Managing
Public Sector Records: A Study Programme
Strategic
Planning for Records and Archives Services
© International Records Management
Trust, 1999. Reproduction in whole or in part, without the express written
permission of the International Records Management Trust, is strictly
prohibited.
Produced
by the International Records Management Trust
Printed in the United Kingdom .
Inquiries concerning reproduction or
rights and requests for additional training materials should be addressed to
International Records
Management Trust
Tel: +44 (0) 20 7831 4101
Fax: +44 (0) 20 7831 7404
E-mail: info@irmt.org
Website: http://www.irmt.org
Version 1/1999
MPSR Project Personnel
Project Director
Anne
Thurston has been working to define international solutions for the management
of public sector records for nearly three decades. Between 1970 and 1980 she lived in Kenya ,
initially conducting research and then as an employee of the Kenya National
Archives. She joined the staff of the School of Library
General Editor
Michael Roper has had a wide
range of experience in the management of records and archives. He served for thirty-three years in the Public
Record Office of the United
Kingdom , from which he retired as Keeper of
Public Records in 1992. He has also
taught on the archives courses at University College
London and the University
of British Columbia Canada . From 1988 to 1992 he was Secretary General of
the International Council on Archives and since 1996 he has been Honorary
Secretary of the Association of Commonwealth Archivists and Records Managers
(ACARM). He
has undertaken consultancy missions and participated in the delivery of
training programmes in many countries and has written extensively on all
aspects of records and archives management.
Managing Editor
Laura Millar has worked
extensively not only as a records and archives management consultant but also
in publishing and distance education, as an editor, production manager and
instructional designer. She received her
MAS degree in archival studies from the University of British
Columbia Canada , in 1984 and her PhD in
archival studies from the University
of London Canada and
internationally, including at the University
of British Columbia Simon Fraser
University University of Alberta
Project Steering Group
Additional
members of the Project Steering Group include
Association of Records Managers and
Administrators (ARMA International): Hella Jean Bartolo
International Council on Archives: George MacKenzie
Project Management Consultant: Tony Williams
Video Production Co-ordinator: Janet Rogers
Educational Advisers
Universiti Teknologi Mara: Rusnah
Johare
Project Managers
Lynn Coleman (1994-6)
Laura Millar (1996-7)
Dawn Routledge (1999)
Production Team
Additional members of the
production team include
Jane Cowan
Nicki Hall
Greg Holoboff
Barbara Lange
Jennifer Leijten
Leanne Nash
Donors
The
International Records Management Trust would like to acknowledge the support
and assistance of the following:
Association of Records Managers and
Administrators (ARMA International)
British Council
British High Commission Ghana
British High Commission Kenya
Canadian International Development Agency
(CIDA)
Commonwealth Secretariat
Department for International Development (East Africa )
Department for International Development (UK )
DHL International (UK ) Limited
Foreign and Commonwealth Office Human
Rights Fund
Hays Information Management
International Council on Archives
Nuffield Foundation
Organisation of American States
Royal Bank of Scotland
United Nations Development Program
Strategic Planning for Records and Archives
Services
Principal Authors
Michael Roper and Tony
Williams
For information on Michael
Roper, see his biography above as General Editor.
Tony Williams is a senior
manager in the Home Office and has been employed by IRMT as a consultant since
1992. His work for both organisations
has concentrated mainly on change projects and in particular how these can be
implemented and sustained in different environments and cultures. He has
particular expertise in staff development, training and motivation; management
techniques; and project management. He
has also written and co-authored a number of published articles on the
management of change. For IRMT he has
been involved with overseas projects in Ghana , Uganda , Tanzania , Zimbabwe and Malta and
worked with the Management Team on their business improvement programme.
Contributors
Keith Bastin
Victoria Lemieux
Neil McCallum
Laura Millar
Laura Simmermon
Reviewers
Jay Atherton,
(formerly) National Archives of Canada
Angeline Kamba,
Public Service Commission, (formerly) National Archivist, Zimbabwe
Michael Swift,
(formerly) National Archives of Canada
Introduction
Introduction To Strategic Planning For Records And Archives
Services
Strategic Planning for Records and Archives Services is one of a
series of three modules that provides an introduction for managers in the
records and archives field to the executive management
issues affecting records and archives systems and services. The others are Developing Infrastructures for Records and Archives Services and Managing Resources for Records and Archives
Services. It is recommended that
this module should be studied after Developing
Infrastructures for Records and Archives Services and before Managing Resources for Records and Archives
Services.
Some of the issues raised in this
module are also discussed in Analysing Business
Systems.
These modules are rather more
practical than theoretical. The theory
and philosophy behind the various techniques and approaches advocated are
covered more fully in the extensive range of management literature generally
available. The focus in this module is
on providing a practical framework for the delivery of an end product, in this
particular context the efficient and economical management of the resources
necessary to deliver effective records and archives services.
Although this series of modules
is primarily concerned with the management of records and archives services
within the public sector, much of its language has been taken from the private
sector, where the study of management issues originated. Hence, it is important to begin with
definitions of key terms used in the series.
Business: The core functions of an
organisation that contribute to the achievement of its mission.
Process: The means whereby an
organisation carries out any part its business.
Input: Any resource required for the functioning of a process, in the
course of which it will be transformed into one or more outputs.
Output: The product of the
transformation of inputs by a process.
Customer: Anyone who needs, uses or
benefits from the output of a process.
Thus, the mission of the National Records and Archives Institution is the
effective life-cycle management of public sector records and archives; the business of the institution is to carry
out the various functions that contribute to the achievement of that
mission. One of the processes that supports that business is the enactment of
appropriate records and archives legislation; the inputs into that process include existing relevant legislation,
information about legislation in sister countries, archival and legal staff
expertise and parliamentary time. The outputs include a National Records and
Archives Act and the regulations necessary to implement it. The customers
benefiting from those outputs will include government agencies, the National
Records and Archives Institution and the public.
Other
key terms used throughout this series of modules are efficiency, economy,
effectiveness and cost-effectiveness.
Effectiveness: A measure of the
ability of a process to produce specified outputs.
Efficiency: A measure of the ability of a process to produce more outputs from
the same inputs.
Economy: A measure of the ability of
a process to produce the same outputs from reduced inputs.
Cost-effectiveness: The optimum
balance between efficiency, economy and effectiveness. Also known as value
for money.
The core modules in the
Management of Public Sector Records Study Programme have provided guidance in
the professional aspects of managing records and archives throughout their life
cycle. This module concentrates on
equipping managers with the additional knowledge and skills needed to establish
and maintain the regulatory framework necessary to provide essential records
and archives services. While people
other than managers may certainly study this module, they will find the
examples and activities designed to address the needs of management. If students are not in a management position
themselves, they may wish to communicate with colleagues in management or to
develop hypothetical situations in order to examine some of the concepts
introduced here.
In these three modules, the term
‘manager’ is used to refer to the person responsible for a variety of
management decisions. It is understood
that many people studying these modules will not be actual ‘managers’; however,
the information provided will be of value regardless of where a person is
within the organisational structure.
Therefore, you are encouraged to consider yourself a ‘manager’ while
studying these three management modules and to consider the management issues
fully and completely, regardless of your actual position within the agency.
These modules make specific
reference to public-sector issues and refer largely to national government
activities. Those people based in other
jurisdictions should read these and consider the information provided in
relation to their own organisations and systems.
Strategic Planning for Records and
Archives Services consists of five lessons:
Lesson 1: Management and Change
Lesson 2: Strategic Planning
Lesson 3: Project Management
Lesson 4: Promoting Records and Archives Services
Lesson 5: What to Do Next?
Aims and Outcomes
Aims
This module has five primary
aims. These are
1.
to introduce records and archives professionals to the
key issues of change management
2.
to outline the principles and practices of strategic
planning
3.
to outline the principles and practices of project
management
4.
to outline the principles and practices of promoting
records and archives services
5.
to introduce sources of more information on management
issues.
Outcomes
When you have
completed this module, you will be able to
1.
identify the key management issues facing the records
and archives system within which you are employed
2.
prepare a strategic plan that
will enable you to change your records and archives organisation
3.
undertake the management of a project within your
records and archives system
4.
know how to persuade senior management of the benefits
of an effective records and archives system
5.
know where to go for more information on management
issues.
Method of Study and Assessment
This module of
five lessons should occupy about 50 hours of your time. You should plan to
spend about:
10
hours on Lesson 1
10
hours on Lesson 2
10
hours on Lesson 3
15
hours on Lesson 4
5 hours on Lesson 5.
This includes time
spent doing the reading and completing the activities and study questions.
At the end of each
lesson there is a summary of the major points. Sources for additional
information are provided in Lesson 5.
Throughout each lesson,
activities have been included to help you think about the information
provided. Each activity is a
‘self-assessed’ project; there is no ‘right’ or ‘wrong’ answer. Rather, the activity is designed to encourage
you to explore the ideas presented and relate them to the environment in which
you are studying or working. If you are
studying these modules independently and are not part of a records or archives
management organisation, you should try to complete the activities with a
hypothetical situation if possible. If
the activity suggests writing something, you should keep this brief and to the
point; this is not a marked or graded exercise and you should only spend as
much time on the activity as you feel necessary to understand the information
being taught. At the end of each lesson
are comments on the activities that will help you assess your work.
Following the summary at the end
of each lesson are a number of self-study questions. Note that these self-study questions are
designed to help you review the material in this module. They are not intended to be graded or marked
exercises. You should complete as many
of the questions as you feel will help you to understand the concepts
presented. External assessments, such as
assignments or exams, will be included separately when this module becomes part
of a graded educational programme.
Additional Resources
This module assumes that you have
access to a records office, records centre or archival institution or that you
have some involvement with the management of records . The various activities
may ask you to draw on your own experiences and compare those with the information
provided in the lessons. If you do not
have access to records or archives facilities within your organisation, you may
need to develop a fictitious scenario for your activities. You do not have to be in a senior management
position to work through the activities in this module, although you wish to
discuss this module with friends or colleagues who are involved with
organisational planning so that you can discuss principles and concepts with
them and compare your understanding with theirs.
Case Studies
The following case studies may provide
valuable additional information.
Case Study:
10: Chris Seifried , Canada
28: Ann Pederson, Australia ,
‘Management Case Study: Revising the Record-keeping Programme for the Widget
Manufacturing Company’
29: Ann Pederson, Australia
Lesson
1
Management and Change
The purpose of
Lesson 1 is to provide managers with the foundations for developing and implementing
the life-cycle approach to records and archives management, ensuring records
are managed through a continuum of care.
This approach, advocated in the core modules of this study programme,
cuts the traditional boundary between records management and archival
administration. More specifically, this
lesson is intended to raise questions in the minds of records and archives
staff with management responsibilities (hereafter referred to as ‘managers’)
about current management practices and procedures within records and archives
systems and services, with a view to creating and managing changes within those
systems and services.
The lesson will
deal with a number of general management issues that will assist managers, in a
broad way, to cope with the changes required and prepare them for the
discussion of specific management practices and techniques in subsequent
lessons. The precise way in which these
management issues arise and they way in which they should be addressed will
depend upon the local situation in terms of the stage of records and archives
development, the management environment and the availability of resources.
Hence, this lesson and those that follow should be regarded as a series of
‘tasters’, providing ideas and a stimulus to managers in considering how to
introduce and maintain effective, efficient and economical records and archives
systems and services.
This lesson
considers the following questions:
·
Why is there a need to change something?
·
Why is that change being considering at this particular
time?
·
How is change to be effected?
Why Is There a Need
for Change?
Here is Edward
Bear, coming downstairs now, bump, bump, bump, on the back of his head, behind
Christopher Robin. It is, as far as he
knows, the only way of coming downstairs, but sometimes he feels that there
really is another way, if only he could stop bumping for a moment and think of
it.
AA Milne, Winnie the Pooh.
The above
quotation illustrates, in a rather novel way, the underlying purpose of this
module. How often have managers and
staff thought, ‘There must be a better way of doing this, but I have not got
any time to think about it’. For most of
us, doing the job and undertaking the task, are the priority and have to come
first. Lesson 1 and the other lessons in this module are aimed at helping
managers to improve existing practices and approaches by a planned process of
change. In other words, to stop ‘bumping’ and get ‘thinking’!
The effective and
efficient introduction of new or enhanced records and archives systems and
services must form part of a planned process of change that has been set
against a clear picture of the potential shape, type or feel of those systems
and services in the future. The starting
point, however, must be clarity as to why change is being considered.
Planned change can
dramatically improve the operations of records and archives systems.
Why Is Change Being Considered?
The manager can get a clearer picture of why change is
being considered in his or her organisation by considering the following
questions.
·
What are the problem areas?
·
What are the constraints and opportunities?
·
What factors may affect the process of change?
Problem Areas
The major problem
areas within an organisation are likely to be
·
A lack of a clear idea by managers and staff of
what they are trying to achieve (that is, an absence of clear and agreed aims
and objectives)
·
inefficient and ineffective work practices
·
inappropriate organisational structures
·
inadequate or badly managed human, financial and
physical resources.
For example,
existing an registry may be disorganised and poorly equipped with insufficient
manpower. The result could be that the
record system is failing, with the result that files cannot be retrieved
easily, or at all; information is unavailable; and because of this, government
as a whole is liable to duplication of effort and poor decision making. All the major problem areas identified above
are in evidence here, and each would need to be examined
and the main points tackled before the old registry could be transformed into a
new records office.
Activity 1
Can you think of
two problems found in your institution that you think should be changed? Write a brief description of each problem and
indicate why you think changes should be made.
Constraints and Opportunities
The constraints that apply to the process of
change are likely to be
·
availability of resources
·
attitudes to change
·
timing.
The opportunities arising from the process of
change include
·
promotion of greater efficiency and
effectiveness
·
improvement to morale
·
provision of greater job satisfaction
·
reduction in costs.
It is vital that constraints do
not take precedence over opportunities and thereby inhibit the positive process of changing the
status quo for something better.
For example, the passage of a
new records and archives law through the bureaucratic, legal and political
processes can be fraught with problems and it would be all too easy to accept
second best, such as making a few amendments to existing legislation rather
than enacting a new law, or to give up.
Constraints must not take
precedence over opportunities.
Activity 2
For each of the two problems you
have identified in the previous activity, write down three constraints and
three opportunities that might arise from the process of changing those
problems.
Factors that Affect Change
It is also essential to consider
the factors that may affect the area of activity to be changed. Consider these factors by asking
·
Why consider the change now?
·
What is the political climate like? Are there any political pressures to change?
·
What is the organisational climate like? Are there pressures from senior management to
change?
·
What is the level of readiness for change of the
staff?
·
What is the current financial climate like?
·
Do any wider issues affect the area?
Activity 3
For each of the two problems you
have identified, write down four factors that might affect the process of
change. Be specific in your description
of each factor; don’t just indicate ‘political pressure’ but explain the
particular pressures that could affect any effort to change the problem.
The Vision
The
manager should now be able to build up a ‘vision’ of what change is necessary
and feasible, what the end result of the change would look like and what the
major obstacles to be overcome and benefits to be obtained would be. The vision may be the total restructuring of
the national records and archives system or a major component of it (such as
establishing a new records class) or the improvement of local practices (such
as the decongestion of a registry). The
obstacles could include financial constraints and the initial indifference of
top management. The benefits for top
management would include more effective records retrieval and a better
motivated work force.
Activity 4
For each of the two problems you
have identified, write a brief statement of the ‘vision’ you have of the end
result of change. Each vision statement
should be about one paragraph long and should outline the final result of
change, the obstacles that might be encountered and the benefits that would
result.
How Is Change to Be Effected?
When managers are clear why a
change is being considered and have given thought to what the result of that
change should look like (the vision), the next stage is to plan how to get from the old reality to the new vision (the process of
change). This is sometimes called the
‘gap theory’. The questions to consider
are
·
where are you now?
·
where do you want to be?
·
how do you close the gap?
It is,
therefore, necessary to devise an action plan to close the gap, to effect the
necessary changes.
However,
the changes cannot take place in a vacuum.
The key issue in the management of change is how to make the changes fit
into and reinforce wider strategic plans and programmes and the changes they
entail.
Strategic
planning is dealt with in more detail in Lesson 2.
The model at Figure 1 sets out
the various factors that need to be considered when planning change. It includes the analysis discussed earlier
and the actual stages of change, from establishing what the reasons for change
are through to action and review. Each
of these areas is considered in more detail following the figure.
The process of change follows a
logical sequence of stages.
|
What are the reasons for change?
·
Why are you doing it?
·
Problem areas
·
Opportunities
·
Factors
discuss what the end result could look
like (the ‘vision’) and generate
initial ideas for action to be taken;
then define what has to be done.
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The area to be tackled
·
Clarify the specific areas
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Aims
·
Where are you starting from?
·
Who will benefit?
·
What do you hope to achieve?
·
What can you achieve?
·
What will the end result look like (the
‘vision’)?
