The DIRKS methodology: a user guide

PART 1 – THE DIRKS METHODOLOGY: A USERS USERS GUI GUIDE DE September 2001 (rev July 2003)

September 2001

ISBN 0 642 34449 3 © Commonwealth of Australia Australia 2001 20 01 This work is copyright. Apart from any use as permitted under the Copyright Act 1968, no part may be reproduced by any process without prior written permission from the National Archives of Australia. Requests and inquiries concerning reproduction and rights should be directed to the Publications Manager, National Archives of Australia, PO Box 7425, Canberra Mail Centre, ACT, 2610. Privacy Statement – Collection of personal information from email The National Archives of Australia will only record your email address if you send us a message. The address will be used only for the purpose for which you have provided it. We will not use your email address for any other purpose and will not disclose it without your consent.

National Archives of Australia

DIRKS manual – Users guide

CONTENTS

1.

BACKGROUND AND PURPOSE

5

1.1 1.2

5 6

Why recordkeeping? The importance of DIRKS

2.

RECORDS AND INFOR MATION

8

3.

BENEFITS AND OUTCOMES OF RECORDKEEPING AND DIRKS

9

4.

CHARACTERISTICS O F SYSTEMS THAT KEEP RECORDS

10

4.1 4.2 4.3

10 11 12

5.

6.

7.

Recordkeeping aims Recordkeeping processes Recordkeeping systems

UNDERSTANDING DIRKS

13

Figure 1: The DIRKS methodology

13

PATHWAYS FOR USING DIRKS

15

6.1 6.2 6.3 6.4 6.5 6.6 6.7

15 15 15 16 16 17 17

Developing a business case for recordkeeping Assessing compliance with recordkeeping obligations Reviewing all information management needs Preparing a functions-based records disposal authority Compiling a functions thesaurus to merge with Keyword AAA Using a mix of of paper-based and electronic records When your agency already has a records management software package

BEFORE STARTING DIRKS

18

7.1 7.2 7.3

18 19 19

Managing the project Change management Skill requirements

3


7.4 7.5

Documentation methods and tools Technical options


20 21

8.

MONITORING AND EV ALUATION

21

9.

ACKNOWLEDGMENTS AND COPYRIGHT

22

ENDNOTES

4

22


1.

BACKGROUND AND PURPOSE

1.1

Why recordkeep ing?


Good government requires good recordkeeping. Good recordkeeping supports efficiency and accountability through the creation, management and retention of meaningful, accurate, reliable, accessible and durable evidence of government activities and decisions. Good records are necessary for government to keep track of what it has done, so that its future activities can be pursued on the basis of a full and accurate knowledge of what has occurred and what has been decided in the past. Retention of the corporate memory of government, in the form of records, helps public servants perform their duties efficiently and ensures that audit trails necessary for democratic accountability and transparency are maintained. Good recordkeeping also helps to protect the legal, financial and other interests of government. Ultimately, good recordkeeping saves the government, and hence the community, money. Good records are vital corporate and national assets and good recordkeeping is essential for a reliable and durable longterm historical record. In the past good recordkeeping was, by and large, second nature to public servants. The public service of the past, with its emphasis on process, hierarchy, and employment of filing clerks and other administrative assistants, ensured that good records were created and maintained. As we move into the twenty-first century such certainties can no longer be relied upon. Now governments emphasise outcomes and outputs over processes and hierarchies. Public service recruitment patterns, staff induction and training procedures, and career paths are now very different from those of 20 or 30 years ago. We cannot assume that public servants appreciate the importance of good recordkeeping or know how to keep good records. The trend towards semi-autonomous work groups and flatter organisational structures has contributed to this situation. In recent years the spread of electronic systems has exacerbated the drift towards ad hoc or substandard recordkeeping practices. The adoption of word processing, email and multi-media applications has led to a situation where the essential evidence of government decisions and transactions is often kept in the hard drives, email in-boxes and shared folders of individual public servants or work groups. This form of recordkeeping does not meet the requirements for full, accurate, reliable, accessible and durable evidence of government activity. Moreover, such practices pose unacceptable risks to the capture and management of essential evidence. Not only may individual public servants delete records without giving adequate thought to whether those records need to be retained, but there is also the distinct possibility of large numbers of records being lost each time an organisation’s computer software or hardware platform is upgraded. Fortunately, while technology has contributed to the problem, it also provides the means for a solution. The solution lies in designing and

5



implementing systems that ensure full and accurate records are created and then retained for as long as they are required to support business, accountability or wider community interests. The emergence of electronic records has forced recordkeeping professionals to articulate the basic principles and components of good recordkeeping in ways that can be satisfied in the electronic environment. Within this professional community a consensus has emerged on the essential elements of a theoretical and practical framework for best practice modern recordkeeping. 1.2

The importance of DIRKS

The DIRKS manual provides the foundation for good recordkeeping. It is the cornerstone document in the comprehensive suite of best practice recordkeeping standards and guidelines published by the National Archives on its e-permanence website at www.naa.gov.au/recordkeeping/. The DIRKS methodology is an 8-step process designed to assist organisations to improve their management of records and information. It is based on and expands the best-practice approach outlined in Australian Standard AS 4390–1996, Records Management and International Standard ISO 15489, Records Management and the accompanying technical report. The methodology is a structured and rigorous approach designed to ensure that records and information management is firmly based in the business needs of the organisation. The methodology consists of the following eight steps: •

preliminary investigation (Step A);

•

analysis of business activity (Step B);

•

identification of recordkeeping requirements (Step C);

•

assessment of existing systems (Step D);

•

identification of strategies for recordkeeping (Step E);

•

design of a recordkeeping system (Step F);

•

implementation of a recordkeeping system (Step G); and

•

post-implementation review (Step H).

Steps A to C ensure that the systems development process is focused on ‘the right things’ while the remaining Steps D to H focus on making sure that things are ‘done right’. [1] Organisations will find the methodology particularly useful for identifying the gap between their existing practices and contemporary best practice, regardless of whether they operate in an electronic, paper-based or hybrid business environment. Due to its rigour, the methodology requires every organisation to make a significant commitment in terms of staff, time and money. However, this investment will pay ongoing dividends to the organisation, government and wider community through improved efficiency and greater accountability.

6



The manual is primarily aimed at project teams established to develop or review records and information management practices within organisations. These teams may include organisational staff as well as external consultants. Depending on the nature of the project, these teams will ideally include the following: •

•

•

•

•

a senior project manager; recordkeeping professionals, including archivists and records managers; information managers; information technology (IT) and telecommunications professionals, including systems analysts, application developers, data managers and network administrators; corporate governance specialists, including Freedom of Information (FOI) officers, privacy and data protection administrators, auditors, legal professionals and quality assurance personnel;

•

business area experts; and

•

staff representatives.

The DIRKS manual provides a comprehensive approach to good recordkeeping and information management. The National Archives has developed other specialised products and tools that complement DIRKS. These include: •

•

•

•

•

•

•

•

•

Recordkeeping metadata standard: defines metadata elements necessary to manage records over time; AGLS metadata standard: online resource discovery metadata that supports the National Office of the Information Economy government online initiative; Policy and guidelines on capturing web-based records: advice on how to manage websites and other online resources as records; Why Records Are Kept: outlining the National Archives appraisal regime and the criteria for keeping records as national archives; Keyword AAA: a controlled language thesaurus for the classification of common administrative records; Administrative functions disposal authority: authorises the retention or disposal of administrative records, linked to Keyword AAA; Overview of classification tools for records management : advice on developing classification tools for managing records and other information in an organisation; Developing a functions thesaurus guidelines: advice on developing a functions-based thesaurus for your organisation; and Storage standard: information on how to manage the storage of records.

7



Additional products and tools, such as guidelines to support the storage standard and generic specifications for recordkeeping systems, are under development. 2

RECORDS AND INFORMATION

The International Standard on records management defines records as ‘information created, received, and maintained as evidence and information by an organisation or person, in pursuance of legal obligations or in the transaction of business’. [2] Records are traditionally regarded as documents in paper files or bound volumes. In fact, records can exist in any physical format, such as photographic prints, video cassettes, microfilm and a multitude of electronic formats. Records are a subset of information. Information includes published and unpublished documents, such as monographs, journals, newspapers and technical literature and data collections. Information contributes to an organisation’s knowledge base and helps it to achieve its goals. Such information may be collected in relation to business activity and support such activity, but does not, itself, provide evidence of that activity. Records possess certain characteristics that distinguish them from other kinds of recorded information. Records are ‘fixed’, that is, they are the product of particular actions that occur at particular times. To retain their value as authentic and reliable evidence of particular actions, they must not be altered or tampered with. Records derive much of their meaning, and therefore their usefulness and value as evidence, from the context in which they are created, maintained and used, and how they are managed over time. Organisations are increasingly managing corporate information resources of all kinds through integrated strategies and common tools. Often records management, library services and computer systems are administered within the same business unit. This approach can facilitate close cooperation between information professionals, promote a common understanding of the organisation’s business functions, and enable the best use of technology to support the organisation’s information needs. Organisations must ensure, however, that integrated strategies and tools for the management of all types of information do not compromise the characteristics that give records their evidential value. In other organisations, responsibility for records and information lie with the relevant business unit. In these circumstances the evidentiary nature of records is often poorly understood and records may be managed inappropriately, if they are created at all. The broad principles of records management – creation, management, access and disposal – apply equally to information. In practice it can be difficult to draw a clear distinction between records and information. The DIRKS methodology, particularly Step C – Identification of recordkeeping requirements, will help your organisation decide what information you need to capture as evidence of business activities, that is, what records you need. 8



Steps C and D may reveal that what is currently regarded as ‘just information’ in your organisation may be evidence of business, and therefore a record. For these reasons, it is important not to rely on a preconceived notion of a record, such as a registry file, when using the DIRKS methodology. It will limit your project and, potentially, leave problems undiscovered. 3

BENEFITS AND OUTCOMES OF RECORDKEEPING AND DIRKS

The DIRKS methodology can help organisations to: •

•

•

•

•

understand the business, regulatory and social context in which they operate, and establish a business case for reviewing their recordkeeping practices (Step A); analyse business activities and environmental factors to identify their recordkeeping requirements (Steps B and C); assess the extent to which existing organisational strategies (for example, policies, standards, technology) satisfy these requirements (Step D); redesign existing strategies or design new strategies to address unmet or poorly satisfied requirements (Steps E and F); and implement, maintain and review these strategies (Steps G and H).

The methodology will enable the development of recordkeeping systems and practices that are based on a sound understanding of an organisation’s recordkeeping requirements. Such systems and practices enable organisations to: •

conduct business in an orderly, efficient and accountable manner;

•

deliver services in a consistent and equitable manner;

•

•

•

•

•

•

support and document policy formation and managerial decisionmaking; provide consistency, continuity and productivity in management and administration; facilitate the effective performance of activities through an organisation; provide continuity in the event of a disaster; meet legislative and regulatory requirements including archival, audit and oversight activities; provide protection and support in litigation, including the management of risks associated with the existence of or lack of evidence of organisational activity;

9


•

•


protect the interests of the organisation and the rights of employees, clients, and present and future stakeholders; support and document current and future research and development activities, developments and achievements, as well as historical research, provide evidence of business, personal and cultural activity;

•

establish business, personal and cultural identity; and

•

maintain corporate, personal or collective memory. [3]

The DIRKS approach will also result in the development of products and tools to support good recordkeeping. These include: •

a business classification scheme and functional thesaurus;

•

documented recordkeeping requirements; and

•

records disposal authority.

It also provides guidance on the development of appropriate policies and procedures to support records and information management. 4

CHARACTERISTICS OF SYSTEMS THAT KEEP RECORDS

Many business systems in your organisation may currently keep information as records. These systems include your organisation’s registry or main correspondence system, personnel system and financial management system. Other systems may contain evidence of business activities that are not being managed as records, such as workflow programs, database applications, shared drives and web applications. All business systems used by an organisation must be capable of capturing, maintaining and providing evidence of its business activities over time to satisfy the organisation’s recordkeeping needs. Every organisation should undertake DIRKS to identify what evidence of its unique business activities it needs to keep and what particular form or content such records should have. While the purpose and content of records will vary between organisations, much of the system capability or ‘functionality’ required to capture, maintain and access such records is common to all agencies. All agencies, irrespective of their unique business activities, require systems that can capture full and accurate records and perform processes for managing those records over time. 4.1

Recordkeeping aims

In order to be full and accurate, records must be authentic, reliable, complete, unaltered and useable and the systems that support them must be able to protect their integrity over time. These terms have particular meanings for system design purposes. [4] •

10

Authentic – it must be possible to prove that a record is what it purports to be and that it has been created or sent by the alleged person and at the time purported. Records need to be protected against



unauthorised addition, deletion, alteration, use or concealment and the creation, receipt, transmission of records needs to be controlled to ensure that records creators are authorised and identified. •

•

•

•

Reliable – it must be possible to trust the content of a record as an accurate representation of the transaction to which it attests. It should be created and captured in a timely manner by an individual who has direct knowledge of the event or generated automatically by processes routinely used by the organisation to conduct the transaction. Complete and unaltered – it must be possible to protect a record against unauthorised alteration and to monitor and track any authorised annotation, addition or deletion. Useable – it must be possible to locate, retrieve, render and interpret a record and understand the sequence of activities in which it was created and used for as long as such evidence is required. System integrity – it must be possible to implement control measures, such as access monitoring, user verification, authorised destruction, security and disaster mitigation to prevent unauthorised access, destruction, alteration or removal of records and to protect them from accidental damage or loss.

Such characteristics are influenced by the type of structural and contextual information, or metadata, that is built into an organisation’s business systems, and the way in which that metadata is applied. The National Archives has developed a standard that organisations can use to assess the capacity of their business systems to make and keep full and accurate records. The Recordkeeping Metadata Standard for Commonwealth Agencies defines 20 metadata elements that will help organisations identify, authenticate, describe, manage and retrieve their records in a systematic and consistent way. Eight of these elements are mandatory and should be applied to every record created in a business system. The remaining twelve elements are optional, and may be applied depending on the significance of the record or the operational needs of the organisation. The standard should be applied to both electronic and paper-based business systems. Recordkeeping metadata ensures that the records captured in business systems possess the necessary qualities to serve as evidence of an organisation’s activities. 4.2

Recordkeeping processes

In order to capture, maintain and provide evidence over time, systems must also be capable of performing various fundamental recordkeeping processes. [5] These processes govern the following operations: •

•

Capture – formally determine that a record should be made and kept; Registration – formalise the capture of a record into a designated system by assigning a unique identifier and brief descriptive information about it (such as date, time and title);

11


•

•

•

•

•

•


Classification and indexing – identify the business activities to which a record relates and then link it to other records to facilitate description, control, retrieval, disposal and access; Access and security – assign rights or restrictions to use or manage particular records; Appraisal – identify and link the retention period of a record to a functions-based disposal authority at the point of capture and registration; Storage – maintain, handle and store records in accordance with their form, use and value for as long as they are legally required; Use and tracking – ensure that only those employees with appropriate permissions are able to use or manage records and that such access can be tracked as a security measure; and Disposal – identify records with similar disposal dates and triggering actions, review any history of use to confirm or amend the disposal status, and maintain a record of disposal action that can be audited.

All of these processes generate metadata that plays an essential role in the accountable management of records. The Archives recordkeeping metadata standard can be used as a benchmark to assess the capacity of organisational business systems to capture this information. 4.3

Recordkeeping systems

All of the business systems that an organisation relies on should be capable of creating full and accurate records and routinely performing these fundamental recordkeeping processes on a continuous basis – either individually or through linked operations – so that the full range of the organisation’s business activities are properly documented. These systems do not have to be dedicated recordkeeping systems. They can be business systems (such as database applications or web content managers) that incorporate the functionality required to keep records. They do not need to be large or centralised or accessible by everyone in the organisation, but their recordkeeping role must be identified and administered appropriately. The amount of metadata about the records and the records management processes that an organisation captures in its business systems will be determined by its operational and accountability requirements. The DIRKS methodology will help each organisation to determine such requirements and put in place procedures to reassess these needs over time. The National Archives is developing detailed generic specifications to help Commonwealth agencies assess the recordkeeping functionality of their existing business systems or design new systems. These specifications will be published in 2002. [6] The business systems that an organisation adopts to manage its records cannot function effectively in isolation. They must be supported by

12



appropriate policies and procedures, assigned responsibilities, user training, and ongoing maintenance and quality assurance programs. The DIRKS methodology will also help determine these complementary components of an organisation’s recordkeeping framework. 5

UNDERSTANDING DIRKS

The methodology for designing and implementing recordkeeping systems outlined in Australian Standard AS 4390–1996, Records Management, is frequently referred to by the acronym ‘DIRKS’. The same approach is used in International Standard ISO 15489 and the accompanying Technical Report. It is not surprising, therefore, that the methodology plays an important part in the recordkeeping regime promoted by the National Archives of Australia. This regime is introduced in e-permanence Made E-asy: A Manager’s Guide to the Strategic Management of Records and Information.

DIRKS is based on the systems development life cycle or ‘waterfall’ model, the traditional methodology used to develop, maintain and replace systems that support the business of an organisation. In common with such models, the methodology has a number of characteristics. It is: •

•

•

Generic – it provides guidance on why and how an organisation should approach a systems development project, but does not prescribe what those systems should look like. Multi-phased – it features several identifiable steps that mark the progress of the systems development process. Each of these steps can be regarded as an individual project with its own activities, products and milestones. Steps may assume greater or lesser significance depending on the nature of the project. Systematic – it provides a structured set of activities that minimises the risk that any important issues are overlooked during the systems development project.

13


•

•

•

•


Flexible – specific steps and their sequence can be adapted to suit particular projects. For example, steps may be undertaken undertaken sequentially, concurrently, at different levels of detail, or repeated in order to develop acceptable systems. Projects may address the needs of the whole organisation, discrete business units or individual work groups. Cyclical – it accommodates a continuous process of change, evolution and redevelopment, with the degradation of one system providing the impetus for a new project that may lead to modifications of the existing system or its replacement (hence the ‘life cycle’ concept). Iterative – each step has specific products and ‘deliverables’ that contribute to the system’s documentation and provide input to subsequent steps. In some cases, the same activities are conducted in different steps for different purposes.

development process recommends that Transparent – the systems development certain activities are undertaken and that each of these activities is documented. This documentation serves a variety of purposes. It: – – – – – –

is a means means of ma manag naging ing the devel developm opmen ental tal proce process; ss; prov provid ides es the the bas basis is for for subs subseq eque uent nt step steps; s; provid provides es back backup up for for the the syst system em in in its its opera operatio tional nal phase; phase; enable enabless compa comparis rison on betwee between n the the antici anticipat pated ed and actual actual performance of the system; form formss the the basi basiss of of use userr tra train inin ing; g; provi provide dess a means means of comm communi unicat cation ion w with ith stak stakeho eholde lders rs durin during g

–

the course of the project; and provi provide dess a refe referen rence ce sour source ce for for sub subseq sequen uentt proj project ects. s.

The format and content of the documentation will vary. •

•

•

14

Multi-disci Multi-disciplina plinary ry – the size and skills of the project team may vary depending on the systems development project and the specific nature of each step. Members may include recordkeeping professionals, IT specialists, corporate government specialists, information managers, business specialists and representative users. Whether the project is conducted in-house or by external consultants, the participation of business area experts and system users is vital to the design process. User-centric – the process emphasises the participation of users to help identify and analyse business activities, processes and needs, and to develop solutions to improve business practices. Users should s hould include staff who create, store and retrieve data directly from the system, as well as staff who rely on information generated from the system by others. User involvement increases the likelihood that the system will be successfully implemented. Project-based – systems development projects require careful attention to project planning, resource management (finance, personnel, time), risk management, and change management. Milestones provide frequent opportunities to review or terminate the project. Further



information on the importance of project management is provided in Section 7 – Before starting DIRKS. The DIRKS methodology has strong links to other guidelines produced by the National Archives of Australia. While DIRKS provides the framework for recordkeeping, other products address specific aspects, such as techniques for archiving web-based records. We encourage users of the DIRKS methodology to become familiar with complementary guidelines available on our website at www.naa.gov.au/recordkee www.naa.gov.au/recordkeeping. ping. 6

PATHWAYS FOR USING DIRKS

The DIRKS methodology can be used in a number of ways for different purposes. While a straightforward Step A to Step H approach is comprehensive comprehensive and offers many benefits, it is also expensive, time consuming and may not fit with the immediate needs of your organisation. Users are encouraged to become familiar with the manual so they can use those elements, steps and approaches that are useful for more limited projects or that suit organisational organisational needs. A number of possible scenarios are outlined below. 6.1

Developing a business case for recordkeeping

A case for recordkeeping can be developed using Appendix 9 – Guide to developing a business case for a DIRKS project and project and Appendix 10 – Recordkeeping cost–benefit analysis. analysis. This can be supported by Step A and also parts of Step D. Step A enables you to develop an overview of your organisation and to position recordkeeping within an organisational context. Step D will help you to identify problems with current practice. 6.2

Assessing Assessin g compliance with recordkeepin g obligations

The DIRKS methodology provides a systematic process that organisations can use to identify their recordkeeping requirements requirements and evaluate their existing compliance. Steps A to D provide the basis for such analysis. In particular, Step A provides you with an understanding of your organisational environment environment and Steps B and C enable you to identify your organisation’s recordkeeping obligations. Step D involves a survey of your organisation’s current systems and practices and an assessment of these against recordkeeping obligations. 6.3

Reviewing all information in formation management needs

While devised for designing and implementing recordkeeping systems, the DIRKS methodology methodology can be used for other strategic planning purposes. Steps A to C, in particular, provide organisations with a systematic approach to analysing documentary and other sources that can lead to a clearer understanding of the organisation’s purpose, critical activities and related information needs.

15



For example, Step A helps identify the role and purpose of an organisation, its structure, and its legal, regulatory and sociopolitical environment. Step B helps identify the organisation’s functions, activities, transactions and associated work flows. It results in the development of a business classification scheme that can provide the foundation for corporate-wide classification tools. These tools can be used to search, retrieve and control a variety of information including records, online databases, and intranet resources. Further information is available in Overview of classification tools for records management and Developing a Functions Thesaurus: Guidelines for Commonwealth Agencies . In addition to the early analytical steps, subsequent steps, including Step D – Assessment of existing systems and Step E – Strategies for recordkeeping, can be used to establish or review library collection development policies, the structure and content of corporate intranets, business work flows and organisational structures. 6.4

Preparing a functions-based functions-ba sed records disposal authority

The initial steps of the DIRKS process (Steps A to C) provide the relevant framework for organisations to undertake appraisal projects. These steps involve preliminary investigation; analysis of business activity (including creating a business classification scheme), and identification of recordkeeping requirements. Appendix 8 – Procedures for developing a records disposal authority in authority in the the Commonwealth provides clear advice on formulating disposal classes based on your organisation’s functions, activities, transactions and recordkeeping requirements. It also outlines the National Archives of Australia’s requirements for authorising disposal arrangements under the Archives Act 1983. Commonwealth organisations intending to prepare disposal authorities should contact the Director, Recordkeeping Implementation, at the outset of the DIRKS process to be included on the National Archives of Australia’s formal work plan. This will ensure that they benefit from the Archives’ advice at appropriate points during the projects. (See Contacting us for contact details.) 6.5

Compiling a functions thesaurus to merge with Keyword AAA

Keyword AAA: A Thesaurus of General Terms is a controlled language thesaurus of general terms that are common to the business functions and activities of most government organisations. Keyword AAA by itself cannot be used effectively to classify cl assify all records of an organisation. It is i s designed to be used in conjunction with a thesaurus of functional terms relating to the organisation’s unique business functions. Bringing the general and organisation-specific terminology together into one merged thesaurus provides comprehensive, controlled vocabulary coverage tailored to the needs of each organisation. Organisations will need to compile a business classification scheme as a precursor to developing a functions thesaurus. This involves undertaking a 16



preliminary investigation (Step A) and analysing business activity (Step B). Information on recordkeeping requirements (Step C) can also be useful in developing a thesaurus. Appendix 6 – Practical advice for using Keyword AAA and AGIFT AGIFT terms will assist you. The Guide to Developing a Functions Thesaurus provides advice on the subsequent process of converting the BCS into a thesaurus, integrating it with Keyword AAA and implementing the merged thesaurus. 6.6

Using a mix of paper-based and electronic records

The DIRKS methodology provides for a systematic, business-driven approach to records management irrespective of the medium on which records are created. It can be used to develop new recordkeeping systems or to assess the effectiveness of existing systems, whether organisations use conventional paper-based systems, electronic document management systems or a combination of both. However, Australian Standard AS 4390–1996, Records Management does acknowledge the vulnerability of records that exist solely in electronic form. It stresses that electronic recordkeeping systems must incorporate and maintain not only the content, but also al so structural and contextual information necessary to document transactions and enable them to function as evidence over time. Appropriate metadata standards are essential to support both paper and electronic systems (see Section 4 above). 6.7

When your agency already has a records management software package

Even if your organisation already has electronic recordkeeping systems, the DIRKS methodology is useful. Recordkeeping involves more than just systems. Human interaction and organisational behaviour are critical to their effectiveness. The adoption of records management software products contributes to a consistent level of best practice across the whole of government. Each product should be implemented as part of an integrated approach to organisation recordkeeping. The DIRKS methodology provides the framework for such a holistic approach. Even if a software package is not selected and implemented as part of a comprehensive review of an organisation’s recordkeeping needs using the DIRKS methodology, the methodology can be used to evaluate whether the application is being used to its optimum capacity to address the organisation’s recordkeeping needs. The methodology may also identify other strategies that an organisation should adopt to fully satisfy its recordkeeping needs (for example, policies, procedures and training). An organisation also needs to be aware of its recordkeeping obligations. It is unlikely that a single recordkeeping system will manage all of your organisation’s information needs. Step D will enable you to identify i dentify all systems in use in your organisation.

