the information in this version is correct or complete, error free or contains no omissions. The State of Victoria shall not be liable for any loss howsoever caused whether due to negligence or otherwise arising from the use of this Guideline. This Guideline does not constitute, and should not be read as, a competent legal opinion. Agencies are advised to seek independent legal advice if appropriate. Acknowledgements The Public Record Office Victoria would like to acknowledge the valuable contribution of members of the Strategic Management Advisory Group during the development of this Guideline. State of Victoria 2010 Version 1.0 Page 3 of 42

4 1. Introduction 1.1. Public Record Office Victoria Standards Under section 12 of the Public Records Act 1973, the Keeper of Public Records ( the Keeper ) is responsible for the establishment of Standards for the efficient management of public records and for assisting Victorian government agencies to apply those Standards to records under their control. Recordkeeping Standards issued by PROV reflect best practice methodology. This includes international Standards issued by the International Organisation for Standardisation (ISO) and Australian Standards (AS) issued by Standards Australia in addition to PROV research into current and future trends. Heads of government agencies are responsible under section 13b of the Public Records Act 1973 for carrying out, with the advice and assistance of the Keeper, a programme of efficient management of public records that is in accordance with all Standards issued by the Keeper. In Victoria, a programme of records management is identified as consisting of the following components: A Recordkeeping Framework; Recordkeeping Procedures, Processes and Practices; Records Management Systems and Structures; Personnel and Organisational Structure; and Resources, including sufficient budget and facilities. A programme of records management will cover all an agency s records in all formats, media and systems, including business systems Purpose The purpose of this Guideline is to facilitate implementation of the strategic planning requirements contained in the Strategic Management Specification (requirements 9 to 18). A records management strategy provides a roadmap of the strategic direction for recordkeeping over a period of time, and will address the following questions: Where are we now? Where do we want to be? How are we going to get there? State of Victoria 2010 Version 1.0 Page 4 of 42

5 The strategic planning process can be broadly broken into three parts: Formulation; Implementation; and Evaluation. Figure 1: Strategic Planning Process The formulation part of strategy development is addressed in Section 3: Developing the records management strategy. This covers requirements 9 13 and 15. Strategy implementation is covered in Section 4: Implementing the records management strategy. This addresses requirements 14 and 15. Strategy evaluation is addressed in Section 5: Monitoring the records management strategy. This covers requirements Scope This Guideline applies to all Victorian public sector employees who are required to develop, implement, and / or monitor a records management strategy. This Guideline provides a recommended methodology for developing, implementing and monitoring a records management strategy. Other methodologies for strategic planning are available and may be used by agencies as long as they conform to the requirements of the Strategic Management Specification. This Guideline covers what a strategy is, where to begin, and provides some advice on what to think about when writing the strategy to help put records management on the strategic agenda of your agency. State of Victoria 2010 Version 1.0 Page 5 of 42

6 1.4. Related Documents This Guideline supports the Strategic Management Standard (PROS 10/10) and Specification which are supported by a number of other Guidelines and Fact Sheets as shown in the following relationship diagram: Figure 2: Relationship Diagram Please refer to the Strategic Management Standard for definitions of the terms used in this Guideline. Additional definitions used within this document are as follows: Aim: The main purpose or vision of the strategy. Mission Statement: The statements of intent, set of functions, set of values, or set of objectives, that describes the vision or purpose of the agency at a high level 1. Objectives: The specific goals, major products, or major services required to meet the purpose of the strategy. 1 Robbins et al, Management 3 rd Edition, Prentice Hall, Frenchs Forrest New South Wales, 2003, p. 742 State of Victoria 2010 Version 1.0 Page 6 of 42

7 2. Records Management Strategy: An Overview 2.1. What is a records management strategy? A records management strategy is a high level document that provides an overview of the records management environment of an agency. It is used to provide specific links between records management and the strategic direction of the agency (and of the Victorian Government) as well as to the financial situation of the agency. This enables records management to be understood within the context of the overall business environment of the agency. Analysis Aim Objective - Actions - Issues - KPIs Objective - Actions - Issues - KPIs Objective - Actions - Issues - KPIs Figure 3: Strategy Diagram The records management strategy will essentially be two documents that work in conjunction with each other: The records management strategy itself; and The Action or Implementation Plan. The implementation or action plan consists of elements from the records management strategy that cover the objectives, actions, resources, responsibilities, and key performance indicators (KPIs). It is used to monitor the progress and success of the strategy throughout its implementation and use. The implementation plan may be developed as part of the strategy itself, or as a separate and subsequent document. State of Victoria 2010 Version 1.0 Page 7 of 42