·
How will you judge progress? (establish
milestones and monitor)
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Objectives
·
List those things that need to be done
·
Identify targets for action
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Action
·
Plan who does what, when and how
·
Be flexible but be sure to ‘focus’ on the task
·
Prepare an action plan
·
Carry out actions
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Review
·
Review regularly against action plan
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Figure 1: An Approach
to Change
The Area to Be Tackled
The area, function or factor
that has been identified for change must be clearly identified. There should be no ‘fuzzy’ edges, since these
might lead to a lack of clarity about the precise nature, extent and context of
what is to be tackled. For example,
there would be no point in developing and implementing a scheme of service for
a records class, if the need for new legislation or regulations to permit that
development to happen had not been identified.
Aims
An aim, in general terms, should
state the purpose and direction of the change that is being considered.
The various questions listed
under ‘aims’ in the model in Figure 1 are designed to help identify the
relevant key aims through a logical process of stages leading to a clear
picture of what the end result should be.
Aims are dealt with in more detail in
Lesson 2.
Where Are We Starting
From?
First
there is a need to establish a baseline (the present situation) so that the
extent of the changes and the levels of benefit can be projected.
Who Would Benefit?
The areas of work and people who
would benefit from the change should be set down. This would enable an evaluation of costs and
benefits and make it possible to identify key people (such as stakeholders),
who could influence and act as supporters to any change.
For example, the introduction of
new organisational arrangements in a records centre that enable procedures to
be more effective and efficient would benefit managers and staff (better job
satisfaction/clearer objectives), action officers (availability of files and
information) and senior management/ministers (reduced costs and better value
for money).
What Do We Hope to
Achieve?
This step reflects the
identification of opportunities and constraints in achieving the change
required. Although the intention would
be ‘inspirational’ and forward looking, the various practicalities and elements
of introducing change must be considered and set against what it was hoped
might be achieved to arrive realistically at what can be achieved.
For example, there would be no
point in hoping that a new law would pass within a six-month period if the
parliamentary process would not allow this to happen. In a similar way, giving
National Records and Archives Institution staff the power to inspect records offices
within agencies, with a view to making changes where appropriate, would depend
upon relevant provisions in the records and archives law.
What Would the End Result
Look Like?
What the end result will look
like (the vision) needs to be developed into a final form, following the
earlier, initial discussions (see ‘What are the reasons for change’ stage of
the model at Figure 1). In this process it is necessary to
·
be imaginative (‘inspirational’)
·
ensure realism (ie what can be achieved within
stated resources)
·
provide a wide view of what the result would
look like (do not get bogged down in detail)
·
establish the major people, processes, systems
and changes needed
·
determine how the vision can be monitored and
performance/output measured.
For example, there
might be a need to set up a team in the current records division of the
National Records and Archives Institution to restructure records offices in a
agency cluster. The end result would
involve identifying teams of (say) four, containing a team leader from the
division and staff with relevant skills; using existing manuals to provide
information and a training base; defining clear aims and objectives; and
planning on project management principles, with the agreement of relevant
senior local managers. It would not
involve at this stage identifying individual team members or the agencies to be
involved, or preparing a project plan and establishing a time frame to work
within.
Objectives
Objectives bridge
the gap between aims (giving purpose and direction) and targets (quantifying
what has to be achieved) by providing specific planned achievements for
furthering each aim.
When listing those
things to be done (see Figure 1), it is essential that only major areas are
identified and listed. It is not
necessary to produce a ‘task list’, that is, list of specific tasks or
responsibilities to be undertaken.
Objectives
and performance measurement are considered in more detail in Lesson 2.
The example at
Figure 2 illustrates the key elements of vision, aims and objectives and the
relationship between them. Note that
only one of several possible aims and a selection of its supporting objectives
are presented.
Vision: To
establish systems and services throughout the public sector for the effective
and accountable management of records and archives.
Aim: To
convert existing registries in all agencies of government into efficient
records management units.
Objectives: To
ensure the appointment of records managers in all agencies within the next six
months.
To
restructure and decongest the registries of ten agencies a year over the next
three years.
To issue
general retention and disposal schedules relating to financial and personnel
records by the end of next year.
Figure 2: The Vision,
Aims and Objectives of a National Records and Archives Institution
Activity 5
For each of the two
problems you have identified, write a vision statement and then describe at
least one aim. Then for each aim,
outline two or three objectives. Use
Figure 2 as an example of how you would lay out this information.
Action
When a vision of the end result of the change has been
determined, a baseline has been established and the aims and objectives have
been identified, the means of achieving the vision need to be established. This is the process of planning who does
what, when and how. Remember the following points.
·
It is critical to secure top management
commitment to the change.
·
There must be flexibility in the planning
process, to allow for changes in direction or to address new factors.
·
It is wise to concentrate on the specific tasks
to be done and allocate action with the specified time frame.
·
It is important to identify the major people
involved with the process of implementation and able to create the change.
·
It is important to set clear objectives for each
task against time targets.
Top management must
be committed to change for it to succeed.
Action plan
The framework
within which action should take place is the action plan. Figure 3 is one example of a simple action
plan, which brings together all the various elements discussed here.
A project plan may
be needed for each objective, depending upon the nature of the objective and
the number of tasks involved. The
project plan provides a graphical (or bar chart) type display of progress with
the different elements of the objectives and important dates (‘milestones’)
identified. The action plan as a whole,
may also need a project plan covering all the major action.
Figure 4 provides
an example of a project plan. It relates to the extension of records office
space. Both the action plan and project
plan must be flexible and regularly reviewed.
Changes, including slippages in time targets or new work, should be
reflected.
The
preparation of strategic and project plans are dealt with in more detail in
Lessons 2 and 3.
Review
The review process
must take place regularly, with changes made accordingly. In addition, a less formal daily review of
developments and progress should automatically take place.
Activity 6
Using Figure 3:
Action Plan as an example, write an action plan for changing each of the two
problems you have identified in earlier activities. Imagine you are the manager in charge of
making those changes and indicate what you would do, who would be responsible,
and what time frame you would allocate . Provide as many details as possible,
even though the situation is only hypothetical.
Action Plan
Project:
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What are
the objectives?
(numbered
in priority order)
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Are there
cost implications?
(Y/N)
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What are
the identified benefits?
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What is
the time target?
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When will
objective be monitored?
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Who is
the action officer?
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Who else
will need to be involved?
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Project
Plan
(Y/N)
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Figure 3: Action Plan
Records Office Extension Project
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Figure
4: Project Plan for a Records Office Extension
What Management
Skills Are Needed?
The earlier part
of this lesson considered the processes needed to create change: establishing a
‘vision’ of what is wanted and the different ways of achieving it. Although the change has been focused towards
the development, implementation and maintenance of a new system of managing
records and archives based on the life cycle and continuum concepts, the
approach has a universal application to the change of any area, function or
factor. The effective delivery of this
requires managers with a range of management skills.
Figure 5 provides
a model of the main management skills.
The key areas are discussed briefly below, with a more detailed
consideration in subsequent lessons in this module.
Planning
Planning involves
the need to think ahead in strategic terms
(the ‘vision’) and plan elements, such as action to be taken and tasks to be
completed. The key points are to ensure
that
·
the scope of what management wants to get done
is understood - that is, the baseline has been set, the desired outcomes
established and the benefits identified
·
aims are always clearly set
·
objectives and tasks are scheduled against time
targets.
An example would
be the building of a new records centre, where the needs of users and staff
would have to be balanced against construction timetables and the introduction
of new organisational arrangements.
Planning requires
thinking ahead.
Organisation
The ability to
manage resources effectively (such as budget, staff, time, equipment or
accommodation) is a major area of importance for any manager . It is important
to ensure that
·
jobs are clearly defined and structured (within
an overall plan)
·
work is allocated to appropriate staff with the
right competencies
·
staff/work is managed against objectives,
performance, output and time targets
·
systems are designed to deliver results.
The restructuring
of an agency records office is a good example.
Here roles and tasks have been redefined, alongside the introduction of
new systems. Objectives and
standards/quality of performance and output should be clear.
Organisation is the
ability to manage resources effectively.
Leadership
The maintenance of
morale, firm decision-making and clarity of direction (the ‘vision’) by the
head of an organisation are always of fundamental importance to the achievement
of the organisation’s aims of that organisation and the effectiveness of its
business. Similarly, in the creation and
implementation of change, firm, clear leadership is
fundamental to the change process. Key actions include
·
understanding people (their strengths and
weaknesses, particular skills and experience)
·
motivating staff to ensure job satisfaction and
pride in the effective delivery of tasks
·
building teams to ensure a unified vision, best
use of resources and quality results
·
communicating.
The creation of a
National Records and Archives Institution would require clear vision,
communication and leadership by the director in order to ensure that staff understand the reasons for the change and have their
anxieties addressed.
Leadership involves
maintaining morale while making firm decisions and having a clear vision.
Development
Making
improvements in systems, procedures and working or management practices should
be part of a continuous process of change.
It is important to
·
regularly review and appraise the current
position against the original baseline
·
recognise the opportunities to develop and
improve (realising what can be achieved)
·
create the opportunities for further change
·
set standards of quality, performance and output
for staff.
The introduction
of the new approach to records management is an example of where record staff
and managers can seize the opportunity to improve an existing system. The key is to know
where you are now and to create the opportunity for change by having a clear
‘vision’ of what is achievable and gaining the commitment of top
management to what is proposed.
Development is the
process of making continuous improvements, in order to achieve a vision.
Control
Effective control
means knowing what is going on.
Ineffective control is marked by lack of knowledge, insufficient
information and poor leadership. In
order to ensure good control, it is necessary to
·
create, apply and review control mechanisms for
systems, procedures and resource management
·
recognise and correct problems as soon as
possible (problems can indicate that control mechanisms have failed, are
inadequate or are missing)
·
supervise key tasks and action to ensure that
they are delivered effectively.
These
management skills are dealt with in more detail in the lessons that follow in
this module and in Managing Resources for
Records and Archives Services.
Control involves
applying control mechanisms, correcting problems and supervising key tasks.
Activity 7
For each of the two
problems you have identified, write a brief description of the main points you
would need to remember or the main actions you would need to take to ensure
good
organisation
leadership
development
control.
Be sure to be
specific about your own problems and not just offer general statements.
Summary
Lesson 1 has
stressed key requirements for the creation of change:
·
senior management commitment
·
knowing where you are starting from (the
baseline)
·
clear aims and achievable objectives
·
effective action planning and project plans
·
identification of opportunities and constraints.
This lesson has also identified
the management skills necessary to create change:
·
consider what can be achieved
·
plan ahead
·
organise resources effectively
·
control action through positive leadership and
good communications
·
ensure that a process of continuous improvement
is in place.
Study Questions
1. Why
is change sometimes needed?
2. Why
should the process of change be planned?
3. Identify
four major problem areas that often occur within an organisation.
4. Explain
the idea of ‘constraints’ and ‘opportunities’.
5. Identify
three constraints and three opportunities that can affect the process of
change.
6. Identify
four factors that can affect the process of change.
7.
What different types
of benefits are there to change? Why is
it important to identify benefits at the outset of the change process?
8. What
is a ‘vision’? Explain the idea of
obstacles to and benefits of a vision.
9. What
are ‘aims’ and ‘objectives’?
10. Explain the
concept of an ‘end result’.
11. Name three
factors central to the success of any action to make changes.
12. Why is knowing where your baseline is so important?
13. What is an
action plan?
14. Why is a
review process critical to change management?
15. Define the
following management skills and identify two key points to remember for each:
·
planning
·
organisation
·
leadership
·
development
·
control.
Activities: Comments
Activities
1-7
Each of these activities is
intended to help you consider the general information provided in this lesson
and apply it to a specific situation within your institution, whether real or
hypothetical. The activities allow you
to be ‘manager’: identifying problems and seeking solutions. It is important when working through and
reviewing these activities to make sure you have considered all possible
scenarios and have applied the information in the lesson to your particular
situation. Be careful not to provide
only general answers, as they do not help you relate this management
information to the reality of your organisation.
Lesson 2
Strategic
Planning
Lesson 2 introduces managers in
the records and archives field to the concepts of strategic management and
planning.
In military terms, ‘strategy’ is
the art of moving troops to impose upon the enemy the place, time and
conditions of fighting preferred by oneself.
By analogy the term is used more generally in management studies to mean
the acquisition and deployment of resources in the furtherance of the mission,
aims and objectives of an organisation.
Strategic planning may be best
understood in the context of game playing.
·
Strategy has to do with the art of choosing the
right game to play in the first place.
·
Tactics
has to do with the science of choosing the best approaches for winning that
game.
·
Policy is what governs how we conduct
ourselves in playing the game.
·
Planning is what we do to convert our tactics
into a set of moves.
This lesson will concentrate on
strategy and planning. It will
·
distinguish strategic management from
operational management
·
outline the process of developing a strategic
plan.
Strategic Management
‘Strategic
management’ is concerned with making fundamental decisions affecting the
organisation’s mandate, mission, aims and objectives and the policies adopted
for their attainment. However, it may be
easier to understand strategic management by distinguishing it from operational
management. At its simplest, the
distinction is as follows.
·
Management carried out at top of an
organisational structure is strategic management.
·
All else is operational management.
However, strategic
management is not the sole preserve of senior officers within the
organisation. In practice, most managers
will be involved in a mix of strategic and operational management, with
strategic planning predominating at higher management levels. For example, an agency records manager and
his or her line manager would both be involved in the strategic management of
the records management unit; but the line manager would have a heavier
strategic management load because he or she would be involved also in the
strategic management of other work areas; while the records manager would have
a heavier operational management load in respect of the operational management
responsibilities within the unit.
Strategic management
involves making fundamental decisions about the mandate, mission, aims and
objectives on an organisation, in order to strengthen or improve systems and
services.
Strategic
management is important because
·
it provides direction to the organisation
·
it matches its key aims and objectives with
future plans
·
it ensures efficient and effective use of
resources in the short, medium and longer terms.
Strategic
management establishes the strategy, tactics, policy and planning context that
provides operational management with
·
guidance
·
direction
·
boundaries.
Strategic management
provides direction.
Strategic Planning
Strategic
planning: The process of identifying an organization’s mission, aims
and objectives, determining its needs, capabilities and resources, and then
developing strategies to achieve those goals.
Strategic planning
is at the heart of strategic management.
Its essential elements are
·
thinking through the key aims and objectives of
the organisation
·
making plans for future developments
·
working out how to get from where the
organisation is now to where it wants to be.
Strategic planning is basically a formalised
systematic process that
·
identifies the basic business of an organisation
(its mandate and mission)
·
establishes its core functions (aims)
·
determines its short-, medium- and long-term
priorities (objectives)
·
allocates the resources necessary for the
effective and economical achievement of the mission, aims and objectives
·
produces a formal statement of the outcome of
that process in the form of a strategic or corporate plan.
There is no universal model for
a strategic plan. Each organisation must
design its own plan to fit in with its own business needs. However, four elements are important in any strategic
plan.
1. The
plan must link the present to the future: projecting strengths, weaknesses,
opportunities and threats into the future; considering alternative options and
courses of action.
2. The
plan must be part of a continuing planning process: considering the ‘who’,
‘what’, ‘when’, ‘why’ and ‘how’.
3. The
plan must be approached with the right attitude: managers at all levels need to
understand (and believe) in the process; strategic planning is more ‘thinking’
than ‘doing’; it requires managers to undertake the process as an integral part
of management.
4. The
plan must provide a framework for linking upwards into other strategic plans
and downwards into programmes, projects and operating plans.
Activity 8
Have you had any experience with
the process of strategic planning? If
so, write a brief description of what happened and indicate whether, in your
opinion, the process worked or did not work.
Why was it successful or not?
If you have not had any
experience with strategic planning, write down your opinion, based on your
reading so far, of what strategic planning is and why it may be a positive or
negative influence in your institution.
Write down three benefits and three disadvantages you can think of to
strategic planning.
Preparing A Strategic Plan
Preparing a strategic plan
requires that all the managers involved participate in a sequence of actions,
including
·
identifying the organisation’s mandate and
defining its mission and its aims
·
assessing its strengths and weaknesses, and the
opportunities and threats that it faces
·
identifying the strategic issues facing the
organisation
·
developing a strategic programme
·
establishing a vision for the future.
Mandate, Mission and Aims
Mandate
Mandate: The source of
authority for an organisation’s activities.
An organisation’s
mandate is the formal statement of its core business. This statement may be contained in a single
document, such as the legislation that established the organisation, but it is
more likely to be a drawn from a number of sources, including specific and
general legislation, regulations, policy statements and undertakings. In the private sector, the mandate may be
found in a board minute or an executive decision.
Mandates are
likely to be disparate, often contradictory or ambiguous, and they may be
expressed in legalistic terminology. In
practice, therefore, it is necessary to produce a concise and clear statement
of the purpose of the organisation.