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7


BEFORE STARTING D IRKS

The DIRKS methodology is a resource-intensive and time-consuming process. Before commencing a project the following preparation should be undertaken: •

define the scope, objectives and limits of the project;

•

define the costs and benefits of the project;

•

allocate human and other resources;

•

determine requirements for professional assistance;

•

identify opportunities for outsourcing aspects of the project;

•

arrange for supervision, monitoring and reporting of progress;

•

determine methodologies to be used in the project;

•

develop a project plan;

•

advise organisation staff about the project; and

•

train personnel who will be involved in the project. [7]

Most importantly, management support is needed for the project. You may wish to do parts of this preparatory work in conjunction with Step A. Conducting the preliminary investigation (Step A) will give you a better perspective on the work involved in the project. As stated previously, the project does not have to encompass all of Steps A to H. You may decide to do the preliminary investigation (Step A), develop a business classification scheme (Step B) and a functions thesaurus as an initial, stand-alone project. This work can later be used to assist in the identification of recordkeeping requirements (Step C) and the development of a disposal authority. You may later use this work to test your organisation’s compliance with recordkeeping obligations, develop strategies to address problems revealed, and design, implement and monitor these solutions (Steps D–H). 7.1

Managing the project

It is vital that recordkeeping projects are properly managed. Careful preparation and ongoing monitoring monitoring will ensure that the project is completed on time, within budget, according to specifications and at a level of quality that meets professional standards and management expectations. For these reasons organisations are encouraged to appoint: •

•

18

a project sponsor who will assume overall responsibility for the project on behalf of senior s enior management and other resource providers, and will ensure that the project manager and project team members have the appropriate level of skills and expertise; a steering committee that will serve as a review body during the course of the project, chaired by the project’s sponsor and including senior



representatives from each of the business units affected by the project, the project’s manager and a recordkeeping professional; and •

a project manager who will be responsible for day-to-day coordination and implementation of the project in consultation with the steering committee and who will set priorities, delegate responsibility, monitor performance, allocate resources, provide guidance and support, and act as a mentor for team members.

Most organisations should be familiar with such principles of project management. [8] 7.2

Change management

Many of the projects supported by the DIRKS methodology will inevitably result in changes to organisational work practices. To help ensure such changes are accepted it is vital that project managers or sponsors: •

•

•

•

keep management and staff informed about the project; ensure management actively and visibly supports both the design process and any subsequent changes to current practices, processes and systems; regularly inform users and other stakeholders about the nature of planned changes and their likely impact on processes and procedures; and market change by emphasising the key benefits and improvements that can be expected once particular changes have been implemented.

The importance of developing a ‘change management’ framework for each project, as well as for the specific activities in each step, cannot be overstated. Successfully managing and marketing change is a critical component of systems development projects. A broad framework for change management should be developed in the initial planning stage of the project. This should be used and revised as the project progresses, particularly in Steps E, F and G. Organisations seeking further advice on this aspect of project management may wish to consult the NSW Office of Information Technology Management of Change guideline. 7.3 Skill requirements

You will require a range of expertise for the project. The expertise required will depend on the scope of the project being undertaken by your organisation. Each step of the DIRKS methodology contains a section on resources and prerequisites that specifies the skills and knowledge required to undertake that particular phase. This expertise may be available in-house or obtained through the use of consultants. During the systems development process, your project team is likely to include: 19


•

•

•

•

•


an experienced project manager with financial management, change management, risk management and interpersonal skills (all steps); recordkeeping professionals such as archivists and records managers (all steps); IT specialists including systems analysts, database managers and network administrators (Steps A to D, F and G); corporate governance specialists including auditors, legal professionals, FOI officers, quality assurance personnel, and privacy and data protection administrators (Steps C, E, F and H); and individual staff who have a good knowledge of the organisation and can represent ‘end users’.

Rather than dedicate people with these skills to the project, you may decide to have a core team that can draw on the skills of others. Organisations seeking further advice on the specific recordkeeping knowledge and skills required to carry out projects of this type are encourage to consult the recordkeeping competency standards within the Business Services Training Package published by the Australian National Training Authority (2001). 7.4

Documentation methods and tools

Like any systems design project, the DIRKS methodology will generate significant amounts of documentation. This information can be reused throughout the project and for different projects. It is important to consider how you will manage the documentation to allow for the efficient re-use of information. Each step in DIRKS provides information on what documentation will be generated. Templates are provided to assist in this. The National Archives has also developed the DIRKS documentation database to help organisations manage the information gathered for Steps A, B and C. Regardless of the method you choose to record your findings, it is advisable to: •

•

•

•

record information as you obtain it; record the information in a systematic and consistent way (eg template, graphics, database); choose a style that can be understood by others (eg avoid jargon); and organise and store the information so that it remains meaningful and accessible over time.

While organisations can manage their information in any way considered appropriate, the National Archives requires certain information to assist in assessing and authorising business classification schemes and records disposal authorities. If you are developing either of these tools, please consider the documentation requirements outlined in Appendix 8 – Procedures for developing a records disposal authority in the Commonwealth. 20


7.5


Technical options

If your project is likely to involve significant technical work, it is prudent to consider different options early in the project, though final decisions will not be made until the later steps. Technical options may include: •

•

•

•

•

•

developing, from scratch, a tailored recordkeeping system in-house (integrating records management software); tendering out the development of a tailored recordkeeping system (integrating records management software); incorporating recordkeeping functionality into existing organisational processes and products; adding recordkeeping functionality to the organisation’s existing electronic document management system; selecting records management software ‘off-the-shelf’; and combining the purchase of some elements with the building of others to meet specific organisational needs.

Given such options, organisations may choose to: •

•

•

•

8

establish an in-house multi-disciplinary project team; release a request for tender to obtain development assistance from external consultants and/or vendor firms; engage one or more consultants to do some or all of the developmental work; and/or select and purchase a suitable product.

MONITORING AND EVALUATION

DIRKS – A Strategic Approach to Managing Business Information, is based on the exposure draft, Designing and Implementing Recordkeeping Systems: A Manual for Commonwealth Agencies released in February 2000. It also incorporates and replaces Appraisal Guidelines for Commonwealth Records. The review of the exposure draft drew on experience gained in the implementation of the methodology and feedback from professionals who have used the manual.

The National Archives encourages organisations, recordkeeping professionals, IT professionals and other interested parties to provide feedback on this version of the manual in the light of their own needs, and provide comments on its usefulness and useability. We will seek to continually improve the product and incorporate feedback into future versions. Comments should be sent to the Assistant Director, Recordkeeping Standards and Policy, email: [email protected].

21


9


ACKNOWLEDGMENTS AND COPYRIGHT

The DIRKS manual was initiated by the then Archives Authority of New South Wales as part of its Electronic Recordkeeping Project, shortly after the release of Australian Standard AS 4390–1996, Records Management. It became a joint partnership in early 1998 when the Archives Authority and the National Archives of Australia agreed to collaborate on its development and an exposure draft was released in February 2000. The National Archives of Australia carried out a review and revision of the exposure draft during 2001. The National Archives of Australia would like to thank staff members of the Archives and of State Records Authority of New South Wales who contributed to the development and revision of the manual and of the Appraisal Guidelines for Commonwealth Records. We would also like to thank agencies and consultants who shared their knowledge and experience with us. Copyright in the DIRKS manual is held jointly by the National Archives of Australia and the State Records Authority of New South Wales. This work is copyright. Apart from any use as permitted under the Copyright Act 1968, no part may be reproduced by any process without prior written permission from the National Archives of Australia. Requests and inquiries concerning reproduction and rights should be directed to Publications Manager, National Archives of Australia, PO Box 7425, Canberra Mail Centre ACT 2610 Australia. ENDNOTES

1.

E Turban, E McLean and J Wetherbe, Information Technology for Management: Improving Quality and Productivity, Wiley, New York, 1996, p. 408.

2.

International Standard ISO 15489, Records Management, Part 3: Terms and definitions, Clause 3.15.

3.

International Standard ISO 15489, Records Management, Part 4: Benefits of records management

4.

These terms are drawn from clause 7.2 of ISO 15489, Records Management, published by the International Standards Organization. Agencies are encouraged to refer to the standard for more detailed information on the characteristics of records and recordkeeping systems. State Records NSW has also issued a Standard on full and accurate records (April 1998) that is based on AS4390 and designed for use in the NSW public sector.

5.

The definitions of these processes are based on clause 4.3 of the Technical report to accompany ISO 15489, Records Management, published by the International Standards Organization. Agencies are encouraged to refer to the report for more detailed information on record processes.

6.

Examples of functional specifications developed for other jurisdictions include the Public Record Office (UK) Functional requirements for electronic 22



records management systems (November 1999) and the NSW Department of Public Works and Services Request for tender No. ITS2323 for the supply of records and information management systems (March 2001). 7.

Australian Standard AS 4390–1996, Records Management, Part 3: Strategies, Clause 5.3, see also DIRKS manual, Step B and Step C.

8.

For an introduction to planning recordkeeping projects, see Bernadette Bean, ‘A project plan’, in Judith Ellis (ed.), Selected Essays in Electronic Recordkeeping in Australia , Australian Society of Archivists, Canberra, 2000.

23

PART 2 STEPS A–H

September 2001

STEP A – PRELIMINARY INVESTIGATION September 2001

September 2001

ISBN 0 642 34449 3 © Commonwealth of Australia 2001 This work is copyright. Apart from any use as permitted under the Copyright Act 1968, no part may be reproduced by any process without prior written permission from the National Archives of Australia. Requests and inquiries concerning reproduction and rights should be directed to the Publications Manager, National Archives of Australia, PO Box 7425, Canberra Mail Centre, ACT, 2610. Privacy Statement – Collection of personal information from email The National Archives of Australia will only record your email address if you send us a message. The address will be used only for the purpose for which you have provided it. We will not use your email address for any other purpose and will not disclose it without your consent.


DIRKS manual – Step A

CONTENTS

A.1

WHAT IS A PRELIMINARY INVESTIGATION?

4

A.2

BENEFITS OF THE PRELIMINARY INVESTIGATION

4

A.3

RESOURCES AND PREREQUISITES

5

A.4

DOING THE PRELIMINARY INVESTIGATION

6

A.5

A.4.1 Determine the scope of the investigation A.4.2 Collect information from documentary sources and interviews A.4.3 Document your research A.4.4 Prepare a report Figure 2 Types of documentary sources

6 8 10 10 9

ISSUES

11

A.5.1 A.5.2

11 11

‘Housekeeping’ functions Defining the boundaries of your organisations

A.6

CHECKLIST

12

A.7

WHAT’S NEXT

13

ENDNOTE

13

3


A.1


WHAT IS A PRELIMINARY INVESTIGATION?

The purpose of Step A is to identify and document the role of your organisation, its structure, the business, regulatory and sociopolitical environments in which it operates, and major factors affecting its recordkeeping practices. It provides the opportunity to conduct some preliminary research and consultation within your organisation about recordkeeping issues and to identify particular problem or risk areas. It will provide crucial contextual information about factors that influence your organisation’s need to create and maintain records. To complete Step A you need to: •

•

A.2

determine the scope of the preliminary investigation (Section A.4.1); collect information from documentary sources and interviews (Section A.4.2);

•

document your research (Section A.4.3); and

•

prepare a report for senior management (Section A.4.4).

BENEFITS OF THE PRELIMINARY INVESTIGATION

By completing a preliminary investigation you will have: •

•

•

an understanding of your organisation and the administrative, legal, business and social contexts in which it operates; a general appreciation of your organisation’s recordkeeping strengths and weaknesses; and a sound basis for defining the scope of your organisation’s recordkeeping project and presenting a business case for managerial support.

This information is vital for making effective decisions about your organisation’s recordkeeping systems and specific recordkeeping activities. It will help you define recordkeeping problems within your organisation, and ensure that proposed solutions are based on a firm understanding of the organisation and its environment. This information will be clearly documented in: •

•

•

•

4

a list of sources and accompanying notes that will contribute to Steps B and C; an organisation context document containing information about your organisation’s business and environment; a report for senior management explaining the major findings of your preliminary investigation and recommendations on the scope, conduct and feasibility of the proposed recordkeeping project; and a project plan that accompanies the report.



See Part 1 – Section 7.4 for an overview of documentation. A template, Appendix 5 – Organisation context document, is provided or the information can be captured in the DIRKS documentation database. The information gathered during Step A provides a useful snapshot of your organisation’s business activity and major stakeholders. It can serve as a fixed point of reference for subsequent recordkeeping projects or be maintained in a form that allows changes to the organisation’s operating environment, stakeholder interests, and sources of information to be incorporated as they occur, thereby providing a consolidated up-to-date reference. Step A is an essential precursor to the compilation of a business classification scheme (Step B) and the preparation of a functions-based records disposal authority (Steps B and C). In conjunction with Steps B and C, the preliminary investigation will also help you assess your organisation’s responsibility for recordkeeping and its compliance with external recordkeeping requirements. It is a useful basis for assessing your existing systems (Step D). Further information about Step A and the disposal authorisation process is provided in Appendix 8 – Procedures for developing a records disposal authority in the Commonwealth. A.3


The initial analytical steps of DIRKS (Steps A to C) are resource intensive. Your organisation will need to invest time and personnel in these steps to provide a sound basis for subsequent recordkeeping design and implementation activities. Before starting Step A you should: •

•

•

establish a need within your organisation to investigate its recordkeeping system(s) or undertake particular activities (such as functional appraisal); ensure that you have managerial support to undertake at least the preliminary investigation (depending on the anticipated scope of the project, it may be prudent to obtain in-principle support for Steps A to C before proceeding); and decide whether you will undertake parts of Step D – Assessment of existing systems concurrently with the preliminary investigation to gain a better insight into your organisation’s existing technological environment.

In order to conduct the preliminary investigation you will need: •

•

access to internal documentary sources such as annual reports, corporate plans and business plans; access to external documentary sources such as legislation, standards and codes of practice; 5


•

•

A.4


access to personnel with high-level knowledge of the organisation; and personnel with analytical skills, oral and written communication skills and a broad knowledge of the organisation. Such personnel may be drawn from within your own organisation or engaged as consultants to undertake the project on your organisation’s behalf.

DOING THE PRELIMINARY INVESTIGATION

The preliminary investigation provides a structured approach for analysing and documenting the context of your organisation, its business activity and recordkeeping practices. The amount of fundamental research that you undertake in this step will depend on the level of corporate knowledge and the availability and currency of pre-existing reports on relevant facets of the organisation. External consultants unfamiliar with your organisation are likely to draw heavily on source material during the analysis phase, while inhouse personnel may tend to rely more on their own knowledge. A.4.1 Determine the scope of the investigation

During the preliminary investigation you will need to identify: •

•

•

•

the boundaries of your organisation (see Section A.5.2); the legal framework that impinges upon the operations of your organisation; the internal and external stakeholders whose interests your organisation must take into account; the business, social and ethical standards the community expects your organisation to meet;

•

the type of work carried out by your organisation;

•

your organisation’s corporate culture; and

•

factors affecting your organisation’s recordkeeping practices.

The series of questions included in the organisation context document (Appendix 5) will help focus your research and provide a framework for documenting your findings. Answering each question and providing a source for each answer will create a concise body of information about the organisation to draw on in future steps or other recordkeeping projects. You may cite pre-existing reports or personal knowledge as sources where you consider that these are sufficient, but you should provide adequate information to enable every source to be identified and accessed again. Compiling documentation in a consistent format will also avoid unnecessary duplication of effort at subsequent steps in the DIRKS process or future recordkeeping projects.

6



A.4.1.1 Stakeholders

Stakeholders can be broadly defined as ‘those people and organisations who may affect, be affected by or perceive themselves to be affected by a decision or activity’. [1] Stakeholders are both internal, such as the business units and employees of the organisation, and external. External stakeholders include clients, customers, public lobby groups, business partners, regulators and those regulated by the organisation. As part of the preliminary investigation, it is necessary to identify your organisation’s stakeholders. Stakeholders are of particular importance for the appraisal and disposal aspects of a recordkeeping system and can be a source of recordkeeping requirements (Step C). It is important to consider not only your organisation’s interest in the stakeholders but the stakeholders’ expectations of your organisation. They are part of your business and social context and may be a source of accountability requirements and expectations. Information collected on stakeholders will be referred to in future steps. A.4.1.2 Critical factors affecting recordkeeping

During the preliminary investigation it is important to identify critical factors that may affect recordkeeping within your organisation. Your research may reveal some factors that promote good practices as well as other factors that are detrimental and create barriers. To assess your organisation’s strengths and weaknesses you will need to consider its strategic awareness, attitude to risk, technological environment and existing recordkeeping practices. The organisation context document contains questions that will help you make this assessment. Appendix 11 – Risk analysis in DIRKS may also provide some assistance in identifying critical factors. The understanding that you gain from this process will help you choose appropriate strategies and tactics in later steps of the DIRKS methodology. A.4.1.3 Corporate culture analysis

While many of the matters that you need to investigate will be revealed by your sources, others may be more difficult to identify and evaluate. An appreciation of your organisation’s corporate culture will help you more fully understand why and how your organisation operates as it does. An organisation’s corporate culture or ‘personality’ is the set of values, attitudes and beliefs shared by its members. It emerges from long-established practices, procedures, structures and systems. The terms used to characterise the ‘way we do things around here’ (for example, ‘hierarchical’, ‘laissezfaire’, ‘regimented’) are often indicative of an organisation’s culture. If you are undertaking the preliminary investigation in-house you are likely to be familiar with the organisational culture. However, consultants working on your organisation’s behalf will need to learn about the character of your organisation through interviews, by monitoring business processes and by observing officers at work. Some of the documentary sources, such as vision, 7



mission and value statements, together with organisational structures and performance appraisal mechanisms may also provide useful information for analysing the corporate culture. Interviews, particularly with long-term employees, are also a useful source. The organisation context document (Appendix 5) contains questions that will help you assess your organisation’s corporate culture. Strategies for better recordkeeping, including the design and implementation of new systems, are likely to require changes in corporate behaviour. Given that such behaviour is the product of established practices, procedures, structures and processes, it is important to consider what threats and opportunities the prevailing culture poses. These factors may affect the feasibility of your proposed recordkeeping project and should be addressed in your final report for this step. They will be revisited during Step E. See Appendix 12 – Recordkeeping feasibility analysis and Part 1, Section 7.2 – Change management. A.4.2 Collect information from documentary sources and interviews

Before starting your research, check if your organisation has recently participated in other projects involving corporate analysis (such as business process re-engineering, risk assessment, or strategic planning). Such projects may provide much of the information required for the preliminary investigation and reduce the need for further fundamental research. If you are unable to complete the organisation context document on the basis of this material or your own corporate knowledge you will need to gather information from documentary sources and interviews. Possible internal and external sources are described below. A.4.2.1 Documentary sources

Key sources that provide a good starting point for your preliminary investigation include: •

annual reports;

•

organisational charts;

•

•

strategic plans (eg corporate plans, business plans and related planning documents); legislation, ministerial statements and media releases regarding the establishment of your organisation;

•

policies and procedures;

•

your organisation’s existing records and recordkeeping systems; and

•

publications targeting the interests of particular stakeholders.

Most of the sources listed above are produced by your organisation, and may be accessible online through your organisation’s internet or intranet facilities. However, to fully understand the business, regulatory and sociopolitical

8



context in which your organisation operates you will need to look beyond its boundaries. There are many types of external sources that will provide important contextual information. Some of the more important sources are: •

•

reports and guidelines issued by audit, complaints-handling or other investigative bodies; and standards, codes of practice and protocols that are relevant to your organisation’s business.

Many of these sources are available online. Further information about these internal and external sources and the information they contain is provided in Appendix 1 – Guide to documentary sources.

A.4.2.2 Interviews

The purpose of consulting staff in Step A is to validate the information you have gathered from the documentary sources regarding your organisation’s context, its culture and its recordkeeping strengths and weaknesses. It can also provide information on areas of the business or culture that are not otherwise documented. Consultation can occur through interviews with individual officers or workshops with selected staff. It is important to confirm with staff that you are using current sources and to seek their advice on other sources that you may have overlooked. 9



For further information about the interview process, see Appendix 2 – Guide to interviews and Appendix 3 – Interview questions. A.4.3 Document your research

Documenting your research in a structured fashion will help you explain your preliminary investigation findings to senior management, substantiate your recommendations, provide a foundation for other steps, and serve as a reference document for future recordkeeping projects. During the information-gathering phase it is useful to compile: •

a register of all sources used; and

•

a set of notes for each source (documentary or interview).

A number of templates are provided to help you document your research. Separate templates are provided for Acts of Parliament, Statutory rules and regulationsand Other sources including interviews. These templates allow you to use the same forms to compile source information relating to the analysis of business activity (Step B) and identification of recordkeeping requirements (Step C). A suggested template for summarising your research, Appendix 5 – Organisation context document, is also provided. The DIRKS documentation database can also be used for documenting your research. Regardless of the format that you choose to document your research, it is helpful to arrange your notes so that they clearly indicate which source and which step(s) in the DIRKS process they relate to. As mentioned earlier, many of the sources used during the preliminary investigation will be used again to analyse your organisation’s business activities (Step B) and identify recordkeeping requirements (Step C). Keep copies of source documents so that you can refer to them later on. A.4.4 Prepare a report

At the conclusion of the preliminary investigation you should have collected enough information to identify: •

your organisation’s business activity;

•

major stakeholders;

•

the type of business risks that your organisation is exposed to;

•

perceptions of the role recordkeeping plays in your organisation;

•

strengths and weaknesses of recordkeeping and information systems;

•

level of management commitment to recordkeeping activities;

•

options for conducting the remainder of the project; and

•

resources required for proposed projects.

Using the organisation context document as the basis for your report will enable you to write up the findings of your preliminary investigation.

10



Depending on the level of senior management support gained and the amount of scoping undertaken before the project commenced, the report may canvas issues, options and recommendations to management on the scope of the proposed recordkeeping project, perhaps in the form of a business case or feasibility study. This manual includes guidelines to help you assess the feasibility of recordkeeping projects (financial, technical and operational feasibility) and guidelines on preparing a business case. Part 1, Section 6 – Pathways for using DIRKS outlines a range of recordkeeping projects for which the DIRKS methodology can be used. Once a decision has been made about the scope and conduct of the project, a detailed project plan, drawing on relevant steps in the DIRKS process, can be developed. If a decision had been made on the nature of the project prior to commencing Step A, the information gathered during the step should now be used to revise the project plan and highlight any issues or areas of concern that had not previously been identified. A.5

ISSUES

A.5.1 ‘Housekeeping’ functions

During the preliminary investigation, most organisations will not need to consider common ‘housekeeping’ functions such as financial management, occupational health and safety, personnel, and property management. These functions are identified and defined in Keyword AAA: Thesaurus of General Terms Commonwealth Version. Advice on the disposal of records related to these general administrative functions can be found in Administrative Functions Disposal Authority (AFDA) produced by the National Archives of Australia. At later stages in the DIRKS process you will need to ensure that your recordkeeping system creates, captures and manages these common housekeeping records, including disposal according to AFDA requirements. You will need to establish whether your organisation has a special role or responsibility for administering one of the generic functions, eg Comcare has responsibility for the Occupational Health and Safety function on behalf of the Commonwealth under the Safety, Rehabilitation and Compensation Act 1988 . If this is the case for your agency, the function must be included in the preliminary investigation and later stages. A.5.2 Defining the boundaries of your organisation

When carrying out the preliminary investigation, it is necessary to determine the boundaries of your organisation. Sometimes these can be fluid, particularly for portfolio departments. An example of this is when departments carry out secretariat activities for councils, committees, boards etc. Although they are closely linked to a department and have departmental officers carrying out tasks for them, they are separate organisations because

11



they were established independently by ministerial decision or legislation. Questions that can help determine organisational boundaries include: •

Was it established for a particular purpose by legislation or ministerial decision?

•

Is the entity a department, statutory authority or executive agency?

•

Is the entity a court?

•

Is the entity a corporation or association?

•

Is the entity a ministerial council, committee, board, trust or tribunal that is generally thought of as independent in regard to the exercise of its substantive role, eg for accountability, procedural or political reasons?

•

Does it operate autonomously?

•

Does it have an identified head or chief executive officer?

•

Does it have administrative cohesion with respect to work planning and budget arrangements?

•

Does it report independently to the minister or to the Parliament?

•

Does it have a separate recordkeeping system?

•

Does it have the power to make its own recordkeeping arrangements, if it so wishes?

If the answer is ‘yes’ to one or more questions, the entity is probably a separate organisation. Under the Archives Act and regulations, disposal arrangements must be authorised by a senior officer of each Commonwealth organisation. Frequent administrative rearrangements also mean that two organisations that are closely linked at present may be separate in the future. For these reasons it is important to understand the boundaries of your organisation. A.6

CHECKLIST

Before proceeding further check that you have: •

•

•

•

12

compiled an annotated list of the sources that you have used; completed the organisation context document provided (or prepared a similar document) to collate your findings; prepared a report for senior management explaining the major findings of your preliminary investigation and making recommendations on the scope, conduct and feasibility of the proposed recordkeeping project; and prepared a project plan to accompany the report to senior management.


A.7


WHAT’S NEXT?

After completing Step A you may now move on to Step B – Analysis of business activity. Commonwealth organisations intending to develop a functions-based records disposal authority should check the National Archives documentation requirements for this stage in Appendix 8 – Procedures for developing a records disposal authority in the Commonwealth before progressing with Step B. ENDNOTE

1.

Australian and New Zealand Standard AS/NZS 4360–1999, Risk Management 1.3.32.

13

STEP B – ANALYSIS OF BUSINESS ACTIVITY September 2001

September 2001



DIRKS manual – Step B

CONTENTS

B.1

WHAT IS AN ANALYSIS OF BUSINESS ACTIVITY?

4

B.2

BENEFITS OF ANALYSING YOUR BUSINESS ACTIVITY

4

B.3


5

B.4

DOING AN ANALYSIS OF BUSINESS ACTIVITY

6

B.4.1 B.4.2

7 8

B.4.3 B.4.4 B.4.5 B.4.6 B.4.7

B.5

Collect information from documentary sources and interviews Identify and document each business function, activity and transaction Develop a business classification scheme Stakeholders Assess risk Record your findings Validate the analysis

13 15 15 16 16

Figure 3 Analysis of business activity Table 1 Example of a business classification scheme

7 14

ISSUES

16

B.5.1 B.5.2 B.5.3

16 17 17

Defining the scope of your analysis Defining the scale of functions and activities Maintaining the currency of your analysis

B.6

CHECKLIST

18

B.7

WHAT’S NEXT?

18

ENDNOTES

18

3


B.1


WHAT IS AN ANALYSIS OF BUSINESS ACTIVITY?