8 2.2. Benefits of a Records Management Strategy Having a records management strategy provides a number of key benefits. These include the following: It assists with an agency s evidentiary, accountability and regulatory compliance; It contributes to increased efficiency of business practice; Its presence decreases risks associated with recordkeeping practices and systems; It communicates the strategic direction regarding recordkeeping across the agency; It communicates the need for recordkeeping to be considered in planning and decisions regarding the strategic direction of the agency, and for business areas; Its presence provides a consistent approach to recordkeeping across an agency; It promotes a corporate culture of good recordkeeping practice; An effective records management strategy should: Be based on the agency s recordkeeping requirements and regulatory environment; Address the needs, corporate culture, and technological environment of the agency; Identify and address the agency s exposure to risk regarding recordkeeping; Be endorsed by the executive; Be implemented across the whole agency; Be adequately resourced so that the strategy s objectives can be met; and Be regularly monitored, assessed, updated and improved Strategy & the Records Management Programme The records management strategy fits within the recordkeeping framework component of the records management programme. The recordkeeping framework is an important part of the agency s records management programme as it provides the strategic direction for the agency regarding recordkeeping. It consists of three major components: Records Management Policy; Records Management Strategy; and Stakeholder Engagement Model. The records management policy documents the responsibilities regarding recordkeeping across the agency, and provides high level directives regarding records management. 2 The Records Management Strategy aligns the purpose of records management with the strategic direction of the agency, and provides an action plan for achieving that purpose. 2 For more information regarding developing a Records Management Policy, see the PROV Guideline 1: Records Management Policy. State of Victoria 2010 Version 1.0 Page 8 of 42

9 The stakeholder engagement model identifies the key internal and external stakeholder groups for recordkeeping, and strategies and methodologies for engaging with the identified stakeholder groups (including incorporating feedback into the ongoing development of records management across the agency). 3 The remaining elements of the records management programme (as outlined in section 1.1) concern ongoing recordkeeping operations Governance Structures & Frameworks To be effective, the records management strategy will need to have a sound governance structure that guides its implementation. The agency may have existing governance structures that can be used, or you may need to develop one. The purpose of a governance structure is to have in place lines of responsibility and accountability for the successful implementation of the strategy. The governance structure should be agreed on by all those identified as being involved with it before being documented. Usually, a governance structure will include the following. A steering committee or board that are responsible for making decisions; A project manager (or similar) to ensure that work is completed, quality controls put into place, and reports submitted; and A sponsor, usually an executive, who will promote the strategy across the agency. Please refer to Appendix 1 for more information on the Governance Structure. Although the governance structure will be used during the implementation of the strategy, it is important to consider it first. This is because work on the strategy should not begin if agreement has not been obtained regarding developing it, and review or endorsement of the strategy may be required from the governance board or committee prior to obtaining executive endorsement. The documented governance structure should be attached to the records management strategy as an appendix, and assessed along with the strategy Records, Information & Knowledge Management Strategies Gaps in effective and consistent management of records may occur if recordkeeping is not considered when developing strategies for related business areas. A coordinated approach to records management will require coordinated strategies. If records management is to be included as part of another business strategy, ensure that the strategy includes the recordkeeping components necessary for effective records management across all business areas. See Appendix 2: Key Related Business Strategies for more information on other business strategies that may need recordkeeping requirements built in. Information management is a broad area that can involve information sources and information systems. 4 It is often linked to technology, and the management of electronic data. Knowledge management can involve social and technological activities and processes 3 For more information regarding developing a stakeholder engagement model for recordkeeping, see the PROV Guideline 7: Stakeholder Engagement. 4 Standards Australia International Limited and Standards New Zealand, AS / NZS ISO 5127 Australian / New Zealand Standard: Information and Documentation Vocabulary, Standards Australia and Standards New Zealand, 2004, p. 11 State of Victoria 2010 Version 1.0 Page 9 of 42