The mandate is the
formal statement of an organisation’s core business.
Defining the core
business involves
·
reviewing the mandatory documents to establish
what is mandatory and what is permissive
·
analysing the organisation’s stakeholders,
determining which are the key stakeholders and ascertaining their expectations.
Stakeholder: Any person,
group or other organisation that has a claim on an organisation’s attention,
resources or output or is affected by that output.
In terms of a
National Records and Archives Institution the stakeholders will include the
government, parliament, the minister responsible for records and archives,
heads of agencies and those responsible to them for the management of their
records, the public and posterity.
Analysing
stakeholders in the form of customers, suppliers and competitors is dealt with
in more detail in Lesson 4.
The Mission Statement
The outcome of
this process of developing the mandate is a ‘mission statement’.
·
a statement of the organisation’s overarching
purpose or mission
·
a vision of what the organisation would like to
become
·
a statement of the organisation’s core values
and beliefs
·
a statement of the organisation’s goals or how
it will reach its vision (these should be quantifiable).
The mission of an
organisation is the purpose for which it exists.
For example, the
mission statement of a National Records and Archives Institution might be
To promote good
governance and accountability by the establishment and maintenance of effective
life-cycle records and archives management systems throughout the public
sector.
·
evaluate whether an organisation’s mission or
purpose is in alignment with its environment
·
motivate staff
·
measure progress toward goals.
It is important to
involve staff in this process, to help build their commitment to the organisation’s
mission at every level. However,
developing an organisational mission statement that reflects the shared vision
and values of everyone within the organisation will take time and effort.
One technique for
developing an organisational mission statement, drawn from the process of
‘total quality management’, entails identifying customers’ requirements.
Total quality management: A
management philosophy that focuses on customer satisfaction, commitment to
quality, continuous process improvement, employee involvement and statistical
process control to solve organisational problems.
According to the
total quality management philosophy, if the customers’ requirements are met or
exceeded, the organisation will thrive.
Thus the customers’ requirements will determine what it is the
organisation should be doing.
Meeting customers’ requirements is
dealt with in more detail in Lesson 4
Another technique
used to develop organisational mission statements is brainstorming. Brainstorming is used to help a group generate
as many ideas as possible in as short a time as possible.
In brainstorming,
staff members are asked to envision the organisation at a certain point in the
future, such as five years from now. To
focus the brainstorming effort, session participants might consider the
following questions.
·
Who are the stakeholders in the
organisation? How do we work with
them? How do we produce value for them?
·
What are the most influential trends affecting
the organisation?
·
What is the impact of our work?
·
What does the organisation look like?
·
How do the important elements of the
organisational system interrelate?
·
What are our values? How do we treat our co-workers? How are people recognised?
·
What is our organisation’s role in our
community?
After producing
answers to these questions, participants might then consider answering the
questions based on the organisation’s current situation. Comparing the two scenarios can help to
clarify the goals and strategies needed to realise the organisation’s mission.
Brainstorming in the context of team
building is discussed in more detail in Managing
Resources for Records and Archives Services.
Activity 9
Without consulting your organisation’s existing
mission statement, write a mission statement for a particular functional unit
in your organisation, such as the records management unit, a records centre or
the reference department of the archival institution. Compare your statement with any already in
place in the organisation.
Aims
Aims: Statements of the
ongoing purposes of an organisation arising from its mandate.
In furtherance of
its mission, the organisation should also develop more specific aims. These are statements of ongoing commitments
to the core business of the organisation.
Good aims should be
·
inspirational
·
broad in scope
·
easily understood
·
all embracing
·
longer term
·
without time constraints
·
not quantified
·
concise.
For example, the
aims of a National Records and Archives Institution might be to
·
ensure the effective, economical and efficient
management of public sector records throughout their life.
·
identify records of enduring value and transfer
them to the National Archives.
·
preserve the archives in the custody of the
National Archives.
·
provide access to the archives for those who
need to consult them.
Aims are statements
of ongoing commitment.
Strengths, Weaknesses,
Opportunities and Threats
The next step is
to identify the internal strengths and weaknesses of the organisation and the
external opportunities and threats it faces.
This process is known as a SWOT analysis, from the initial letters of
the four elements.
SWOT analysis: The
systematic assessment of an organisation’s internal strengths (S) and
weaknesses (W) and external opportunities (O) and threats (T).
The purpose of a SWOT
analysis is to reinforce strengths, remedy weaknesses, take advantage of
opportunities and deflect threats.
SWOT
analysis asks the following questions.
Strengths
These should be considered from
both the point of view of the organisation and that of its customers.
·
What are the organisation’s advantages?
·
What does it do well?
Weaknesses
Again
these should be seen from both the point of view of the organisation and that
of its customers.
·
What could be improved?
·
What is done badly?
·
What should be avoided?
·
What do competitors do better?
Opportunities
Useful
opportunities can come from changes in the organisation’s environment.
·
What are the relevant trends?
·
What forthcoming events provide the chance to
promote the organisation and its services?
·
How can the organisation take advantage of these
trends and events?
Threats
Again,
problems can arise from changes in the organisation’s environment.
·
What obstacles have to be faced?
·
What are competitors doing?
·
Are the requirements for the organisation’s
services changing?
·
Is changing technology a threat as well as an
opportunity?
Carrying out this analysis will
often reveal changes that can usefully be made and put problems into
perspective.
The
Business Environment
Analysing
the organisation’s business environment to identify opportunities and threats
involves the following steps.
1. Describe
the current business environment. To
facilitate analysis, you may want to divide the broader business environment
into the following sub-categories:
·
economic environment, including relevant
macroeconomic factors, such as the growth rate of the economy, interest rates,
currency exchange rates and inflation rates, and microeconomic factors, such as
the availability of funding from estimates and other sources
·
technological environment, including new
industrial processes or information technologies that may impact the
organisation
·
social environment, including any factors that
may lead to changing values
·
demographic environment, for example an aging
population which may lead to changing priorities or needs
·
political and legal environment, for example a
policy shift away from public ownership to private ownership or the
implementation of new legislation.
2.
Answer the question ‘what has changed or will change
about the current business environment?’
You may want to categorise changes into those that are short term and
those that are longer term.
3.
Assess whether the changes that have been identified
qualify as opportunities for or threats to the organisation. An example of an opportunity for a National
Archives might be new records and archives legislation. This might be considered an opportunity
because it recognises and enhances the role of the organisation. Conversely, the need to compete with other agencies
in providing in records management expertise might be categorised as a threat.
Activity 10
Take a few moments to think about
the environment in which your own office operates. What might be some of the threats and
opportunities? Write down as many as you
can think of.
Identifying Strategic Issues
Identifying
strategic issues is the heart of the strategic planning process It is at this stage that the organisation
identifies and addresses the fundamental policy choices it has identified
through the process of developing a mandate and mission and conducting a SWOT
analysis.
This process
involves
·
identifying each issue
·
determining whether it is a strategic issue
·
assessing the consequences of failure to address
that issue
·
arranging the strategic issues in priority,
logical or time order.
For example, a
National Records and Archives Institution might be facing the implementation of
access to information legislation in the government. Ensuring that all records are easily
accessible, in order to comply with this legislation, may be a strategic
issue. The priority given to this strategic
issue over others will depend in part on the time frame for implementation of
the new legislation, on the current state of records and on the available
resources to improve systems.
The institution
may also identify inadequate sorting areas as a strategic issue, but this issue
may be of lower priority than preparing for access to information
legislation. However, the two issues may
be connected: the institution may be better able to comply with access requirements
if it can sort records more efficiently, which requires improved sorting areas.
Strategic issues are
those that affect the fundamental policy choices of the organisation.
Establishing a Strategic
Programme
Objectives
Objective: The statement
of a specific goal in support of an organisation’s aims, which it is intended
to achieve within a specified period of time.
At this stage all
the work that has already been done is brought together to establish a
strategic programme. This programme is
usually expressed as a series of objectives and sub-objectives stemming from
the strategic issues that have been identified as strategic priorities. Good,
effective objectives are
·
specific
·
objective
·
limited in number
·
prioritised
·
ends not means
·
challenging but achievable
·
measurable in terms of performance, output and
value for money.
These
are sometimes summed up as SMART: Specific, Measurable, Achievable,
Realistic and Timed.
Effective objectives
expand on aims in specific ways.
The human,
financial and physical resource implications of each objective should be
considered. It is better to propose a
small number of major objectives and key performance measures, attainable
within resource constraints, than to produce a long wish list of unachievable
objectives.
Performance
Measurement
Performance measure: An
indicator of effectiveness based on a standard definition of a process and the
units for its measurement. Also known as
a performance indicator or target.
Measuring
performance may present problems in the context of records and archives work,
but it is not insuperable. Some
objectives may be susceptible to measurement in terms of reduction of unit
costs and others in terms of service targets; if no other measurement is
appropriate, measurement may be in terms of target dates.
Measuring performance
helps to confirm whether objectives are being met.
The Vision of Success
The ‘vision of
success’ sums up the strategies that have been adopted in the strategic
plan. It is a summary of what the
organisation should look like when it has successfully implemented its
strategies and developed its full potential.
For example, for
an agency records management unit, the vision of success might be as follows.
Over the next three
years, the unit will decongest the existing registries, restructure all the
records offices and dispose of all records due for transfer to the records
centre or for destruction, while developing and maintaining an efficient
service to users of the agency’s records.
The Strategic Plan
Strategic plan: A formal
statement of an organisation’s intended outputs over a specified period of time
and of the inputs required to produce those outputs. Also known as a corporate plan or development
plan.
The outcome of all
the above activities should be a strategic or long-term plan. A strategic plan sets out the organisation’s
mandate, mission statement, aims and objectives. It also identifies
the resources needed to fulfil the plan and the performance measures that will
indicate its successful accomplishment.
It is essential that the plan should be realistic in terms of what is
achievable with available resources and within agreed times. The plan should cover the longer term, such
as the next five years.
The strategic plan
should also take account of and conform to the strategic plans of any related
organisations. For example, the
strategic plan of a records management unit should fit in with both the wider
strategic plan of the parent agency and the strategic plan of the National
Records and Archives Institution.
Strategic planning
is a continuous process and the strategic plan is a rolling plan. As the first year of the plan come to a
close, the planning process should be repeated, taking account of progress
achieved during the year, and a new strategic plan should be developed,
covering the new longer-term period, such as the next five years.
Each strategic
plan should be formally accepted by the organisation’s managers and the key
stakeholder, to whom staff should present regular progress reports on actual
performance in relation to agreed performance measures. For example, in a National Records and
Archives Institution, the key stakeholder might be the minister responsible for
public sector records and archives.
Once agreed, the
strategic plan will become the framework for a number of subsidiary plans,
including
·
financial plans, such as the long-term public
expenditure plan and the annual estimates
·
the annual business plan.
Financial
planning is dealt with in more detail in Managing
Resources for Records and Archives Services.
Activity 11
Imagine you are the
manager of your records management unit.
You have identified as a strategic issue the need to change your system
for transferring records out of your unit to the archival facility. The process of change involves revising your
forms and procedures, updating your training manuals and training staff in the
new procedures. Your senior management
has approved additional expenditure to accomplish this work over the next six
months.
Using the
information provided so far in this module, develop a strategic plan to achieve
this change in your systems.
This plan can be
brief but you should try to incorporate as many elements as possible from those
identified in this lesson. The purpose
of this exercise is to help you think through the strategic planning process
for one specific situation; your answer need not be comprehensive but you
should do as much work as possible to help you feel comfortable with the ideas
presented so far in this module.
Records and Archives Institution Strategic Plan,
1998–2002
The Records and Archives Institution of the Republic of Erewhon
Environmental Analysis
The National Archives of Erewhon was established in
1959, and it has served as the nation’s repository for archival records of the
government since that time. In 1961 the University of Erewhon Republic of Erewhon
In 1978 the government established the National
Library of Erewhon, and the National Archives transferred its collection of
publications to the National Library at that time. Since then the National
Archives has been responsible for public records, with a small archival
reference library for staff use.
In 1996 the government revised records legislation
establishing a National Records and Archives Institution, encompassing
comprehensive records management services and management of the National
Archives of Erewhon.
The primary users of the National and Archives
Institution and the National Archives of Erewhon are government officials,
academic researchers, citizens conducting local, family or community research,
and university students and school children for projects.
Civil Service Reform
As part of the implementation of civil service
reforms, the National Records and Archives Institution has undertaken to
restructure existing records services within government. This is a requirement
of donor aid and time limits have been established.
Assessment of Resources
At present, the National Records and Archives
Institution has the following resources.
Staff
• 20 full-time professional staff (6 with
diplomas in records management, 4 with masters in archival studies
• 25 full-time support staff.
Buildings
• one central records repository and
reference area, in a separate building near Government House
• three offsite storage areas for
semi-current and archival records, none with environmental controls or
monitors.
Equipment and
supplies
• recently acquired microfilming equipment,
to international standards
• three trucks and two cars
• no computer resources.
Financial
resources
• sufficient budget to maintain existing
operations but not to provide additional services, training or expansion.
Figure 6: Sample
Strategic Plan for the ‘Republic
of Erewhon
Existing Holdings
The National Records and Archives Institution has
custody of both semi-current and archival records and administrative
responsibility for current records. Current holdings include:
• 5000 linear metres of semi-current
records, 1000 of which are identified and accessible
• 500 linear metres of archival records, 300
of which are arranged, described and accessible.
The National Records and Archives Institution also has
a small reference library, consisting of approximately 100 publications. These
are generally for staff use only.
Goals and Objectives
Given the requirements of the National Records and
Archives Institution to restructure government records systems, and given the
high and increasing use of archival records by government personnel, the
National Records and Archives Institution’s goals and objectives for the years
1998–2002 are as follows.
Goals
Following are the overall goals to be achieved in the
four years.
1 Retrain key staff in current records
management practices, to ensure their ability to execute restructuring and
processing appropriately.
2 Restructure records systems in key
government departments.
3 Complete the processing of the 4000 unprocessed
semi-current records, to ensure accessibility by government and ease of
transfer to archives.
Objectives
Specifically, the following steps will be taken to
achieve these goals.
1 Train two professional staff members per
year for four years in records and archives management.
2 Develop a plan to expand the professional
resources and library of archival and records management literature to support
training.
3 Restructure the records systems in two
government departments per year, beginning with the key policy-making
departments.
4 Review and report on the restructuring
process monthly to ensure compliance with the restructuring programme.
5 Hold monthly meeting between newly trained
staff, restructuring staff and processing staff to ensure conformity of
policies and procedures.
6 Assign three professional and five support
staff exclusively to clearing the backlog of unprocessed semi-current records.
7 Acquire space within an appropriate
government building to undertake the processing work.
8 Replace the shelving systems used for
semi-current records storage with stable metal shelving to allow for the return
of records once processed.
9 Review all administrative and descriptive
systems and improve as required prior to completing the description of processed
semi-current records.
10 Prepare a report on the acquisition of
computer systems for managing information about holdings.
Resources required:
100,000 Erewhon currency Review
date: Dec. 1999.
Figure 6: Sample
Strategic Plan for the ‘Republic
of Erewhon
The Annual Business Plan
The annual business plan takes those elements of
the strategic plan that are to be tackled during the forthcoming year and sets
out in more detail than the strategic plan how they are to be accomplished and
how success is to be measured.
The business plan
outlines the work to be done during the year.
Like the strategic
plan, the annual business plan should set out the organisation’s mandate,
mission statement and aims. However, its
objectives will be more specific, will be related to the year in question and
will have their own performance measures.
They may be either finite short-term objectives to be achieved within
the year or stages to be completed within the year towards the achievement of
longer-term objectives.
Again like the
strategic plan, the business plan should identify in more detail the resources
allocated to fulfil each objective. In
this respect it will be inextricably bound up in the annual estimates process. It is essential
that the business plan should be realistic in terms of what is achievable with
available resources and within agreed timescales.
The annual
business plan in turn should both fit in with the business plans of related
organisations and become the framework for a number of subsidiary plans,
including
·
operational plans for the organisation’s several
units
·
annual job plans for its staff.
Job
plans are dealt with in more detail in Managing
Resources for Records and Archives Services.