The purpose of Step B is to develop a conceptual model of what your organisation does and how it does it by examining its business activities and processes. This analysis will provide the core foundation for the development of recordkeeping tools and will contribute to the decisions made regarding the creation, capture, control, storage, disposal and access of records in subsequent steps. This is particularly important in an electronic business environment where the connection between an organisation and its records is logical, rather than physical, in nature. This step provides advice on how to undertake and document the business analysis in a systematic and meaningful way and to make best use of its results. To complete Step B you need to: •

•

•

•

•

B.2

collect information from documentary sources and interviews (Section B.4.1); analyse the work performed by the organisation (Section B.4); identify and document each business function, activity and transaction (Section B.4.2); develop a business classification scheme based on a hierarchy of business functions, activities and transactions (Section B.4.3); and validate the analysis of the organisation’s business activity with senior management (Section B.4.7).

BENEFITS OF ANALYSING YOUR BUSINESS ACTIVITY

The analysis of business activity provides the core conceptual basis for developing recordkeeping tools. At the end of Step B you will have: •

•

an understanding of the relationship between your organisation’s business and the records that are a by-product and evidence of its activities; and a foundation for developing tools and other mechanisms to establish corporate control over recordkeeping, including thesaurus development, preparation of disposal authorities, identification and specification of recordkeeping requirements, and the formal assignment of recordkeeping responsibilities.

This will be documented in: •

•

4

the function source document (Appendix 7) or report from the DIRKS documentation database, detailing your organisation’s functions, activities and transactions; and a business classification scheme that shows the organisation’s functions, activities and transactions in a hierarchical relationship.



The business classification scheme is used to link records to their business context. This is a key requirement for making and capturing ‘full and accurate’ records. The scheme, in conjunction with the recordkeeping requirements identified in Step C, provides the basis for developing two crucial records management tools: •

•

B.3

A thesaurus of terms or records classification scheme to control the language for titling and indexing records in a specific business context. Such classification tools can be used alone or can be supplemented by other indexing and retrieval tools. Further information on classification tools is provided in Part 1, Section 6 – Pathways for using DIRKS. A disposal authority that defines the retention periods and consequent disposal actions for various classes of records. Further information on the preparation of disposal authorities is provided in Appendix 8 – Procedures for developing a records disposal authority in the Commonwealth.


Analysing your organisation’s business activity is a rigorous and resourceintensive process. You must undertake this step if you intend to develop classification tools (such as a functions thesaurus or records classification scheme) or a functions-based records disposal authority for current recordkeeping purposes. These recordkeeping products are also required for later steps in the DIRKS process, notably design (Step F – Design of a recordkeeping system) and implementation (Step G – Implementation of a recordkeeping system). Before starting Step B you should: •

•

•

•

have a general understanding of your organisation and the contexts in which it operates (Step A); have a general appreciation of the organisation’s recordkeeping strengths and weaknesses (Step A); obtain managerial support to undertake the analysis of business activity; and determine whether your organisation has previously analysed and documented its business activities and processes.

In order to conduct the analysis of business activity you will need: •

•

access to internal and external documentary sources and information gathered through the interview process (these sources of information may also have been used in Step A); and personnel with analytical skills (including a familiarity with modelling techniques), oral and written communication skills and a broad knowledge of the organisation – such personnel may be drawn from 5



within your own organisation or engaged as consultants to undertake the project on your organisation's behalf. Step B may be carried out concurrently with parts of Step C – Identification of recordkeeping requirements as the same sources are used. Ensure that you are also familiar with Step C before commencing Step B. You will find that during your research to identify functions, activities and transactions, recordkeeping requirements are also identified. A single template, Appendix 7 – Function source document or the DIRKS documentation database, can be used to record your findings for Steps B and C. B.4

DOING AN ANALYSIS OF BUSINESS ACTIVITY

The objective of this step is to establish a model, or representation, of the business activities carried out by your organisation. While varying approaches can be used to develop this model, it should be noted that the analysis is an iterative process with the development of a final product usually being the result of many revisions. Two types of analysis are useful for identifying functions, activities and transactions. Hierarchical analysis involves a top-down approach of identifying what your organisation does and breaking it down into a series of logical parts and sub-parts. Process analysis is a bottom-up approach of examining in more detail how your organisation does its business. [1] The recommended approach outlined below draws on both types of analysis. In order to conduct an analysis of your organisation’s business activity you will need to identify: •

•

•

•

your organisation’s goals and the strategies to achieve these goals; the broad functions the organisation undertakes to support its goals and strategies; the activities that contribute to the fulfilment of the organisation’s functions; and the groups of recurring transactions or processes that make up each of these activities.

If your organisation has been analysed for other purposes it may be possible to draw on the results of such work, rather than starting from scratch. Projects that may involve an analysis of business activity include:

6

•

business process re-engineering;

•

imaging and work flow automation;

•

development of a records titling thesaurus or classification tool;

•

activity-based costing or management;

•

quality accreditation; and

•

systems implementation.



If the analysis arising from such projects is available, you will need to consider how, why and when the projects were undertaken to determine whether their findings are applicable for recordkeeping purposes. You may already have an existing classification scheme developed to support an organisational thesaurus or related classification tools. This step is an opportunity to review that scheme to ensure it is still current and relevant for recordkeeping. If you wish to use terms from an existing classification scheme it will be necessary to research the basis of this scheme to judge its relevance and to assist with Step C.

B.4.1 Collect information from documentary sources and interviews

Use the register of sources (question 22 in Appendix 5 – Organisation context document) compiled in Step A as a starting place for your research. Many of these sources will be pertinent to the analysis of your organisation’s business activity. These include internally generated sources such as mission statements, corporate plans, annual reports, organisational charts, policy statements, procedure manuals, information systems documentation, records and forms, as well as external sources such as legislation, regulations, instructions and circulars. Legislation is a particularly important source for this step as it can indicate when your organisation has a legal responsibility to perform particular functions, activities or tasks. For further information about documentary sources, see Appendix 1 – Guide to documentary sources. Although you will refer to many of the same sources during Steps

7



A, B and C, it is important to note that you are seeking different information from the sources and working towards different outcomes for each step. In addition to the documentary sources, you should also consult personnel associated with the functions and activities you are investigating, both to gain information and to verify your other research. Consultation can occur in a variety of ways, including the use of questionnaires, interviews and focus groups. For further information about conducting interviews, see Appendix 2 – Guide to interviews. Interviews with middle management can provide higher-level contextual information about functions. Focus groups or interviews with action officers may help with identifying activities and analysing transactions. Use the Acts of Parliament, Statutory rules and Other sources templates provided in Appendix 4 – Source identification forms, or design your own templates to document the sources that you have consulted in this step. If you are using new sources that were not used in Step A, including additional interviews or focus groups, remember to add them to the register of sources prepared in Step A. B.4.2 Identify and document each business function, activity and transaction

The analytical process starts with a ‘big picture’ view of your organisation’s business activity and breaks it down into more detailed parts. These component parts (or ‘entities’) are referred to in descending order as the organisation’s functions, activities and transactions. •

•

•

Functions are ‘the largest unit of business activity in an organisation’. [2] They represent the major responsibilities that are managed by the organisation to fulfil its goals. Functions are high-level aggregates of the organisation’s activities. Activities are the major tasks performed by the organisation to accomplish each of its functions. Several activities may be associated with each function. Transactions are ‘the smallest unit of business activity’. [3] They should be tasks, not subjects or record types. Transactions will help define the scope or boundaries of activities and provide the basis for identifying, in detail in Step C, the records that are required to meet the business needs of the organisation. The identification of transactions will also help in the formulation of the records description part of a records disposal authority.

The following example shows the relationship between these entities. •

•

8

Function Publication – the function of having works, irrespective of format, issued for sale or general distribution internally or to the public. Activity Drafting – the activities associated with preparing preliminary drafts



or outlines of addresses, reports, plans, sketches, etc prior to publication. •

Transaction(s) Create draft copies of publications, website and/or intranet text with associated metadata; distribute drafts for comment; file comments made on these drafts.

There are also many higher level functions that exist outside the boundaries of your organisation, known as ‘ambient’ functions. [4] These ambient functions provide the broader social context in which an organisation's business functions are performed. You may or may not wish to map your organisation’s functions to the ambient functions. If you do so, you should use the Australian Governments’ Interactive Functions Thesaurus (AGIFT), a national cross-jurisdictional thesaurus of government functions. The following steps are a recommended approach to identifying your organisation's functions, activities and transactions. Each step may be revisited many times. •

•

•

•

Use the sources to identify broad statements of your organisation’s purpose, goals and strategies. Look at the organisation’s charter, mission and objectives to get an overview. Consider what makes the organisation unique. Conceptualise the broad functions of the organisation. Functions are generally not based on organisational structures because they are more stable than administrative units, which are often amalgamated or devolved in restructures. Functions can also be dispersed across structural components of an organisation. After identifying your organisation’s functions, check that each is of a similar complexity and does not fit within another function. Notice if functions overlap. Test against the organisational structure to ensure all aspects of the organisation’s business are covered. Use the sources to identify the component activities within each function. As with functions, check that each activity is of a similar complexity and does not fit within another activity. Notice if activities overlap. An activity should be based on a cohesive grouping of transactions producing a singular outcome. For example, the transactions under the activity of policy may be draft policy, circulate for comments, receive comments, finalise policy, seek approval, and promulgate the policy. It is a cohesive group that results in the production of a policy. Activities should not be based on how records are currently kept, eg as a case, project or event file. Such files might comprise many activities and represent a legitimate way to maintain the record, but the analysis of business activities should represent the component parts. Identify the transactions associated with each activity. This can be done through written sources, workshops and interviews or by analysing work processes – examining in detail the process involved in 9



carrying out work. Identifying the transactions will assist in testing and finalising the boundaries of activities. •

•

Test your preliminary analysis in interviews and workshops with relevant staff members. Revisit the top-level functions and refine them in light of subsequent analysis. Revisit and refine the remaining levels of the hierarchy.

Although this analysis involves a ‘top-down’ approach, it is not essential that you finalise the highest level of the hierarchy before moving on to its lower levels. Indeed, identifying transactions will help define the boundaries of activities and therefore the scope of functions. The examination of sources will often provide information that is relevant to a number of levels and you should expect to revisit each level several times in order to refine and enhance the model. You may wish to conduct interviews early in the process or, alternatively, prepare a detailed analysis using documentary sources before conducting workshops to further refine and test the analysis. It is useful to have at least a rough outline of functions, to generate discussion, before holding workshops or interviews. It is possible that you will identify activities during your examination of sources that are not carried out in practice by the organisation. These activities should be documented, including reasons why they are not being fulfilled. B.4.2.1 Assigning terms to functions and activities

As part of your analysis it will be necessary to choose terms that can represent the functions and activities you have identified. To some extent, the choice of terms will depend on the way in which you have defined the entity types, such as function, activity or transaction. In some cases the terminology will be very specific to your organisation’s business (such as ‘regulating government recordkeeping’) while, in other cases, the terminology may be specific to your industry sector rather than your particular business (for example ‘mineral development’). Care should be taken to choose terms that are relevant to your organisation. To avoid confusion, you should describe your organisation’s unique business functions using terms that are different from the terms used in the Commonwealth version of Keyword AAA to describe administrative functions common to many organisations. This will enable you to create an unambiguous and integrated business classification scheme by merging the terms describing your specific business functions with the terms in Keyword AAA describing generic functions. Further practical advice for using Keyword AAA function and activity terms in agency business classification schemes is available in Appendix 6 – Practical advice for using Keyword AAA terms in agency business classification schemes.

10



You may also wish to consult AGIFT to determine whether any of its function terms are appropriate to your organisation’s needs. AGIFT contains 24 ambient function terms and more than 500 lower level function terms covering Commonwealth government functions, as well as functions of other government jurisdictions. Appendix 6 – Practical advice for using Keyword AAA terms provides further advice. B.4.2.2 Defining the scope of functions and activities

It is necessary to define the boundaries or scope of each function or activity and define the relationships between described entities, making sure that the entities at the same level do not overlap. Scope notes define the meaning of a particular term, or combination of terms, and guide users on how such terms should be applied. They should not be wordy explanations. Precision, consistency and clarity are important. A scope note should: •

state what the term covers;

•

state what the term does not cover; and

•

provide references to other lower level terms.

Without scope notes, there may be different interpretations of terms across the organisation, rather than shared meanings. Scope notes will start as quite tentative statements or even dot points, and then be revised as you refine your definition of each entity. Scope notes for both functions and activities should always reflect the subordinate components. As a rule of thumb, the scope of an activity should encompass the transactions identified as part of the activity, and the scope of a function should encompass the activities constituting the function. For example, the function term ‘Publication’ from the Commonwealth version of Keyword AAA is defined as: the function of having works, irrespective of format, issued for sale or general distribution internally or to the public. Includes drafting, manual or electronic production (design, layout, typesetting, printing etc) marketing, and supply of publications by the organisation …’ The scope note includes some of the narrower activity terms such as distribution, drafting, marketing and production to describe the breadth of the function. However, not all of the activities for the function are included in the scope note. For example, routine processes associated with many functions, such as enquiries, planning, procedures, reporting, research and reviewing are omitted. The specific inclusion of narrower terms to define the boundaries of the broader term will vary but, at the very least, should guide the composition of the scope note. In some cases, activity terms are linked to many function terms. The scope notes for these activity terms need to be generic if they are to be linked to more than one term. For example, the Commonwealth version of Keyword AAA allows the activity descriptor ‘Data administration’ to be used under both the ‘Information management’ and ‘Technology and 11



telecommunications’ functions. The scope note describes ‘Data administration’ as the ‘activities associated with maintaining and using the data that is held in a system, either automated or manual. Includes the maintenance of data dictionaries’. However, the functional context (scope) enables a clear delineation between those activities related to: •

•

copying information from one medium to another, such as scanning paper documents into an electronic system, or copying documents from a floppy disk to a CD-ROM (‘Information management’); and migrating data between electronic systems and from one electronic medium to another (‘Technology and telecommunications’).

The scope note of the broader term will determine whether or not the broad term is appropriate in the circumstances rather than the scope note for the narrower term. However, both scope notes are critical to defining the purpose and application of the combined function and activity set of terms. To avoid confusion, it is usual to start a function scope note with ‘The function of …’ and an activity scope note with ‘The activities associated with …’ Keyword AAA can be used as a model when preparing scope notes. Scope notes should not include references to specific record types, eg ‘application forms’. B.4.2.3 Assigning dates to functions and activities

Dates should be assigned to your functions and activities. These dates establish a time frame, which will be useful for the development and application of the linked recordkeeping tools such as a thesaurus and disposal authority. A start date, whether for a function or activity, must be supported by an appropriate source, such as legislation, published histories, interview, early annual reports or the records themselves. Your research must also establish that there have been no changes to how the function and related activities have been carried out over the entire date range you have allocated. For example, if a piece of legislation has been used to establish a start date for an activity and this legislation has been amended many times you will need to research the changes. The results of this research may indicate that you need to introduce a new activity, or in Step C identify different disposal classes for the records that were generated in different periods of time. If early sources are hard to find and it is a low risk function or activity, it may be safe to assume that the analysis will apply to earlier years. For example, it is hard to think of a time where the activity ‘Meetings’ would not be relevant. An awareness of Australian history can help in identifying if a function may be of greater public interest for particular points in time. For example, records created during World War II may be of greater interest than records created at other times. These historical events may also indicate changes in whether or how a function was performed.

12



B.4.3 Develop a business classification scheme

A business classification scheme (BCS) is a hierarchical model of the relationship between your organisation’s functions, activities and transactions. The relationships between the entities at the same level and between levels should be explained. The functions, activities and transactions identified through your analysis of business activity should be represented in a BCS, including scope notes and date ranges. Indicate whether terms are from Keyword AAA, AGIFT or are organisation-specific, to assist with any future changes. Functions should be listed alphabetically and activities alphabetically under each function. Transactions should also be listed in the function source document (Appendix 7) or the report from the DIRKS documentation database. The BCS can also include links and ‘see’ references to explain the logical structure and the relationship between entities. This will assist in the development of related classification tools (such as a functions thesaurus or records classification scheme). The layout of the business classification scheme can make it easier to see if there are any inconsistencies or overlaps in your analysis. You should ensure that: •

•

•

•

an appropriate unit of business activity is selected as the basis for each function; each function and activity has a defined scope; the scope of each function mutually excludes the other functions (including any common administrative functions covered by Keyword AAA); and the combined functions account for all of the business the organisation carries out.

The number of levels featured in your business classification scheme will depend on the complexity of the various functions undertaken by your organisation. Part of a sample business classification scheme is shown in Table 1. It is based on a fictitious organisation.

13



Table 1 Example of a business classification scheme

Organisation: Department of Research Function

Activity

Experiment design

Design development

Ref No: F1

Ref No: A1

Date range: 1960–

Date range:1960–

The function of designing experiments to test scientific hypotheses. Includes the activities of research, design development, testing and review.

The activity of developing designs to test particular hypotheses. Includes evaluating designs and assessing the feasibility of using particular methods. (Organisation BCS) Design research Ref No: A2 Date range: 1960– The activity of researching experiment designs. It includes identifying and evaluating current practices. (Organisation BCS) Design review Ref No: A3 Date range: 1960– The activity of reviewing experiment designs for completed experiments. Includes evaluating the design in relation to the reliability of experimental data produced. (Organisation BCS) Design testing Ref No: A4 Date range: 1960– The activity of testing experiment designs. It includes developing the procedures for checking the rigour of the final design in being able to meet the requirements of the experiment. (Organisation BCS)

14



B.4.4 Stakeholders

As part of analysing the broad legal and social context in the preliminary investigation (Step A), organisational stakeholders were identified. Link these stakeholders to the relevant function or activity and include any stakeholders who have been subsequently identified through the business analysis. External stakeholders who participate in the work of the organisation, eg individual clients, client organisations or other Commonwealth agencies will be revealed through the analysis of activities and transactions. Other stakeholders may be linked at the functional rather than activity level, for example, an external consultative group. In addition to external stakeholders, particular parts of the organisation may have an interest in the function. These internal stakeholders should be identified. They will include those areas responsible for carrying out the function and activities, but may include other areas. For example, within the National Archives, the Public and Reader Services Branch is an important stakeholder in the appraisal function. Even though the Branch is not involved in appraisal work, the outcome of this work affects what will be available to the public in the future, which is its area of responsibility. Stakeholders are identified at this point as they often have interests in records and can be a source of recordkeeping requirements in Step C. They can also have an impact on the way work is performed within an organisation. An example of this is when consultation with stakeholder groups becomes part of routine work processes. In Step B we are examining the stakeholder’s interest in the function and activity, that is, in the work performed. In Step C this interest will be examined in relation to the records generated by this work. B.4.5 Assess risk

The risk connected to a function or activity is the risk of events occurring that expose the organisation to adverse consequences. This may include not being able to justify a decision or not knowing what decision was made. Consequences of these events could include financial loss, public embarrassment or unacceptable delays. Good recordkeeping can often help reduce these risks. Assessing risk at the functional level assists in prioritising areas for future analysis and identifying organisational areas that perform the function as requiring more stringent recordkeeping practices and training. Some areas of risk were identified in the preliminary investigation. Link these risk areas to the relevant function or activity. Source analysis during this stage may have revealed other areas of risk, for example, legislation may carry strong penalties for non-compliance in particular areas, or risks may have been identified in workshops with staff. Use the recordkeeping risk analysis guidelines to assess the risks of carrying out each function. How detailed the process will be will depend on your organisational culture with respect to risk, whether recent organisational risk assessments have been

15



done, and whether research indicates there is likely to be a high level of risk. (See Appendix 11 – Risk analysis in DIRKS.) B.4.6 Record your findings

The BCS is a representation of the functions, activities and transactions carried out by your organisation. For future steps and to justify your identification of entities, it is also necessary to record your analysis of the functions, activities and transactions. You should include information on: •

legislation or other sources that underpin the functions and activities;

•

risks associated with each function and activity;

•

stakeholders that have an interest in the function or activity;

•

•

business sections that are responsible for or carry out aspects of the function; and changes to the function through time.

Appendix 7 – Function source document, or the DIRKS documentation database provide useful templates to record your findings. The information gathered, including information on stakeholders and sources of authority, provide a basis for determining recordkeeping requirements in Step C. B.4.7 Validate the analysis

It is important that you consult widely during your analysis of business activity and that you validate your findings. This will involve asking managers and operational staff to examine your business model to confirm that it is accurate and complete. It is essential that your model is meaningful to the organisation as it will be the basis of identifying key recordkeeping activities (including intellectual control and appraisal). The analysis and BCS should also be validated with senior management. B.5

ISSUES

B.5.1 Defining the scope of your analysis

It is desirable to take an organisation-wide perspective when undertaking an analysis of business activity. In most cases, functions are carried out across a number of structural units within an organisation and records that document activities and transactions associated with these functions may be created in several different recordkeeping systems. For example, the policy and case records generated in relation to a function may be created in different offices using different recordkeeping systems (eg, a correspondence file system and a case management database). Taking a functional, rather than structural, approach to your analysis of business activity should provide a complete understanding of your organisation’s operations and result in more informed decision-making about the creation, control and appraisal of its records.

16



Taking a holistic approach in both Steps A and B will enable you to place your organisation’s business activities in context and identify areas of high risk that may warrant priority in subsequent stages of the design and implementation process. These areas may correlate to particular recordkeeping systems, business activities or business units. Within the Commonwealth, many agencies carry out similar functions, or even parts of the same function. For example, the Civil Aviation Safety Authority and Airservices Australia work in the same area. Another example is the Australian Maritime Safety Authority, which coordinates the national search and rescue function that can involve such agencies as the Department of Defence and Australian Customs. If this is the case for your organisation, it may be useful to consult with related agencies when conducting your analysis in Step B and identifying recordkeeping requirements in Step C. You may be able to draw on analysis already undertaken by similar organisations. Such consultation will reduce duplication and enhance consistency in recordkeeping throughout the Commonwealth. Contact the National Archives for further advice on this. It should not be necessary to spend time analysing ‘housekeeping’ functions, which are not unique to your organisation (such as financial management, occupational health and safety, personnel, and property management), unless you have a special role or responsibility for these functions. Such common administrative functions are defined in the Commonwealth version of Keyword AAA and are covered by the Administrative Functions Disposal Authority (AFDA) produced by the National Archives of Australia. Nonetheless, you should refer to Keyword AAA once you have completed the analysis of your organisation's unique functions to ensure that all aspects of your organisation’s business activity have been covered. (See Step A, Section A.5.1 – ‘Housekeeping’ functions.) B.5.2 Defining the scale of functions and activities

Although the business classification scheme that is derived from hierarchical analysis is graded into three levels – functions, activities and transactions – the scale of these entities is relative rather than absolute. For example, the Commonwealth version of Keyword AAA uses the separate functions of Personnel, Staff development and Occupational health and safety instead of a single, larger function such as Human resources. In most cases, the scale of each entity will be straightforward, but there may be occasions when you need to manipulate the scale to create a meaningful and practical business classification scheme. B.5.3 Maintaining the currency of your analysis

Analysis of business activity can provide an effective and powerful tool for managing records. To ensure that your analysis remains relevant to your organisation's needs, it is prudent to build certain triggers into your recordkeeping system that will prompt you to periodically review its currency. Some of these triggers may include administrative change within

17



the organisation, a government election, or a change in organisational responsibilities. B.6

CHECKLIST


documented the sources you have used;

•

documented your organisation’s functions, activities and transactions;

•

•

•

B.7

highlighted business-critical functions using risk assessment techniques; prepared a business classification scheme showing the organisation’s functions, activities and transactions in a hierarchical relationship; and validated your findings with senior management.

WHAT’S NEXT?

After completing Step B you can move on to Step C – Identification of recordkeeping requirements. If you intend to develop classification tools (such as a functions thesaurus or records classification scheme), this can be done now, though an understanding of recordkeeping requirements (Step C) can be of use in developing these tools. For more information see Overview of classification tools for records management. Commonwealth organisations intending to develop a functions-based records disposal authority should check the National Archives’ documentation requirements for this stage in Appendix 8 – Procedures for developing a records disposal authority in the Commonwealth, before progressing with Step C. ENDNOTES

1.

For further information on analysis techniques see Martin E Modell, A Professional’s Guide to Systems Analysis, 2nd edition, McGraw-Hill, 1996; and Edward Yourdon, Modern Structured Analysis, Prentice-Hall, 1989.

2.

Australian Standard AS 4390–1996, Records Management, Part 1: General, Clause 4.15.

3.

Australian Standard AS 4390–1996, Records Management, Part 1: General, Clause 4.27.

4.

For further information on ambient functions see Chris Hurley, ‘Ambient functions – abandoned children to zoos’, Archivaria, vol. 40, Fall 1995, pp. 21– 39.

18

STEP C – IDENTIFICATION OF RECORDKEEPING REQUIREMENTS September 2001 (rev July 2003)

September 2001



DIRKS manual – Step C

CONTENTS

C.1

WHAT ARE RECORDKEEPING REQUIREMENTS?

4

C.2

BENEFITS OF IDENTIFYING YOUR RECORDKEEPING REQUIREMENTS

4

C.3


5

C.4

IDENTIFYING YOUR RECORDKEEPING REQUIREMENTS

6

C.4.1 C.4.2

C.5

Locate relevant sources Identify regulatory, business and community requirements for recordkeeping C.4.3 Document identified requirements for recordkeeping C.4.4 Assess the risk of not meeting requirements C.4.5 Report to management

13 17 18

Figure 7 Requirements impacting on organisational requirements Table 1 Sample recordkeeping requirements for IP Australia

7 16

ISSUES

19

C.5.1 C.5.2 C.5.3 C.5.4

19 19 19 20

Drawing on other recordkeeping projects Maintaining a history of recordkeeping requirements Using recordkeeping requirements Recordkeeping requirements for housekeeping functions

7 10

C.6

CHECKLIST

20

C.7

WHAT’S NEXT?

20

3


C.1


WHAT ARE RECORDKEEPING REQUIREMENTS?

The purpose of Step C is to identify and record your organisation’s requirements to make and keep evidence of its business activities and to document the requirements in a structured and easily maintainable form. The term ‘evidence’ is used here in its broadest sense, rather than its narrow legal meaning. Evidence (in the form of records) helps ensure that individuals and organisations are accountable to government, courts of law, shareholders, clients, community interest groups and future generations. Records also support business processes and continuity, interaction with clients, quality control and decision-making. The nature of your organisation and the context in which it operates dictate what type of evidence of its activities it needs to create, what form that evidence takes, how long the evidence should be retained and what access should be provided to that evidence over time. These ‘recordkeeping requirements’ are identified through a systematic analysis of your organisation’s business needs, legal and regulatory obligations, and broader community expectations, as well as an assessment of your organisation’s exposure to risk if these evidential requirements are not addressed. Identifying your organisation’s recordkeeping requirements is an essential step in the DIRKS process. It provides the rationale for the creation, maintenance and disposal of records, the basis for designing systems that facilitate such recordkeeping processes, and the benchmark for measuring the performance of existing systems. To complete Step C you need to: •

•

•

•

C.2

locate relevant sources (Section C.4.1); identify regulatory, business and community requirements for recordkeeping (Section C.4.2); document these identified requirements in a manner suitable for reference purposes (Section C.4.3); and determine and document which of the identified requirements will be met (Sections C.4.4 and C.4.5).