10 to improve the creating, sharing and applying or using of knowledge. 5 It is often focused around capturing information that is not usually documented, as well as more traditional information sources, to feed into business systems and operations. There are risks associated with having records management incorporated within another strategy. These include the following: The risk of records management objectives being either too broad or too narrow in focus, leading to gaps in records management coverage; The risk that not all recordkeeping requirements needed will be incorporated into the strategy due to their not fitting within the aim of the strategy; and The risk that records management will be lost in the broader context of the strategy Stakeholder Engagement 6 Stakeholder engagement is an important aspect of the records management strategy. Without effective stakeholder engagement implementation of the strategy will not be effective, and the strategy will fail. Stakeholder engagement should be built into all phases and aspects of the strategy development, implementation and monitoring. Stakeholder engagement is needed to: Build the alliances necessary for the strategy to be aligned with other key strategies; Encourage executive support and endorsement; Encourage other areas of the agency to support the strategy s implementation; Provide information not contained in source documents that is essential to the planning and development of the strategy; and to Understand what issues (if any) exist regarding the implementation of the strategy and why. The success of a strategy will depend on the support of people across the agency to implement it. This may not be easy to obtain. Building partnerships and alliances across the agency will be important for the success of the strategy. This is especially important in situations where key strategies that the records management strategy should align with have yet to be developed or are in development. Building strong relationships across the agency, and opening lines of communication, will enable the records management strategy to be included in future business strategies. 5 Standards Australia, AS 5037 Australian Standard: Knowledge Management A Guide, Standards Australia, Sydney, 2005, p 2. 6 For further information about Stakeholder Engagement, see the PROV Guideline 7: Stakeholder Engagement. State of Victoria 2010 Version 1.0 Page 10 of 42

11 2.7. The Strategy Development Process Figure 4: Strategic Planning Process: Expanded. State of Victoria 2010 Version 1.0 Page 11 of 42

12 3. Developing the Records Management Strategy Strategy formulation identifies what the records management strategy needs to cover, and what other strategies, plans, or services need to be considered or aligned with. Plan Research and Analyse Design and Draft Endorse Figure 5: The Strategic Planning Process: Formulation This section covers requirements 9 to 13 of the Strategic Management Specification. It covers the part of the strategic planning process regarding strategy formulation Strategy Formulation Step One: Plan Before beginning on the development of a strategy, it is important to plan for its development. A records management strategy is a major challenge to undertake. Planning helps to ensure that the scope, time frame, and resources anticipated as being needed for the development and implementation of the strategy are realistic, practical and achievable. This may be achieved by managing the development as a project, and using project methodology (such as PRINCE 2 or Project Methodology: Body of Knowledge). Think of the strategy as being the road map for records management over the next few years within the agency. It will need to address the following questions: Where are we now? Where do we want to be? and How are we going to get there? An agency will generally have the option of developing and implementing the strategy using existing staff, or hiring the services of a consultant to develop and implement it. This will impact on the scope, time frames and resources required for the strategy Factors that make a Strategy Successful Factors that lead to a strategy being successful include the following: A governance structure to manage the strategy implementation is developed and in place, and engaged with often; Sponsors are located to promote and provide ongoing support for the strategy; Stakeholders are engaged with from the beginning of the strategy development and continued throughout the entire process; Research to determine recordkeeping requirements for the agency consider all areas of the agency, including business systems that create or store records, data management, and areas that may not by covered by records management systems; The strategy includes references to external factors that promote good records management practice, such as record security issues, risk management, and addressing recommendations made by the Victorian Auditor-General s Office; State of Victoria 2010 Version 1.0 Page 12 of 42