Sample Excerpt from Business Plan
WORK PROGRAMME 2
|
Objective
|
Preservation
|
Work programme
|
Preserving the public
records
|
|
Continuing work
|
We provide for or oversee
the security and physical care of the records in a variety of media from
their creation in originating bodies to their permanent preservation and use
in the PRO or in places of deposit[1]. We apply a range of techniques to conserve
those that are damaged. We develop
standards for the careful handling of records and train and monitor staff and
users in meeting them. We agree and
monitor preservation standards and access facilities for public records in
places of deposit. We promote the
copying of records in order to minimise wear and tear on the originals. Our work on remote access to the records
will also facilitate the preservation of the originals: see work programme 3.
|
|
1999-2000
key performance indicator targets
|
KPI 1a: unit cost of selecting
and preserving records per metre: see work programme 1
|
|
Related
four-year objective
|
KPI 3: to increase the
proportion of records stored to the preservation and environmental standards
of BS 5454 from 88.29% to 88.45%
|
Figure 7: Excerpt
from a Sample Business Plan
|
Developments in the work programme to
2002-03
|
To improve the preservation of the public records
|
|
|
We shall promote improvements in the preservation of public records in
places of deposit
|
|
|
We shall establish new standards and targets for preserving electronic
records
|
|
|
We shall increase the number of documents conserved by an average of
10% a year until 2000-01
|
|
|
We shall carry out a five year programme from 1999-2000 to make
accessible all documents currently designated as being unfit due to their
physical condition and in high demand for consultation (Public Service
Agreement)
|
|
|
We shall pilot induction courses for new on site users at
|
|
1999-2000 work programme targets
|
To monitor storage and access facilities for deposited public records
by inspecting 50 places of deposit
|
|
|
To increase the number of records for consultation on microfilm by 10%[2]
|
|
|
To upgrade our storage for working master microfilms so that it meets
the recommendations of BS 1153:
Recommendations for the processing and storage of silver-gelatin-type
microfilm (BSI, 1992)
|
Figure 7: Excerpt
from a Sample Business Plan (cont.)
|
1999-2000 staff training and development
priorities
|
Training in IT applications and project management skills to support
preservation activities
|
|
|
Spreading knowledge and skills gained through
external contacts in the preservation sector
|
|
Key functions
(see annex 1)
|
2.1,
2.2, 2.3, 4.3
|
|
Departments
|
Archive Inspection Services, Conservation, Document Services, Estates
and Central Services, Records Management, Preservation Services (lead),
Reader Information Services
|
Budget
|
|
1999-2000
|
2000-01
|
2001-02
|
2002-03
|
|
Staff numbers
|
63.89
|
63.89
|
63.89
|
63.89
|
|
Staff cost £000
|
1,421
|
1,421
|
1,421
|
1,421
|
|
Other cost £000
|
11,712
|
11,712
|
11,712
|
11,712
|
|
Income £000
|
-274
|
-274
|
-274
|
-274
|
|
Total cost £000
|
12,859
|
12,859
|
12,859
|
12,859
|
Figure 7: Excerpt
from a Sample Business Plan (cont.)
Reproduced
with permission from UK Public Record Office, Corporate Plan 1999-2000 to 2002-2003 and Business Plan 1999-2000,
pp. 16-17.
Summary
Lesson 2 has defined strategic management and
distinguished it from operational management
It has also outlined the process of developing a
strategic plan through the following steps:
·
identifying the organisation’s mandate and
defining its mission and its aims
·
assessing its strengths and weaknesses, and the
opportunities and threats that it faces
·
identifying the strategic issues facing the
organisation
·
developing a strategic programme of measurable
objectives
·
establishing a vision for the future.
It has also related the
strategic plan arising from this process to various shorter-term plans that are
dependent upon it.
Study Questions
1. Define
strategic management and operational management.
2. Why
is strategic management important?
3. Define
a strategic plan.
4. Describe
the four elements that are important to a strategic plan.
5. Describe
the processes involved with strategic planning.
6. Define
a mandate and a mission statement.
7. Who
is a stakeholder?
8. What
is team building?
9. What
is brainstorming?
10. Define
aims.
11. Explain
four qualities that should be found in aims for them to be workable and
effective.
12. What is a SWOT
analysis?
13. What is the
purpose of a SWOT analysis?
14. What are
strategic issues?
15. What are
objectives?
16. Explain
four qualities that should be found in objectives to make them effective.
17. Define
performance measurement.
18. What is a
‘vision of success’?
19. What is an
annual business plan?
Activities: Comments
Activity
8
Many people have had difficult
experiences with strategic planning; this is usually because the process is not
followed through to its logical conclusion, or
unrealistic estimates are made of the availability of resources or the
feasibility of the timescales.
Strategic planning is not useful if it is not done well and
thoroughly. That said, it is possible to
develop a strategic plan for specific and limited actions, building on each
plan so that overall change occurs over time. It is important not to dismiss
strategic planning just because you have had one bad experience with the
process.
Activity 9
For
example, the mission of an archival facility within a national government might
be stated as follows.
The mission of the National
Archives is to appraise, select, acquire, arrange and describe, preserve and
make accessible in accordance with the highest standards of the archival
profession the public records of the national government and associated non-governmental
records, in order to ensure that its activities, plans, programmes and
functions are documented fully and the history of the government and the nation
is available to support continuing government operation and public research.
Activity 10
The disposal scheduling process might be used as an
example. The main output of this process
is completed disposal schedules. The
users of this output are the creators and holders of the particular records
series covered by the disposal schedule.
There are a number of information inputs in the preparation of disposal
schedules. These include information
about the records, information about rates, types and length of use, and
information about legislative or regulatory, financial and archival retention requirements. Those who supply this information can be
considered the suppliers. For example,
records managers supply information about the records, records creators supply
information about records use and archivists supply information about archival
retention requirements. Records creators and holders might be considered
competitors in the sense that they can make their own decisions about records
retention and disposal without preparing a disposal schedule and seeking inputs
from all the various suppliers of information normally consulted in the
scheduling process. However, this
competition results in an inferior output as retention decisions are made on
the basis of only partial information.
Activity
11
This activity should help you
see the various elements of the strategic planning process and learn how the
work can proceed. For an example of a
strategic plan, see the sample included with this lesson.
Lesson 3
Project Planning and Management
Lesson 3 introduces managers in
the records and archives field to the concepts and processes of planning and
managing projects.
Project: A formally
established, single-time work effort with a well-defined beginning, scope and
objectives, end product, completion and success criteria and end point.
A project is the opposite of a
routine, repetitive process. It may be
the construction of a building, the procurement of equipment, the introduction
of a new system or a mix of any or all of these.
Any project needs to be properly
planned and managed if it is to be completed on time and within budget and is
to produce a satisfactory output. There
are a number of project planning and management systems on the market, many of
them including project management software that can be run on personal
computers.
This lesson provides a summary
of the basic components of the process and systems involved with project
planning and management. It will stress
the importance of
·
emphasising a business rather than a technical
approach
·
involving users
·
understanding and managing organisational
structures and control systems
·
dividing project work into discrete steps or
stages.
The Business Approach to Projects
Before any project
is begun, it is essential to consider carefully
·
the benefits anticipated from the project
·
the outputs that will produce those benefits.
If you do not know
what you want, how do you know when you have got it? If you do not know where you are going, how
do you know when you have got there?
Business needs and
priorities help an organisation identify which projects are priorities and
which are not.
Business needs and
priorities should determine whether a project is initiated and what form it
should take. Technical considerations
are important but they should not drive the project. They are secondary to other considerations. Following are some key questions to ask.
·
Should we do it?
·
Should we do it now?
·
Can we afford to do it?
·
How can we do it?
·
Will it work?
These questions
are developed further below, in the section on the initiation of a project.
Activity 12
Can you think of a
project with which you have been involved recently? Write down a brief description of the project
and indicate at least two areas where the project was a success and two areas
where the project was less successful.
Can you provide reasons for the successes and the failures?
User Involvement
Because a business
approach is being taken towards project planning and management, the key
participants will be the end-product users, not the technical experts. In this context such users are taken to be the
relevant operational staff of the organisation rather than its customers,
though the staff should always remember what their customers need.
Users should know
what their aims and objectives are (that is, where they want to go) and what
needs to be done to achieve them (that is, how to get there). That is not to say that user requests should
be acceded to without question or that bigger, newer or more sophisticated ways
of doing the present job will necessarily be the answer. For example, if a system for processing data
is not working, introducing computers will not necessarily solve the
problems. Users must be able to stand
back from the job, look at the required product and map the best way of getting
there, even if that means changing the job.
Hence, users
should be involved in all stages of the project from the inception to the
implementation. This involvement may be
formalised in the establishment of a users committee with representation on the
project steering committee.
Organisational Structures and
Control Systems
If projects are to
be managed effectively and economically, they need to operate within
appropriate organisational structures and control systems.
Organisational Structure
The organisational
structure should be a simple as possible.
Responsibilities for each of its elements should be carefully defined
and delineated. The key players within
the organisation will include
·
the steering committee or project board
·
the project manager
·
assurance or quality co-ordinators
·
project teams
·
project support staff.
Steering
Committee
Steering Committee: A
senior management group that approves the commitment of resources to, oversees
the general direction of and monitors the progress of a project.
The steering
committee should be responsible for the strategic management of the project. It
should be small but influential, ideally with only three members: a senior
manager (as chair), a senior user and a senior technical specialist. These people should be sufficiently senior
within the organisation to take decisions and commit resources (within budgets)
without having to refer upwards, except in cases of major variances from the
project plans (such as serious cost or time over-runs).
In some systems the title ‘project board’ or ‘management
board’ is preferred, with the implication that a board has more powers of
decision than a committee. The more
widely found ‘steering committee’ is used here.
The steering
committee should be accountable for the project, with responsibility for
·
giving strategic direction to the project
·
approving project terms of reference and project
plans
·
managing risk
·
agreeing tolerances, approving exceptions and,
if necessary, terminating the project
·
managing progress and agreeing action
·
signing off the project.
Project
Manager
The project
manager should be accountable to the steering committee for the conduct of the
project and delivery of its outputs. He
or she should be selected for management skills and abilities rather than for
any specific subject expertise.
The project
manager should be responsible for
·
preparing terms of reference and project plans
·
establishing teams, setting their objectives and
approving their work plans
·
setting checkpoints and preparing periodical
progress reports and exception plans
·
preparing end-of-project reports.
Assurance or Quality Co-ordinators
The assurance
co-ordinators should be responsible for
·
assisting the project manager
·
establishing business, user and technical
quality standards and acceptance criteria
·
monitoring performance against plans.
Project Teams
Project teams will need to be established to carry out the
project. Their size and composition will
vary with the scale and scope of the project.
For smaller projects a single team headed by the project manager may
suffice. For more complex projects a
number of separate teams to tackle discrete parts of the project, each headed
by a team leader, may be necessary.
Team leaders should be responsible for
·
contributing to the planning process
·
managing their teams in the execution of the
project.
If there are not
enough technically qualified personnel within the organisation to fill all the
technical posts required for planning and managing the project, then people may
have to be borrowed from other agencies within the public sector or hired as
temporary consultants from the private sector.
At some stages of
the project, it is likely that the teams will be working with technicians from
the companies supplying equipment or services.
It is important that any technical consultants hired by the organisation
should be independent of those suppliers.
Otherwise, there is a potential for conflict of interest with the
companies supplying goods or services to the organisation.
Project
Support Staff
The project will need to have an
appropriate complement of administrative and clerical staff to manage the
paperwork produced and provide the necessary logistical support.
Activity 13
Imagine you are
responsible for a project to install two new computers and appropriate software
to prepare descriptions of archival records.
The computers and software are being supplied by a private company in
your country; all of the work to install the equipment and software is to be
done by staff within your organisation.
Outline who in your
organisation you would assign as
steering
committee
project manager
project team.
Would you need to break the project down into discrete
parts with separate project teams for each?
Why or why not?
For this exercise,
do not identify specific individuals within your organisation but rather the appropriate
positions, such as senior archivist or computer technician, according to the
jobs in place in your institution. If a
particular position does not exist, you may wish to create one and explain why
you felt this action was necessary.
Control Systems
Control should be
exercised at all levels throughout the project.
It is important to install a formal mechanism for monitoring
progress. At the heart of this mechanism
should be a sequence of plans, quality reviews, risk
assessments and reports for consideration and action at the appropriate
level within the organisational structure.
These documents should be produced at predetermined points within the
planning process and should be considered at formal meetings of the respective
bodies. Since these reports will be the
basis on which decisions are taken, it is essential that they should be
accurate and complete.
Plans
The plans should
establish the parameters for the project and its several
components. The plans should set
out
·
specifications of outputs and quality standards
·
availability of resources
·
technical constraints
·
risks
·
financial and time tolerances.
Quality
Review
Quality review may
be formal or informal. Its purpose is to
ensure compliance with quality standards and to discover and document errors.
Reports
Reports should be
expected at various predetermined checkpoints
during the project and at the end of the project. If at the checkpoints serious problems are
observed, such as breaches or potential breaches of tolerances, shortages of
staff or technological difficulties, the project manager should trigger
exception reports. The steering committee will then have to decide
whether to modify the original plans by means of an exception plan or to
discontinue the project.
Meetings
Formal meetings
should be scheduled for each of the bodies within the organisational structure
at the points within the project when the various key documents are ready for
consideration and acceptance. These
meetings must be minuted.
The progress of any
project should be controlled through the use of plans, reviews, reports and
meetings.
Project Stages
For convenience of
planning and control, it is usual to divide projects into a number of discrete
steps or stages. These are approached in
a set sequence but it is possible to repeat steps or terminate actions at any
stage. It may be particularly important
to return to and repeat a previous stage if major difficulties arise.
For the purpose of
this lesson, a seven-stage process is recommended. Remember, these stages may be changed,
repeated, or removed depending on the specific project in question. The seven stages outlined here include
·
initiation
·
analysis
·
design
·
development
·
implementation
·
operation
·
evaluation.
Initiation
A project may be
initiated as an outcome of the strategic planning process or as a response to
changing regulatory requirements or customer needs.
At this stage,
basic business questions are asked.
·
Should we do it?
What are the benefits? Do the
benefits justify the expenditure of time, effort and resources? Remember the maxim: ‘If it isn’t broken,
don’t try to fix it’.
·
Should we do it now? Where does it fit in our strategic
priorities? What would be the penalties
of not doing it?
·
Can we afford to do it? Do we have the human, financial and physical
resources to manage the project?
·
How can we do it? What are the technological and other options
available? What are the legal or other
constraints?
·
Will it work?
What outputs can we expect and how will we measure success? Do we have the human, financial and physical
resources to derive full operational benefit from it?
If the answer to
the last question is: ‘We do not know’, it may be advisable to set up a
feasibility study, which can be a mini-project in its own right. Such a study helps the organisation determine
if the project is valuable and if the organisation will benefit fully from the
products created.
A project should
begin by asking critical questions about whether or not the work should even be
considered.
Once all the
questions have been answered and a decision to initiate the project has been
made, a number of preliminary actions need to be taken. These include the following.
·
Issue a formal project initiation document
setting out the project’s purpose, parameters and anticipated products.
·
Appoint the steering committee.
·
Assign appropriate resources.
·
Establish control mechanisms.
·
Select the project manger and project team(s).
·
Prepare a project plan covering all the stages
described here.
Analysis
This stage is
concerned with ‘What?’ not ‘How’. What
outputs are expected from the project?
What is its purpose? Where do we
want to get to?
The following
information is gathered at this stage.
·
User needs are identified and quantified.
·
These needs are placed in order of priority,
with the essential taking precedent over the merely desirable.
·
A realistic assessment of the availability of
resources is made.
·
Risks are assessed.
·
Benefits are identified and quantified.
·
The effect of changes to existing procedures and
structures are identified.
The analysis
determines what is going to be done.
From this
analysis, a user specification is developed (in some systems this stage is
known as the ‘specification stage’). For
complex projects this may require full-scale functional analysis.
For a
more detailed discussion of functional analysis see Analysing Business Systems.
Activity 14
Undertake
a risk assessment for a small potential project, such as reorganising a filing
system or moving records from one office to another. What risks are involved? Why is the project worth doing? Who should be responsible for (a) identifying
and (b) managing the risks?
Design
This is the stage
that is concerned with the ‘How?’ How
might we deliver the specified outputs?
How do we get to where we want to go from where we are now?
The design stage
determines how a project will be executed.
At this stage, the
practical means of meeting the user specification are identified:
·
possible technical solutions are explored
·
alternative logical and physical systems are
mapped
·
operational resource requirements are estimated
·
the implications of changing from the present
situation are examined
·
technical and quality standards are determined.
In larger projects
the early phases of this stage are likely to be iterative. That is, the work will be undertaken,
reviewed and repeated as necessary so that user requirements and design
constraints are matched to produce a revised user specification. It may also be that in the early phases a
number of design options present themselves to the stage team. If so, a cost-benefit analysis of the options
should be undertaken. The option that
best balances benefits and costs will normally be the one selected for full
development.
From this process
should emerge a detailed design specification.
This may range from a design for a totally new product to one that
improves on an existing one (such as building a new archival repository or
improving and extending an existing one).
The detailed design specification will provide the basis for any
contracts for the supply of the product at the next stage.
Linked to this
specification should be a timetable of implementation stages, showing their
critical relationship to each other.
Consider the following for example.
·
It is not possible to start constructing an archival
repository until the land has been acquired.
·
It is not possible to start installing racking
and shelving before construction has been completed.
·
It is not possible to start moving in archives
before the racking and shelving has been installed.
