Strategic Recordkeeping Implementation
Plan Template
Analysis of current recordkeeping systems and
processes
Public authority profile
Name of public authority: [insert name]
Sector: [insert sector]
Examples: Government Owned Corporation; Local Government; Ministerial Office; State Government; Statutory Authority;
Other
Size of public authority:
Include how many staff work in your agency, any dedicated recordkeeping staff and number and location of offices.
Table 1:
Total number of full time
equivalent employees
Number of dedicated
recordkeeping officers and
records managers
Number of geographically
separate offices
(please list)
Note: You can include an organisational chart indicating officers or sections with recordkeeping responsibilities as an
appendix to your SRIP.
Scope of public authority:
Include your agency’s functions and activities, any boards or statutory authorities you are responsible for or provide
recordkeeping services to.
Table 2:
Agency name
Type of agency
dependence
e.g. Statutory authority
Government owned corporation
Regional office
Other
Nature of recordkeeping
service provided
Department of Science, Information Technology and Innovation
History of public authority:
Include:
 Date of establishment
 Mandate/Establishment Legislation
 Major changes in administrative structure and functions
 Name changes and year
 Current main functions and responsibilities
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Strategic recordkeeping - Implementation plan template
Recordkeeping profile
Recordkeeping applications and business systems
Indicate what recordkeeping applications and business systems your agency uses and your technology requirements
[List here]
Business classification scheme
Indicate if your agency has a Business Classification Scheme {hyperlink tools}, if it is based on subjects, functions or
organisational structure, and if there are any other issues (e.g. the BCS needs updating)
[List here]
Retention and disposal of public records
List all retention and disposal schedules your agency uses.
[List here]
Regulatory and legal framework
List your legislative requirements {hyperlink} and any other legislation or regulations that impacts your agency
Public Records Act 2002
Right to Information Act 2009
Information Privacy Act 2009.
[List others here]
Other recordkeeping requirements
List other recordkeeping requirements, including business requirements {hyperlink}, standards or codes of practice,
administrative orders from audits or reviews, requirements for outsourced functions or activities and information sharing
obligations
[List here]
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Department of Science, Information Technology and Innovation
Historical records
List any historical (older than 25 years) and legacy records your agency holds and if they are in your agency’s custody or at
QSA
[List here]
Strategic strength, weakness, opportunity and threat (SWOT) analysis
of recordkeeping
Strengths:
Identify agency policies, strategies, practices that promote good recordkeeping, or any technological, legal and operations
strengths.
[List here]
Weaknesses:
Outline significant weaknesses or organisational constraints that may restrict your ability to achieve outcomes and meet
obligations. Use strengths to help identify areas that may be a weakeness.
[List here]
Opportunities:
List external and internal opportunities or events that may have a positive impact on recordkeeping (e.g. a machinery-ofgovernment change allowing you to have access to a sophisticated eDRMS)
[List here]
Threats:
List events outside of your control that may have a negative effect on recordkeeping and expose your agency to risk e.g.
disasters, machinery-of-government changes, lack of adequate storage space.
[List here]
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Strategic recordkeeping - Implementation plan template
Risk assessment
Risk criteria
List the criteria you will use to identify the risks to your organisation in terms of
recordkeeping. Include the impact, likelihood and level of risk, along with existing risk
reduction measures or controls.
[List here]
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Department of Science, Information Technology and Innovation
Risk assessment register:
Use the Risk Impact Matrix {hyperlink doc} to assess the relative severity (impact), consequence rating, level, priority, and appropriate treatment of each risk.
Table 3:
Risk description1
Likelihood2
Potential impact
of risk
Existing risk
reduction measures
and/or controls
Consequences rating
1
Identify and assess risks {hyperlink risk assessment} based on regulatory requirements, business needs, and stakeholder/client expectations.
2
Determine the likelihood of a risk occurring based on past instances of similar risks.
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Level of
risk
Priority
rating
Strategic recordkeeping - Implementation plan template
Establishing a recordkeeping implementation program
Recordkeeping vision:
Provide a broad image of the recordkeeping future your agency wants to achieve and a direction for your plan and a basis for strategic and
operational decisions.
[insert vision statement]
Objectives and strategies
Table 4:
Objectives3
Key Performance Indicators4
Timeline5
Objective:
Strategy6:
Strategy:
Strategy:
3
Objectives should be strategic outcomes to help you meet your recordkeeping, legislative and business requirements. Base them on your recordkeeping vision, risk assessment and
identified recordkeeping responsibilities. Limit the number of objectives to what is suitable for your agency and what is achievable based on resources and needs.
4 Clearly define key indicators you can use to measure or verify how well your agency has realised the outcomes of each strategy.
5 Identify timeframes for objectives to be achieved or prioritised against identified risks
6 Use your SWOT analysis to identify broad strategies to achieve your objectives.
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Department of Science, Information Technology and Innovation
Objective:
Strategy:
Strategy:
Strategy:
Objective:
Strategy:
Strategy:
Strategy:
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Department of Science, Information Technology and Innovation
Establishing a governance framework
Roles and responsibilities:
Identify roles and recordkeeping responsibilities {hyperlink People} of people within your agency.
Include responsibilities for implementing the SRIP and delegations.
[List here]
Example:
Roles
(Individual/Units/Department)
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Responsibilities
Accountable to:
Department of Science, Information Technology and Innovation
Chief Executive Officer Approval
Your SRIP needs to be endorsed by your Chief Executive.
Name of CEO:
Confirmation of Approval (signature):
Date:
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