13 Business management language, concepts, and diagrams, such as SWOT analysis and Investment Logic Maps, are used when drafting the strategy; The objectives for the strategy are clear and unambiguous; The benefits and risks regarding recordkeeping are communicated effectively; The strategy is sufficiently aligned with other business strategies; Tools required to successfully implement the strategy are developed and in place; Sufficient resources are allocated to achieve the desired result; Sufficient and practical measures are in place to monitor the strategy; The case for having a strategy in place is sufficient for the executive to endorse it; and There is visible executive endorsement and support for the strategy Strategy Formulation Step Two: Research & Analyse Research Before writing a records management strategy you will need a clear understanding of the following: The records management culture of the agency (that is, an understanding of the current practices and issues regarding recordkeeping across the agency); 7 The regulatory environment of the agency (in other words, the legislation, regulations, industry standards, and codes of conduct that the agency must comply with); The technological environment of the agency (such as the use of scanning to digitise mail received, what systems are used to create and store records, and what kinds of records management functionality these have); The aim of the records management strategy (that is, what is the strategy to achieve); The aims of the agency (in other words, what does the agency wish to achieve); Any government initiatives, objectives, or aims that the agency may need to address (the agency may be required to follow certain aims, or deliver certain services or products; or it may be advantageous to follow or deliver them, for example); Any aims of relevance located in other strategies or business plans that the agency follows (you will need to know how the records management strategy fits with other strategies, as well as how records management requirements may impact on other strategies in order to provide a holistic approach to records management); Issues, limitations and / or difficulties in respect to recordkeeping at the agency; How the agency will achieve the aims of the records management strategy (that is, a high level understanding of how the strategy will be implemented); and What measures will indicate the success of the records management strategy (whilst you need not go into specifics in the strategy document, the objectives will need to be broken down into measurable elements that make sense and are practical). 7 Designing and Implementing Record Keeping Systems (DIRKS) Manual may help with determining your agency s recordkeeping and regulatory environment. A copy of the DIRKS Manual may be located via the National Archives of Australia website (http://www.naa.gov.au) or the State Records Authority of New South Wales website (http://www.records.nsw.gov.au). State of Victoria 2010 Version 1.0 Page 13 of 42

14 Information Sources for Research Information needed for the development of the records management strategy may be found in the following sources: Annual reports; Founding or governing legislation; Business plans; Corporate policies; and Other corporate documents. Interviews with relevant stakeholders; Surveys of business areas; and Observation of work practice. The purpose of the interview is to understand the records management requirements for that stakeholder and to establish a relationship based on mutual understanding. When conducting interviews with stakeholders, ask questions that will: Help you to understand the aims and objectives that are important for the stakeholder (that is, their strategic direction); Guide you towards what the vital records for the stakeholder are and why; Inform you about how the stakeholders use, capture, and manage records; and Assist you with understanding the systems and procedures that the stakeholders use and how they might impact on records management and recordkeeping practice Language & Structure Using business language, concepts and diagrams within the strategy helps the strategy to reach an executive audience. This is because the executive will be used to reading business documents. Jargon should be avoided, or clearly defined. If you are unsure of what kind of business language or structure to use for the records management strategy, the language and structure may be determined from the following: A specific strategy template used by the agency for all strategies; Current strategies in use by the agency; or Records Management Strategies used by similar agencies Analysis There are various forms of analysis that may be used. The SWOT analysis is the form of analysis recommended in this Guideline. State of Victoria 2010 Version 1.0 Page 14 of 42

15 Strengths Weaknesses Opportunities Threats Figure 6: SWOT Analysis Diagram The aim of the records management strategy will be determined and supported by SWOT analysis. The strengths and weaknesses of the agency, and external opportunities and threats are identified in relation to the agency s records management environment. A successful SWOT analysis will demonstrate that the records management strategy will: Build on the agency s strengths; Correct areas of weakness; Protect against external threats; and Provide the agency with opportunities to expand on or develop external services. Multiple SWOT analysis diagrams may be useful if multiple facets of the records management environment are to be examined separately. For example: The situation regarding paper and digital records; Different segments or divisions of the agency; or Different perspectives such as financial, customer, internal business, and innovation and learning. The strengths and opportunities of the SWOT analysis should promote achieving the aim, whilst the weaknesses and threats will need to be guarded against in order to achieve it Using the Agency s Records Management Programme How well the agency s current records management programme addresses the recordkeeping requirements of the agency should be reflected by the SWOT analysis. The benefits of targeting your current records management programme are as follows: The risks or constraints associated with the current programme can be noted (this can be used to justify updating the programme as part of the strategy); Having an updated and consistent records management programme can be seen as an opportunity for the agency to manage its information more effectively; The strengths of the recordkeeping measures currently covered by the programme can be promoted (this can be used to stress the importance of having a records management programme in place to the agency as a whole); and The programme (either the current version or the updated version outlined in the strategy) can be used to address weaknesses and threats noted in the analysis (this communicates the value of records management to the agency as a whole). State of Victoria 2010 Version 1.0 Page 15 of 42