Such a timetable
might be expressed as a simple Gantt chart (see Figure 8).
The process of developing Gantt
charts and analysing the critical flow of work is discussed in more detail in Analysing Business Systems.
Development
This is the stage
when the project’s design starts to become a reality. Development will normally involve a
partnership between the organisation and contractors supplying the
product. It will often be the longest
single stage of the project and, therefore, the one with the greatest number of
checkpoints.
The product may be
the construction of a new archival repository, the assembly of hardware,
software and data for a new information technology system, the procurement of
new conservation or reprographic equipment or the restructuring of a registry
system.
However, this stage should not been seen as one of purely
technical input. Introducing a new
product will have significant implications for the way in which staff
work. Therefore, it is important that
preparation for the necessary changes to working relationships and practices
should go hand in hand with technical development.
Whatever the
product is, the stage should not be concluded until the product has been tested
in the changed working environment and both have been found to conform to
pre-determined technical and quality standards and to meet user specifications.
Development involves
actually executing the design and testing the product to make sure it is
satisfactory.
Implementation
This is the stage
at which the user takes over the product and prepares to operate it, to manage
the changes to working relationships and practices which it involves and to
achieve the anticipated benefits. It
will include drafting user manuals and training staff to carry out new
procedures and operate new equipment.
Implementation
includes the development of training and maintenance procedures.
Operation
This is the final
stage of the project, when the product becomes fully operational. Unforeseen problems may now occur, but if the
project has been well planned and controlled, these should be of a minor nature
needing only fine tuning to correct them.
|
No.
|
Action
|
Months
|
||||||||||||||
|
|
|
1
|
2
|
3
|
4
|
5
|
6
|
7
|
8
|
9
|
10
|
11
|
12
|
13
|
14
|
15
|
|
|
|
1998
|
1999
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Figure 8: Gantt Chart
for Constructing and Occupying an Archival Repository
Evaluation
An evaluation, or
audit, is a critical part of maintaining and improving the operations of an
organisation.
The purpose of an evaluation is to
·
review, verify, evaluate and report on the
adequacy of the internal control framework established to manage a function
·
examine and evaluate the performance of the
function in relation to that framework
·
advise management on the economy, efficiency and
effectiveness of operations.
Basically, evaluations (also known as audits,
reviews or monitoring reports) assess performance, identify opportunities for
improvement and develop recommendations for improvement or subsequent
action. Evaluations of management
systems should be undertaken on a regularly scheduled basis, not only to
determine the deficiencies of the systems but also to identify proficiencies. Evaluations can also assist in determining
compliance with legislative and policy requirements.
There are many options available when deciding
how to conduct an evaluation of the management system of an organisation. Broadly the choice is between
·
a formal, regimented evaluation conducted by an
outsider
·
an informal evaluation conducted by someone
within the agency.
Informal evaluations may be done as an ongoing
part of the management programme as a self-checking tool for any aspect of the
management system.
It is important to stress that the purpose of the
evaluation of the management system is not to lay blame for any perceived
inefficiencies, ineffectiveness or non-compliance with existing legislative and
policy frameworks. Its purpose is to
identify any existing problems and to find reasonable and achievable
solutions. The overall aim is to achieve
the sound and effective management of government resources.
Any evaluation should
seek to improve systems, not lay blame.
Just as projects involve various stages,
evaluations also involve a number of stages.
These include
·
planning
·
preparation
·
evaluation
·
verification
·
reporting
·
implementation.
Planning
The planning phase involves selecting an auditor
(and the evaluation team if necessary), determining the purpose or scope of the
evaluation and gathering information pertaining to the management system and
its objectives. The options for an
auditor are usually
·
an internal auditor or internal staff member
·
an external auditor or consultant.
In some cases, it may be decided to utilise a
team approach, rather than having the work done by a single individual. In such
circumstances, an evaluation team will have to be established. The auditor should assume the project
manager’s role.
Before the evaluation can be initiated, it is
absolutely essential to identify the scope and the objectives of the
evaluation. The evaluation can be
undertaken on either a portion of the management system, or on the system in
its totality. This scope must be clearly
and distinctly enunciated.
Once the scope of the evaluation has been determined,
a preliminary evaluation plan should be developed. The plan should include
·
meeting with senior management to discuss terms
of reference
·
arranging for interviews with staff, customers
and others
·
gathering background information
·
determining methods and techniques to test,
document and evaluate the management system and so on.
The evaluation plan should lead to a more formal
project plan, setting out a broad outline of the proposed project. It should
·
specify the need (what is being evaluated, the
purpose of the evaluation)
·
identify the customer (the unit manager, the
branch, the ministry)
·
identify the auditor or project manager (the
person leading the evaluation)
·
name the proposed members of the project team
(including a summary of their skill sets)
·
list the major project phases and major
milestones in each phase
·
time frames and cost estimates, where possible
and appropriate.
Preparation
This is the phase in which the auditor or
evaluation team will become more familiar with the policies, functions, activities
and procedures of the agency or other unit to be evaluated. This phase is devoted to gathering additional
information and testing the process to identify problems and other areas that
warrant detailed examination.
Data must be
collected to prepare for the review process.
There are many ways to collect data, including review of documentation,
personal interviews, questionnaires, random discussions with staff and analysis
of the organisation’s procedures or activities.
The product of this phase is an interim report
that presents the findings of the review: an account of the system that is in
place within the organisation. The
interim report presents the findings of the data-gathering process and allows
senior management to see the progress of work to date. Once the interim report has been written,
discussed, revised and edited, it can be submitted to senior management. Since the findings may be complex, it may be
necessary to make a short oral presentation along with the report. The purpose of the report and presentation is
to discuss the findings so far and to seek approval for the final evaluation
and verification of the systems being audited.
Evaluation
The actual evaluation of the systems being
audited takes place once the data about those systems have been gathered and
senior management has approved the continuation of the work. Within the evaluation process, both positive
aspects and deficiencies should be identified with supporting rationales. There may be good reasons for some of the
deficiencies, such as inadequate resources, insufficient space, untrained staff
and so on. The evaluation report should
also make special note of areas where there is the greatest potential for
error, loss or non-compliance that may put the agency or its head at risk.
The evaluation of the management system should
not be a one-time affair. All management
systems should be evaluated at regular intervals. Initially, the system should be evaluated for
its conformance to project parameters: the performance standards that have been
established for the management area.
Then, at pre-specified periods, the system should be rechecked to verify
its ability to meet continually changing needs, with recommendations to make
changes and updates as required.
The products of any
project should be reviewed regularly to determine their continuing success and
validity.
Verification
In this phase, the auditor concentrates on an
in-depth verification of essential operational controls, significant
deficiencies and major inefficiencies.
This verification phase is required to determine if those controls are
operating as designed and are effective; and to substantiate significant
deficiencies and major inefficiencies, as well as determining the causes and
effects of everything noted.
The techniques used in the verification phase
include
·
testing each of the management processes
·
personal observation of as many facets of the
management system as possible
·
inquiries, reports and analysis of information
gathered
·
independent or third party interviews.
Reporting
Reports have several purposes. These include passing along information,
reporting on progress, and obtaining approval.
Naturally, the number of reports will depend on the size of each
project. Some of the reports may be
presented verbally and be documented through minutes of meetings. Others may be written and then presented
orally as well. Still other reports may
just be simple notes to the file. The
final evaluation report should be distributed to all relevant persons.
Implementation
If the evaluation report is accepted by
management, the next step would be the implementation of the
recommendations. Fundamentally, the
recommendations should improve the quality of the management system.
Activity 15
How are evaluations
conducted in your organisation? If they
are not conducted, what steps are taken to ensure projects are successful or to
improve activities in the future? Write
a brief description of your findings.
Activity 16
Using the
hypothetical project you worked on in the activity earlier in this lesson,
consider the work involved in each of the seven stages of the project:
initiation
analysis
design
development
operation
evaluation.
For each stage,
write a brief description of the activities or tasks that might be involved,
the questions or concerns that would need to be addressed and the steps you
would take to make sure the project was a success.
Summary
Lesson 3 has
provided a summary of the basic components of a project planning and management
system. It has stressed the importance
of a business rather than a technical approach and of user involvement. It has introduced organisational structures
based upon the allocation of specific but interlocking responsibilities to
·
a steering committee
·
a project manager
·
assurance coordinators
·
project
teams
·
project support staff
The lesson has
also proposed control systems based upon formal project plans, quality reviews,
risk assessments, reports and minuted meetings.
Finally, the
lesson has described a planning process divided into the following discrete
steps or stages:
·
initiation
·
analysis
·
design
·
development
·
implementation
·
operation
·
evaluation.
In discussion the evaluation
process, this lesson has examined the various stages involved, including
·
planning
·
preparation
·
evaluation
·
verification
·
reporting
·
implementation.
Study Questions
1. Define
a project.
2. What
are the qualities of a project that makes it different from a routine,
repetitive process?
3. What
is the concept of a business approach to project planning?
4. What
five key questions should be asked when considering a new project?
5. Who
could be considered the users of projects?
6.
What is the role of
the steering committee?
7. What
is the role of the project manager?
8. What
is the role of the project team(s)?
9. What
control mechanisms should be in place at all levels throughout a project?
10. Describe
each of the seven stages of a typical project.
11. What
questions might be asked when initiating a project?
12. When are
technical and quality standards determined?
13. When are risks assessed?
14. At what
stage are training and maintenance procedures developed?
15. When does
the product of a project become operational?
16. What is the
purpose of an evaluation of a project?
17. Define and
explain each of the six phases of an evaluation project.
18. Why is it
necessary to obtain approval for further action?
19. Why are
reports important when preparing evaluations?
Activities: Comments
Activity 12
People
are involved with projects every day, from organising a body of records to
preparing their daily meal. It has been
argued that every piece of work we undertake can be defined in project
terms. Many projects seem successful but
perhaps could have been done more efficiently; one of the important factors is
ensuring there is a strong vision of the final product and communicating
expectations clearly to all people involved with the project. The rest of the information in this lesson
should help you identify ways that you could have improved work on the project
you identified for this activity as well as helping you plan future projects to
be effective and efficient.
Activity 13
The
positions identified to undertake the work of the
steering committee, the project manager and the project team(s) will differ
depending on the nature of your own institution. A large and complex institution may have
dedicated technical staff responsible for the installation of computer
equipment and software. A smaller
institution may have no such staff.
It is essential to ensure senior management support by
including a senior manager on the steering committee, and ensuring other
individuals involved are committed to the project and knowledgeable
about the project and its purpose.
Activity 14
Compare
your findings with the information provided in this lesson to see if the
processes in your organisation differ from those suggested here.
Activity 15
Compare
your findings with the information provided in this lesson.
Activity 16
Each
of the seven stages should be considered.
Compare your answer to this activity with the information provided in
this lesson and ensure that you understand clearly the issues raised for each
of the seven stages identified.
Lesson 4
Promoting Records and Archives
Services
Lesson 4 provides guidance for
senior records and archives professionals in raising and resolving key issues
with policy makers and senior management.
It is based on the proposition that information is a strategic asset to
any government or enterprise. It is also
based on the belief that sound information and records management is an
essential ingredient in any democratic society.
Access to reliable and accurate information sources is critical at all
levels of government, from the highest level, with its concerns over the rule
of law, the delivery of services to citizens and the transparency of government
to its people, to operational levels in the public and private sectors, with
their concerns for administrative reform and efficiency, improved and
competitive customer-based services and internal and public accountability.
While most modern legislators,
jurists and public and private sector executives accept in theory the
importance of information, few governments or private sector organisations
demonstrate the acceptance in practice.
Too often information and records are used as tools of power rather than
of empowerment. Too often information is
equated with computers. Senior
management tends to focus its attention on technology rather than
information. Seldom are the necessary
policies actually in place to facilitate the use of information as a strategic
asset.
This lessons aims to assist
records and archives professionals to understand the policy process and to
develop appropriate communication skills.
These skills are needed to raise awareness among senior managers and
other stakeholders of
·
the importance of information as an asset for
national development
·
the links between information management,
information technology and records and archives management.
The Policy Process
Policy making is
the process of choosing from the range of options those that will be most effective
and beneficial. Making such choices in
the absence of information, and certainly in the absence of perfect or complete
information, is often necessary.
However, making choices in the absence of available information because
the decision makers do not know of the existence of the information, do not
have easy access to it, or do not know how to access it, is simply poor
management. A central purpose of this
lesson is to provide records managers with the means of assuring decision
makers that they do not have to be satisfied with poor management. The principal road to making the necessary
changes is the establishment of strong mechanisms for effective information
policy making, information planning and information management.
Choices can be
made at different levels. These levels
are distinguished as strategy, tactics, policy and planning. These ideas were introduced in Lesson 2 in
terms of the concept of playing games.
·
Strategy has to do with the art of choosing the
right game to play in the first place.
·
Tactics
has to do with the science of choosing the best approaches for winning that
game.
·
Policy is what governs how we conduct
ourselves in playing the game.
·
Planning is what we do to convert our tactics
into a set of moves.
Strategy
Strategy poses the
following questions.
·
What do we want to be in the long run, given
whatever legal or organisational constraints might be imposed from above?
·
What do we choose to make or do?
·
What is our vision of the future and how we fit
into it?
·
What are we good at and what would we have to
change to align what we want to be with what we are?
Some organisations
discover, perhaps accidentally, that they are in a different business from the
one they were in originally. They are
forced to face the question: Have we made the necessary strategic changes to
become successful at what we have now become?
For example, a
National Archives might have originally been established to preserve the
historical records of the nation, concentrating on those records over thirty
years old. But over time the archival
institution may have become responsible for overall records management within
the government. The business of the
institution has changed and it must now re-examine its purpose and make
strategic changes in order to fulfil its new duties. This may involve establishing a new
organisational structure, creating new positions and developing a new
understanding of responsibilities and functions.
To develop
strategies, organisations need information about the business they are in and
the customers they serve as well as about the legal or regulatory constraints
within which they operate. Strategy
making also requires considerable and accurate information about the
organisation itself: its financial, human and physical resources and its
information and technology assets, strengths and weaknesses. Whatever strategy is chosen, information is
crucial to its pursuit, in terms both of what information must be obtained
externally and internally in order to carry out that strategy and of what
information must be produced by the organisation to support it.
Strategy involves
ensuring the organisation knows where it wants to go and what it wants to be.
Tactics
To determine
tactics, it is necessary to ask the following question. Knowing where we want to go, what is the best
way to get there? Tactics are broad game
plans as opposed to detailed plans; they provide shapes and forms within which
clear and detailed plans may be developed.
Feasibility studies may be regarded as tactical planning exercises:
using information and assessing different approaches to develop a range of
options.
Sometimes, this
tactical stage is skipped and managers move directly from strategy to planning
(or what some people might call from strategic planning to operational
planning).
Tactics involve
determining how to get where the organisation wants to be.
Policy
Policy can mean
·
prudence or wisdom in the management of affairs
·
a definite course or method of action selected
from among alternatives
·
a high-level overall plan embracing general
goals and acceptable procedures.
In the information
and records management context, policy is what gives the lowest level file
clerk the authority to deny a senior colleague access to certain categories of
classified information or records.
Similarly, if we are to take advantage of the efficiencies afforded by
modern electronic systems, policies are needed to establish various ground
rules about access to, and use of, information stores including organisational
records.
Effective policy
making answers the following questions.
·
What guiding principles or values will we employ
in establishing tactics to implement our strategy?
·
What do we mean by such terms as ‘best way’?
For example, what
is ‘best’ in a strategic vision that calls for providing the ‘best
service’? Is it the most effective
service? The least expensive? The highest quality? The most error free? The service with fastest turnaround? Or some combination of these several
qualities? As ‘best service’ cannot
realistically be all of those things at once, what will the priorities be?
Just as the
effective use of financial and human resources requires the establishment of
financial and human resources policies, so the use of information resources
requires a broad set of information policies.
Policies establish
overarching principles.
The terms policy and planning are sometimes used
interchangeably, but this masks some of the harder questions that may have to
be addressed in policy making.
Planning
Planning involves
creating actions that combine the requirements of the tactics, strategy and
policies. These actions will take place
over specific times with specific resource levels and within specific centres
of responsibility. Whatever the
strategy, having the right kind of information at the right time is essential
to meaningful planning. This is why
programme managers are so important to policy making and planning in the
information management and technology areas.
The central operations of any organisation should dictate how information
(including organisational records) and technology will be used effectively by
that organisation.
Records management
goes beyond the strategic use of information, but it must begin there. Business processes are derived from strategic
aims and the strategic use of information in achieving those aims, and business
actions and transactions are the residue of business processes that produce
records.
Planning translates
strategies into actions, using tactics and policies as guides.
Activity 17
Imagine that you
are a senior manager responsible for the administration of the National
Archives in your country. The government
has given its support for an integrated approach to records and archives
management for the entire government, and your institution is to become the
National Records and Archives Institution, responsible for current records,
semi-current records and archives. You
have determined that, in order to manage the recorded information of the
government more effectively throughout its life, your agency needs to redefine
itself.