BENEFITS OF IDENTIFYING YOUR RECORDKEEPING REQUIREMENTS

By completing this step you will have: •

•

4

an understanding of your organisation’s requirements to make and keep records as evidence of its activities; an appreciation of your organisation’s level of exposure to evidencerelated risks (such as failures in accountability, legal action and loss of vital records);


•

•

•

•

•


an intellectual framework to support appraisal decisions and disposal actions (see Appendix 8 – Procedures for developing a records disposal authority in the Commonwealth); an appreciation of the internal and external factors (cultural, technological and economic) that influence how these requirements may be met; a benchmark for assessing whether your organisation’s current systems meet these recordkeeping requirements (Step D); a basis for determining the range of strategies which best enable your organisation to meet these recordkeeping requirements (Step E); and the basis for developing functional specifications for recordkeeping systems, including software products (Step F).

This will be documented in: •

•

a list of all sources containing recordkeeping requirements relevant to your organisation (expanding the list of sources compiled in Step A and B); and a list of the regulatory, business and community requirements for recordkeeping derived from these sources, arranged in a form that can be easily maintained over time for reference purpose.

Given the implications for organisational accountability, it is essential that the process of identifying your recordkeeping requirements be well documented. The documentation should provide the rationale for each requirement and enable it to be traced back to its source. C.3


Before starting Step C you should have: •

•

•

•

a general understanding of your organisation and the context in which it operates (Step A); analysed your organisation’s functions, activities and transactions (Step B); fully documented any sources consulted during Steps A and B so that you can quickly refer to them and determine their usefulness for this step; and obtained managerial support to identify and document the organisation’s recordkeeping requirements.

In order to identify and document your organisation’s recordkeeping requirements you will need: •

access to internal and external documentary sources, and information gathered through the interview process (these sources of information may have been used in Steps A and B); 5


•

•


personnel with analytical skills (including familiarity with modelling techniques), oral and written communication skills and broad knowledge of the organisation; and access to personnel with an understanding of legal, audit, quality assurance and other relevant matters to assist with risk and feasibility assessment.

Access to personnel with IT database expertise to assist with documentation can also be beneficial. Many recordkeeping requirements may have been identified in the course of identifying functions and activities in Step B. These requirements should be linked to the appropriate function and activity once your business classification scheme is finalised. C.4

IDENTIFYING YOUR RECORDKEEPING REQUIREMENTS

There are three main types of recordkeeping requirements: •

•

•

regulatory (or ‘accountability’ or ‘legislative’) requirements (Section C.4.2.1); business (or ‘operational’) requirements (Section C.4.2.2); and community expectations or ‘sociopolitical’ or ‘societal’ requirements (Section C.4.2.3).

Recordkeeping requirements may be stated explicitly in laws, regulations and other instruments of authority, or implied by the environment in which your organisation operates. They will refer to specific needs for evidence. For example, a requirement may state the need for: •

the creation of a record;

•

its retention for a specified period;

•

its disposal;

•

access conditions;

•

the content the record;

•

the form it should be in; and

•

aspects relating to quality, that it is a full and accurate record (See glossary).

In order to identify your organisation’s recordkeeping requirements you should use both documentary sources and interviews. Different types of requirements will generally come from different sources. For example, a regulatory requirement for the creation of evidence will be found in a documentary source, whereas the business need to retain the evidence may come from an interview.

6



In the course of your investigation, it is likely that you will discover numerous sources that identify needs for evidence. However, it is important to distinguish these ‘identified’ recordkeeping requirements from those requirements that you ultimately choose to satisfy. The latter requirements, and the quality of evidence created and maintained to support them, will be determined through a process of risk and feasibility analysis. C.4.1 Locate relevant sources

The first stage of identifying your organisation’s recordkeeping requirements is to find relevant internal and external sources (such as those listed in Appendix 1 – Guide to documentary sources). In Steps A and B you used these sources to analyse your organisation’s context and business activities. In this step you need to look at these and other sources to find information that will help you identify and assess recordkeeping requirements. When researching recordkeeping requirements, it is important to address the interests of all internal and external stakeholders. In Steps A and B you identified the stakeholders of your organisation and particular functions and activities. These stakeholder interests may represent different types of recordkeeping requirement. For example: •

•

a joint venture partner wants access to your organisation’s records of the venture for 10 years (a business requirement); the section responsible for an activity regularly refers to the records for seven years after the event (a business requirement); or

7


•


genealogists argue for the indefinite retention of citizenship and immigration files (a community expectation).

Documentary sources may include information on stakeholder interests. Internal business interests may be reflected in policy and procedure material. Written reports regarding the concerns of external stakeholders may be available. Interviews are also effective to gather information about stakeholders’ interests in records. Bear in mind that internal staff will often know the interests of external stakeholders. C.4.1.1 Internal documentary sources

A good place to begin is to identify any previous research into recordkeeping requirements carried out in your organisation. You may be able to use or tailor this information for your current purposes. For example, analysis carried out in preparation for the design and implementation of other information systems within your organisation may have examined requirements for recordkeeping in specific functional areas. This is particularly likely in core functional areas that require high levels of reporting and/or financial accountability. It may be worth looking at the documentation compiled for these other systems or procedural guidelines that support particular business processes. Your organisation’s information systems or business systems unit should be able to provide you with copies of any requirements documentation relating to in-house electronic information systems. Records disposal authorities under which your organisation currently operates will contain previously identified requirements for the retention of its unique business records. However, it is unlikely that the sources of these requirements are explicitly documented in disposal authorities, and recordkeeping requirements not relating directly to retention will not be identified. Furthermore, the recordkeeping requirements to retain records may not be comprehensive. Some requirements may have been superseded and new requirements may come into effect. Nonetheless, your organisation’s existing disposal authorities can provide a useful starting point. Records documenting the development of these authorities will provide additional information and help you judge the reliability of past disposal actions. Like other requirements, this information will need to be mapped to the relevant functions and activities. Requirements for evidence may be found (or corroborated) in corporate policies, internal guidelines, procedure manuals, reporting structures (such as those between managers and staff), and quality assurance programs. The examination of internal sources will also help you determine activities and processes that currently result in the creation and retention of records in your organisation. Further investigation of these activities and processes may reveal additional requirements, as well as provide valuable information about your organisation’s current recordkeeping systems needed for Step D.

8



C.4.1.2 External documentary sources

The most relevant external sources are likely to include your organisation’s enabling legislation, the legislation it administers, and any legislation that applies to its operations. Regulations issued under legislation may also specify recordkeeping requirements. You will also need to consider guidelines, reports or directives arising from: •

•

complaints handling bodies such as the Commonwealth Ombudsman; audit authorities such as the Australian National Audit Office (ANAO);

•

administrative or judicial reviews;

•

committees of inquiry;

•

investigative bodies such as royal or independent commissions; and

•

policies and guidelines promulgated by the National Archives of Australia.

A failure to recognise requirements resulting from these sources may expose your organisation to penalties and prosecution. Various industry standards and best practice standards and guidelines adopted or endorsed by your organisation may also be relevant, and include: •

•

International Organization for Standardization (ISO) 15489 standard on records management and the accompanying technical report; International Organization for Standardization (ISO) 9000 series of quality management standards;

•

software development standards; and

•

documentation standards.

C.4.1.3 Organisational staff

In addition to documentary sources, key personnel in your organisation can provide detailed information on business activities and processes, as well as useful perspectives on why particular records need to be created and kept. Managers can often provide the ‘big picture’ regarding the organisation’s business and accountability requirements. Operational staff and action officers are usually a good source for identifying more specific business requirements based on an analysis of processes. Through analysing process and transactions, requirements to create records often become evident. Audit and legal specialists (both internal and external) may also be consulted to determine specific accountability requirements and retention requirements for legal defensibility. Quality assurance managers, too, can provide useful information about which records need to be kept and why. Interviews with some key personnel may have been carried out during Steps A and B, and you could draw on this contextual material to focus your

9



inquiries in Step C. Appendix 2 – Guide to interviews, provides further advice on the type of information you should seek as well as sample questions. C.4.2 Identify regulatory, business and community requirements for recordkeeping

After locating relevant sources, you will need to examine each source to find implicit or explicit references to recordkeeping. This will involve using both a top-down functions-based approach and a lower-level process-based approach to identify requirements for evidence. C.4.2.1 Regulatory requirements

Determining regulatory requirements for recordkeeping involves taking each unique function identified during Step B and determining the recordkeeping requirements that apply to it. As you work your way through the sources, you will progressively be able to identify requirements that pertain to specific activities within the function. Some regulatory requirements may pertain to processes rather than activities, and therefore may be applicable across different activities, or even functions. Performing online searches of sources, using terms such as ‘records’, ‘evidence’, ‘writing’, ‘keep’ and ‘documents’, can provide an efficient way of finding the more explicit references to recordkeeping pertaining to your organisation’s functions. To locate the implicit requirements you will need to read the source more thoroughly. The legal information retrieval service (SCALEplus) of the Commonwealth Attorney-General’s Department or the Australasian Legal Information Institute databases (AustLII) are useful access points for legislation relevant to your organisation. Similar searches should be conducted of relevant industry regulations and standards although, if such resources are not available in electronic form, manual searches will need to be conducted. A number of standards, including those available through Standards Australia, are accessible (or can be ordered) online. Some regulatory sources may state only that a particular record, such as a register, be kept and made accessible to certain individuals or groups. Other sources may be explicit about the content of a record, or indicate how long it should be retained. You should bear in mind that the same record or group of records may be required for more than one recordkeeping activity, and that some requirements will be described in more detail than others. Implicit requirements will be more difficult to ascertain, and will take more time and effort to identify. While it is a time-consuming exercise, carefully checking relevant legislation, formal directives and standards for implicit references to recordkeeping requirements is an essential step in the requirements identification process. It provides a means of acquiring much of the contextual information you need to fully understand your organisation’s regulatory environment. Of course, this approach can be 10



supplemented by an examination of corporate policies and procedures, and by interviewing personnel who are familiar with the relevant legislation, formal directives and industry standards. C.4.2.2 Business requirements

Recordkeeping requirements that support business needs are likely to be identified in an organisation’s enabling legislation or other instruments of authority, or in the routines that establish and maintain its operations. Organisations that manage funds, for example, will automatically identify a requirement to make and keep evidence of the receipt and expenditure of those funds, as this is a routine part of conducting financial affairs. However, the form and content of evidence will vary depending on an organisation’s functions, corporate culture and external environment. When business needs or practices change, it is necessary to reassess and identify evidential requirements. The rapid expansion of information technology and telecommunications into business operations has provided such an impetus for many organisations. A useful way to identify business requirements is to consider the chain of evidence an organisation or individual needs to substantiate a sequence of decisions or actions. For example, copies of invoices sent provide evidence of income due in return for goods or services rendered. This analytical approach deliberately adopts a narrow focus to determine internal business drivers for specific recordkeeping activities. In comparison, Steps A and B adopt a wide view to assess external motivations, influences and constraints on your organisation. During Step C, you will also need to closely examine existing policies, guidelines, work procedure manuals and standard operating procedures to identify when records relating to organisational functions and activities are created. You will then need to interview business area experts within the relevant functional areas to determine why these records are created and retained. While you may find that some records are created due to previously identified, explicit regulatory requirements, and retained in conformance with existing disposal authorities, other records will be created and retained purely to meet the specific business needs of the organisation. Information gained at this stage can be used in two ways: •

•

to determine records currently being created and retained, and the business reasons for their creation and retention; and to identify the various recordkeeping systems currently in place within your organisation.

While the identification of current recordkeeping systems is carried out in Step D, some initial work can be done during Step C. For example, during the process of identifying records currently created in the organisation you may discover that records are kept in a variety of formal systems, such as the centralised registry system, the human resource management system, the financial management system, as well as ad hoc systems maintained by 11



individual officers at their desks. Document this information as you come across it, rather than duplicating your effort at a later stage. C.4.2.3 Community expectations

Community expectations expressed by a wide range of external stakeholders can give rise to recordkeeping requirements that may or may not be reflected in business and regulatory requirements. There are times when the community expresses concern about the interpretation and/or application of particular laws or the administrative actions taken by government. Both existing community bodies and new advocacy or interest groups will express their views and concerns to the government in office. Individuals and groups from the media can also be part of this process. An organisation may consult with and form an ongoing relationship with these groups to provide briefings and receive feedback in return. Some organisations also have established relationships with researchers, historical groups, or enthusiasts who take a particular interest in the organisation’s archives. Community views may affect government policy informally. Alternatively, the activities of these groups may have more formal effects on the process of government and, eventually, their views may be transformed into formal accountability requirements. Documentary sources that may give expression to community interests in government records include: •

•

minutes of consultative meetings; proceedings of advisory board or council meetings (where impressions of community expectations are reported);

•

representations;

•

parliamentary debates;

•

media monitoring exercises; and

•

the organisation’s website (visitors’ logs or users’ questionnaires).

You may also obtain guidance from staff in the business areas who are aware of community expectations that should be considered in relation to their activities. Consultation with stakeholder representatives should be conducted if sufficient information on their expectations is not available internally, and to foster understanding with the stakeholders. However, it is often difficult to discern what evidence an organisation should create and keep to satisfy community expectations until it fails to anticipate or recognise an interest in some way and attracts public criticism. Evidence of potential value will be included in policy documents and general correspondence that reveal governments’ changing stance on a particular issue or a community’s shifting response over time. The value of such records becomes obvious when the histories of particular organisations, functions or activities are commissioned.

12



C.4.3 Document identified requirements for recordkeeping

The Acts of Parliament, Statutory rules and Other sources templates in Appendix 4 – Source identification forms can be used to document the sources that you have consulted in this step. If you are adding to information already gathered during Steps A and B, remember to document any new sources you have used. Also update your organisation’s register of sources. After documenting the sources you have used, you will need to document each of the business, regulatory and community-related recordkeeping requirements you have identified so that they can be used to assess your organisation’s existing systems (Step D), develop recordkeeping strategies (Step E) and design systems (Step F). You should use a format that is easy to maintain, as requirements are prone to change and will need to be amended or updated periodically. The need for evidence of changes to recordkeeping requirements is, in itself, a recordkeeping requirement, because it enables your organisation to account for past recordkeeping actions and decisions. The format you choose will therefore need to be capable of tracking such changes. There are a number of options for documenting recordkeeping requirements, depending on your organisation’s needs and the number and complexity of its requirements. For example, you may choose: •

tables and templates in a series of word-processed documents;

•

spreadsheets; or

•

databases.

Whichever option you choose, you need to think about the kind of information you want to record, and how it should be structured. You will also need to decide how to represent the links between each requirement and the function, function–activity pair or transaction to which it applies. C.4.3.1 Tables and templates

You may consider it sufficient to document your organisation’s recordkeeping requirements in a word-processed prose report. If so, your organisation may have a corporate style for reports that you should use. However, even in prose reports, it is important that you document information about each requirement consistently and clearly. It may be possible to design a standard form or template that presents the requirements in an easy-to-follow (and relatively easy-to-change) format that is compatible with your organisation’s in-house report style. The Appendix 7 – Function source document template includes a table for documenting minimum information about recordkeeping requirements linked to the functional context. You may use this as a summary of fully documented requirements or decide just to capture the basic information about each requirement in this form.

13



C.4.3.2 Spreadsheets

Spreadsheets offer more functionality than word-processed reports and need not be complex. Benefits of spreadsheets include being able to sort by different elements, for example function or requirement type, making your research more useable for different purposes. To gain the most benefit from this format it is essential to clearly identify what information is being captured in each column and to segment it as much as possible, that is, to capture small units of information separately. C.4.3.3 Databases

In instances where there are many recordkeeping requirements, or where requirements are likely to change frequently, it may be appropriate to place information about your organisation’s recordkeeping requirements into a database. The advantages of a database over other options are: •

•

only having to record information, including changes, about a particular requirement, function, activity or function–activity pair once; and being able to produce tailored views of the information in the database to meet different needs.

This option will involve more work at the outset, because a database needs to be properly specified, designed and documented for it to be useful and maintainable. Your organisation’s information systems or business systems unit should be able to help you with this; it may even build the database for you. It is critical that you clearly specify: •

what information you want to keep in the database;

•

how you want the different pieces of information to be linked; and

•

how you want to use the information.

The DIRKS documentation database can be used to document your recordkeeping requirements. C.4.3.4 What information should you include?

Regardless of the format you choose, you will need to decide what data to compile about your organisation’s recordkeeping requirements. Although this will depend on the number and complexity of your organisation’s recordkeeping requirements, it is likely to include some or all of the following information: •

•

14

the authority responsible for promulgating the source of the requirement; the name of the source, including any reference number (ie legislation title and number, publication title and details, personal name and position of informant);


•

•

•

•

•

•

•

•

•

•


the date the source came into effect (ie publication or issue date and superseded or decommissioned date); a description of the source (eg legislation, regulation, directive, industry standard, best-practice standard, internal policy, community expectation); the specific paragraph, clause, section or page in the source that contains the requirement; a statement outlining how the requirement relates to the organisation’s specific situation (ie the recordkeeping requirement). Remember, requirements relate to records and the statement should also identify the record involved (eg a register, minutes of meeting, etc); the stakeholder that has their interest met by the requirement (eg a community group or a particular section of the organisation); the evidential need the requirement relates to (eg the content, form or quality of the record or its creation, retention, disposal or access); the business function, activity or function–activity pair the requirement applies to (ie drawn from the analysis of business activity in Step B); a citation of the precise text in the source that specifies (or implies) the requirement; the organisational position responsible for ensuring that the requirement is met; and results of any risk assessments.

Information about the source of the requirement should be contained in the register of sources and could be linked to the requirement by a reference number, rather than replicating the information. Table 1 illustrates how full information on a recordkeeping requirement for IP Australia may be documented in a simple template format. Other options discussed above, such as databases or spreadsheets, are easier to manage. The requirements are grouped together as they relate to the one record – a register of patents – and come from one source.

15



Table 1 Sample recordkeeping requirements for IP Australia

16

Originating authority

Parliament of Australia

Source name

Patents Act 1990 (No.

Effective date

30 October 1990

Source type

Legislation

Reference

Section 186 – Register of Patents Section 190 – Inspection of Register

Function/activity

Patent, Trade Mark and Design Rights Management – Registration

Citation

Section 186 (1) A Register of Patents is to be kept at the Patent Office. (2) The Register may be kept wholly or partly by use of a computer. (3) If the Register is kept wholly or partly by use of a computer: (a) references in this Act to an entry in the Register are to be read as including references to a record of particulars kept by use of the computer and comprising the Register or part of the Register; and (b) references in this Act to particulars being registered, or entered in the Register, are to be read as including references to the keeping of a record of those particulars as part of the Register by use of the computer; and (c) references in this Act to the rectification of the Register are to be read as including references to the rectification of the record of particulars kept by use of the computer and comprising the Register or part of the Register. Section 190 (1) The Register must be available for inspection at the Patent Office by any person during the hours that it is open for business. (2) If a record of particulars is kept by use of a computer, subsection (1) is to be taken to be complied with, to the extent that the Register consists of those particulars, by giving members of the public access to a computer terminal which they can use to inspect the particulars, either on a screen or in the form of a computer printout.

Recordkeeping requirement(s)

A register of patents, in either hardcopy or electronic form, must be created and maintained. The register must be kept at the Patent Office (now IP Australia). The register must be accessible to members of the public. If all or any part of the register is in electronic form, the appropriate hardware and software must be available at IP Australia to enable access by members of the public.

83 of 1990)



Stakeholder

Parliament, general public

Requirement type

Creation / Access / Form

Risk assessment

High – requirement mandatory

C.4.4 Assess the risk of not meeting requirements

Risk is an important factor that must be considered in recordkeeping. For example, there may be risks involved in not: •

creating records in the first place;

•

capturing and managing records in a recordkeeping system;

•

keeping records;

•

destroying records when they are no longer required; and

•

ensuring that records remain accessible and readable over time.

Organisations should be aware of the possible consequences arising from these risks. Decisions not to meet requirements may: •

compromise current or future business activity;

•

compromise the organisation’s capacity to defend or prosecute claims;

•

result in loss of amenity for the organisation;

•

attract adverse publicity or community reaction;

•

compromise rights and entitlements of other parties affected by government decisions and actions;

•

compromise wider government interests; and

•

diminish archival resources.

This is a different approach to risk than that used in other steps. In Steps A and B you examined the risks related to the business activity, that is, the risk involved in performing the work. In this step, you are examining recordkeeping risks. Recordkeeping risks are the risks that result from not having appropriate records of the work. There are links between the two types of risks; for example, the high risk related to a particular area of business could be reduced by good recordkeeping. Therefore the risks of not creating records relating to this area may be high. The level of risk associated with maintaining records may influence the length of time the records will be retained, particularly if the risks of disposing of them become moderate to low. The ‘risks’ associated with maintaining records include preservation, security, servicing and legal discovery costs, and improper access leading to breaches of privacy or confidentiality. Assessments may need to be conducted in some

17



circumstances to determine the consequences of risks and ways to treat them. The risks of discovery action or legitimate access to records should not be used to justify the non-creation or premature disposal of records that it would otherwise be desirable to have. If there are any requirements which your organisation is considering not meeting, or if there is a conflict between requirements, a risk assessment can help determine an appropriate course of action. You need to provide clear definitions of what constitutes different levels of risk to your organisation (including ‘unacceptable risk’ as a benchmark), and then prioritise the identified recordkeeping requirements according to this scale. Your organisation may already have in place its own risk management policy that defines such benchmarks. See Appendix 11 – Risk analysis in DIRKS. The results of this risk assessment, and risks linked to particular functions (Step B) can help determine what recordkeeping requirements should be met. See Appendix 12 – Recordkeeping feasibility analysis. The various tables, matrices and other techniques used in risk and feasibility analysis will help you to: •

•

•

identify specific areas of recordkeeping risk in your organisation; quantify and prioritise those risks in terms of the cost to, or impact on, your organisation (ie operational, financial and technical feasibility factors); and make, justify and document recommendations for meeting recordkeeping requirements.

C.4.5 Report to management

Your prioritised recordkeeping requirements should be formally submitted to management for endorsement. It is particularly important to justify recommendations not to meet any recordkeeping requirements. These management-endorsed recordkeeping requirements will provide a mandate for the creation of records in the organisation. You may also wish to draw on the generic characteristics of systems that keep records to inform management about the structures necessary to support these recordkeeping requirements (see Part 1, Section 4 – Characteristics of systems that keep records). This report can also be used as an opportunity to gain management support for future steps. If you are developing a records disposal authority, you may wish to postpone seeking management approval until after you have completed disposal recommendations. However, it is important that management endorses the full set of recordkeeping requirements including creation, access, content and form, not just those relating to retention or disposal.

18


C.5


ISSUES

C.5.1 Drawing on other recordkeeping projects

While it is possible to draw on other projects and organisations for inspiration, every organisation must develop its own list of recordkeeping requirements, based on an analysis of its specific business, regulatory and community requirements for evidence. The National Archives Administrative Functions Disposal Authority (AFDA) project may serve as a useful model. During the development of AFDA the Archives created a relational database to document the business, regulatory and community-based recordkeeping requirements that pertain to general administrative functions. The database is a compilation of requirements collected from legislation, formal directives, industry standards and guidelines, procedures, and community expectations relating to general administrative functions applicable across the Commonwealth jurisdiction. Each individual requirement is explicitly linked to the specific Keyword AAA function–activity pair to which it pertains. C.5.2 Maintaining a history of recordkeeping requirements

Recordkeeping requirements will form the agreed benchmark against which all recordkeeping practices will be judged, therefore it is important to track changes to recordkeeping requirements over time. Records about past and current requirements should be maintained, because such information provides context for the evidence that your organisation chooses to keep. Changes could occur as a result of: •

changes to business practices or needs;

•

changes to legislation;

•

changes in perceptions of risk or priorities;

•

the organisation losing or gaining functions;

•

tests in Steps E, F or G that expose flaws or inconsistencies in the requirements; and

the discovery, during systems design and implementation, that a particular requirement cannot reasonably be met due to financial, personnel, design, equipment or other considerations. C.5.3 Using recordkeeping requirements

Your set of approved recordkeeping requirements can be used for a number of purposes. As well as providing the basis of a records disposal authority (Appendix 8), they also provide a mandate for the creation of records in the organisation. Based on the requirements, a list can be compiled identifying those records you have determined should be created. A set of record creation rules will be useful for many reasons. They can be used to: •

educate staff about their recordkeeping obligations; 19



•

show the minimum level of documentation to be captured as records;

•

help determine how best to capture ‘essential’ records in Step E;

•

assist in the fulfilment of recordkeeping requirements; and

•

assist auditors in determining if appropriate action was taken.

C.5.4 Recordkeeping requirements for housekeeping functions

There are also many legislative, business and community requirements relating to the records of housekeeping functions, such as financial management and occupational health and safety. It is not necessary for you to investigate these requirements as the National Archives is currently developing advice on these requirements based on research undertaken for the Administrative Functions Disposal Authority (AFDA). Compliance with these requirements will have to be assessed in Step D. C.6

CHECKLIST


•

•

•

C.7

identified and documented all sources of your organisation’s recordkeeping requirements; documented your organisation’s identified requirements in a structured, traceable and easily modifiable form; investigated risk and feasibility factors associated with requirements where necessary; and documented your assessment of these factors.

WHAT’S NEXT?

You can now move on to Step D – Assessment of existing systems and use the recordkeeping requirements document to assess the performance of your organisation’s current recordkeeping systems. You may also wish to develop classification tools such as a functions thesaurus based on your BCS (Step B) and informed by the recordkeeping requirements identified in Step C. You have also completed substantial work towards the compilation of a functions-based records disposal authority for your organisation. Use Appendix 8 – Procedures for developing a records disposal authority in Commonwealth agencies to complete this project.