16 3.3. Strategy Formulation Step Three: Design & Draft There are a number of things to keep in mind before you begin designing and drafting the strategy. They are as follows: Some actions required for the strategy may be dependent on other actions occurring (interdependences); Some actions or objectives may be shared with other business areas, and worked on together or across several strategies (synergies); Always conduct a reality check when setting time frames, resources, and actions to ensure that they are achievable; Consider the maturity model for the agency (if one exists) when drafting the strategy to ensure that the strategy incorporates ongoing learning; Consider the people needed and the financial costs anticipated when determining resources for the strategy development and implementation; The records management strategy will need to be a priority for the whole agency, not just records management unit, for it to succeed; and There is a danger of raising expectations and not being able to follow through with them if the strategy is not designed carefully. Maturity models provide a framework that ensures the agency uses its experiences to continue to grow and improve. It can be used to assist with benchmarking, and to ensure consistency regarding aligning the strategy with the agency s ongoing learning processes Strategic Planning Methodology This guideline provides a recommended methodology for strategy development. The agency may be using a different strategic planning methodology to achieve its vision or mission statement, and unify its strategic directives. Strategic planning methodologies 8 include the following: Balanced Scorecard; Business Excellence Framework; and Enterprise Architecture. Using a specific strategic planning methodology may help agencies with the following: Understanding how strategy fits into operational areas; Guiding reporting methods and practices; and Feeding results of strategy implementation into the ongoing development of strategic direction. 8 Please see the References for the location of further information about the methodologies mentioned in this guideline. State of Victoria 2010 Version 1.0 Page 16 of 42

17 Aims, Missions & Objectives Designing the Aim Focus the aim around what the agency wishes to achieve from its records management programme, and align it with the agency s vision statement. Base the records management strategy around an aim that promotes an area of value to the agency. For example, accountability, quality control, regulatory compliance, risk mitigation, or improved efficiency. When designing the aim of the records management strategy, consider the following: The results of the SWOT analysis conducted; The agency s mission statement, vision, or aims; Relevant Victorian government or federal government directives; Relevant interagency or cross jurisdictional projects or systems; What the agency hopes to achieve from their records management programme; and Issues or areas of the agency s records management environment to be addressed. Designing the aim involves the following steps: Using the SWOT analysis to identify what the strategy should cover; Relating what the records management strategy should cover to recordkeeping; Carefully phrasing statements that concisely address the achievements identified as being the agency wide strategic direction for records management; and Checking that the statement aligns with the agency s mission statement. Designing Objectives The objectives are statements that broadly specify how the aim is to be achieved. Together, the objectives should cover all elements specified in the aim. Each objective should focus on one topic, output, or project covered by the aim. This enables the objectives to be broken down into performance measures and to be addressed by specific actions. The following questions may help with designing meaningful objectives: What are the major products and services that are to be delivered? How will the products and services identified achieve the aim of the strategy? What are the major issues or risks related to records management? How can the issues or risks identified be resolved? What are the main elements covered by the aim of the records management strategy? Designing the objectives involves the following steps: Breaking down the aim into its various parts; Identifying the actions and issues associated with each part; Determining whether the parts identified should be further broken down; Conducting a reality check to ensure that the resulting objectives can be achieved; Identifying what the best and most practical measure would be for each objective; and Phrasing the objectives so that they read as a statement of intent. State of Victoria 2010 Version 1.0 Page 17 of 42