Your strategy is to
redefine the archival institution from a historical records facility into an
integrated information agency.
What tactics might
you use to accomplish your strategy?
Identify at least two and write a brief description of each and why you
think each is important.
What policy or
policies might you choose to put in place to help make these changes? Again, identify at least two and write a
brief description of each and why you think each is important.
Identify two plans
you will follow to execute your tactics and accomplish your strategy. Again, describe each and indicate why it is
important.
Achieving Senior Management
Commitment
There is no single definition of ‘senior
management’. In practice, the term can
be taken to include managers who, within a broad area of work,
·
are fully accountable for that work
·
control the human, financial and physical
resources to accomplish that work
·
are involved in the formulation and
implementation of strategy.
Senior managers are the people at the apex of the
pyramid in an organisational structure, who can make things happen and who can
provide other managers with the resources they need.
The functions of a senior manager are to
·
establish key aims and objectives for the
organisation
·
influence and manage the culture of the
organisation
·
define the policy framework
·
participate in formulation of strategy
·
ensure that strategy is consistent with
corporate aims
·
agree the final strategy
·
be accountable for the implementation of the
strategy through the delivery of services to agreed performance levels.
Senior management commitment to any policy is
needed because senior managers
·
have the power to make things happen
·
have budgetary control
·
have access to ministers, other senior managers
and stakeholders
·
have a broader view of the priorities within the
strategic plan.
Hence, to ensure a project or operation is
successful, it is vital to get senior managers ‘on side’. This is done by making senior managers aware
of the benefits the project or operation can bring.
Consider for example the introduction of good
information management across government.
Senior managers would need to be shown the following benefits:
·
increased efficiency and effectiveness
·
lower cost
·
closer accountability
·
good governance
·
improved rule of law.
It is also vital to determine how the project or
operation fits into the organisation’s wider strategic management and planning
process. This can be done by stating
clearly the aims and objectives of the project or operation and the results to
be achieved.
Again taking information management as the
example, it is important to demonstrate how, within a civil service improvement
programme or strategic adjustment plan, an information policy can provide
·
a strategic view for information management in
the organisation, set out in clear plans that integrate information management
into the wider strategic objectives of the organisation as a whole
·
effective project management in the key areas of
time, budget and quality standards
·
regular monitoring and review of progress.
‘Signing-up’ senior management to this strategic
view may be achieved through a clear written policy statement covering key
areas. This written policy could be
backed up by effective presentations explaining the details of the issue.
Thereafter, senior management commitment must be
maintained. This ongoing commitment can be obtained through involving managers in projects
through membership of steering committees and a regular process of reporting,
informing them of
·
key developments
·
progress monitored against performance targets
·
progress towards achieving long-term objectives
·
progress towards achieving greater efficiency
and effectiveness through improved services or lower costs.
Senior management
support is critical to the success of any change in strategy or policy within
an organisation.
Activity 18
Using the
information you prepared for Activity 17, write a brief plan describing how you
would secure senior management support for your organisational changes, in
order to make the National Archives into a fully functioning, integrated
National Records and Archives Institution.
Which senior managers would you contact for support? What information would you provide them about
the changes? How would you maintain
their commitment?
Be as specific as
possible, remembering that the situation is hypothetical. Use senior management positions, not
individuals, when identifying who would be involved.
Communication Skills
Influencing people, whether they are senior managers,
other opinion formers or customers, is dependent upon good communications. Proposals for change will go unheeded if they
are not presented in an appropriate manner.
It is essential that any person with management responsibilities develop
a range of communications skills. Some
of those skills are dealt with below.
Good communication is
essential to good management and effective organisational change.
Understanding Organisational
Culture
It is worth highlighting the importance of
understanding the ‘culture’ of the organisation in which the manager is
working. In this context, culture simply
means the way things are done in that particular organisation. The manager needs to be sensitive to that
culture and take it into account in planning his or her strategy for managing
change.
This culture or an organisation is evident in
·
how people communicate
·
their roles in the organisation
·
how they behave and dress
·
who can and cannot do certain things
·
what can and cannot be said or written
·
how proposals and thoughts are expressed.
The most successful people are those who
understand the culture and achieve their aims by exploiting that culture to the
full in their dealings with their superiors, their equals and their own staff.
For example, when putting forward proposals it is
necessary to know the following:
·
What are the proper channels for putting forward
those proposals?
·
Are proposals usually formal or informal?
·
Are proposals normally put forward in writing?
·
Do people expect to receive initial thoughts on
new plans or carefully prepared proposals?
Understanding the
culture of the organisation is critical to successful change management.
Using the right language is critical. So too is an awareness of the informal
networks that exist within and around organisations. It is not enough simply to look at the
organisational chart to understand the organisation’s culture.
Success or failure can ultimately depend on
getting these seemingly small details right.
For example, consider the process of making a presentation to a superior
officer whom the manager has not met before.
In most cultures calling the superior officer by his or her first name
might well be wrong, but in many cultures addressing him or her as ‘sir’ or
‘madam’ might be thought equally inappropriate.
No matter how convincing the manager’s actual arguments are, mistakes
over such details will detract from any success.
This is not to say that the accepted way of doing
things must always be followed.
Sometimes a new approach can be the most effective of all. However, what is vitally important is that
any departure from the norm should be a conscious and deliberate decision,
taken after consulting with key stakeholders and
staff and considering the effect the new approach may have.
Activity 19
Write a brief
description of the ‘culture’ of your organisation. Is it formal or informal? Are senior managers highly communicative or
is it difficult to obtain information?
Are presentations planned well in advance or made ‘off the cuff’? Is the organisational ‘traditional’ or
‘progressive’?
Report Writing
Report writing is a key communication skill. It is
useful when communicating with staff at all levels but can be particularly
important when dealing with senior management.
Writing a report assumes a basic grasp of language, but it is a skill
that can be learned in a number of ways and is capable of being refined
continually. If learned at an early
stage of personal development, report writing is a skill that will not be
forgotten and will be continually used.
Reports should be comprehensive yet concise and
accurate. They should be delivered on
time so that the information that they contain can be taken into account in the
policy‑making process. The style of
individual reports will vary depending on the requirements of the subject and
local practice. Whatever the style, the
report must be clear and unambiguous.
In the simplest terms, all reports should contain
the following basic elements:
·
a statement of purpose
·
an explanation of the methodology used
·
a summary of the findings
·
an analysis of those findings leading to a
number of conclusions
·
the gathering together of a number of
inter-related recommendations that should deal with any problems from the past
and point to a clear strategy for the future.
If the report is a long one, it is often very
helpful to compile a short executive summary that will enable the busy reader
to get a general understanding of the content of the report and an indication
of where the more important detail can be found.
Reports should be
comprehensive yet concise.
Presentations
Giving presentations is another vital
communication skill. What follows in
this lesson is just an outline of the main points to remember when making
presentations. Ideally, a person
responsible for such communications work will take a practical training course.
An interesting
speaker is one
·
who has something to say, in an interesting way
·
who can be heard in every corner of the room
·
whose voice changes in pitch, tone and volume
·
who uses silence to punctuate paragraphs,
sentences and phrases
·
who involves the audience by posing or
responding to questions.
In short, a good presenter is someone who makes
the audience think about a topic in a completely new way. The actual delivery of a presentation is only
the tip of an iceberg. The bulk of the
work has to be done in the preparation beforehand. A logical sequences of preparing for a
presentation follows.
How to
Manage Nerves
The first thing to
realise is that all speakers feel nervous.
But that does not mean that the speaker should show it.
All speakers feel
nervous, but good speakers train the butterflies to fly in formation.
It is important to
examine your fears about speaking publicly:
·
What it is you are nervous about?
·
What is the root cause?
·
What is the worst thing that could happen?
·
What will you do if the worst should happen?
·
How likely it is to occur?
·
What can you do to prevent it from happening?
·
What can you do to minimise the effect?
Preparing Reports and
Presentations
Knowing the
Audience
Consider the needs of the audience
(both literally for a presentation and metaphorically for a report), not the
needs of the topic. To do this, it is
important to research the audience
thoroughly in advance. Establish what
the audience already knows, needs to know and wants to know and how the
audience will use the information once your report
has been read or your presentation is over.
Use language appropriate to the audience and the
situation. Tailor the report or
presentation to what its members need.
Use examples, illustrations and anecdotes relevant to the audience. Try never to fall into the trap of
patronising the audience.
Knowing your audience
is critical to a successful report or presentation.
Objectives
of the Report or Presentation
When preparing a report or presentation on a
topic, it is important to be clear ‘Why?’ (the purpose and objectives) and ‘To
Whom?’ (the audience). If the objective
is not clear, refer back to the initiator of the
report or organiser of the presentation to be sure.
When clear on the purpose and objectives, next
think about what has to be achieved by the report or presentation. For example, will the audience be interested,
informed, stimulated or persuaded?
Do not try to do too much. Try to narrow the report or presentation down
to one specific idea. For example, the
key objective of a report or presentation on information management issues
might be that by its end the audience will understand
the difference between information management and information
technology.
Without this clear objective, it will be
impossible to measure how well the information presented was received. The objective provides direction. Remember, if you don’t know where you are going,
how do you know when you get there?
Be clear on the
purpose of the report or presentation.
Preparing
the Material
Preparing the material for a report or
presentation can be considered in two phases: preparation of the message, and
planning its delivery.
When preparing the message, you should first collect
facts, items of interest, anecdotes, illustrations and explanations; jot down
ideas; brainstorm with the help of friends and colleagues; let the ideas
incubate, then re-evaluate and, if need be, add more ideas. Then you should select the most relevant
material, relating back to the main themes, the objective and the needs of the
audience.
Next, organise material into three categories:
·
information that must be included
(without it the report or talk is pointless)
·
information that should be included (to
enhance the understanding of the material)
·
information that could be included (if
space or time allows).
The structure of the report or presentation should
simply be
·
introduction: capture the attention early;
highlight key points; do not apologise, avoid ‘I’m not an expert…’
·
main body of text or talk: logical flow,
sustaining interest
·
conclusion: be brief, be clear, repeat or
summarise key points (‘tell them what you have told them’).
When planning how to deliver the message orally,
the options are as follows.
·
Impromptu: An ‘off the cuff’ presentation
without advance planning can be spontaneous and informal, but this approach may
mean you miss out some important information.
·
Memorising: This kind of presentation requires a
good memory and is best delivered in an environment without distractions, but
it can sound scripted.
·
Written out: This method is good for conference
papers and similar presentations but it can be difficult when reading from a
text to maintain good eye contact, and the speaker can sound uninteresting.
·
Written to speak: In this method, key phrases
can be written on prompt cards and the speaker refers to the cards periodically
to keep the presentation on track. With this approach it is necessary to know
the subject material well, and practice is needed.
Whichever approach
is chosen, be sure to place the material in an order that will be logical to
the audience note down timings to keep from talking too long. Consider the use of humour, but if in doubt,
do not use it. Decide on the degree of
audience participation and what visual aids to use.
Choose a method of
presentation that suits the information, the audience and your personal
speaking style.
Delivering
the Message
When making presentations, remember to
·
make a good first impression
·
project your voice (speak to the back of the
room, but do not shout)
·
use inflection, pauses and appropriate language
·
ask questions to keep the audience involved, and
be prepared to answer questions
·
use facial expressions as appropriate and make
and keep eye contact
·
use body language consciously; control
unnecessary mannerisms.
Be sure to use appropriate language
and suitable mannerisms when making the actual presentation.
Using Visual Aids
Good visual aids confer many benefits on reports and presentations, such
as variety, retention, impact, sign-posting, clarity, conciseness and
quality. However, be sure that they do
not distract totally from the objective of the presentation. For example, a long video can take control
away from a speaker.
Similarly, using too many charts or graphs in a report can be
counterproductive by focusing excessive attention on them at the expense of the
material they are intended to illustrate.
A variety of visual aids may be available and
appropriate, depending on why they are used and on the technologies available
at the time: whiteboard, blackboard or flipchart, overhead projector slides (OHPs), video or film, 35 mm
slides, photographs, maps, graphs and charts, models. When deciding whether or not to use a visual
aid, remember, it should arise naturally from the material. It must not be used
because it is a good graphic if there is no clear relationship between it and
the topic.
Visual aids should be high quality,
clear, simple and consistent in style and format.
Activity 20
Imagine that you have been asked
to make a short presentation to senior management on your work to redefine the
archival institution from a historical records facility into an integrated
information agency. Through this
presentation, you hope to ‘sell’ the idea of an integrated records and archives
management facility, so that you can secure continued management support for
your work. Do the following.
1.
First, define the audience for your presentation.
2.
Second, outline the purpose of your presentation.
3.
Third, write a brief outline of the key points you
would make in such a presentation, including
information that must
be included
information that should
be included
information that could
be included.
4.
Next, write a brief description of the type of
presentation you would make, explaining why you chose that approach. In your description, indicate whether you
would use visual aids and explain what types and why.
Marketing
At one time, marketing was a concept entirely alien to the public
sector, perhaps in part because the word was closely associated with ideas of
selling, even of ‘hard’ selling. Recent
changes in the public sector have placed a great deal of emphasis on
arms-length relationships and on trading or quasi-trading relationships. The changes have also allowed managers more
freedom to decide where they should obtain the services they require or if they
should themselves be service providers. Thus marketing has become a more
important issue within government. It
has become necessary for managers in the public sector to develop marketing
skills in order to ‘sell’ services and ideas to their stakeholders, customers,
senior managers and staff.
Marketing involves identifying the
needs of customers and ensuring those needs are met effectively.
Managers have had to think seriously about how best to inform potential
‘customers’ about the services that they can provide and how to ensure these
services meet customer needs. In the
public sector this has meant an increased emphasis on service to the public, on
determining the public’s needs and on ensuring that those needs are met. These are all issues close to the hearts of
marketing professionals.
More and more managers outside the private sector are finding themselves
involved in aspects of marketing. For
some, this will be a new experience, one that can be pleasurable or daunting,
depending on the individual’s personality and previous experience. This section of this lesson introduces the
key elements of marketing.
Marketing Strategy
The starting point in developing any strategy has to be analysing both
the external forces that affect the organisation and the internal situation of
the organisation. This analysis is
usually done by carrying out the well known SWOT analysis, environment scanning
and market identification.
A SWOT analysis assesses internal
strengths and weaknesses and external opportunities and threats.
SWOT analyses were discussed in
Lesson 2.
Having looked at the inside and outside of the organisation, it is then
possible see more clearly just what steps must be taken. These steps can be anything from improving
effectiveness and economy to abandoning little-used products and introducing
new ones.
A suggested approach to marketing strategy is as follows:
·
know where you are (by examining strengths and
weaknesses, opportunities and threats)
·
know your customers (the public, other agencies,
other units within your own agency)
·
know your competitors (within the public and
private sectors)
·
know where you want to get to (budgets, markets,
products)
·
have a plan for getting there
·
plan the introduction of new products and the
improvement or discontinuance of existing ones
·
obtain feedback on how well you and the
competition are doing
·
strive to win: winning is much more fun than
losing, especially in marketing.
In the public sector, products to be sold are more
likely to be services than goods.
Service: Any act offered
or performed that is essentially intangible in nature and does not of itself
result in the transfer of the ownership of an object. Its production may or may not be linked to a
physical object or product.
Most marketing has some elements of service about
it. Since service is provided by people,
their paramount importance can hardly be exaggerated. Staff need to be knowledgeable, helpful,
pleasant and inspire confidence, qualities that are perceived by customers as
being of a higher standard than that of the competition.
Activity 21
Outline three ways
you would ‘market’ your archival facility as an integrated information
agency. Who would you consider your
‘customer’ for these marketing approaches?
Why would you try the marketing schemes you have identified?
Customers, Suppliers and
Competitors
A method of analysis arising
from the total quality management approach involves defining an
organisation’s customers, suppliers and competitors. To carry out this analysis, the following
steps should be taken.
·
Define the organisation’s customers. Keep in mind that the word ‘customers’ does
not only apply to people who purchase a product or service. In the context of a public sector
organisation, we may use the word more broadly to encompass anyone who needs or
uses the output of a business process.
Also, customers – whether in a private or public sector context – may be
external to the organisation, such as taxpayers, or internal to it, such as
file users. Those business processes
that directly achieve the organisation’s mission, known as core business
processes, tend to have external customers.
Those processes that support the core business processes, such as
budgeting, paying employees and managing records and information, tend to have
internal customers.
Customer: Anyone who
needs, uses or benefits from the output of a process.
·
Define the organisation’s suppliers. Again, the word ‘suppliers’ is used more
broadly here than in its traditional business sense. Every business system requires inputs that it
can transform to produce its outputs.
Who supplies the inputs to the organisation? Like customers, suppliers may be external or
internal to the organisation. An example
of an external supplier might be a computer vendor, while a stores department
might be identified as an internal supplier.