20

STEP D – ASSESSMENT OF EXISTING SYSTEMS September 2001

September 2001



DIRKS manual – Step D

CONTENTS

D.1

WHAT DOES ASSESSING YOUR BUSINESS INFORMATION SYSTEM INVOLVE?

4

BENEFITS OF ASSESSING YOUR EXISTING BUSINESS INFORMATION SYSTEM

4

D.3


5

D.4

ASSESSING YOUR EXISTING SYSTEMS

6

D.2

D.4.1 D.4.2 D.4.3

Identify existing information systems Analyse your existing systems Prepare a report

Table 1 Sample gap analysis D.5

ISSUES

D.5.1 D.5.2 D.5.3

6 8 10 9 10

Flexibility Assessing housekeeping functions Duplicate systems

10 11 11

D.6

CHECKLIST

11

D.7

WHAT’S NEXT?

12

3


D.1


WHAT DOES ASSESSING YOUR BUSINESS INFORMATION SYSTEM INVOLVE?

The purpose of Step D is to survey your organisation’s existing recordkeeping and other information systems to measure the extent to which they provide evidence of business activities, or have the required functionality to do this. To do this, you will draw on the requirements for evidence identified in Step C and information on the required characteristics of recordkeeping systems described in Part 1 of this manual. This analysis will reveal any gaps between your organisation’s prioritised recordkeeping requirements and the performance and capabilities of its existing systems. It will also identify such things as duplication of information, systems that might be replaced by a new records system as well as areas where there are recordkeeping strengths. To complete Step D you need to: •

•

•

•

D.2

identify existing paper-based, electronic and hybrid business information systems within the organisation (Section D.4.1); analyse whether your organisation’s prioritised recordkeeping requirements are being met (Section D.4.2); determine whether current systems have the capacity to meet them (by measuring the ‘gap’ between ‘what you have’ and ‘what you want’) (Section D.4.2); and prepare a report describing the strengths and weaknesses of existing information and records management practices (Section D.4.3). This can form the basis for subsequent design or redesign of systems, policies or procedures (Steps E and F).

BENEFITS OF ASSESSING YOUR EXISTING BUSINESS INFORMATION SYSTEMS

The introduction of technology, changes to organisation structures and new management approaches have substantially affected traditional business processes and systems. Automated systems and processes have largely replaced paper-based systems and processes. In many cases, recordkeeping practices that existed in the paper environment have been neglected or discarded in the transition to electronic business environments. Much of today’s business relies on a combination of electronic and paperbased systems. While it is appropriate in some circumstances for electronic systems to provide up-to-date business information, in many cases the system must also maintain a history of past transactions that can be accessed as evidence of its business activities. If an electronic system is not designed to do this, or cannot be modified to do so, an organisation may expose itself to business and accountability risks. Paper-based systems that do not meet organisational requirements for recordkeeping will present similar risks. 4



By determining whether recordkeeping requirements are being met and identifying the functionality or characteristics of the systems, Step D will help you determine which systems used in the conduct of your business provide: •

timely, manipulable information (information systems);

•

evidence of business transacted (recordkeeping systems); or

•

timely, manipulable information, but need to record business transacted.

In practice, conceptual distinctions between types of systems are likely to be blurred, with organisations expecting, if not assuming, that their business information systems satisfy both information and recordkeeping needs. Failure to meet requirements may be caused by a number of factors, such as: •

inappropriate policies or procedures;

•

staff who are unaware of their responsibilities; or

•

electronic systems missing necessary functionality.

From this it is clear that, in assessing your organisation’s existing systems, the supporting infrastructure such as policies, procedures and the knowledge of staff who operate the system must also be considered. By completing an assessment of your existing business information systems you will have: •

•

•

an understanding of the strengths and weaknesses of your organisation’s existing records and information management practices; an appreciation of your organisation’s potential exposure to recordsrelated business and accountability risks (caused by the strengths and weaknesses of your organisation’s existing practices); and an informed basis for developing strategies to address your prioritised recordkeeping requirements.

Products of this step include: •

•

D.3

an inventory of your organisation’s existing records and information systems; and a report outlining the extent to which your existing business information systems address your organisation’s prioritised recordkeeping requirements.


Before starting Step D you should consider whether to:

5


•

•

•


begin this step after Steps A to C to ensure that your assessment of existing systems draws on a comprehensive understanding of your organisation’s recordkeeping requirements; undertake parts of this step concurrently with Step A so that your preliminary investigation of the organisational and technological environment includes an inventory of existing systems; or use this step as the starting point to establish a business case for a more extensive recordkeeping project.

In order to conduct a detailed assessment of your existing business information systems you will need: •

•

D.4

personnel with an understanding of your organisation’s recordkeeping requirements, familiarity with existing systems and associated policies and procedures and the ability to assess the current and potential capabilities of these systems; and documentation arising from Step C that clearly sets out your organisation’s prioritised recordkeeping requirements. If you have not undertaken Step C, your assessment of existing systems will be less rigorous.

ASSESSING YOUR EXISTING SYSTEMS

D.4.1 Identify existing information systems

Business information systems may function as information systems or recordkeeping systems. They may be totally paper-based, totally electronic, or hybrid systems which include both electronic and paper-based information. You should survey, document and assess all the business information systems within your organisation as part of this step. In broad terms, records systems are a subset of information systems. They can be distinguished from information systems in a number of ways, including: •

•

•

the operations they perform (eg maintaining a tamper-proof history of business transacted); the controls they have in place (eg registering and dating business transactions and linking them to a classification of the business activity); and the business rules they implement (eg requiring documentation, or minutes, of business transacted during formal meetings).

The characteristics of systems that keep records are outlined in Part 1, Section 4 – Characteristics of systems that keep records. When identifying systems it is also necessary to examine the supporting infrastructure that makes the system work. This includes:

6


•

the people who use the system;

•

the people who manage the system;

•

policies governing the use of the system;

•

rules and procedures on operating the system; and

•


associated tools, such as a controlled language thesaurus or data dictionary.

A failure to meet recordkeeping requirements can be caused by problems in any of these areas as well as deficiencies in the system itself. It is common for an organisation to have more than one business information system. For example, the National Archives of Australia identified at least 70 systems in use across its own organisation in early 1998, including 49 computer-based systems and 21 paper-based systems. These included the official registry system for correspondence files, the financial management system, library serials register, case files for reference enquiries, and duplicate ready reference sets of current disposal authorities. There are a variety of techniques available to help you identify the existing business information systems within your organisation. These include the use of records survey and information inventories. D.4.1.1 Records surveys

Start by identifying a significant but discrete collection of records in your organisation such as accounting records, case records, or general correspondence. Each collection of records will usually be managed by a separate business information system, although some of the supporting factors such as people, policies or equipment may be the same. Then identify all the records that relate to the collection. These records should include control documentation (such as file registers and indexes). Next, identify the business units, work groups and individuals that use these systems. This may involve interviewing relevant staff and observing systems in operation. Move on to another collection after you have surveyed one collection. A data collection form should be completed for each collection of records and system identified. As you survey each collection, you can check it for compliance with relevant recordkeeping requirements and check whether the system has the necessary recordkeeping functionality. Traditionally, records surveys have been used to identify and document recordkeeping systems, but this technique can also be applied to information systems. D.4.1.2 Information inventory techniques

An information inventory identifies and documents information systems in an organisation. The NSW Office of Information Technology has developed an Inventory Guideline (PDF 86K) that describes how to compile a physical inventory and 7



produce an ‘information directory’ of your organisation. The guideline describes how to plan, perform and document the inventory. Attributes for each collection of information are listed as part of the inventory, including the type, source and custodian. D.4.2 Analyse your existing systems

In recordkeeping, the purpose of assessing existing business information systems is to identify the extent to which these systems satisfy your organisation’s needs for evidence. Gaps may exist with respect to: •

•

the functions that the system must perform (known as recordkeeping functionality of the system); and the evidence of business that must be created, captured and managed (known as recordkeeping requirements).

Before undertaking a ‘gap’ analysis, it is necessary to establish a measure or ‘benchmark’ against which your organisation’s systems can be assessed. For this assessment, there must be two benchmarks: one for the system or recordkeeping functionality, derived from the generic characteristics of good records systems identified in Part 1, Section 4 – Characteristics of systems that keep records and the endorsed recordkeeping requirements from Step C. A gap analysis will include the following steps. •

•

•

•

Identify which system(s) to assess. This will be easier if you have an understanding of the relationship between your organisation’s business activities and existing systems. Assess whether the existing practices and system(s) meet recordkeeping requirements for evidence. It may be helpful to reframe the requirements as a series of questions. The answers to these questions should help to determine whether the requirement is satisfied or not. Assess whether the system(s) used to manage the records is satisfactory or not. This phase also requires questions to be framed. The answers to these questions should help to determine whether there are systems capable of ensuring that records are made, captured, managed and made accessible. Document the assessment. This may simply involve posing the general question: ‘Is this requirement for evidence satisfied by existing systems?’ (recordkeeping requirements) and ‘Is the system capable of supporting the requirements?’ (recordkeeping functionality). Or it may warrant a more detailed explanation of how or why the requirement is or is not satisfied and fails in its recordkeeping functionality. This may involve answering ‘yes’ or ‘no’ to a series of specific questions.

Gap analysis can also be used in information management to assess whether an organisation’s information stores meet its information requirements. Consult the NSW Office of Information Technology’s Inventory Guideline (PDF 86K) for further advice. 8



The following example illustrates how a gap analysis may be undertaken with respect to a sample business activity, registering patents. Table 1 outlines the requirements for evidence arising from Step C. Note that Step D draws on the risk assessment conducted in Step C. Table 1 Sample gap analysis Originating authority

Parliament of Australia

Source name

Patents Act 1990 (No.

Effective date

30 October 1990

Source type

Legislation

Reference

Section 186 – Register of Patents Section 190 – Inspection of Register

Function/ activity

Patent, Trade Mark and Design Rights Management – Registration

Citation

Section 186 (1) A Register of Patents is to be kept at the Patent Office. (2) The Register may be kept wholly or partly by use of a computer. (3) If the Register is kept wholly or partly by use of a computer: (a) references in this Act to an entry in the Register are to be read as including references to a record of particulars kept by use of the computer and comprising the Register or part of the Register; and (b) references in this Act to particulars being registered, or entered in the Register, are to be read as including references to the keeping of a record of those particulars as part of the Register by use of the computer; and (c) references in this Act to the rectification of the Register are to be read as including references to the rectification of the record of particulars kept by use of the computer and comprising the Register or part of the Register. Section 190 (1) The Register must be available for inspection at the Patent Office by any person during the hours that it is open for business. (2) If a record of particulars is kept by use of a computer, subsection (1) is to be taken to be complied with, to the extent that the Register consists of those particulars, by giving members of the public access to a computer terminal which they can use to inspect the particulars, either on a screen or in the form of a computer printout.

Recordkeeping requirement(s)

A register of patents, in either hardcopy or electronic form, must be created and maintained. The register must be kept at the Patent Office [now IP Australia]. The register must be accessible to members of the public. If all or any part of the register is in electronic form, the appropriate hardware and software must be available at IP Australia to enable access by members of the public.

Stakeholder

Parliament, general public

Requirement type

Creation / Access / Form

Risk assessment

High – requirement mandatory

83 of 1990)

9



The following questions will help test whether requirements for evidence are met by the existing system(s). •

Is there a register of patent decisions?

•

Is the register at the patent office?

•

Does the public have access?

There would also be other recordkeeping requirements related to the content of the register. The following are examples of questions that will help test whether the system has the necessary recordkeeping functionality. •

•

•

Is mandatory metadata captured? Does the system have sufficient security to prevent unauthorised alteration? Can access be maintained over time?

The answers may reveal that a register is being used, but insufficient information is being captured, and no plans are in place to manage the migration of the electronic information. Therefore the requirements are only partially satisfied. D.4.3 Prepare a report

It is important to prepare a status report on your organisation’s existing systems and practices before starting to design or redesign business information systems or develop new policies and procedures. Depending on the nature of your recordkeeping project, the report may provide a brief summary of the gap analysis, an outline of the strengths and weaknesses of your business information systems and recordkeeping practices, or detailed documentation highlighting the extent to which systems satisfy each recordkeeping requirement. While the preparation of such detailed documentation is resource intensive, it will provide a sound basis for developing functional specifications for any new or enhanced recordkeeping systems (Step F). D.5

ISSUES

D.5.1 Flexibility

The sources that you used in Step C contained implicit and explicit references regarding the form, content and quality of evidence your organisation should satisfy. It is important that the survey techniques you use in Step D are flexible enough to assess the variety of recordkeeping requirements identified in the earlier step.

10



D.5.2 Assessing housekeeping functions

Earlier steps have focused on your organisation’s core business activity. However, it is also important to assess systems relating to housekeeping functions, such as financial management and personnel, to ensure that the right records are being created and managed in these aspects of your business. Many familiar automated systems, such as accounting or payroll systems may not function as recordkeeping systems. The same benchmark should be used to assess the recordkeeping functionality of these systems. The National Archives is currently preparing advice on recordkeeping requirements for housekeeping functions, based on research undertaken for the development of the Administrative Functions Disposal Authority. D.5.3 Duplicate systems

Your survey or inventory may reveal the presence of duplicate information, or informal, personal systems that duplicate information kept in formal systems. While the removal of this duplication can increase efficiency, it can also be a sign that something is wrong with current systems and practices. By asking staff why they retain their own copies or run information systems, you may discover: •

poor response times from existing recordkeeping staff and systems hamper work;

•

lack of trust in the current system;

•

no knowledge of official systems; or

•

lack of accessibility to official systems.

These problems should be included in your analysis. Strategies to address them can be identified in Step E – Strategies for recordkeeping. D.6

CHECKLIST


•

•

•

•

established a benchmark to assess your organisation’s existing systems and practices; identified, surveyed and documented relevant systems; assessed whether the systems have the capacity to function as records systems; determined whether the systems currently create, capture and manage evidence consistent with your prioritised recordkeeping requirements; and prepared a report describing the strengths and weaknesses of the existing practices.

11


D.7


WHAT’S NEXT?

After completing Step D you may now move on to Step E – Strategies for recordkeeping, including the design of new systems or redesign of existing systems. No further action is warranted if your assessment reveals that your organisation’s existing systems are fully functional and satisfy requirements for evidence.

12

STEP E – STRATEGIES FOR RECORDKEEPING

September 2001

September 2001



DIRKS manual – Step E

CONTENTS

E.1

WHAT ARE RECORDKEEPING STRATEGIES?

4

E.2

BENEFITS OF IDENTIFYING RECORDKEEPING STRATEGIES

4

E.3


5

E.4

IDENTIFYING STRATEGIES FOR RECORDKEEPING

5

E.4.1 E.4.2 E.4.3 E.4.4 E.4.5

Investigate the range of strategies available Identify appropriate tactics Assess factors that support or inhibit tactics Check tactics against identified weaknesses Adopt an overall strategy

5 12 14 16 16

E.5

ISSUES

17

E.6

CHECKLIST

18

E.7

WHAT’S NEXT?

18

3


E.1


WHAT ARE RECORDKEEPING STRATEGIES?

The purpose of Step E is to determine the most appropriate policies, practices, standards, tools and other tactics that your organisation should adopt to remedy weaknesses identified in Step D and ensure that they meet recordkeeping requirements identified in Step C. The choice of strategies must consider the nature of your organisation, the type of business activities it carries out, its supporting technological environment, the prevailing corporate culture and any external sociopolitical constraints. Selection will also be influenced by the potential of each strategy to achieve its desired result and the risk to your organisation if the approach fails. Strategies may include adopting policies and procedures, developing or adopting standards, designing new system components or implementing systems and practices in a way that satisfies your organisation’s recordkeeping requirements. To complete Step E you need to: •

•

•

•

E.2

investigate the broad range of tactics available to satisfy recordkeeping requirements (Section E.4.1); identify appropriate tactics to satisfy your organisation’s recordkeeping requirements (Section E.4.2); assess factors that may support or inhibit the adoption of these tactics within your organisation (eg corporate culture, existing business systems and technological environment, risks in failing to satisfy specific requirements) (Section E.4.3); and adopt an overall design strategy to bring the tactics to fruition (Section E.4.5).

BENEFITS OF IDENTIFYING RECORDKEEPING STRATEGIES

Chief executive officers, senior managers, information professionals and employees make choices every day that determine whether their organisation creates and retains evidence of its business activities. Unfortunately, many of these choices are made on an ad hoc basis without an adequate understanding of the organisation’s recordkeeping requirements, an assessment of the risks of failing to meet such requirements or an appreciation of the most appropriate methods for obtaining organisational compliance. By completing this step you will have a planned, systematic and appropriate approach to the creation, capture, maintenance, use and preservation of records that will: •

4

provide the basis for good recordkeeping practices throughout your organisation;


•

•


assist with the design or redesign of your organisation’s recordkeeping and information systems; and contribute or respond to related organisational needs (eg business reengineering).

Products of this step include: •

•

E.3

a documented range of tactics that satisfy your organisation’s recordkeeping requirements and meet organisational constraints; and a report for senior management recommending an overall strategy to improve recordkeeping.


It is not possible to choose effective recordkeeping strategies without a thorough understanding of your organisation. Therefore, you should complete Steps A to D before starting this step. In order to identify appropriate strategies you will need: •

•

•

•

•

E.4

knowledge of your organisation’s existing business information systems and technological environment (Step D); knowledge of your organisation’s corporate culture (Step A); documentation outlining your organisation’s prioritised requirements (Step C); personnel with strategic planning skills and understanding of risk and feasibility issues; and personnel with an understanding of corporate governance (eg legal and audit specialists).

IDENTIFYING STRATEGIES FOR RECORDKEEPING

The strategies that you adopt to satisfy your organisation’s recordkeeping requirements will depend on a range of organisational constraints. These constraints are determined by internal factors (such as the corporate culture, existing technological environment and financial resources) and the broader sociopolitical environment. E.4.1 Investigate the range of strategies available

There are four broad approaches that can help an organisation satisfy its recordkeeping requirements. These are: •

•

policy tactics (that is, principles, statements, instructions and other corporate instruments of authority); design-based tactics (that is, definition and specification of system functionality and the development or selection of technological solutions); 5


•

•


implementation-specific tactics (that is, practical user-oriented solutions); and standards development and compliance tactics (such as media standards for document storage, application standards to facilitate the exchange of information and other data, and standards that establish intellectual control over records). [1]

Such tactics may be applied separately or in combination to meet your organisation’s requirements. Further information about each of these approaches is provided below. E.4.1.1 Policy tactics

Policy tactics involve establishing and promulgating principles that influence recordkeeping behaviour within the organisation. Such business rules may be set out in corporate policies, instructions, directives or other instruments. For example, a corporate policy may stipulate that employees must create records of any business conducted using electronic information systems and that the records must be captured into an electronic or paper-based records system so that they are managed as records. Policy tactics generally require employees to be conscious of the recordkeeping practices associated with the business information systems they use on a daily basis. Successful use of policy tactics is likely to be dependent on the design capabilities of the existing systems, training and monitoring. In many corporate cultures, policy tactics alone will not provide adequate assurance that records will be created and managed appropriately. The following list provides examples of the principles, statements and instructions that may be included in policy documents and other instruments of authority. •

•

•

•

•

•

•

6

Provide a definition of a record (that is, as evidence of a business activity regardless of the format). State that all records are a corporate asset and, as such, do not belong to individual employees. State that electronic messages are records and, as such, need to be captured and maintained within recordkeeping systems. State that all policies apply to both paper and electronic records. State that records must not be altered once they have been created or received in the transaction of business. Assign responsibility to individual employees regarding the creation and management of records. Assign responsibility for the capture of ‘record’ copies (eg the head office policy section is responsible for capturing the formal record of a policy that is distributed throughout the organisation).


•

•

•

•

•

•

•

•

•


Instruct employees to document business transactions, including telephone discussions, meetings, oral conversations, decisions, recommendations, drafts and versions. Instruct employees to save electronic records into shared directory folders instead of personal files. Require records to be captured into files or electronic containers that are classified according to the business classification scheme or titling thesaurus. Prohibit the rearrangement of papers on files or the removal of papers from files for any reason, unless the location of the removed folio is clearly indicated. Require that all papers attached to files be folio numbered. State that records may only be used and maintained by authorised users. Prohibit staff from disclosing the contents of records without authorisation Prohibit employees from destroying records unless such action is authorised by approved disposal procedures. Require employees to capture the content, context and structure of records to ensure that the record can act as evidence.

E.4.1.2 Design tactics

Design tactics apply primarily to the technical components of recordkeeping systems. Such tactics make recordkeeping less obvious or intrusive to employees by rendering it a routine, if not automatic, part of doing business using the systems and technology available. An employee’s direct involvement in recordkeeping tasks is thereby removed or reduced. For example, an organisation may design a graphical user interface based on its business activities rather than software applications and documents so that when an employee selects the activity they are undertaking, the necessary applications are launched and resulting records are automatically tagged with information applicable to that activity. [2] Design tactics require recordkeeping professionals to collaborate with IT specialists to specify what in-house business applications and work flow systems need to do to support recordkeeping (that is, their recordkeeping functionality). Archivists and records managers must be prepared to provide input into the design or redesign process to ensure that records are created and captured in the course of using those systems for business activity. They do not, however, need to be experts in technical design matters. Most organisations purchase common commercially available software. In this situation, design tactics can be employed to build recordkeeping functionality around and between such applications. Design tactics can also

7



be used to customise software, where possible. Recordkeeping requirements should also be regularly communicated to software vendors in order to influence the development of their products. The following list provides examples of functional specifications that may be incorporated into a system design or considered when purchasing off-the-shelf applications. •

•

•

•

•

•

•

•

•

•

•

•

•

Design user interface of applications so that users are prompted to add recordkeeping metadata to a document when they want to save it. Require users to supply information in a pop-up records profile template in order to complete an electronic business transaction. Require users to add a file number (or other classifying data) to an electronic message before the message can be sent. Prohibit users from completing an electronic business transaction until registration details are completed. Define the metadata that needs to be captured during business transactions to describe the content, context and structure of records in both paper and electronic recordkeeping systems. Design templates to capture necessary metadata elements during business transactions. Incorporate fields for the file number and/or classification in office templates. Automatically save records of specific electronic communications to a corporate data store. Establish shared directories and folders, and file and document naming conventions in computerised office environments. Incorporate the automatic generation and capture of records in work flow systems. Develop software to automatically capture electronic messages when they are communicated. Prescribe ‘read-only’ access to electronic records retrieved from a corporate data store.

•

Prevent the deletion of records without authorisation.

•

Maintain a history of authorised system users.

•

8

Design recordkeeping applications that automatically capture as much metadata as possible.

Ensure that appropriate access is allowed to ‘normal’ users and prevent access by unauthorised users.

•

Capture attempts to access sensitive records.

•

Use audit trails.



•

Manage records according to metadata attached or linked to them.

•

Identify records of continuing value by use of metadata elements.

•

Link disposal decisions to records to assist data storage and migration.

•

•

Select electronic mail systems that facilitate and support electronic recordkeeping. Use records management software capable of managing virtual files.

E.4.1.3 Implementation tactics

Recordkeeping requirements can be satisfied by the way that policies and systems are implemented in the workplace. Implementation tactics can range from the physical configuration of software and hardware to the establishment of procedures and practices that support policies and system designs. Implementation tactics may be intrusive (that is, they require employees to consciously undertake recordkeeping tasks) or invisible (that is, recordkeeping occurs as part of routine business activity). One powerful implementation tactic is training. Except for the most highly automated tasks, recordkeeping will require some decision-making on the part of action officers. Ongoing training is important so that action officers know what records are, why they are important, what recordkeeping requirements apply to their work and how to create records in compliance with the organisation’s systems and policies. The following list provides examples of practical steps that support and complement the introduction of policy, systems design and adoption of technical standards. •

Develop corporate procedures for the capture and management of electronic mail.

•

Produce guidelines to facilitate user access to recordkeeping systems.

•

Provide organisation-wide recordkeeping training.

•

•

•

•

•

•

Build recordkeeping responsibility into job profiles, statements of duties, business rules, procedures and guidelines. Provide folio numbering sheets for all paper-based files. Require employees to complete a ‘request for file’ form before gaining access to files and maintain this information in the organisation’s records management system. Lock records storage areas (eg room, compactus, safe) to ensure only authorised access to paper-based records. Assign access permissions to ensure records are appropriately protected and secure. Remove hard and floppy drives from personal computers so that records cannot be saved outside the corporate records store. 9


•

•

•


Utilise features of off-the-shelf applications that support recordkeeping. Ensure that organisations-wide data management practices are carried out. Ensure that information of use to recordkeeping is placed in a prominent position in a file or in identified metadata fields. For example, clearly identify the date of birth on a personal history record or indicate whether a case is ‘approved’ or ‘not approved’, and so on, where a disposal outcome is dependant on this.

E.4.1.4 Standards tactics

Standards tactics include using technical standards relating to specific components of systems and ‘best practice’ standards relating to other aspects of business. When developing a recordkeeping system it is useful to put in place a set of standards, relating to different components of the system, and with which those components are expected to comply. Standards relating to operations or core functions are often already entrenched in existing organisation systems and processes in the form of business rules. At one level, the adoption or development of standards provides a means by which system, user and organisation recordkeeping performance can be measured. At another level, it assists in the development of a records system with the following desirable characteristics: •

ability to inter-operate with external systems (eg departmental systems, systems of other organisations in the same or different jurisdictions);

•

maintainability;

•

portability;

•

•

modularity (minimal disruption to other components of a system when a change is made to one particular component); and extensibility.

Different standards will relate to different aspects of the system. Examples of different aspects that could be governed by standards include:

10

•

technical system and communication protocols;

•

recordkeeping metadata;

•

resource discovery metadata;

•

computer, personnel and/or physical security;

•

documentation;

•

training development and delivery;


•

record formats; and

•

record storage.


You may choose to adopt existing external standards, such as those issued by the International Organization for Standardization (ISO) or Standards Australia, or develop in-house standards at the organisational or portfolio level. There are also a number of whole-of-government standards relating to recordkeeping and information management in the Commonwealth jurisdiction. The use of archival quality paper in the creation of records is an example of a traditional standards tactic. (See the National Archives advice on a certification trademark for archival quality paper products.) The proposed use of XML (extensible markup language) to encode records in the Victorian government’s Electronic Records Strategy is an example of a standards tactic applicable to the electronic environment. As with design tactics, standards can provide ‘behind-the-scenes’ support by not involving users directly in recordkeeping tasks. Technical standards may be used to: •

create or capture records and associated metadata directly in standard formats;

•

convert electronic records and metadata into standard formats;

•

ensure inter-operability between disparate systems;

•

•

•

•

comply with recordkeeping and resource discovery metadata standards; store electronic records in established media; utilise standards that enable databases to exchange data with other databases; and ensure the security of classified records, such as compliance with the Defence Signals Directorate (Australian Communications – Electronic Security Instruction (ACSI) 33) for electronic records and Protective Security Manual for paper records.