18 Issues, Actions & Measures Achieving the objectives specified requires the following: The associated issues identified to be addressed; The associated actions identified to be completed; and The associated measures identified to be met. Identifying Issues Once the objective has been developed, the issues associated with it will need to be identified. The SWOT analysis results highlight issues noted for the agency regarding records management. Additional risks may be identified by conducting a risk assessment 9. Listing the issues noted for each objective helps the results of the SWOT analysis to be embedded into the detail of the strategy. This enables the issues to be addressed by specific actions, and mitigation of the issues to be measured by key performance indicators. Risks should be clearly stated in terms of how they relate to records management. Issues may cover the following areas: Risks to the agency that the objective will mitigate once it has been achieved; Risks associated with meeting the objective; Limitations or constraints that will need to be taken into consideration; and Products or tools that will need to be located or developed in order to meet the objective. Determining Actions List the specific actions required to address the issues noted, and to meet the objective specified. This may be done as an implementation plan, and include who is responsible for the action, anticipated resources required, and anticipated completion dates. See Appendix 4: Implementation Plan Template for an idea of what this might look like. Actions should be strategic rather than operational, stating the high level action and not the specifics involved. For example, rather than cover all steps required for a business classification scheme, just specify development and implementation of a business classification scheme for all functions of the agency. Specific steps are best included in operational plans as part of the implementation process. Specify the deliverables or outcomes achieved by completing the actions where possible. All actions specified will need to be completed to meet the specific objective. Actions may include the following: The development of specific products, services or tools; The production or update of systems; Improved relations and communications between groups; Integration of different systems; and The development of records management and related programmes, and structures. 9 For more information on risk assessment and recordkeeping please refer to PROV Guideline 6: Records and Risk Management. State of Victoria 2010 Version 1.0 Page 18 of 42

19 Finding Realistic Measures With various projects and areas of an agency competing with each other for vital funds, it is important to demonstrate the value of the records management strategy over time. Measures enable the progress towards meeting the objectives of a strategy to be determined and reported on to relevant stakeholders, such as the executive. Reporting on the progress of a strategy indicates if it is working, or if something needs to be changed. Objectives will need to be associated with realistic measures regarding the following: Cost (in funds and human resources); Time; and Progress (identified by key performance indicators). The measures provided in the records management strategy should be strategic and high level, and not address daily operations 10. The measures in the records management strategy will need to be translated into operational level documents, such as business plans and performance plans, as part of the implementation process (see section 4 for further details). Making sure that the measures provided in the strategy are realistic can be a difficult and time-consuming process. When determining measures, ask the following questions: How will the agency know when the measure has been reached? How onerous will monitoring progress against the measure be on the agency? Who will be monitoring progress; do they have the resources to do this? Identifying Responsibilities & Resources Responsibility will need to be assigned for each of the actions required to meet each objective to ensure accountability. High level responsibility for records management rests with the head of a government agency in accordance with the Public Records Act This should be noted in the strategy. The records management policy can assist with identifying responsibilities as it covers the general recordkeeping responsibilities for all Victorian public sector employees across the agency 11. Anticipated financial costs should be specified according to the financial year concerned so that the executive can see how they will affect the agency s budget. Also consider the people required to implement the actions, including their skill levels, other commitments, and salary costs. Determining Achievable Time Frames The strategy should incorporate any time frames required for the completion of actions and meeting of objectives. Describing time frames in terms of person-hours or working hours per person will help the executive understand the amount of work involved. It may also be used to support a business case for obtaining additional resources. 12 The achievability of time frames will be impacted by actions that are reliant in some way on other actions (interdependences and synergies). For example, if an electronic document and records management system cannot be implemented until the business classification 10 More information about drafting strategic level and operational level key performance indicators, and the criteria for determining whether a measure is realistic, is located in PROV Guideline 3: Key Performance Indicators. 11 For more information on records management policies, see PROV Guideline 1: Records Management Policy. 12 For information on writing business cases, please see PROV Guideline 4: Writing a Business Case. State of Victoria 2010 Version 1.0 Page 19 of 42