Supplier: Anyone who supplies inputs required for the
functioning of a business process.
·
Define the organisation’s competitors. The concept of competitors can be tricky for
those working in a public sector organisation.
Most people assume that government does not have any competitors. After all, there should only be one national
government per country. However, when
the notion of competitors is expanded it can apply to both the public and
private sectors.
Competitor: Anyone
outside an organisation, project or business process that competes for the same
resources (inputs) or provides the same or similar products or services
(outputs). Competitors may be external
or internal.
It is important to raise a note
of caution about defining competitors, especially in the context of the public
sector. In business, normally the aim is
to outperform the competition. However,
in the public sector this is not necessarily the case. For example, if an organisation, such as a
church, offers certain social services similar to services being offered by a
government social services department, the goal in identifying the church as a
competitor is not to outperform the service being offered by the church. Rather, the goal is to recognise areas where
there may be duplication in order to rationalise the provision of services and
the distribution of resources to meet broader social objectives.
Similarly, if competitors are
seen as something or someone to be eliminated, identification of a programme or
agency as a competitor may lead to suboptimal operation of the
organisation. Care must be taken at all
times to consider what is in the best interest of the organisation, that is,
what will allow the entire system to function optimally.
Activity 22
Think of a process that you are involved in
performing. Who are the customers? Who
are the suppliers? Who are the
competitors?
Customer
Care
A customer is anyone
who needs, uses or benefits from an organisation’s products or services.
Customer care is any contact between a customer
and an employee that is positive and productive for all involved. Some organisations may employ specialised
‘customer service representatives’, regularly taking orders by telephone,
answering enquiries or handling complaints.
However, the fact is that anyone who is in contact with the customer,
even for a minute, is part of customer care.
In the context of this lesson, the customer may be
a member of the public, a member of staff of another agency or a colleague
within the same agency. Caring for a
customer is important because that is what business is all about, whether in
the public sector or the private sector.
A customer is
·
the reason for the organisations’ activities,
not an interruption
·
someone needed by the organisation, not someone
who needs the organisation.
Satisfied customers mean repeat business, when
satisfied customers return again and again, and new business, when customers
recommend the organisation to others.
Good business can mean
·
more job security
·
greater opportunities for promotion
·
good pay and benefits.
It is possible to provide better customer care
through better communication skills.
Good communication with customers is based upon information and
attitude.
The importance of
knowing your customers has been stressed already in Lesson 2 in the context of
developing a mission statement for the organisation. According to the total quality management
philosophy, if the customers’ requirements are met or exceeded, the
organisation will thrive. Thus the
customers’ requirements will determine what it is the organisation should be
doing. Identifying those requirements involves consultation with customers to
determine what products and services they desire and how they would like them
to be delivered.
There are a number
of methods for gathering information about customer requirements, such as
customer surveys, customer focus groups, inviting customers to participate in a
brainstorming session and working with customers or performing their work for a
period of time. The choice of method
should be tailored to the particular societal and organisational cultural
context in which the information gathering is taking place. For example, in societies that have a strong
oral tradition or that value personal contact, a mail-out customer survey may
meet with little success.
It is equally important that staff should have the
right attitude in relation to customers.
Staff should be
·
positive in outlook
·
neat and well groomed
·
welcoming to customers
·
proud of their jobs
·
ready to take the initiative
·
sincere.
Well-informed staff are up to date, and
knowledgeable about
·
the availability of goods and services
·
policies on returns, payments, and so on
·
changes in prices (where relevant)
·
changes in procedures.
Handling
Complaints
It is important to handle complaints
smoothly. First, some ‘dos’.
·
Show interest. For example, call customers by
name and let them know that you are listening; give them your name too. Always treat customers with respect.
·
Show empathy with customers. Imagine how you would feel in their position.
·
Restate the complaint to make sure there are no
misunderstandings.
·
Admit the problem, if there is one. Be sure to say that ‘we’ made the mistake,
rather than ‘I’ or ‘they’, and apologise for any inconvenience caused.
·
Ask the customer what he or she would like done:
a replacement? a refund?
Some equally important ‘don’ts’.
·
Don’t be defensive. The complaint is not about you personally. Remember, upset customers may be reacting to
other things that have happened that day.
·
Don’t give a flat ‘no’ for an answer. Always offer an explanation.
·
Don’t assign blame (to the computer, the mail
room, and so on). Customers do not care
whose fault it was; they just want a solution.
·
Don’t give commands to customers. Instead of ‘sign this’ say ‘if you would
please sign this ...’.
·
Don’t make promises that are unrealistic. The customer will just be more disappointed
later on.
·
Don’t leave the customer dangling. Keep writing or calling with progress reports
until the matter is resolved.
·
Don’t lose your sense of humour. Seeing the light side of things will make
both you and the customer feel better.
At the same time, don’t give the impression that you think the complaint
is trivial.
·
Monitor complaints and have targets for dealing
with them.
Customer service depends on the individual. Staff should be courteous, positive,
well informed and clear.
Communicating the Value of
Records and Archives Management
The business
activities of an organisation do not automatically result in the generation of
accurate and usable records.
Well-developed strategies are needed to ensure that records are
controlled and managed effectively.
Well-defined procedures and standards are required to ensure that
reliable records are created and maintained, are available to users when needed
and are disposed of appropriately when no longer required.
It takes time and
effort to restructure records management systems to meet an organisation’s
changing requirements. Records managers
need the strong support of senior management so that adequate time and
resources can be invested in designing and introducing new records systems. This investment will bring benefits: better
planning and decision making, cost-savings, increased efficiency and
productivity, improved working environments and greater accountability are all
outcomes of improvements to record-keeping systems.
Institutions need
to promote an environment in which effective records management is
encouraged. Senior management should
support an agenda that includes the following:
·
developing an efficient records service that
meets the needs of the organisation
·
promoting a culture of reliable and accessible
records
·
strengthening the role of records management and
records managers within the organisation
·
developing and strengthening records
legislation, regulations and policy as appropriate
·
defining and implementing records related
standards
·
providing incentives for better records
management and disciplinary action for poor recordkeeping.
In order to obtain
this senior management support, records and archives managers need to convince
their superiors of the importance of good records care. The first part of this lesson has been concerned
with how to communicate with senior managers, stakeholders and customers. The rest of this lesson outlines the
strategic issues that must be communicated to government officials, namely
·
the importance of information as an asset for
national development
·
the links between information management,
information technology and records and archives management.
The purpose of
providing this information here is to help managers understand what
points they could communicate to explain the importance of records care and why
they need to secure senior management support.
Information as a Strategic Asset
Governments have
begun to accept what has been well understood in much of the private sector for
years: information is an asset. Just as
human, financial and physical resources are essential to good administration,
information is critical to an organisation’s health and development. Hence, information must be managed well; good
information resources can help organisations or even whole countries grow and
prosper and can even give them competitive advantages over others who do not
wisely develop and manage their information resources. Countries that recognise information and
information technology as critical national strategic assets are in a position
to develop appropriate policies, plans and programmes.
For information to
be managed well there must be a coherent information strategy at both national
and agency levels, covering all aspects of information, not just information
technology. It is vital that such a
strategy should not exist in a vacuum but should fit in with and reinforce
wider strategic objectives. The purpose
of information and information technology is to promote the business of the
organisation (good governance in the case of government agencies). Information management is not an end in
itself.
Countries
throughout the world are experiencing a rapid infusion of information
technology in both the public and private sectors, at a pace even policy makers
have difficulty comprehending. Virtually
every bilateral and multilateral aid project now includes the installation of
the latest generation of personal computers.
Local and wide area networks are beginning to emerge for such purposes
as facilitating intra‑country trade, decentralising government and
participating in world-wide networks oriented toward trade, customs and law
enforcement.
Information resources
are a key component of government operations around the world.
Very often senior
managers address information issues in terms of computers, digital data or
information technology. Seldom is the
management of information viewed in its broadest sense, to embrace information
in whatever form it may exist. Links
between information management and records management, between paper and
electronic documents and records, and between any of those and information
technology are poorly understood. Few
governments have a clear understanding of the scope and nature of their
information resources, including records and archives.
Similarly, there
is often little knowledge about how information management and technology tools
are actually being employed. Indeed,
many governments and organisations do not even know how many or what type of
information technology tools, such as personal computers or printers, they
own. If there is not a clear policy and
plan for the use of information as a strategic asset, how can there be
effective use of information technology, the sole purpose of which is to make
effective use of information?
Even the cost of
investing in technology is poorly understood at organisational, ministerial and
national levels. In many countries much
technology is obtained not through normal procurement processes but as part of
development assistance projects. In such
cases, technology can be seen as a free good.
Little consideration is given by top management to the implication for
maintenance and future enhancements or how the dramatic increase in the use of
technology changes work patterns and the manner in which documents and records
are created and used. Consequently,
there are serious policy gaps at the national and ministerial levels of almost
all governments and little by way of meaningful planning of these important
public assets.
Many governments have
not established policies for the care of their information resources.
Information Management and
Information Technology
There is a
widespread belief that computers will solve information problems and enable
organisations to ‘leapfrog’ to a higher level of development. However, technology itself does not provide
the solution to poorly managed records systems.
Successful computerisation projects are dependent upon the availability
of accurate records. Attempts to build
computerised systems on top of collapsed or inadequate paper-based systems will
inevitably lead to unreliable records and wasted resources. In particular, electronic records need to be
effectively managed if they are to be reliable and authentic and provide
verifiable evidence over time.
Although the
fundamental principles for keeping records in an electronic environment are the
same as in a paper environment, the skills required to manage electronic
records may be different. Records
professionals and information technology specialists need to co-operate
closely.
While acknowledging
the importance of budgeting for and procuring information technology, it is
essential to focus senior-level attention on more comprehensive policy and
planning issues for information management and information technology. It is critical to separate the information
from the technology.
The term
information management (IM) is often used synonymously with the term
information technology (IT). Yet it is
very important to distinguish between these terms. Most organisations are deficient in the former
(IM) and much too focused on the latter (IT).
As a consequence, short-term technology interests rather than management
and operational information needs dominate management attention, resource
allocation and related decision making.
Information
Management
Information management:
The planning, control and exploitation of the information resources of an
organisation in support of it business.
Also known as information resources management.
Information
management fosters the effective use of information for specific business
purposes and the maintenance of that information for sharing and recycling
inside and outside of the organisation.
The practice of information management in a public or private sector
organisation involves understanding and analysing the mission, aims and
objectives of the organisation and then developing information systems to
support them.
Information systems
should support the mission, aims and objectives of the organisation.
This process
involves the use of business systems analysis to develop the organisation’s
information architecture in a top-down approach. Business systems analysis examines
·
an organisation’s ultimate purpose or mission
·
its aims and objectives
·
major business areas (operations, human
resources, finance) and supporting business processes (hiring staff) and
sub-processes (checking references)
·
the information needed and produced by the
process
·
the categories into which the information can be
organised (correspondence, reports, data bases).
Information
management is important because it facilitates intellectual or logical control
over information assets, which is critical
for effective management of information towards strategic ends. In this respect, information management
differs from the practice of records and archives management, which has tended
to take a bottom-up approach and to focus on the physical control of the
information medium with inadequate attention to the intellectual control of the
information itself.
The bottom-up
approach developed partly because until very recently most recorded information
has been in the form of paper documents.
Now, digital information systems afford the opportunity to manage
information in much more powerful, efficient and effective ways in digital form
rather than on paper (even though ultimately information may be printed on
paper for reading). This new approach
presents both a challenge and an opportunity for managers of records and
archives systems to ensure that organisational records are dealt with as
intrinsic parts of the business process in pursuit of organisational aims. As will be seen below, a well‑balanced
programme of information and records management is needed if an organisation is
to operate effectively.
For
more information on business systems analysis, see Analysing Business Systems.
Information
Technology
A high-level
definition of information technology is as follows:
Information technology:
The infrastructure needed to move large quantities of information from one
place to another efficiently and securely.
For practical
purposes, it may be easier to understand information technology as the
application of computer and telecommunications technologies to the capture,
processing, dissemination and storage of information.
Information
technology makes it possible to do a much better job of information management
today than was possible even a few years ago, but it is not to be confused with
information management. This is not to
trivialise technology. On the contrary,
just as an organisation must understand how it can most effectively organise
and use its information resources, so also it must develop the mix of
information technology components that will best handle and maintain those
information resources.
Put in simple
terms, information is the ‘what’, information management is the ‘why’ and
information technology is the ‘how’.
Linking Information Management
with Records and Archives Management
Finally, it is
essential to establish in the minds of senior management the relationships
between information management and records and archives management.
Records: Documents
regardless of form or medium created, received, maintained and used by an
organisation (public or private) or an individual in pursuance of legal
obligations or in the transaction of business, of which they themselves for a
part or provide evidence.
Archives: Records,
usually but not necessarily non-current records, of enduring value selected for
permanent preservation. Archives will
normally be preserved in an archival repository.
Senior managers
suffer from misconceptions about the relationship between information
management and records management. This
misunderstanding is largely a result of historical accident: hard
organisational lines have been drawn between computer-based information technology
operations and paper-based records management operations. Information professionals traditionally have
been more interested in the technology.
Records managers and archivists have typically been more interested in
the medium.
Both groups have used
specialised vocabularies that are not well understood outside of their own
professions and thus their responsibilities and concerns may be unclear to
their managers. For example, each
profession may use different terms to describe the same subjects, or the same
terms to describe different subjects.
Yet, with different tools, both groups are performing information
management functions. They need to join
together within the information management umbrella so that their concerns for
the technology and the medium can be integrated with a concern for the message
(the information).
For relevant
policies to be established, policy makers must understand the highly
interconnected nature of information, records and archives. For some reason, managers are usually
intrigued with the term ‘information’ but perhaps less aware of ‘records’ and
‘archives’. Senior managers tend to
think of records as papers that are maintained by their secretaries or in some
central registry and then sent off to some distant place to gather dust as
archives. Records and archives
management typically enjoys a low organisational profile, budget priority and
ranking in terms of the investment in human resources.
Yet increasingly
records are being created in electronic form and, if managed in that way, have
the potential to become part of the solution to administrative reform rather
than remaining as part of the problem.
The first important point to be made is that the storage or presentation
medium is not what decides whether something is a record or not. The product and evidence of a business
process is recorded information – a record – irrespective of whether it is
created or stored or later presented in paper, microform or electronic form.
While all records
are sources of information, the reverse is not true. Some information sources do not qualify as
records because they are purely reference documents. For example, the Encyclopaedia Britannica and the Dow-Jones Index are information
sources. They may be consulted in an
organisation through a computer-based information system or through printed
versions on paper. They are not
records. However, if information from
them is imported into another document created as part of the business process,
that subsequent composite document is itself a record.
As senior managers
come to understand the distinction between information technology and
information management and the primacy of the latter, they should more easily
understand the key role that records and archives management can and should
play within their information management systems. It is the responsibility of managers in the
records and archives field to deploy the arguments and skills introduced in
this lesson in order to persuade senior managers of the importance of records
and archives management.
Records and archives
managers must convince senior administrators of the importance of records and
archives management as part of a wider information management function.
Activity 23
Review your work
for Activity 20 above. In that activity
you identified the audience for a presentation on redefining the archival
institution from a historical records facility into an integrated information
agency. Then you outlined the purpose of
your presentation and prepared an outline of the key points you would make.
For this activity,
draw on the work done in the earlier activity and write the text of a short
written document, which may be used as a report or as a presentation,
explaining the importance of records and archives management as part of a wider
information management function in your organisation.
Be sure to refer
directly to your organisation; make specific mention of issues that your
government or agency needs to consider in order to manage its information
resources more efficiently and effectively.
Draw on the material provided in the last part of this lesson for
general information and elaborate with appropriate examples or illustrations.
The Vital Importance of Records
Records and the information they
contain are a vital resource for the conduct of an organisation’s
business. Without records, no
organisation can function effectively.
Records are required to
·
develop and implement policy
·
plan and make decisions
·
keep track of actions
·
achieve consistency in the conduct of business
·
provide effective services to citizens
·
achieve greater efficiency and productivity
·
meet legal and regulatory requirements
·
protect the interests of the organisation, its
staff and clients
·
reduce risks associated with missing evidence
·
document the organisation’s activities and
achievements.
In a broader
sense, public sector records underpin the protection of human rights, the rule
of law and fair and equal treatment of citizens. The ability of governments to deliver
services to citizens is based on the quality and availability of its records.
Records provide
reliable and accurate documentary evidence, without which no government can be
held accountable for its decisions and actions.
Well-managed records can also provide a cost-effective restraint on the misuse
of government resources. For example,
the maintenance of accurate and auditable records can help prevent fraud;
prevention is cheaper than the financial and social costs of corruption or
prosecution.