Best practice standards may be used to: •

ensure consistency through the organisation;

•

give greater authority to policy tactics;

•

provide a benchmark for performance;

•

•

protect the organisation against adverse findings by scrutineers (audit, legal, ombudsman, Parliamentary enquiry, etc); and assist with compliance in other areas (for example, quality records will assist ISO 9000 certification).

11



E.4.2 Identify appropriate tactics

Each of the strategic approaches – policy, design, implementation and standards – has a variety of uses and can be used to address different gaps or weaknesses. Potential uses of each approach are outlined below. E.4.2.1 Policy tactics

Policy is a useful strategy if you want to: •

emphasise corporate ownership of records;

•

establish an official position on the making and keeping of records;

•

•

•

establish a framework for consistent and accountable recordkeeping practices; demonstrate how recordkeeping fits within information management and corporate programs; and formally acknowledge the authoritative basis for the corporate records manager and other employees to exercise their powers with respect to corporate records.

Policy should be supported by other tactics when: •

a recordkeeping requirement must be satisfied;

•

there is likely to be resistance to the policy; or

•

it introduces significant new employee responsibilities.

Policy and implementation tactics will usually work in combination. Policy statements often need to be supported by extensive training and education together with the introduction of written procedures and guidelines to ensure that employees are well informed about their recordkeeping responsibilities. Policy tactics must be sufficiently flexible to accommodate changes in organisational systems and the technological environment. To ensure continuity, policy statements should not be tied to any specific implementation of systems or technology. International Standard ISO 15489, Records Management recommends that organisations adopt a recordkeeping policy that ensures that business activity is adequately documented through the making and capturing of records. [3] It states that organisations ‘should establish, document, maintain and promulgate policies, procedures and practices for records management to ensure that its business need for evidence, accountability and information about its activities is met’. [4] Organisations seeking to comply with international quality management standards need to be aware that the production of policy documentation is a requirement for certification. The current ISO 9000 family of standards outlines a range of factors that should be taken into consideration (particularly ISO 9000: Quality Management Systems – Fundamentals and 12



Vocabulary , ISO: ISO 9001: Quality Management Systems – Requirements, and ISO 9004: Quality Management Systems – Guidance for Performance Improvement ). E.4.2.2 Design tactics

Design is a useful strategy when: •

it is critical that recordkeeping requirements are satisfied;

•

users do not need to be aware of recordkeeping functionality;

•

existing business information systems can be modified to capture this information at a lower cost than development of another capture mechanism;

•

new business information systems are being developed;

•

business information systems are being redesigned; or

•

business processes are being re-engineered.

Design tactics are normally accompanied by implementation tactics to ensure that implemented systems function according to their design specifications. E.4.2.3 Implementation tactics

Implementation will usually form a strategic component that complements policy, design or standards tactics. Implementation strategies are particularly useful when: •

existing systems have appropriate functionality but are not being used properly;

•

there is user resistance to change; or

•

design of new, or redesign of existing, systems is not cost effective.

It is also a useful change management tool. E.4.2.4 Standards tactics

Standards are a useful strategy to: •

support the design or redesign of new or existing systems;

•

manage software and hardware dependencies;

•

ensure system inter-operability; and

•

foster the creation of electronic records that will be useable, understandable and available over time.

The use of open systems architecture and non-proprietary information technology standards is a particularly important aspect of maintaining electronic records for long-term access. It is anticipated that such standards will reduce the complexity and cost of migrating records and applications software from legacy information systems to new ones. Therefore, it is 13



strongly recommended that organisations consider standards requirements when developing tactics for the storage and preservation of records of enduring value. Such standards are ‘neither a panacea nor a one time fix’, since they reflect current technology. Therefore, organisations must diligently monitor their chosen hardware and software to ensure that they continue to conform to non-proprietary standards that support application connectivity and document portability. [5] Best practice standards such as ISO 15489 on records management, the ISO 9000 series on quality management and metadata standards can be used to support other tactics. E.4.3 Assess factors that support or inhibit tactics

The success of various tactics will depend on a number of factors, including the: •

types of activities and transactions that should be documented;

•

organisation’s corporate culture;

•

organisation’s systems and technological environment; and

•

risk of failing to document particular activities.

You would have given some consideration to these issues when identifying organisational constraints in earlier steps of the DIRKS process (notably Steps A, C and D). It is important that you continue to assess the influence of these internal factors when making strategic decisions during this step. E.4.3.1 Types of activities and transactions

Certain strategies are likely to work better for certain types of activities and transactions. For example, design strategies are most suited to simple, structured, routine activities. More complex activities will usually require a combination of strategies. E.4.3.2 Corporate culture

The corporate culture of your organisation may be the most important factor when identifying strategies to satisfy recordkeeping requirements. It is important to select tactics that conform with or take advantage of the prevailing corporate culture rather than imposing a pre-ordained framework on your organisation. At an enterprise-wide level, some organisations will readily adopt certain tactics while others will resist similar measures. For example, an organisation that displays a culture in which recordkeeping is taken seriously and staff understand their recordkeeping responsibilities, is likely to embrace policy and implementation tactics. An organisation that is enthusiastic about information technology may be particularly receptive to design solutions involving the capture and maintenance of electronic records compared with an organisation that is a relative newcomer to the ‘information age’. While an organisation with a high degree of risk sensitivity, an aversion to change, 14



and fear of losing control over its records may willingly adopt information systems that meet recordkeeping requirements. Within the organisation the behaviour of individuals and work groups, and their differing perceptions of recordkeeping, may demand a variety of tactics. Step A – Preliminary investigation recommends undertaking an analysis of organisational culture to determine employee perceptions of recordkeeping and its relationship to business activity. See Appendix 12 for a discussion of assessing the operational feasibility of potential strategies and Appendix 9 – Guide to developing a business case. E.4.3.3 Systems and technological environment

The extent to which your organisation’s existing systems and technological environment currently satisfy requirements will also influence your choice of appropriate tactics. If requirements are not being met, it is important to consider why and how previous strategies have failed. For example, if an assessment of existing systems (Step D) demonstrates poor compliance with a corporate policy requiring employees to capture electronic messages as records, continued reliance upon the policy tactic alone would be futile. Instead, the policy tactic should be supported by design or implementation tactics to ensure that recordkeeping occurs with minimal user effort. Your organisation’s technological environment may also encourage particular strategies. For example, it may be possible to link existing document management applications and the thesaurus and disposal modules of records management software to assist with the classification and sentencing of text-based electronic records. E.4.3.4 Assessing risks

Previously, in Step C, you assessed the risks your organisation could face if it failed to produce essential evidence of its business activity. In Step E it is necessary to consider the viability of each potential tactic, as a further factor in selecting an appropriate solution for your organisation. See Appendix 11 – Risk analysis in DIRKS and Appendix 12 – Recordkeeping feasibility analysis for help with this task. Use the procedures and tools presented in these guidelines to determine: •

•

•

the costs, in terms of money, human resources and time, incurred by each proposed tactic; the tangible and intangible benefits to the organisation offered by each proposed tactic; and the risks to which the organisation will be exposed if it adopts particular tactics.

Make an assessment against both quantitative and qualitative criteria, such as:

15


•

•

•


the extent to which major recordkeeping requirements and organisational constraints are satisfied by the various tactics; the ease with which the proposed tactics can be integrated with existing systems and processes; and the amount of user support and training required for each tactic.

E.4.4 Check tactics against identified weaknesses

After assessing the different kinds of tactics – policy, standards, design and implementation – within the context of your broader organisational needs, it is prudent to confirm that all weaknesses or gaps identified in Step D are covered, and that the tactics do not undermine existing strengths in recordkeeping practice. Conversely, it may be necessary to revisit the list of recordkeeping requirements if it is impossible to meet some of them within resource constraints. This may involve formally mapping the tactics to the recordkeeping requirements or recordkeeping functionality they are designed to support. The mapping will not be ‘one-to-one’. Some tactics will address more than one major requirement and some major requirements will be met by using a combination of different tactics. It is also useful to note where requirements are already met by existing practices. E.4.5 Adopt an overall strategy

Once you have identified the range of potential tactics (or ‘solutions’) available and assessed them against your organisational needs, it is necessary to choose an appropriate mix of strategies based on: •

•

•

•

how well the combined tactics meet the recordkeeping requirements identified in Step C; how well the combined tactics address necessary recordkeeping functionality examined in Step D; a comparative assessment of the costs, benefits and risks of different solutions to your organisation; and the best ‘fit’ with current organisational systems and corporate culture.

The appropriate mix is likely to meet the criteria most important to your organisation, and pose little risk, or an ‘acceptable’ level of risk, to the organisation in terms of cost, commitment of resources, interruption to core business, and need for organisational change. Remember that some parts of your organisation might require a different mix of tactics to effectively meet their needs. For example, an area conducting business in a highly regulated environment might already be aware of their recordkeeping responsibilities. They will probably need less training than those working in a less structured environment.

16



At the end of this step, it is important for organisations to explore options for conducting the remainder of the project. This will depend on the mix of strategies selected. For example, the design and implementation of an organisation-wide system would be managed differently to the re-writing of business rules in particular sections to incorporate recordkeeping requirements. You may decide to carry out the remainder of the project fully in-house or outsource design and delivery. Organisations that have explored such options at an earlier stage in the process (for example at the end of Step A) should confirm that their previously agreed approach and the strategies selected in Step E are compatible. It is possible that your organisation may not be in a position to design or implement its preferred solution immediately due to current economic or operational constraints. Provided there are no special legal or contractual ties in place, your organisation may be able to: •

implement part of the strategy to address essential needs;

•

opt for no further action at this time;

•

•

revisit potential tactics to select options that can work within current constraints; or revisit the preferred solution when circumstances have changed.

It is important to justify your recommendations in a formal report to management and for management to document its decisions. It is essential to address change management issues in your final strategy. Matters to consider include:

E.5

•

how and when to involve stakeholders;

•

informing action officers of future changes; and

•

promoting the project to enhance acceptance of changes.

Issues

Step E may cause you some confusion due to its use of terminology and its influence on Step F. Some of the terms used in this step (such as ‘design’ and ‘implementation’) are used elsewhere in this manual to describe related processes applied at different scales. For example, the eight-step DIRKS methodology, as a whole, involves the overarching process of designing and implementing (that is, ‘developing’) a recordkeeping system. Similarly, Steps F and G are concerned with system-wide design and implementation activities. In contrast, the ‘design’ and ‘implementation’ tactics in this step have specific, narrow connotations regarding technological and practical recordkeeping strategies, It is sometimes difficult in practice to see where determining recordkeeping strategies ends (Step E) and designing systems to incorporate those strategies begins (Step F). This is particularly the case when you take an iterative approach to system development. In Step E it is essential to determine 17



general recordkeeping strategies and to select a combination of tactics that will help implement those strategies. It is also imperative that your organisation makes or reconfirms a high-level commitment to the remaining design and implementation process. The organisation may use in-house staff, external consultants, system vendors or a combined project team to bring some or all of the tactics to fruition. E.6

Checklist

Check that you have: •

•

•

•

•

•

E.7

investigated the range of tactics potentially available to your organisation; assessed and documented the organisational constraints that may affect the adoption of these tactics; selected the most appropriate combination of tactics; established the links between the selected tactics and the requirements they are intended to address (Step C); developed an overall design strategy to bring the tactics to fruition (including a framework for change management); and obtained management support for your recommended strategy or documented management’s decision not to proceed, and the rationale behind it.

What’s next?

After completing Step E you may now move on to Step F – Design of a recordkeeping system, where the components (or ‘tactics’) agreed to in this step are combined to form a blueprint for implementation (Step G).

18



Endnotes

1.

These approaches are based on the work of David Bearman. See Electronic Evidence: Strategies for Managing Records in Contemporary Organizations , Archives & Museum Informatics, Pittsburgh, 1994. As noted in the Issues section above, the terms used to label these approaches may cause confusion with other parts of the DIRKS process.

2.

The National Archives of Canada has experimented with this design tactic, see John McDonald, Recordkeeping Systems: Lessons Learned from the Experience of the Canadian Federal Government, paper presented to the 1999 conference of the Australian Society of Archivists, published online at www.archivists.org.au/events/conf99/mcdonald.html

3.

International Standard ISO 15489, Records Management, Polices and Responsibilities, Clause 6.1.

4.

International Standard ISO 15489, Records Management, Policies and Responsibilities, Clause 6.2.

5.

Charles M Dollar, Authentic Electronic Records: Strategies for Long-term Access, Cohasset Associates, Chicago, 1999, p. 81.

19

STEP F – DESIGN OF A RECORDKEEPING SYSTEM September 2001

September 2001



DIRKS manual – Step F

CONTENTS

F.1

WHAT IS SYSTEM DESIGN?

4

F.2

WHY IS THIS STEP NECESSARY? ISN’T THE WHOLE DIRKS PROCESS ABOUT DESIGN?

5

F.3


6

F.4

DESIGNING A RECORDKEEPING SYSTEM

7

F.4.1 F.4.2 F.4.3 F.4.4 F.4.5 F.4.6 F.4.7 F.4.8 F.4.9 F.5

Establish and maintain recordkeeping policies Assign recordkeeping responsibilities (Re)design work processes Produce design documentation Design electronic or hybrid systems for records creation, capture and control Develop guidelines and operating procedures Conduct regular design reviews Develop initial training plan Prepare initial system implementation plan

ISSUES

F.5.1 F.5.2

7 8 8 9 10 13 14 15 15 16

Determining the limits of user participation in the design process Determining where design stops and implementation begins

16 16

F.6

CHECKLIST

17

F.7

WHAT’S NEXT?

17

ENDNOTES

17

3


F.1


WHAT IS SYSTEM DESIGN?

The design process involves producing a viable plan, or ‘blueprint’, that satisfies previously articulated requirements in an acceptable manner. In the context of DIRKS, the design step involves converting the strategies and tactics selected in Step E into a blueprint for a recordkeeping system that addresses: •

•

the recordkeeping requirements identified and documented during Step C; and any recordkeeping inadequacies or gaps identified during Step D.

A good system also needs appropriate supporting infrastructure, such as people and processes as well as tools and technology. Therefore this step is likely to involve: •

designing changes to current systems, processes and practices;

•

adapting or integrating technological solutions; and

•

determining how best to incorporate these changes to improve recordkeeping across your organisation.

System development projects often incorporate two important design practices: •

taking an iterative approach; and

•

involving users in the process.

This means that, throughout the design phase, you check elements of the design against the recordkeeping requirements, ask users for feedback on elements that affect them, and make progressive, documented changes to the design until requirements are satisfied and users are happy. The nature of this step will vary greatly depending on the strategies selected in Step E. For example, you may have decided to: •

•

•

•

revise existing policies and procedures relating to recordkeeping in the organisation; improve the recordkeeping functionality of existing systems in your organisation in conjunction with increased training and communication of recordkeeping responsibilities; develop and implement a new records system for high-risk areas of the organisation; or develop and implement a new records system for the entire organisation.

For this step, consider the overall strategy developed in Step E and determine which of the following activities will help bring it to fruition: •

4

establish and maintain recordkeeping policies (Section E.4.1);



•

assign recordkeeping roles and responsibilities (Section E.4.2);

•

(re)design work processes (Section E.4.3);

•

produce design documentation (Section E.4.4);

•

design electronic or hybrid systems for record creation, capture and control (Section E.4.5);

•

develop recordkeeping guidelines and operating procedures (E.4.6);

•

conduct regular design reviews (E.4.7);

•

develop initial training plans (E.4.8); and/or

•

prepare a system implementation plan (E.4.9).

You may wish to approach this step as a single project, or use the tools in this step to support a number of projects to improve recordkeeping in your organisation. F.2

WHY IS THIS STEP NECESSARY? ISN’T THE WHOLE DIRKS PROCESS ABOUT DESIGN?

It is sometimes difficult in practice to see where determining recordkeeping strategies ends (Step E) and designing systems to incorporate those strategies begins (Step F). This is particularly the case when taking an iterative approach to system development. In Step E you selected the mix of strategies that would best meet your organisation’s recordkeeping requirements. In this step you make choices about how the individual strategies selected in Step E should be put together to create the most effective solution. This step involves recordkeeping professionals and other experts working with users to produce specifications that best meet: •

•

•

requirements (ie the identified need to create, capture, maintain and dispose of records); organisational constraints (ie cultural, technical, economic and sociopolitical factors); and user requirements (ie does not hinder day-to-day work, and is understandable and useable).

The net result will be a blueprint for organisational recordkeeping that will form the basis for implementation (Step G) and be acceptable to employees. The extent to which you can involve users and take an iterative approach during the design phase will depend on time and cost constraints. Nevertheless, as with other aspects of records systems design, adopting such practices will help ensure that: •

recordkeeping requirements are feasible and consistent;

•

recordkeeping requirements are satisfied; 5


•

•

•


changes to requirements and the design are adequately documented; users develop a sense of system ownership through involvement during its development; and users understand the system and use it as it is intended to be used.

Outputs of the step will depend on the strategies and tactics chosen in Step E. Outputs may include: •

design project plans, showing tasks, responsibilities and time lines;

•

reports detailing the outcomes of periodic design reviews;

•

•

•

•

•

F.3

documentation of changes to requirements, signed off by both user and project team representatives; design descriptions, in narrative form, which can be easily understood by system users and other stakeholders; diagrams representing system architectures and components; detailed specifications to build or acquire technological components such as software and hardware; plans showing how the design will integrate with existing systems and processes;

•

new policies, plans and procedures,

•

initial training and testing plans; and

•

an initial implementation plan.


In order to prepare a blueprint for recordkeeping you will need: •

personnel with recordkeeping expertise;

•

personnel with IT expertise;

•

•

•

•

personnel with modelling and analytical skills relevant to your business activities; representative experts from relevant business areas (eg functional managers or operational staff); representative users; and personnel with an understanding of corporate governance (eg legal, audit and data security specialists).

As with other stages in the DIRKS process, members of your project team may be drawn from both within and outside the organisation depending on the nature of the project and available expertise.

6



Before starting Step F it is essential that you: •

complete Steps A to E;

•

decide on a model for overall systems design (Steps E); and

•

develop and get approval for a business case for the design of a new system (Appendix 9 – Guide to developing a business case).

It is very difficult to design a successful recordkeeping system if you do not know and understand your organisation’s recordkeeping requirements and organisational constraints. At the very least, you will waste a lot of time backtracking and re-doing tasks before you accomplish a successful implementation. The work you do during this step must address as closely as possible the specific requirements, deficiencies and strategies documented during Steps C, D and E. You will also need the recordkeeping tools – such as thesauruses and disposal authorities – derived from Steps A and B. It is therefore strongly recommended that you do not start at this step unless you have access to the information, knowledge and products arising from the earlier stages. F.4

DESIGNING A RECORDKEEPING SYSTEM

The design or redesign of a system that needs to keep records incorporates a number of major activities, which must be conducted within agreed system development and change management frameworks. These activities can be mixed and matched depending on the situation within your organisation. This means that not all of these activities need to be conducted in the order shown – in many cases, activities can be conducted concurrently. In some circumstances, not all activities will be applicable. Choose the activities that are needed to develop the strategies selected in Step E. F.4.1 Establish and maintain recordkeeping policies

As foreshadowed in Step E, it is important to establish and maintain a corporate recordkeeping policy framework. Your organisation may already have a policy framework in place. If so, old recordkeeping policies should be reviewed and updated as necessary. If not, new policies should be developed. The aim is to provide up-to-date corporate guidance on the various aspects of recordkeeping that have been identified in previous steps. For example, you may establish policies on one or more of the following: •

recordkeeping at the desktop;

•

email as a corporate record;

•

records and accountability; and

•

disposal of records.

Many recordkeeping policies already exist at a whole-of-government level, such as those developed and released by the National Archives of Australia and by the State Records Authority of NSW. You may decide to adopt these,

7



unchanged, within your organisation. Alternatively, you may use them as starting points for developing your organisation’s own tailored recordkeeping policies. Your organisation may also be expected to operate under policies that have been promulgated by another organisation within the same portfolio or sector. Subject to your organisation’s recordkeeping requirements, you may need to take into account the existence of such policies to help ensure a consistent approach within your portfolio or sector. F.4.2 Assign recordkeeping roles and responsibilities

In previous steps you will have determined what recordkeeping tasks need to be performed in your organisation. Some of this functionality might lend itself to automation in an electronic system – but not all. The purpose of this activity is to determine who is responsible for specific recordkeeping tasks. This includes assigning responsibilities for quality control – someone must be responsible for ensuring that recordkeeping tasks are not only performed, but also performed correctly. In some cases, you may assign responsibilities to a particular individual or staff position. In other cases, you may assign responsibilities to particular work groups or sections or to all staff across the organisation. Regardless of the persons, positions or sections assigned to particular responsibilities, you must ensure that all recordkeeping roles and responsibilities are clearly documented. This will help ensure accountability for recordkeeping actions (or inaction). The activity of assigning roles and responsibilities should be conducted in conjunction with any work flow or business process (re)design (Section F.4.3) being undertaken. New or redesigned processes will result in the creation of new roles and responsibilities across the business area or organisation concerned. This activity also provides input to the development of training (F.4.8). Tailored training will need to be developed for any person or area with a particular recordkeeping role or responsibility. For example, if action officers are expected to place emails and other electronic records on files in the organisation’s new electronic records system, training will need to be provided to assist them in: •

determining what is or is not a record in the electronic environment;

•

creating and naming files in the electronic records system; and

•

capturing electronic records (that may be created using a variety of authoring applications) into the records system.

This will be especially important if action officers have never had responsibility for capturing records or creating files, or if your organisation is moving from a paper-based to an electronic recordkeeping system.

8



F.4.3 (Re)design work processes

Based on your analysis of organisational structures, business activities, processes and systems, and identification of recordkeeping requirements, it may be necessary to: •

•

design new processes and work flows that incorporate recordkeeping functionality; and/or redesign existing processes and work flows to incorporate recordkeeping functionality.

This can include both manual work processes and processes that use automated work flow software. Changing work flows and processes processe s to address recordkeeping inadequacies may also be a catalyst for other changes to the way things are done in the organisation. It may become clear that changes should be made to business processes to eliminate existing problems, such as: •

information bottlenecks and duplication;

•

information double-handling; and

•

inability to quickly locate and retrieve important information (including records).

The design or redesign of business processes to incorporate recordkeeping recordkeeping tasks may, in fact, be just one facet of a major business process re-engineering (BPR) exercise. Changes to business processes will result in the creation of new, or the modification modification of old, business rules. More importantly, for staff, it will result in new ways of working. Changes to business processes must have clear management backing, and be supported by: •

•

•

the assignment and documentation of new roles and responsibilities; responsibilities; timely modification or development of guidelines and operating procedures;; and procedures and training in new responsibilities, processes and procedures.

There is significant potential for this activity to cause major disruption to staff (and, hence, to the organisation’s business). business). Any redesign of work flows and business processes should be handled sensitively and within a change management framework. F.4.4 Produce design documentati on

In most design projects documentation is an ongoing and prolific activity. System design documentation is developed progressively at different stages (or ‘milestones’) in the design process. Each design solution generated by the project team or tendered by an external party should incorporate extensive design documentation, including:

9


•

•


design diaries, detailing original design decisions and rationale, and documenting changes made to the design over time; introductory, non-technical design descriptions addressing senior management, staff and other stakeholders;

•

descriptions of redesigned or newly designed business processes;

•

logical and physical models of different aspects of the system;

•

metadata specifications;

•

structured, precise hardware and software design specification(s), specification(s), addressing computer system developers and vendors;

•

initial testing plans;

•

initial training plans; and

•

a skeletal system implementation plan.

F.4.5 Design electronic or hybrid systems systems for records creation, capture and control

Depending on the strategies selected in Step E, it may be necessary to design significant electronic components for your records system, incorporate recordkeeping recordkeeping functionality into existing systems or to integrate some automation into existing paper-based systems. This part of the system design may be conducted by: •

the IT and business analysis staff on your project team;

•

external consultants;

•

system vendors; or

•

a combination of the above.

Even if you have no interest or expertise in technical design you must nevertheless be prepared to provide a professional opinion on the recordkeeping recordkeeping functionality of the electronic system as it is being designed. Ask questions or speak out if it appears that the recordkeeping functionality of the system is being compromised. A formal design review is a good forum at which to bring up problems or concerns you might have regarding either recordkeeping functionality or system useability, irrespective of whether you are designing electronic, paper-based or hybrid systems. It is not the purpose of this step to describe in detail the different modelling tools used in computer system design as there are many authoritative books and articles available on these matters. [1 [1] The following outline simply provides a brief introduction to the process and focuses on:

10

•

determining whether to buy or build;

•

conducting logical systems design;

•

conducting physical systems design; and


•


developing a systems testing plan.

You will notice that some of the activities are similar to those carried out as part of the larger system design process. F.4.5.1 Determine whether to buy, build or both

When you determined your overall design strategy in Steps A and E, you made some choices (at a broad level) regarding the best mix of ‘buy and build’. However, the choices you made then were concerned with the entire system design process, not just the technological components of the design. It is still necessary to determine whether: •

existing in-house technology can be utilised;

•

additional technology should be bought and/or tailored; or

•

additional technology should be designed and by whom.

The recordkeeping requirements that you articulated in Step C will indicate the complexity and scope of the technological components that your organisation needs. Cost, flexibility, and speed of integration and implementation are factors likely to influence key decisions about the technology you adapt, acquire or design as part of the records system. system. In addition, the decisions made here will influence the the physical design (Section F.4.5.3) of the system. F.4.5.2 Conduct logical system design

Logical design pertains to the ‘what and when’ of a system, that is, its functions and processes. It focuses on what the system should do, and how it should appear to the users. Logical design involves the use of various conventions and modelling tools to translate the requirements identified and documented in Steps C and E and the generic characteristics in Part 1, Section 4 – Characteristics of systems that keep records i records into nto detailed technical specifications for system inputs, outputs, interfaces and data stores. Logical design includes the design of: •

•

•

forms and templates, such as metadata templates, which enable the presentation and collection of information; user interfaces, such as menus and dialogue boxes, which enable users to interact with a system; and data stores, such as databases, which enable data or information objects to be stored in a structured way.