20 scheme is implemented, any delays for the business classification scheme will delay the electronic document records management system. A date for when the strategy is to be assessed should be included within the document itself. This acts as a reminder to the executive to ensure that assessment of the records management strategy is incorporated into agency business planning. Requirement 9 of the Strategic Management Specification specifies that the records management strategy be assessed annually. Assessment should be undertaken as part of the agency s usual strategic planning cycle Alignment with Key Business Strategies (Requirements 10-13) The records management strategy should demonstrate how it aligns with other business strategies of relevance for the following reasons: It helps the executive to understand the impact the records management strategy is likely to have on other business areas; It demonstrates relationships between strategies so that the executive may see the records management strategy as being part of current or future strategic direction; Other endorsed strategies may support the strategy s implementation; It can assist with communicating the importance of recordkeeping to all business areas by showing how recordkeeping impacts on other strategies; and It can identify potential conflicts between the strategies that need further discussion. There may be Victorian or Federal government requirements that need to be addressed within the strategy. The executive may need to know about such requirements and may have to report on how the agency is meeting them. For example, an environmental impact statement regarding the strategy implementation may be required to meet current Victorian government directives. Or the agency may need to attach a statement of how the strategy meets the requirements of the Victorian Charter of Human Rights and Responsibilities. Ensuring that recordkeeping is considered in other strategies requires successful engagement with stakeholders to achieve. The following may help with this task: Focus your records management strategy around information assets, risk management, efficiency and accountability; Promote the benefits of covering recordkeeping requirements and the risks of not considering them; Remind people of their recordkeeping responsibilities and obligations; Keep communications open with other business areas regarding recordkeeping needs and practice; and Understand the agency s needs and practices regarding recordkeeping considering its technological and regulatory environment Drafting the Strategy (Requirement 9) Suggested sections to include in a records management strategy are provided in Appendix 3: Records Strategy Components. Remember that the records management strategy either incorporates the implementation plan, or is used to develop an implementation plan. Both 13 The DIRKS Manual, produced by State Records Authority New South Wales and National Archives of Australia, is a tool that may assist you with understanding your agencies needs and environment. State of Victoria 2010 Version 1.0 Page 20 of 42

21 documents should address the question of why does the agency need a records management strategy? Preparation for drafting the records management strategy involves the following steps: Determine whether the agency has a specific strategic planning methodology or strategy template that must be followed; Determine the governance structure for the strategy; Determine the recordkeeping, regulatory, and business environments of the agency; Conduct the research required to undertake the SWOT analysis; and Conduct the SWOT analysis. Once the SWOT analysis has been completed, everything should be ready for the draft of the records management strategy to be begun. Remember to draft the executive summary last. The completed draft will need to undergo a review by the governance committee or board, and perhaps a peer review, before it is ready to send to the executive for endorsement. This will enable the content and tone of the document to be checked before the document is sent to the executive Strategy Formulation Step Four: Endorse (Requirement 9) Once completed, the strategy should be endorsed by the executive. This will provide the document with the authorisation it needs for it to be implemented throughout the agency, and assist with obtaining the resources needed to implement it effectively. State of Victoria 2010 Version 1.0 Page 21 of 42

22 4. Implementing the Records Management Strategy Strategy implementation involves obtaining the resources required to support the records management strategy and ensuring that the measures required are incorporated into business and operational plans. This section covers requirements 14 and 15 of the Strategic Management Specification (Strategic Planning). It covers the part of the strategic planning process regarding strategy implementation. Resource Plan Deliver Figure 7: The Strategy Development Process: Implementation 4.1. Strategy Implementation Step One: Resource (Requirement 14) Agencies are required by the Strategic Management Specification (requirement 14) to make available the appropriate resources to implement, maintain and improve the strategy. You may be required to develop a business case to formally request the resources needed. 14 An endorsed records management strategy is useful supporting material as it demonstrates that the executive approve of the direction regarding records management proposed in the strategy and of the actions required to meet it What are the key implementation tasks? There are a number of Tasks that impact on resources and which will need to be completed in order to implement the records management strategy include: Identifying the tools, financial and resources required; Obtaining the tools and resources needed (you may need to follow a formal process in order to request and obtain approval for this); Formally assigning specific actions required to meet the objectives of the strategy to the human resources obtained; Identifying and assigning additional tasks, such as the creation of communication plans to ensure stakeholders are regularly kept informed of developments, or the drafting of procedures, or the development of the tools required; Building the actions required to meet the objectives into operational plans; Separating the measures of the strategy into smaller operational measures; Obtaining regular reports of progress from those working on delivery of the strategy on how they are meeting the key performance indicators; and Communicating and filtering the progress reports received into executive reports to be delivered to the steering committee and executive. 14 More information on drafting business cases for records management projects is located in PROV Guideline 4: Writing a Business Case. State of Victoria 2010 Version 1.0 Page 22 of 42