Records provide
the verifiable evidence that officials, auditors, concerned citizens and
elected representatives need when enquiring into the performance of government
organisations. Records document
compliance or non-compliance with laws, rules and procedures. Records and the evidence they contain are the
means by which governments can engender a climate of trust and demonstrate a
commitment to serving the needs of citizens.
Nations are
recognising the value of records and archives in defining and nurturing a
national identity and building knowledge-based societies. The effort by some societies to destroy
certain records (as has happened in the late 1990s, for example, in Sierra Leone , Cambodia and
Kosovo) is a testament to the power records have as the basis for society’s
knowledge.
When Records Systems Do Not Work
When public sector
records systems break down or are not functioning effectively, there are
serious consequences for government and citizens.
·
Information on which government decisions and
actions must be based is lost.
·
Officials are forced to take decisions on an ad
hoc basis without the benefit of precedence or institutional memory.
·
Resources are wasted as unwanted records
continue to be stored.
·
Staff waste time in fruitless searches for
records than cannot be found.
·
Fraud cannot be proven, and meaningful reporting
and audits cannot be carried out.
·
Government actions are not transparent.
·
Computerisation projects fail because they
contain unreliable data.
·
Citizens cannot claim or protect their rights,
nor can they be required to fulfil their duties and obligations.
·
Citizens cannot make an informed contribution to
the governance process.
·
The nation’s collective memory is impaired.
One of the
challenges today is to ensure that reliable evidence of business transactions
is captured from the mass of data and information created in paper and
electronic form. This reliable
information must be accessible and must be disposed of effectively when no
longer required. The effects of poor
record keeping can be illustrated in relation to virtually any area of
government activity. The following are
some of the consequences, for example, of a poorly structured filing system.
·
Related papers are separated and the information
on files is incomplete.
·
Time is wasted by action officers and records
staff in finding and retrieving documents.
·
Important documents are mixed with irrelevant
material, so that a file is difficult to use.
·
Information about unrelated subjects is mixed on
the same file, so that the sequence of business is difficult to follow.
·
Different action officers may demand access to
the same files at the same time, because the files contain information on
unrelated subjects.
·
Ambiguous file titles may lead to misfiling.
·
Key papers may be lost because of misfiling.
·
Stationery costs will rise when files are opened
unnecessarily.
·
There will be difficulties in making decisions
about the disposal of files.
Poor management of
particular types of records causes a different range of problems. For example, without reliable and complete
personnel records, pension entitlements cannot be verified, human resource
planning is seriously impaired and corruption and fraud are difficult to
detect. If financial records are poorly
managed, financial audits are difficult if not impossible, corruption is again
hard to detect and the organisation’s financial future could be put at risk.
Activity 24
Based on the
information provided in this lesson, as well as your work on the module The Management of Public Sector Records:
Principles and Context (if you have completed it), review the various
senior management issues introduced in this lesson. Then, imagine you have been asked to present
a position paper to the senior administration on restructuring the records
system to operate more effectively.
Write an outline of
the points you would make in this position paper, and if you have time, write a
short draft of the paper. Write at least
as much as necessary to be able to identify key points you would raise. Be sure to link the general issues outlined
here with the specific concerns of your own organisation and try to identify
particular situations that could be discussed as examples of why and how
records systems might be improved or restructured.
Summary
Lesson 4 has
introduced
·
the policy and planning issues involved in managing
information
·
the communication skills necessary to influence
senior managers, other opinion-formers and customers
·
the importance of information as an asset for
national development
·
the need to convince senior managers of the need
to integrate information management, information technology and records and
archives management within their information management systems.
Study Questions
1. Explain
the meaning of the terms ‘strategy’, ‘tactics’, ‘policy’ and ‘planning’ and
give an example of the application of each term.
2. What
are the responsibilities and functions of a senior manager?
3. Explain
why senior management commitment is needed in order to make a policy work.
4. Explain
two ways senior management commitment can be obtained.
5. What
is the concept of an organisational culture?
6. What
qualities in an organisation might define its culture?
7. Identify
the key elements that should be contained in all reports.
8. What
qualities make a speaker interesting?
9. Why
is it important to know the audience for a presentation?
10. Identify
three categories of material that might be found in a presentation.
11. Explain
four different styles of presentation.
12. Explain the
structure of a presentation.
13. What types
of visual aids might be used to enhance a presentation.
14. When should
visual aids be used?
15. Define the
term ‘marketing’.
16. What is the
purpose of a marketing strategy?
17. Define a
‘service’.
18. Define the
concept of ‘customer care’.
19. Define
information management.
20. Define
information technology.
21. Why is
information a strategic asset?
22. Explain why
senior managers often do not consider information management an important part
of government operations.
23. Explain the
concept of business systems analysis.
24. Explain the
relationship between records and archives management and information
management.
Activities: Comments
Activities 17-23
These
activities are intended to help you examine the information provided in this
lesson and apply the ideas to your own situation. This lesson tries to show you ways to clarify
your organisation’s purpose, scope and responsibilities and then develop the
means to make necessary changes. The
lesson also introduces you to techniques for communicating your ideas more
effectively, and it discusses the importance of communicating the message that
records and archives management are an integral part of the information
management sphere.
Whenever
possible, you should try to complete these activities as fully as possible, as
they allow you an opportunity to practice important management techniques, such
as developing strategies and tactics and establishing plans of action. They also help you understand the culture of
your organisation and consider how you would present important organisational
issues to senior management.
You should consider preparing
‘finished’ presentations or reports and then presenting these to some friends
or colleagues. Ask their opinion on
whether you communicated your ideas well and how you might improve your
presentations or reports in future.
Practice is valuable and constructive criticism should always be welcome!
Activity 24
You
should use this activity as a basis for pulling together all your ideas so far
about the importance of good records care.
You should consolidate these thoughts in one overview document. Spend as much time on this activity as you
can justify to prepare a solid outline of the issues you think should be
addressed and, if possible, some of the approaches that might be taken to
reorganise records systems.
Keep
this information available as you continue to study the rest of the modules in
this study programme, as this activity may provide valuable background
information as you proceed to examine more specific record-keeping issues.
Lesson 5
What to Do Next?
Strategic Planning for
Records and Archives Services has concentrated on equipping managers with the
additional knowledge and skills needed to plan and maintain essential records
and archives services.
In particular it has dealt with
·
the key issues of management of change
·
the principles and practices of strategic
planning
·
the principles and practices of project
management
·
the principles and practices of promoting
records and archives services.
Establishing Priorities For
Action
This module has
introduced the principles and practices of planning, maintaining and evaluating
public sector records and archives systems
and services. But which tasks
should you undertake first? Which are
high priority and which are low? Each
institution will make different decisions based on its present state of
development and its needs and short- and long-term plans. However, it is possible to offer some
recommendations for action, to help the institution develop the planning
systems appropriate to its own situation.
Complete the activity below then consider the suggestions offered.
Activity
25
Before proceeding with this lesson, consider the situation
in your institution and the information provided in this module and then
identify three priorities you would establish to implement a strategic
management programme in your institution.
Priority 1: Identify Key
Management Issues
This is largely a
process of finding out what the situation is within your institution.
·
What are your institution’s mandate, mission and
its aims?
·
What are its strengths and weaknesses? What opportunities and threats does it face?
·
What are the strategic issues facing the
institution?
Priority 2: Prepare a Strategic
Plan
Be clear about where you are starting from (your
baseline). Then, develop a series of
objectives and sub-objectives stemming from the strategic issues that you have
identified as strategic priorities and identify the measures on which
performance would serve to judge whether they have been attained or not.
Priority 3: Plan a Project
Next, plan a
project that would enable your institution to attain one of its key objectives. The plan should establish the parameters for
the project and its several stages, setting out
·
specifications of outputs and quality standards
·
availability of resources
·
technical constraints
·
risks
·
financial and time tolerances.
Priority 4: Seek Senior
Management Support
The next step
would be to persuade senior management of the benefits of an effective records
and archives system. Establish a
programme to raise awareness among senior managers, stakeholders and customers
of
·
the importance of information as an asset for
national development
·
the links between information management,
information technology and records and archives management.
Priority 5: Evaluate the
Management System
Evaluating your institution’s management system
will involve
·
reviewing the adequacy of the internal control
framework established to manage the records and archives function for which
your institution is responsible
·
evaluating the performance of that function in
relation to the control framework
·
advising senior management on ways of improving
the economy, efficiency and effectiveness of operations.
Getting Help
Many institutions, particularly
in countries with limited resources, do not have ready access to information
about strategic management. However,
there are places you can go to get more information or to obtain assistance.
See the Additional
Resources document for information on other organisations and
associations involved with records and archives management generally.
National Organisations
In each country there are likely
to be the following national organisations that can give advice on various
aspects of strategic management.
Ministries
responsible for the civil service and for finance
For local
practices in respect of strategic and project planning.
National Institute
of Public Administration
For training,
advice and literature on planning issues.
International Organisations
Following are
names and addresses of agencies that could be contacted for assistance.
ARMA International Inc.
Tel:
+800 422-2762 / (913) 341-3808
Fax:
+913 341-3742
Email:
hq@arma.org
The Association of Record
Managers and Administrators (ARMA International) is a not-for-profit
association of over 10,000 information professionals in the United states , Canada and over
30 other nations. Among other positions,
ARMA International members are employed as records and information managers,
information systems and automated data processing professionals, imaging
specialists, archivists, hospital administrators, legal administrators,
librarians and educators. ARMA often
publishes and distributes information on management issues in the records and
archives field, including information about strategic management.
Commonwealth Association
for Public Administration and Management (CAPAM)
Suite
402-1075 Bay Street
Tel:
+1 416 920 3337
Fax:
+1 416 920 6574
Email:
capam@compuserve.com
Website:
http://www.comnet.mt/capam/
The aim of CAPAM is to enhance
Commonwealth co-operation in improving managerial competence and achieving
organisational excellence in government.
CAPAM exchanges experiences on new developments and innovations in management
in governments by building networks among elected and senior officials,
academics and non-governmental organisations.
CAPAM provides rapid access to information on best practices in
government administration.
International
Organization for Standardization (ISO)
Case
postale 56
CH-1211
Geneva 20, Switzerland
Tel:
+41 22 749 01 11
Fax:
+44 22 733 34
Website: http://www.iso.ch
The International Standards
Organisation (ISO) is a worldwide federation of national standards bodies from
some 130 countries, one from each country.
The ISO promotes the development of standardisation in order to help
facilitate the international exchange of goods and services as well as to help
develop cooperation in intellectual, scientific, economic and technical
activities.
ISO/TC176 is particularly
concerned with quality management and quality assurance and has prepared
international standards on that subject in the ISO 9000 series. Copies of ISO standards are available through
national standards organisations.
Activity 26
Find out if your
institution has any information about any of the agencies listed above. Does your organisation receive publications,
participate in conferences or meetings or otherwise work with any of these
groups?
In your opinion,
which groups should your institution consider communicating with first, if any,
and what would you expect to achieve by doing so? How would you go about building a productive
relationship?
Additional Resources
There are many
publications available about management in general or about particular areas of
management theory and practice. Some are
more easily obtained than others, and some more up-to-date than others, but
older publications also contain valuable information and may be more easily found
in libraries in your particular country or region than very new publications
that have not yet circulated around the world.
The following publications on the subjects covered by this module should
be noted. Core publications are
identified with an asterisk (*).
Core publications are also identified
in the Additional Resources document;
refer to that document for information on more general publications on records
and archives management.
Management
* Bradsher, JG, ed. Managing Archives and Archival Institutions.
Chicago , IL
Evans, Frank B
and Eric Ketelaar. A Guide for Surveying
Archival and Records Management Systems and Services: A RAMP Study. (RAMP
Study PGI-83/WS/6). Paris, FR: UNESCO, 1983.
Lock, Dennis,
ed. The Gower Handbook of Management.
4th ed. Aldershot , UK
Mazikana,
Peter C. Archives and Records Management
for Decision Makers: A RAMP Study. (RAMP Study PGI-90/WS/8). Paris, FR:
UNESCO, 1990. Available electronically through the UNESCO website.
Osborne, David
and Ted Gaebler. Reinventing Government:
How the Entrepreneurial Spirit is Transforming the Public Sector. New York , NY
* Vaughan, Anthony. International Reader in the Management of
Library, Information and Archives Services. (RAMP Study PGI-87/WS/22).
Paris, FR: UNESCO, 1987. Available electronically through the UNESCO website.
Strategic Planning
* Bryson,
John M. Strategic Planning for Public and
Nonprofit Organizations. San
Francisco , CA
Performance Measurement
Methven,
Patricia, et al. Measuring Performance.
Best Practice Guide 1. London ,
UK
Promoting Records and Archives Services
D’Orleans,
Jacques. The Status of Archivists in
Relation to other Information Professionals in the Public Service in Africa : A RAMP Study. (RAMP Study PGI-85/S/2). Paris,
FR: UNESCO, 1985.
* Finch, Elsie Freeman, ed. Advocating Archives: An Introduction to
Public Relations for Archivists. Metuchen ,
NJ
Hachi, Omar. The Status of Archivists of Public Services
in the Arab Countries: A RAMP Study. (RAMP Study PGI-86/WS/18). Paris, FR:
UNESCO, 1986.
Levy, Sidney
J. and Albert G Robles. The Image of
Archivists: Resource Allocators’ Perceptions. Chicago . IL: Society of American Archivists,
1984.
Tanodi,
Aurelio. The Status of Archivists in
Relation to other Information Professionals in the Public Service in Latin America : A RAMP Study. (RAMP Study
PGI-85/WS/13). Paris, FR: UNESCO, 1985.
Taylor, Hugh
A. Archival Services and the Concept of
the User: A RAMP Study. (RAMP Study PGI-84/WS/4). Paris, FR: UNESCO, 1984.
Van Laar,
Evert. The Status of Archives and Records
Management Systems and Services in African Member States: A RAMP Study.
(RAMP Study PGI-85/WS/3). Paris, FR: UNESCO, 1985.
Communication
Carnegie, Dale. How to Develop Self Confidence and Influence People by Public Speaking.
Cheswold , DE Prestwick
House, 1995.
Campbell, John. Speak for Yourself. London ,
UK
Jay, Anthony. Effective
Presentations. London , UK
Evaluation
McCarthy, Paul H. Archives Assessment and Planning Workbook. Chicago , IL
Activity 27
Check your
institution’s library or resource centre.
What books or other resources do you have about planning and evaluation
issues? Are any of the publications
listed above available in your institution?
If so, examine two or three of them and assess their currency and value
to your institution. If not, identify
two or three publications you think would be most useful to help develop or
expand your professional library. Devise
a plan outlining how you could realistically obtain copies of these.
Summary
This lesson has
provided an overview of the entire module, Strategic Planning for Records and Archives
Services. It has then discussed how
to establish priorities for action and suggested that the main priorities for
action are often as follows:
Priority 1: Identify the key management issues facing your
institution
Priority 2: Prepare a strategic plan for your institution
Priority 3: Plan
a project that would enable your
institution to attain one of its key objectives
Priority 4: Persuade senior management of the benefits of an
effective records and archives system
Priority 5: Evaluate the management system within
your institution.
The lesson then
outlined ways to find out more information or get help with planning and
evaluation issues. The lesson concluded
with a discussion of valuable information resources relevant to planning and
evaluation.
Study Questions
1.
In your own words, explain the reason why the
priorities proposed in this lesson are offered in the order they are in.
2.
Indicate two of the organisations listed in this lesson
that you would choose to contact first and explain why.
3.
Indicate two of the publications listed in this lesson
that you would choose to purchase first and explain why.
Activities: Comments
Activity 25
Every
institution will find itself at a different stage of development in terms of
strategic management. The priorities
established will have to take into account the particular needs of that
institution, the region and the country.
However, it is wise to begin by identifying management issues that could
be addressed through strategic planning, then using the strategic planning
process to improve urgent issues first.
Overall change takes a long time and is best done gradually and with the
support of senior management. A good
beginning can help gain that support.
Activity 26
If resources are limited, it is
wise to communicate with national organisations first, as they can set your
requirements in the wider national administrative context. However, you should also use international
organisations to obtain information on best practice elsewhere to set against
the national situation. Valuable
information can be passed on to your organisation through the international
group, which can save resources for all.
Activity 27
It is important to begin with
general information and ensure you have a good resource library of introductory
and overview publications before developing a more specialised library.
[1] Places appointed by the Keeper of Public Records as
suitable to hold three categories of public records: i) those created
locally and with a specific local interest; ii) those of a nature or format
which require specialised skills for their preservation and/or use, not
available at the PRO; and iii) those of certain public record bodies which have
an administrative need to keep their archives. About one fifth of permanently
preserved public records are held in about 250 places of deposit.
[2] Is the microfilming programme will be accelerated and
the target increased in-year: see p3, n4.
For more theory and case studies on: http://expertresearchers.blogspot.com
For Premium Academic and Professional Research: jumachris85@gmail.com
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