During the logical design of an electronic system, users need to be actively involved in reviewing the design to verify that the system is useable and continues to meet requirements as it evolves.

11



F.4.5.3 Conduct physical system design

Physical design deals with the ‘how and where’ of a system. It involves specifying the technological characteristics of the system, including: •

overall system structure;

•

system integration;

•

software program structures,

•

hardware configuration; and

•

data (information) processing, storage, access and protection.

It is strongly recommended that organisations specify and adopt open systems architecture and non-proprietary information technology standards to manage electronic records required for long-term access. [2 [2] Note that system integration can include: •

•

integration with existing electronic systems or applications (for example, an organisation’s legacy system, current electronic document management system or suite of document authoring applications); and integration of specific recordkeeping tools (such as thesauruses, disposal authorities, or metadata creation tools) to enhance the recordkeeping functionality functionality of the system.

A system integration plan should be compiled for use during the implementation phase (Step G). This plan is similar in concept and structure to the system implementation plan, plan, but it relates only to the technological components of the system. Decisions made in earlier steps about whether to buy, build or combine both approaches will impact on the physical design of the system. In one sense, these decisions really constitute a part of the physical design. Inevitably, the choice of particular technologies will place constraints on the functional capabilities of the system being designed. It is possible that, during physical design, problems or errors will occur which can be traced back to the logical design stage. stage. This may reflect inconsistencies in the requirements. Even at this late stage, you need to continue consulting with users, gathering additional information and, where necessary, making and documenting changes to the requirements and/or the system design. As the final design activity before system implementation, physical design provides the last opportunity to ensure that the system design is consistent, complete, and meets your organisation’s requirements. Changes to design after this stage will prove both costly and time-consuming. It is therefore strongly recommended that system auditors and security specialists contribute to this activity.

12



F.4.5.4 Develop system testing plan

One final activity in the design of an electronic system is to develop an overall system testing plan. This plan is a sub-element of the testing processes referred to in Step G. The system testing plan details the different kinds of testing that need to be carried out during implementation of the system, and specifies what form(s) the testing should take. Testing of electronic systems involves using test data and scenarios to verify that each component, and the system as a whole, works as intended under both normal and unusual circumstances. Some examples of what needs to be tested during the implementation of an electronic recordkeeping system, or during the incorporation of recordkeeping functionality into an existing system, include: •

•

•

•

•

system functionality (Does the system do what it is required to do?); system integration (How well do the different components work together?); user interfaces (Are menus, forms and templates understandable and useable?); validation of inputs and outputs (Does the system produce or allow the entry of erroneous data?); and system response and recovery times (How quickly does the system perform tasks; how long does it take to recover from crashes or interruptions?).

System operating procedures will also need to undergo testing to ensure correctness, useability and clarity. F.4.6 Develop recordkeeping recordkeeping guidelines guidelines and operating operating procedures procedures

In accordance with the strategies selected in Step E, during this step you will need to revise or draft guidelines and procedures for staff to follow when carrying out recordkeeping tasks. The guidelines and procedures should be based on business rules and processes for organisational recordkeeping, and constructed around defined recordkeeping roles and responsibilities. This means that recordkeeping guidelines and procedures should be developed in conjunction with (re)designing work processes and assigning recordkeeping roles and responsibilities. responsibilities. Recordkeeping Recordkeeping requirements are more likely to be met if they are incorporated into standard guidelines for particular tasks or business areas, rather than being a separate set of rules. If significant redesign of organisational processes is required to incorporate recordkeeping tasks and assign new roles and responsibilities, you will be unable to develop the procedures and guidelines until this other work is nearly completed. However, if little change is required in these areas, you can start work much earlier.

13



If existing guidelines and procedures are reasonably up-to-date, and changes to processes and responsibilities are not expected to be major, you may only need to review the current set and make small modifications to it. You need to develop guidelines and procedures from scratch if: •

there were previously none in place;

•

those in place are significantly out of date;

•

•

changes to business rules, processes and responsibilities are extensive; or your organisation is moving from a wholly paper-based to an electronic recordkeeping system.

You should work with personnel involved in the design of electronic systems for recordkeeping to identify, as early as possible, which tasks will be manual and which automated. Responsibility for the development of operating procedures may be divided between different team members or parties on the basis of whether a particular task or process is manual or automated. As with the other components that are designed for use by people, you need to gain user feedback on the layout and clarity of the guidelines and procedures as they are being developed. F.4.7 Conduct regular design reviews

Iterative design and the involvement of users in the design process can prove highly effective in ensuring the development of a successful system. During Step F, in-house project team members and/or external consultants need feedback from system users about the system components that affect them. Design reviews, both formal and informal, provide a useful means of eliciting feedback. The purpose of design reviews is to ‘walk’ users through the design of particular components or to demonstrate a functional aspect that has been incorporated into the system. Formal design reviews are generally held at critical stages in the design process, such as the completion of the design of a major system component. For example, a formal review may follow the (re)design of a complete set of work flows and processes for a particular work group. The designers will go through their design, explain what they have done and why they have chosen to do it that way, and show how the design meets requirements. Users and other stakeholders are then given the opportunity to ask questions, comment, criticise or suggest alternatives to the design. Design reviews help to maintain links between requirements and design. They continue the process begun with the high-level requirements audit exercise conducted, during Step E, of mapping functional requirements to system design components. Design reviews should enable you to find flaws

14



and inconsistencies in the detailed design, and to become aware of requirements that have: •

not been properly addressed;

•

changed; or

•

become infeasible due to other changes or new constraints.

Design reviews often result in requests for changes to requirements and/or to parts of the design itself. For this reason, it is essential to document the outcomes of the review. It is also vital that you maintain a visible documentary trail from the requests for change to resulting changes in requirements or design. Requested changes which are not implemented, or which are implemented partially, must also be documented. F.4.8 Develop initial training plan

Develop a high-level training strategy on good recordkeeping practice. Design the structure and initial content of training for organisational staff. Consider alternative delivery methods and determine which method(s) will work best in your organisation. The content of recordkeeping training may include: •

recordkeeping definitions;

•

why good recordkeeping is important;

•

an overview of current organisational recordkeeping policy;

•

•

expectations of the organisation, portfolio, jurisdiction and/or sector with regard to recordkeeping and accountability; and staff recordkeeping roles and responsibilities.

If an electronic records system is included as part of the overall design, you will need to consider the kinds of training and support staff will need to help them use the system to perform recordkeeping tasks. You should produce an initial plan which lays out a preferred formal training structure, including on-the-job support and desktop training aids. Training methods may include: •

face-to-face training, where participants also have ‘hands-on’ practice on a live system;

•

online, context-sensitive help;

•

reference cards;

•

•

•

‘tips and hints’ documentation, regularly updated in response to problems and quirks encountered by users; user guides and manuals, in hard-copy form and/or made available on your organisation’s intranet; and user help-desk facilities. 15



Special one-to-one or tailored training may also be required for managerial staff or select groups of users with particular responsibilities. Even at this early stage of training development, you should keep in mind principles of good user interface design. This will help ensure that both online and hard-copy training material is easy for users to read, understand and digest. F.4.9 Prepare initial system implementation plan

The system implementation plan provides a view of the various system components (processes, procedures, people and technology), showing how they are intended to fit together. The plan also lays out a schedule of work for implementation and integration of the components, and identifies which parties will be responsible for different implementation activities, such as: •

site preparation;

•

training and education;

•

completion of procedural documentation;

•

software programming;

•

hardware configuration;

•

system testing;

•

pilot testing; and

•

full system installation.

Work on the implementation plan can be carried out in parallel with other system design activities in this step, but it cannot be completed until all the components have been designed. F.5

ISSUES

There are at least two possible issues that most organisations will face during this step: •

determining the limits of user participation in the design process; and

•

determining where design stops and implementation begins.

F.5.1 Determining the limits of user participation in the design process

It may be difficult to decide at what stage you should forgo any further iterations of the ‘design a bit – review and test – redesign as necessary’ process. Such a decision is likely to be heavily influenced by time and budgetary constraints, as well as the need to satisfy your organisation’s recordkeeping requirements as closely as possible.

16



F.5.2 Determining where design stops and implementation begins

In many ways this issue is related to the broader issue of user participation. Nonetheless, eventually you must make the decision to stop refining the design and begin the implementation process, whether you choose to design, review, test and implement small components of the system one at a time, or to complete the design of the total system prior to moving on to implementation. As you will see in Step G – Implementation of a recordkeeping system, it is possible (and desirable) to continue to involve users in the design process prior to full system implementation through such mechanisms as system pilots and phased system implementations. F.6

CHECKLIST


•

•

F.7

involved staff and other stakeholders in the design process by asking for their feedback on relevant system components (such as policies, processes, roles and responsibilities, guidelines and procedures); documented any changes to requirements and design components arising from consultation; prepared detailed design descriptions, logical and physical models, and technical design specifications for electronic system components;

•

prepared a system implementation plan;

•

prepared an initial training plan; and

•

obtained management endorsement of the design process.

WHAT’S NEXT?

Assuming you have obtained management endorsement of the design process, the recordkeeping system can now be implemented (Step G). ENDNOTES

1.

There are many authoritative books and articles on the various aspects of system design. The following is a small sample. •

•

•

Britton, C and Doake, J, Software System Development: A Gentle Introduction, 2nd edition, McGraw-Hill, London, 1996. Hoffer, J A, George, J F and Valacich, J S, Modern Systems Analysis and Design, Benjamin/Cummings Publishing Company, Reading, Massachusetts, 1996. Kozar, K A, Humanized Information Systems Analysis and Design: People Building Systems for People, international edition, McGraw-Hill, New York, 1989. 17


•


Modell, M E, A Professional’s Guide to Systems Analysis , 2nd edition, McGraw-Hill, New York, 1996

Specific advice on designing recordkeeping systems and document management systems is provided in: •

•

2.

Bearman, D, ‘Managing Electronic Mail’, Archives and Manuscripts, no. 22, vol. 1, May 1994, pp. 28–50. Sutton, M J D, Document Management for the Enterprise: Principles, Techniques and Applications , John Wiley & Sons, New York, 1996.

For further information on technical standards see Charles M Dollar, Authentic Electronic Records: Strategies for Long-term Access, Cohasset Associates, Chicago, 1999.

18

STEP G IMPLEMENTATION OF A RECORDKEEPING SYSTEM September 2001

September 2001



DIRKS manual – Step G

CONTENTS

G.1

WHAT DOES IMPLEMENTATION INVOLVE?

4

G.2

BENEFITS OF PLANNING FOR IMPLEMENTATION

4

G.3


5

G.4

IMPLEMENTING A SYSTEM FOR RECORDKEEPING

6

G.4.1 G.4.2 G.4.3 G.4.4

Select implementation strategies and techniques Plan the implementation process Manage the implementation Develop a maintenance plan

6 12 13 14

G.5

ISSUES

14

G.6

CHECKLIST

15

G.7

WHAT’S NEXT?

15

ENDNOTES

15

3


G.1


WHAT DOES IMPLEMENTATION INVOLVE?

The purpose of Step G is to systematically identify and put in place an appropriate mix of strategies to successfully implement the blueprint or ‘plan’ designed in Step F. That plan provided an overview of how the various system components (processes, procedures, people and technology) should fit together. Step G builds on the initial implementation plan developed as part of that preceding step (See Step F, Section 4.9 – Prepare initial system implementation plan). The nature of this step will depend on the solutions you are implementing, whether they are new electronic systems or just new policies and procedures. While this step is slanted towards the implementation of new systems, some strategies and techniques outlined are equally relevant for the implementation of other products. To complete Step G you need to: •

select an appropriate mix of implementation techniques and strategies (Section G.4.1);

•

plan the implementation process (Section G.4.2);

•

manage the implementation of the system (Section G.4.3); and

•

develop a maintenance plan for the system (Section G.4.4).

G.2 BENEFITS OF PLANNING FOR IMPLEMENTATION

The integration of new or improved recordkeeping systems with office communication systems and business processes can be a complex undertaking with high accountability and financial stakes. Such risks can be minimised through careful planning and documentation of the implementation process. By completing this step you will have: •

•

•

implemented improved recordkeeping practices with minimum disruption to business activities; contributed to organisational requirements for quality accreditation; and capitalised on the long-term investment made in Steps A to F.

Outcomes of Step G may include: •

•

4

a detailed project plan, outlining the mix of implementation strategies and techniques selected (that is, documentation, communication, training, conversion, regulation and review, quality systems and change management), cross-referenced to relevant risk assessments; documented policies, procedures and practices;


•

•

•

•

•

•

G.3


training materials; documentation of the conversion process and ongoing migration procedures; documentation required for ‘quality systems’ accreditation (if relevant); an audit strategy to monitor the performance of the recordkeeping system (efficiency) and compliance with the recordkeeping requirements (effectiveness); performance reports regarding the implementation of each system, practice and process; and report(s) to management on the implementation process (these may serve as a case study for future implementation projects).


There may be management-driven imperatives to implement new or improved systems for keeping records (or a single component, such as records management software) without fully understanding recordkeeping requirements and organisational constraints. The desire to start at Step G, without the benefit of the knowledge and products arising from the earlier steps, is likely to adversely affect system roll-out and ultimately incur additional, and otherwise avoidable, costs (in terms of staff, time and goodwill). Before starting Step G you should have: •

•

•

•

•

•

analysed recordkeeping requirements and organisational constraints (Steps A to E); developed any specific tools to assist your organisation’s records management needs, such as a corporate thesaurus merged with Keyword AAA (arising from Steps B and C) and functions-based records disposal authority (derived from Steps A to C and Appendix 8 – Guide to developing a disposal authority); identified the strengths and weaknesses of your existing systems (Step D); agreed on a range of tactics to satisfy your organisation’s recordkeeping requirements and organisational constraints (Step E); developed a plan or ‘blueprint’ that shows how the various components (processes, procedures, people and technology) fit together in practice, including an initial high-level implementation plan and training strategy (Step F); obtained management support and resources to implement the plan; and

5


•


acquired necessary hardware and software.

Given both the need for high accountability and the resource implications of systems integration, it is essential to involve personnel with vested interests in the outcome, as well as specialists, in this phase of the project. In order to conduct this step you will need, depending on the nature of solutions being implemented: •

a project sponsor representing senior management;

•

personnel with strong project and change management skills;

•

personnel with recordkeeping expertise;

•

•

•

•

G.4

personnel with an understanding of corporate governance (eg audit specialists); IT specialists; system hardware and software, and dedicated office space for installation; and knowledge of previous systems implementation projects within the organisation.

IMPLEMENTING A SYSTEM FOR KEEPING RECORDS

The implementation process involves several aspects, namely, selecting a suitable mix of strategies, systematically planning and managing the implementation, and developing mechanisms to ensure that the system is properly maintained. [1] G.4.1 Select implementation strategies and techniques

There is a range of strategies and techniques you can apply to smoothly and successfully implement new or improved systems or practices within your organisation. Chosen carefully, these will help ensure that the ongoing operation of your system is also managed effectively. These techniques and strategies concern: •

documentation of practices and processes (Section G.4.1.1);

•

communication (Section G.4.1.2);

•

training (Section G.4.1.3);

•

conversion (Section G.4.1.4);

•

regulation and review (Section G.4.1.5);

•

quality systems (Section G.4.1.6); and

•

change management (Section G.4.1.7).

In order to identify appropriate strategies for implementation, you will need to take into consideration the organisational culture and other environmental 6



influences or constraints. This will involve drawing on the information gathered in earlier steps of DIRKS to consider the viability of a particular strategy, or how certain strategies may be applied in combination. Conducting risk and feasibility assessments will help you identify appropriate strategies. Appendix 11– Risk analysis in DIRKS and Appendix 12 – Recordkeeping feasibility analysis will provide assistance with these tasks. In a sense, parallels can be drawn here with the process of selecting tactics for satisfying recordkeeping requirements (Step E). Choosing the mix of strategies to use or what emphasis to place on each of them is a business decision that needs to be made in each instance of implementation. G.4.1.1 Documentation

This strategy refers to the documentation of policies, procedures and practices covering all aspects of recordkeeping systems and practices in your organisation. The documentation should be created or updated in accordance with your organisation’s standards. It should be readily available and routinely assessed as part of normal audit processes (discussed in Section G.4.1.5). It is important for management to endorse policy statements to demonstrate high-level support for organisational recordkeeping. Statements of this type should anticipate and address any questions or concerns staff may have regarding implementation. The documentation is likely to contain references to relevant legislation and standards as well as to other systems and policies operating in your organisation. The documentation should serve to: •

describe approved recordkeeping practices;

•

explicitly state the roles and responsibilities of employees;

•

identify unacceptable or exceptional practices and functions; and

•

prescribe the use of electronic business information systems for recordkeeping purposes.

The documentation will help promulgate systems and practices (G.4.1.2), contribute to training initiatives (G.4.1.3) and quality systems certification (G.4.1.6), and provide evidence of compliance with standards (G.4.1.5). Some examples of documented practices and processes may include: •

a records management policy;

•

a procedures manual for records management staff; and

•

procedures for general staff relating to recordkeeping responsibilities.

Most of the recordkeeping topics requiring documentation will have been identified in Step E – Strategies for recordkeeping, and further developed in Step F – Design of a recordkeeping system. Step G involves completing the drafting process (where required) and confirming that all topics identified in Steps E and F have been addressed. 7



G.4.1.2 Communication

It is essential that information about new or improved systems be promulgated to staff both before and during the implementation phase. The information you will need to communicate will include: •

•

•

•

•

•

•

the existence, structure and purpose of the system; the recordkeeping requirements and strategies on which the system is based; the policies and procedures that direct and support the system; individual, group and organisational roles and responsibilities for the system; the time frame for the implementation of the system, including projected milestones for conversion; the contributions required of staff during implementation; and/or any adjustments to implementation, including reasons for amended time frames.

This information is likely to be disseminated in a variety of ways, such as: •

general briefing sessions;

•

intranet sites;

•

newsletters;

•

policies and procedures;

•

customised training courses;

•

help desk support facilities;

•

in-house listservs; and/or

•

informal discussion and feedback.

The primary audience for this information will be the day-to-day users of the system (ie records creators). The information should also be made available to senior managers, corporate governance personnel, auditors and any other parties that have a vested interest in the smooth and accountable operation of the organisation, and therefore, its recordkeeping system. Establishing support systems (such as help desks or user listservs) is crucial to successful implementation, especially in decentralised settings. This applies equally to operational staff using the system and those working directly on implementing the system. Regular communication with staff will foster their involvement in the process, help identify issues arising from implementation, and contribute to problem-solving. You will have communicated extensively with staff in earlier steps as part of your research and to introduce and market the project.

8



Communication in this step is focused on ensuring that all staff who will be exposed to new systems and practices are informed about them. G.4.1.3 Training

This strategy is designed to ensure that staff affected by the implementation of new systems and practices are informed, supported and equipped with the appropriate skills and experience. Training is integral to the successful management of the implementation process. Previous steps identified various broad training needs (Step E) and the development of a high-level training plan, including its overall structure, general content and delivery options (Step F). Step G involves the development, refinement and delivery of a comprehensive training package. Decisions about the level and type of training to offer staff will largely depend on their role in relation to recordkeeping, and the knowledge and skills required to carry out that role. It is therefore important that you collect information regarding current levels of knowledge and expertise in order to assess individual, work group and organisational training needs. Some of this information may have emerged when you analysed your organisation’s business activities (Step B) or surveyed existing systems and practices in Step D. Further information can be obtained from: •

interviews;

•

observation;

•

job analysis;

•

quality control and performance appraisal reports; and

•

surveys (such as a skills audit).

Conducting a skills audit (or ‘needs analysis’) of your organisation will help you to determine the role(s) performed by individual staff, work groups or programs, and to identify the gap between the knowledge and skills they currently have and what they need to do their job competently with respect to recordkeeping. The Australian National Training Authority’s recordkeeping competency standards, within the Business Services Training Package (2001) can help you to identify the kinds of knowledge and skills required to achieve certain recordkeeping competencies. A skills audit can be a complex procedure and qualified staff should be involved in its design and analysis to ensure that problems and solutions are properly identified. For example, a skills audit may identify management as well as training needs. It is important to distinguish these issues and address them accordingly. Once a need has been established, the specific content of the training can be determined and developed. Delivery options will depend on the nature of the training required and the organisation’s capacity to develop and present relevant material. Options may include: •

courses developed and presented in-house;

9



•

tailored courses prepared and provided by external consultants;

•

presentations by records management software vendors;

•

•

vocational, undergraduate and postgraduate courses in archives and records management conducted by TAFE, university and other tertiary institutions (see the Records Management of Association of Australia website for a list of professional development courses); and short courses, seminars and other forms of continuing education offered by archival authorities, tertiary institutions and professional associations.

In-house training may take a variety of forms, for example: •

•

briefings; face-to-face training, where participants also have ‘hands-on’ practice on a live system;

•

online, context-sensitive help;

•

reference cards and charts;

•

•

•

‘tips and hints’ documentation, regularly updated in response to problems and quirks encountered by users; user guides and manuals, in hard-copy form or made available on your organisation’s intranet; and user help desk facilities.

Briefing sessions and face-to-face training may be focused specifically on recordkeeping topics or integrated into more general staff training (such as employee induction programs), depending on user needs. Induction programs, for example, offer a good opportunity to ensure that all new staff receive basic training in recordkeeping, and understand their responsibilities in the overall operation of the system. Training programs developed in-house or by external providers should be well planned, explicitly supported by management and delivered in a timely manner. Materials produced for the training program are likely to draw on documented policies, procedures and practices, contribute to the revision of such documentation over time (Section G.4.1.1), and remain an ongoing resource for your organisation. G.4.1.4 Conversion

Conversion is the process of changing from an existing system to a new one. This technique will ensure that your organisation’s records systems (and therefore the records needed to meet business, accountability and community requirements) remain useable over time and that any conversion processes are fully documented. It concerns the conversion of legacy systems as well as the future migration capability of your new or improved systems. [2]

10



Conversion may be full or partial and may involve changes between paper and electronic systems. The identification, selection and conversion of vital records is an important part of this strategy. [3] There are four main conversion or changeover methods to consider: •

•

•

•

Direct changeover – where the new system is introduced at an agreed time without any gradual implementation. The risks of failure or extended ‘downtime’ are high but the operational costs are low due to the maintenance of only a single recordkeeping system. Parallel operation – where the new and old system run in tandem for an agreed time. This represents a conservative but potentially expensive approach, as dual systems must be maintained. Pilot operation – where the new system is implemented initially only for a discrete portion of the organisation. This approach is particularly useful when there are potentially high technological or organisational risks associated with the project. Phased changeover – where only certain modules of the new system are implemented over time and the old system is phased out as functions are successfully subsumed by the new system. This approach may result in a lengthy implementation period, but enables organisations to achieve some benefits from the new system more rapidly than under other strategies. [4]

Irrespective of the conversion method, there are a number of phases in a conversion project, namely selection, pre-conversion, testing, training, implementation and follow-up. Australian Standard AS 4390–1996, Records Management outlines some of the issues associated with these phases and can provide further guidance on managing your conversion. [5] Other implementation strategies such as training and documenting will also contribute to your organisation’s conversion project. G.4.1.5 Regulation and review

This strategy relates to the ongoing monitoring or auditing of the recordkeeping system to assess its performance. Such audits help ensure organisational accountability and should be built into normal program evaluations to minimise disruption to business. An audit program should: •

•

•

•

•

cover all aspects of recordkeeping (ie people, processes, tools, technology); specify the performance indicators (or ‘criteria’) used to analyse efficiency and effectiveness – the criteria must be objective, verifiable and quantifiable (to allow for comparison over time); assign responsibility for the conduct and reporting of the audit; specify the methods for collecting information (eg inspection, observation, inquiry, and computation); specify the period and frequency of reviews; and 11


•


provide a structured report that can be used for comparative purposes over time. The report may be as simple as a table that lists the aspects of the recordkeeping system you wish to measure, with columns for a ‘yes/no’ answer and comments. The checklist for performance testing of records management systems in AS 4390 provides a useful example of this report format. [6 [6 ]

Organisations seeking further generic advice on audit processes should consult th (PDF 93K) available from the NSW Office of Information Technology website. This strategy is closely linked to Step H – Post-implementation review, review , and may be considered preliminary work for that phase. G.4.1.6 Quality systems

Organisations seeking to comply with international quality management standards need to be aware of requirements for the creation of ‘quality records’ (ie documentation) to support the operation of ‘quality systems’. This means that the systems and processes that generate ‘quality records’ must themselves be adequately documented. The current International Organization for Standardization (ISO) 9000 family of standards outlines a range of factors that denote ‘quality records’ for accreditation purposes (particularly ISO 9000: Quality Management Systems – Fundamentals and Vocabulary , ISO: ISO 9001: Quality Management Systems – Requirements , and ISO 9004: Quality Management Systems – Guidance for Performance Improvement, see the International Standards Standards Organization website). Documentation Documentation of recordkeeping system policies, procedures and practices (Section G.4.1.1) as well as the documentation of the system implementation process (Section process (Section G.4.2) will contribute to your organisation’s ability to meet requirements for quality accreditation. Organisations are encouraged to consult Standards Australia f Australia for or further information. G.4.1.7 Change management

Recordkeeping projects inevitably involve various changes in organisational responsibilities, responsibilities, work practices and procedures. The capacity to actively manage these changes will determine the success of any implementation process. Both individual staff and the organisation as a whole will tend to be comfortable with old and familiar ways. Organisations must be aware of the issues involved in change and be prepared to deal with them. Training (ie user education), documentation and communication are important ways to foster acceptance of change. Organisations seeking further advice on marketing and managing change should consult Part 1, Section 7 – Before starting DIRKS. DIRKS.