23 4.2. Strategy Implementation Step Two: Plan (Requirement 15) Planning strategy implementation involves building the strategy s implementation plan into the daily recordkeeping routine of the agency The Strategy & Operational Plans Actions located within the strategy document will need to be worked into operational plans. This may mean breaking down the actions into smaller steps that relate directly to specific deliverables (such as the production of specific documents, systems, support material, or delivery of services). Additional performance measures may need to be devised to track the progress of this work. Operational plans enable specific tasks required for the strategy to be placed directly into section, team or individual work plans. For example: A section plan may need KPIs based around delivery of the key products and services, Individual work plans may need KPIs based around delivery of a specific product or service. Operational plans that may be affected include the following: Divisional, Section or Team Plans; Individual Work Plans; Project Plans; and Work in Progress Sheets Making use of your Records Management Programme The records management programme illustrates how the different components of your agency s approach to records management fit together. The products and services that comprise the programme contain the detailed information required for Victorian public sector employees within your agency to implement the records management strategy. The records management framework provides information regarding the structure that will be used to implement the strategy. The operational level of detail regarding recordkeeping responsibilities and activities will be located within the systems, procedures, instruction manuals, and other supporting mechanisms of the programme Strategy Implementation Step Three: Deliver Consistent & Efficient Recordkeeping Practice Successful delivery of the records management strategy will result in the agency demonstrating more consistent and efficient recordkeeping practice, including: Increased compliance with evidentiary, accountability and regulatory requirements; Increased risk management; More people being aware of their responsibilities regarding recordkeeping; Increased awareness of how recordkeeping impacts on other key strategies, systems, programmes and projects; and Increased awareness and use of the agency s records management programme. State of Victoria 2010 Version 1.0 Page 23 of 42

24 What are the key tasks regarding delivery? Delivering the records management strategy involves the following: Achieving the objectives identified within the strategy; Reporting this information to the executive and relevant governance body; and Incorporating lessons learned into future revisions of the strategy. Delivering the records management strategy will make full use of the recordkeeping framework of the agency: The records management policy informs agency personnel of their recordkeeping responsibilities and of the agency s directives regarding recordkeeping; The records management strategy provides agency personnel with key information regarding the planned future direction of the agency regarding recordkeeping; and The stakeholder engagement model enables the identification of the key stakeholder groups regarding records management, and of strategies and methodologies to engage those groups so that recordkeeping requirements are effectively communicated across the agency Communicating Your Strategy A stakeholder engagement model will help you to identify who you need to talk to about what and the best communication methods to use to achieve the results that you are after. This supports the implementation of your strategy by ensuring that the right information is being supplied to the right people in an efficient manner, and that feedback is being received, collated, and fed into improving records management across the agency. Keeping clear and effective communication lines open will help people to engage with your strategy so that its objectives are more likely to be achieved. 15 More information about stakeholders, engagement models, and communication plans is located in PROV Guideline 7: Stakeholder Engagement. State of Victoria 2010 Version 1.0 Page 24 of 42

25 5. Monitoring the Records Management Strategy Strategy evaluation requires assessing how successfully the records management strategy has been in achieving its aims within the agency. This section covers requirements 17 to 19 of the Strategic Management Specification (Strategic Planning). It covers the part of the strategic planning process regarding strategy evaluation. Assess Report Revise Figure 8: The Strategy Development Process: Evaluation 5.1. Strategy Evaluation Step One: Assess (Requirements 16 & 17) Monitoring Strategy Success A strategy outlines the current situation, provides a new direction, and maps how to get from one to the other. Monitoring your strategy involves assessing how successful you have been in following the map to reach the new direction. Methods for monitoring strategy success focus on assessing: The route taken (that is, the action plan or implementation plan); The direction reached (the objectives the strategy was aiming to achieve); and How you undertook the journey (the framework, services, and programmes you needed to use in order to carry out the actions and achieve the objectives) Recommended Monitoring Method 16 The method recommended for assessing the success of the records management strategy in the three factors listed above is as follows: Put in place key performance indicators; Regularly measure and report on the success of those indicators; and Make any adjustments to the strategy or implementation plan in order for the objectives to be achieved. The benefits of using key performance indicators to measure the success of the strategy are as follows: Using them conforms with the Strategic Management Specification (requirement 15); They are tangible and can be measured; They can be linked to workflows and processes, making them practical; 16 This method is described in PROV Guideline 3: Key Performance Indicators. State of Victoria 2010 Version 1.0 Page 25 of 42

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