12



G.4.2 Plan the implementation process

The implementation process, like any other project, requires sound management to ensure that it is conducted efficiently and effectively. Most organisations will be familiar with principles of project management and may have their own methodologies and management standards in place. Organisations seeking further advice should refer to Part 1 – Users guide of this manual or consult the Project management guideline available from the list of guidelines on the NSW Office of Information Technology website. Technology website. The implementation plan itself should be adequately documented, communicated and accessible to staff. Changes made to the plan at any time must also be identified and documented for accountability and auditing purposes. G.4.3 Manage the implementat ion

The actual implementation of the recordkeeping system will vary from organisation to organisation. Nonetheless, a number of activities are likely to be relevant to all organisations. These include: •

informing staff about the implementation timetable and how it affects them and the organisation as a whole;

•

distributing endorsed policies and procedures to staff;

•

reviewing the skill levels of staff and making decisions on training;

•

•

•

•

•

•

•

•

selecting and appointing staff with records management responsibilities, and implementing a new staffing structure within the records management area; training records management staff and establishing a help desk and any other support structures and products in preparation for user education; conducting training programs for staff; converting existing systems (depending on conversion strategy), including vital records; establishing an ongoing program for appraisal and disposal (eg sentencing, destroying or transferring existing records in accordance with disposal authorisations and organisational priorities); establishing procedures for the intellectual control of records (for example, using metadata standards and a corporate thesaurus merged with Keyword AAA); assigning access rights to records according to types and levels of security; reviewing storage facilities for physical records, and storage media for electronic records;

13


•


surveying the current location of physical records, transferring essential metadata in the records system, and establishing an ongoing census program for physical records;

•

instituting and testing a disaster response plan;

•

testing each system, practice or process;

•

preparing and circulating progress reports to staff; and

•

preparing regular progress reports for management, noting any resourcing issues. [7 [7]

G.4.4 Develop a maintenance plan

The implementation plan must incorporate provisions for the ongoing maintenance of the recordkeeping system. This need should be largely fulfilled by the development of specific policy and procedures (Section G.4.1.1) as well as by performance testing and audit strategies audit strategies (Section G.4.1.5). The maintenance plan should cover all the tools that have been developed to assist in recordkeeping, not just the electronic systems. It is necessary to develop procedures for the maintenance and updating of:

G.5

•

business classification schemes;

•

corporate thesaurus;

•

recordkeeping requirements;

•

disposal authorities;

•

policies and procedures; and

•

training materials.

ISSUES

As with Step F, it can be difficult to determine where implementation begins and planning/design stops. Nonetheless, you must eventually make the decision to begin the implementation process and stop refining the design, whether you choose to design, review, test and implement small components of the system one at a time, or to complete the design of the total system prior to moving on to implementation. Implementation projects rely on a combination of human, financial and technical factors. Any of these variables may affect the smooth integration of new or improved recordkeeping recordkeeping systems and potentially jeopardise the organisation’s entire operations. Most of the issues affecting implementation, such as time lags, cost overruns and user acceptance, can be minimised by conducting risk and feasibility assessments before the design (Step F) and implementation (Step G) phases are begun. These investigations cannot prevent problems from occurring, but can raise awareness about their likelihood and provide for contingencies. 14



See Appendix 11 – Risk analysis in DIRKS and Appendix 12 – Recordkeeping feasibility analysis f analysis for or assistance in identifying and evaluating risk and feasibility factors. Case studies of other implementation projects can also highlight potential problems. Some references are provided in the endnotes. [8 ] The impact of any schedule s chedule ‘slippages’ will vary depending depending on the complexity of your recordkeeping project. Prudent planning, including critical path analysis, will help minimise adverse effects. Obviously, management management should be informed of any slippages that are likely to have cost implications for your organisation. G.6

CHECKLIST


•

•

established a project team and/or steering committee that includes relevant stakeholders and experts; selected an appropriate mix of implementation strategies and techniques based on risk, cost-benefit and feasibility assessments;

•

identified all the activities associated with each of the strategies;

•

developed a project plan to manage the implementation process;

•

•

G.7

engaged a representative of senior management to act as sponsor;

implemented and tested systems, processes and practices according to the project plan; and formally reported on the implementation process to the project sponsor, steering committee and staff.

WHAT’S NEXT?

After you have completed this step and implemented your recordkeeping solutions you should proceed to Step H – Post-implementation review, review , to evaluate the efficiency of the development process and the effectiveness of your organisation’s new or improved recordkeeping recordkeeping practices. ENDNOTES

1.

There are many authoritative texts on the various aspects of system design. The following sample provides useful background on generic implementation implementation issues. •

•

Burch, J G, Systems Analysis, Design, and Implementation, Boyd & Fraser, Boston, 1992. Martin, W, Brown, C, DeHayes, D, Hoffer, J and Perkins, Perkins, W, Manag Managin ingg Information Technology: Technology: What Managers Need to Know , Prentice Hall, Upper Saddle River, New Jersey, 1999.

15


•

•

•

•

•


McConnell, S, Rapid Development, Microsoft Press, Seattle, 1996. Rob, P and Coronel, C, Database Systems: Design, Implementation and Management Management, 2nd edition, Boyd & Fraser, Boston, 1995. Shelly, G B, Cashman, T J, Adamski, J and Adamski, J J, Systems Analysis and Design, Boyd & Fraser, Boston, 1991. Taylor, D A, Business Engineering with Object Technology, John Wiley & Sons, New York, 1995. Whitten, J L, Bentley, L D and Barlow, V M, Systems Analysis and Design Methods , Irwin, Burr Ridge, Illinois, 1994.

For case studies on systems implementation specifically relating to recordkeeping, see Jud Judith ith Ellis (ed.), Selected Essays in Electronic Recordkeeping Recordkeeping in Australia , Australian Society of Archivists, Canberra, 2000. 2.

For further information on technical obsolescence and the importance of non-proprietary standards see Charles M Dollar, Authentic Authentic Electronic Electronic Records Records:: Strategies for Long-term Access , Cohasset Associates, Chicago, 1999.

3.

For further information on the identification and protection of vital records, see Jay Kennedy and Cherryl Schauder, Records Management: A Management: A Guide Guide to Corporate Recordkeeping , 2nd edition, Longman, South Melbourne, 1998, Chapter 11.

4.

The conversion process is a routine component of systems development projects. For a brief overview see W Martin, C Brown, D DeHayes, J Hoffer and W Perkins, Managing Managing Informatio Information n Technolo Technology: gy: What What Managers Managers Need to to Know, Prentice Hall, Upper Saddle River, New Jersey, 1999, pp. 403–4.

5.

Australian Standard AS 4390–1996, Records Management, Part 3: Strategies, Appendix B.

6.

Australian Standard AS 4390–1996, Records Management, Part 3: Strategies, Appendix C.

7.

These activities are based on Australian Standard AS 4390–1996, Records Management Management, Part 3: Strategies, Appendix A, Clause A2.5.

8.

Implementation issues are canvassed in C Sauer, Why Information Systems 1993. Fail: A Case Study Approach , Alfred Waller Ltd, Henley-on-Thames, 1993.

16

STEP H – POSTIMPLEMENTATION REVIEW September 2001

September 2001



DIRKS manual – Step H

CONTENTS

H.1

WHAT IS A POST-IMPLEMENTATION REVIEW?

4

H.2

BENEFITS OF EVALUATING PERFORMANCE OF THE SYSTEM AND THE DEVELOPMENTAL PROCESS

4

H.3


5

H.4

CONDUCTING A POST-IMPLEMENTATIONREVIEW

5

H.4.1 Plan the evaluation H.4.2 Collect and analyse performance data H.4.3 Document and report on your findings H.4.4 Take corrective action H.4.5 Make arrangements for ongoing review

6 7 9 10 10

H.5

CHECKLIST

10

H.6

WHAT’S NEXT?

11

ENDNOTE

11

3


H.1


WHAT IS A POST-IMPLEMENTATION REVIEW?

The purpose of Step H is to measure the effectiveness of recordkeeping practices, focusing on the solutions implemented, against the recordkeeping requirements and organisational constraints defined in Steps C to E. You should also evaluate the efficiency and appropriateness of the development process (especially Steps F and G), recommend and undertake any remedial action to address deficiencies, and establish a monitoring regime for the duration of the system or related components. It involves interviewing management, staff and other stakeholders; conducting surveys; examining documentation developed during the earlier phases of the project; and observing and randomly checking operations. To complete Step H you need to:

H.2

•

plan the evaluation, including assessment criteria (Section H.4.1);

•

collect and analyse performance data (Section H.4.2);

•

document and report on your findings to management (Section H.4.3);

•

take corrective action (Section H.4.4); and

•

make arrangements for ongoing review (Section H.4.5).

BENEFITS OF EVALUATING PERFORMANCE OF THE SYSTEM AND THE DEVELOPMENTAL PROCESS

To date, your project has involved a considerable investment of resources – time, money, staff and goodwill. It is important to demonstrate to management and other stakeholders with a vested interest in organisational accountability that the developmental process has been conducted efficiently, and that the new or improved recordkeeping systems and practices have the capacity to deliver stated benefits in the short and long term. A postimplementation review can provide such assurance. By completing the initial post-implementation review and conducting periodic checks you will: •

•

•

•

4

help guarantee a continuing return on the organisation’s investment by maintaining the recordkeeping system to optimal levels of performance throughout its life cycle; have objective proof that your organisation is creating and managing appropriate evidence of its business activities in accordance with operational, accountability and community expectations; minimise your organisation’s exposure to risk through system failure; and over time, anticipate significant changes in recordkeeping requirements and organisational needs that necessitate a new developmental cycle.



The scope of your post-implementation review will depend on the nature and extent of solutions implemented. Outcomes of Step H include: •

•

•

H.3

a methodology to objectively assess your recordkeeping system(s); documentation regarding the performance of the system and the developmental process that can be used for comparative purposes in the future; and a report to management documenting your findings and recommendations.


In order to undertake the post-implementation review you will need: •

•

•

•

a senior project manager; team members with analytical, interpersonal and communication skills, preferably familiar with recordkeeping and audit principles and processes and the IT sector; predefined performance benchmarks; and access to the records system (subject to security clearances) and supporting documentation.

In order to avoid any actual or perceived bias, the initial review should preferably be managed by personnel independent of the design and implementation process. This may require the appointment of a senior officer from elsewhere in the organisation or the use of external consultants (depending on the availability of resources, extent of in-house expertise, scope of the review and level of risk). Other members of the review team will need to understand the project goals, system design and implementation documentation, and performance data collected through the monitoring process, so that they are able to assess whether the system is adequately meeting the organisation’s recordkeeping requirements and organisational needs. Some of these members should include records management and IT specialists. Most of the design and implementation process should be completed before beginning a post-implementation review. However, some aspects of Step H can start concurrently with Step G. H.4

CONDUCTING A POST-IMPLEMENTATION REVIEW

The specific circumstances, needs and culture of your organisation and the nature of the project will dictate the character and timing of the review. For example, a large organisation with multiple layers of management and complex business activities that implemented a new, organisation-wide electronic records system may choose to engage external consultants to

5



prepare an in-depth report with an executive summary. A small organisation with few unique or high-risk functions that redeveloped policies and procedures, implemented a thesaurus and improved staff training may opt for peer review and an oral presentation to management. An initial review should be carried out between six and twelve months after implementation, and then repeated on an agreed cycle. H.4.1 Plan the evaluation

There are various types of evaluation depending on the particular questions you want answered. Generally, they fall into the following areas: Appropriateness •

appropriateness of solution compared to the organisation’s needs;

•

objectives compared with available resources; and

•

comparison of need now with original need.

Effectiveness •

original objectives compared with outcomes (what was desired and what was achieved);

•

outcomes compared with needs;

•

outcomes compared with standards;

•

present outcomes compared with past outcomes; and

•

comparison between target groups within the organisation.

Efficiency •

current costs compared with past costs (ie people, processes, technology and tools);

•

costs compared with similar systems elsewhere (ie benchmarking); and

•

extent of implementation compared with targets.

Put simply, an evaluation assesses ‘did we do the right things?’ and ‘did we do things right?’ It involves setting performance indicators to measure project outcomes (eg comparison of inputs to outputs, behavioural change, cost savings, level of satisfaction or involvement) and the project process (eg timeliness, teamwork, budget, satisfaction of sponsors and other stakeholders). Ideally an evaluation framework should be developed as part of the original design process so that performance data requirements can be built into management and administrative processes, and the review can be conducted with minimal intrusion on work practices or the delivery of services. At this point in the evaluation phase you should consider the scope of the review, relevant performance indicators and acceptable tolerance levels, the duration of the review and the form of reporting required. Remember that 6



you should evaluate not only any new or redesigned technological components, but recordkeeping practices as a whole: the people, processes and other tools such as the corporate thesaurus and records disposal authority. Depending on the complexity of the project and the level of resources available, it may be appropriate to conduct risk and feasibility assessments to determine the scope and emphasis of the postimplementation review. See Appendix 11 – Risk analysis in DIRKS and Appendix 12 – Recordkeeping feasibility analysis for assistance in identifying and evaluating risk and feasibility factors. H.4.2 Collect and analyse performance data

Key tools for assessing performance are the benchmarks developed for Step D – your identified recordkeeping requirements from Step C and required recordkeeping functionality. These documents should set out your organisation’s recordkeeping requirements (ie the need to create, capture, maintain and dispose of records) and organisational constraints (ie cultural, technical, economic, sociopolitical and other factors). Indeed, any reports arising from earlier steps that include recommendations on improvements to existing systems will help inform the review process (eg Step D). Such documentation will help establish performance indicators and frame questions on a range of issues such as the following: Records creation and retrieval •

•

Are records being created to adequately document the organisation's business activity? Are records being captured into appropriate systems in a timely, accurate and complete manner?

•

Are records adequately preserved and accessible?

•

Can users retrieve the records they need?

•

Can users easily locate the records they need using the new system?

•

Does the organisation’s business classification scheme and thesaurus adequately reflect functions, activities and transactions?

Management •

•

•

•

•

Is systems documentation adequate for operational and maintenance purposes? Have audit trails been established between the old and new systems? Have vital records and relevant control information from the old system been converted to the new system? Are staff still relying on unauthorised stand-alone or ad hoc systems in preference to the new system(s)? Are adequate security arrangements in place to protect sensitive records (taking into account privacy and confidentiality)? 7


•

•


Is the physical security of records adequate (eg locked cabinets, compactus)? Has the quality and level of records-based services changed since implementation from both the user and management perspective (eg ease of use, precision and coverage of search and retrieval)?

•

How often are maintenance checks carried out?

•

Has the disaster response plan been tested?

Disposal •

Does the organisation have comprehensive records disposal coverage?

•

Does the coverage satisfy the needs of the organisation?

•

•

•

•

•

•

Is it consistent with the appraisal requirements of the National Archives of Australia? Are the retention periods sufficient to fulfil business, accountability and societal requirements, or do they need to be revised to longer or shorter periods? Are records being sentenced and disposed of appropriately? Is there documentation to substantiate these actions (eg certificates of destruction, retention of control records, current disposal authorities)? Is the organisation creating any additional types of records that need to be appraised and incorporated in its disposal coverage? Are some of the vital records listed no longer being created?

Remember that any changes to disposal authorities need to be endorsed by the National Archives of Australia. Staff training •

•

•

•

•

Are personnel aware of their recordkeeping roles and responsibilities (eg through job descriptions, training)? Do personnel have access to up-to-date policy and procedural documentation? What problems have personnel experienced with the new system? Are personnel applying classification and titling conventions appropriately and consistently? Are personnel retrieving records using the appropriate tools?

Are staffing levels and competency skills adequate (within the records management area and among other staff)?

8



Learning from the process •

•

•

•

•

Were the original terms of reference sufficiently precise to guide the project? Did we negotiate for sufficient resources to carry out the project? Did we keep the key stakeholders informed and committed during the project? Could we improve our broad planning processes if we had to start afresh? Was the planning process appropriate to the project’s size, complexity and predictability?

•

Did our techniques for managing the project work well?

•

Are the stakeholders satisfied?

•

Did we complete the project on time?

•

Did we complete the project within budget?

•

Have we handed the project over as a going concern?

•

Do we need a formal sign-off?

•

Have we acknowledged everyone who made a contribution?

•

Have we celebrated our success as a team (and as an organisation)?

Organisations may also wish to consult the final phase of the Model implementation plan and Check list for performance testing of records management systems that appear in Australian Standard AS 4390–1996, Records Management to identify other potential aspects for evaluation. [1] Performance data can be gathered by: •

interviewing stakeholders (eg project sponsor, senior management, business experts, records management staff and representative users);

•

using questionnaires or surveys;

•

observing the system in operation;

•

•

•

examining procedures manuals, training materials and other documentation; carrying out random checks on the quality of records and control information; and obtaining computer-generated reports on usage figures for statistical analysis.

H.4.3 Document and report on your findings

The performance data gathered on these issues will help you to document any variations or deviations to requirements defined in Steps C and D, 9



review the recordkeeping strategies chosen in Step E, identify areas that warrant priority, recommend corrective action, and propose mechanisms for ongoing monitoring. The review process and findings should be presented to management and a record created and retained for evidential and future reference purposes. This record may take the form of a written report, speaking notes or minutes. Keep in mind that circumstances may change over time and justification for decisions made or action taken may become very important. For this reason the review and any follow-up action should be formally endorsed by senior management, and all project management files and systems documentation should be brought up to date before the project team is dispersed. H.4.4 Take corrective action

Any necessary remedial action should be undertaken as a consequence of the post-implementation review and the action documented. This may involve revisiting some of the steps in the DIRKS methodology. H.4.5 Make arrangements for ongoing review

It is important for organisations to adopt evaluation strategies that can be used to regularly review their systems over time. All components of the system should be periodically examined to identify changes to recordkeeping requirements, respond to environmental changes (such as user requirements), assess the efficiency of technological components and anticipate the need for any modifications or systems redevelopment. H.5

CHECKLIST

Before concluding the systems development process, ensure that you have: •

•

•

•

•

•

•

•

10

identified and documented performance indicators for the system and process; identified methods to collect performance data for the initial and subsequent reviews; gathered performance data; assessed whether the system is satisfying recordkeeping requirements and working within organisational constraints; produced substantiating documentation; assessed the design and implementation process and documented costs and benefits; reviewed the conversion strategy, process and audit trail; verified the existence, currency and comprehensiveness of technical, user and training documentation (including policies, procedures, records disposal authorities);


•

H.6


prepared a report for management on the status of the system and recommendations for improvement (including staffing issues);

•

initiated remedial action endorsed by management; and

•

established an ongoing cycle of reviews of recordkeeping.

WHAT’S NEXT?

Most systems require significant redevelopment after four to ten years of operation to accommodate changes in organisational practices, business needs and technological infrastructure. At this point organisations should review Steps A to D of the DIRKS methodology. ENDNOTE

1.

See Australian Standard AS 4390–1996, Records Management, Part 3: Strategies, Appendix A, Clause A2.6 and Appendix C.

11

PART 3 APPENDIXES

September 2001

APPENDIX 1 – GUIDE TO DOCUMENTARY SOURCES September 2001

September 2001

ISBN 0 642 34449 3 © Commonwealth of Australia 2001 This work is copyright. Apart from any use as permitted under the Copyright Act 1968, no part may be reproduced by any process without prior written permission from the National Archives of Australia. Requests and inquiries concerning reproduction and rights should be directed to the Publications Manager, National Archives of Australia, PO Box 7425, Canberra Mail Centre, ACT, 2610. Privacy statement – Collection of personal information from email The National Archives of Australia will only record your email address if you send us a message. The address will be used only for the purpose for which you have provided it. We will not use your email address for any other purpose and will not disclose it without your consent.


DIRKS manual – Appendix 1 – Documentary sources

APPENDIX 1 GUIDE TO DOCUMENTARY SOURCES

The preliminary investigation (Step A), analysis of business activity (Step B) and identification of recordkeeping requirements (Step C) all involve an examination of sources to fully understand the nature of your organisation’s business and the context of its recordkeeping systems. The amount of fundamental research that you undertake will depend on your level of corporate knowledge and the availability and currency of pre-existing reports on relevant facets of the organisation. Organisation-specific sources

The most useful starting points for your research are publicly available sources such as World Wide Web sites, annual reports and corporate plans that provide an overview of your organisation and its broad functions. These sources are intended for a general audience and do not assume a detailed knowledge of your organisation. They will guide you to other significant sources (such as legislation) and should provide the necessary foundation to help you understand the information contained in these other documents. These general sources may be particularly useful to consultants undertaking documentary research on your behalf. World Wide Web sites

Most organisations maintain websites that contain information about their activities, fields of special interest, organisational structure, administrative history, major client groups and key contacts. Many organisations are increasingly making their publications, including annual reports and corporate plans, accessible online. The Commonwealth Government entry point and Government online directory (GOLD) provide basic information about most Commonwealth organisations, including contact names and details for program areas, information, publications, and references to the organisation’s website. Your organisation’s intranet may also provide online access to internal publications, policy and procedural material. Annual reports

The annual report provides a summary of your organisation’s current structure and business activity. It should contain a mission statement that defines the boundaries of the organisation, corporate objectives that identify broad functional areas and descriptions of major programs and their budgets. It should identify the organisation’s enabling legislation or other legislation that the organisation administers, as well as external requirements, such as reporting arrangements, which may affect the way the organisation carries out its functions. The appendixes may include information about the organisation’s powers and functions consistent with sections 8 and 9 of the Freedom of Information Act 1982, as well as useful statistics relating to its business activities. Organisations covered by the Public Service Act 1999 must table annual reports in Parliament, and most Commonwealth statutory authorities have a similar clause in their enabling legislation. Annual reports presented to Parliament usually contain standardised information consistent with guidelines issued by the Department of

3



the Prime Minister and Cabinet, including information on any audits, legal action the organisation has been involved in and outsourcing arrangements. They are published as parliamentary papers and are usually available from the organisation. Most registered companies must produce annual reports and most other organisations prepare reports for accountability purposes. Past annual reports are very useful if a historical analysis of the organisation is being undertaken for appraisal purposes. While the preparation of annual reports was not compulsory until 1985, most agencies and departments have been routinely producing them since the late 1970s. A full organisation chart should be obtained from your corporate area if it is not included in the annual report. The organisation chart is useful for determining which sections of your organisation are responsible for administering particular functions (or parts of functions). The organisation chart is also useful when planning interviews (see Appendix 2 – Guide to interviews). Strategic plans (corporate plans, business plans and related planning documents)

Corporate plans and business plans are an important source of information on your organisation’s current functions and activities. Commonwealth government organisations are required to prepare outcomes and outputs frameworks. These show what the organisation wants to achieve, how it will achieve it and how it will know it is succeeding. It provides a high-level overview of the work and aims of the organisation. Some of the information provided in corporate plans will be similar to the information in the annual report, such as your organisation’s vision and mission statements. However, the corporate plan differs from the annual report in its purpose and intended audience. While it may be distributed to an external audience, the corporate plan is primarily an internally directed document that provides the framework in which your organisation must operate. The corporate plan should identify key objectives that reflect the major functions of your organisation. These objectives may address more than one function, part of a single function or aspects of several functions. Such plans are usually revised every three to five years. A business, implementation or operational plan provides a finer level of detail than the corporate plan. It describes specific activities required to fulfil the organisation’s strategic objectives and is usually prepared on an annual basis. There is often some overlap between your organisation’s corporate and business plans, as both relate to the same major objectives. However, you may find that organisations differ in the level of information they provide in their respective corporate and business plans. For this reason, it is essential to obtain all official corporate planning documents relating to the organisation you are researching. Most public service organisations are now required to prepare a risk management plan. This should identify and evaluate risks and areas of risk within your organisation and can be particularly helpful for Steps A and B of the DIRKS methodology.

4



Your organisation may also produce a variety of plans relating to specific programs, which may be useful sources of additional information. As with all sources, you should use the information from these planning documents in conjunction with information gathered from other sources to acquire a complete picture of the organisation. Legislation and related sources

Unamended principal acts, up-to-date consolidations of amended acts (referred to as ‘paste-ups’) and historical versions of acts can be accessed online through either the legal information retrieval service SCALEplus of the Commonwealth AttorneyGeneral’s Department or AustLII, the Australasian Legal Information Institute databases. If you are undertaking historical analysis, it is useful to trace changes to the legislation over time. Keep in mind that the 2001 consolidated version of an act may bear little resemblance to the original version due to successive amendments. Information about the history of legislation can be found in the explanatory memoranda or second reading speech given by the Minister who introduced the legislation to Parliament. Reasons for changing an act can be traced through the numbered acts cited in the table of amendments, and references to the related bills. Recent bills and associated documents can be located on the Parliament of Australia website at Billsnet and the summaries are at Bills Digest. For earlier bills see speeches in the Hansard (check index under ‘Bills, short title’). Enabling legislation and other sources of origin

If your organisation is constituted under legislation, its functions and powers will be outlined in the current version of its act. The interpretation section of the act will define important terms. The act’s notes and tables of amendments should be examined to determine whether the organisation’s identity or business activities have been affected by legislative changes. For example, changes may cause new functions to come within the organisation’s jurisdiction, transfer functions to another organisation, or abolish functions. If your organisation was not established by legislation, you may need to look at a variety of other sources to obtain information about its origins or evolution. These may include: •

Administrative Arrangements Orders;

•

charters;

•

media releases; and

•

ministerial statements.

If sources relevant to your organisation’s origins are not available internally, you may need to refer to parliamentary papers, if the documents were tabled in Parliament. Administrative Arrangements Orders (AAO) are published in the Commonwealth of Australia’s Government Notices Gazette and its predecessors. Copies of the latest AAOs may also be available online through SCALEplus, the legal information 5



retrieval service of the Commonwealth Attorney-General’s Department or the Department of the Prime Minister and Cabinet website Other legislation specific to your organisation

Apart from its enabling legislation, your organisation may be directly responsible for administering other pieces of legislation or satisfying unique obligations set out in legislation administered by other organisations. Legislation administered by your organisation should be listed in its annual report or, if the organisation is a department, in the latest Administrative Arrangements Orders. The Commonwealth Government Directory , available through AusInfo, also contains a list of legislation administered under each ministerial portfolio. It is likely that your organisation's annual report would also identify any requirements to perform specific roles or activities under legislation that is administered by another organisation. Policies and procedures

Policies embody the reasons why organisations carry out particular activities and, in a broad sense, how they should be carried out. All organisations possess official policies, which have been approved by the organisation’s management, or which apply to the whole of government or specific sections of government. A policy may relate to a specific function, part of a function, aspects of several functions or all of an organisation’s functions. Policy documents should provide information on specific activities undertaken by your organisation. Procedures are often collected together in a manual that provides details of how an organisation carries out its functions at a very specific level. Manuals are often confined to one particular function, and contain procedures that relate to one activity or several activities. An individual procedure will generally relate to a particular aspect of an activity. Procedures manuals are useful for identifying components of activities. Policies and procedures relating to your organisation’s unique functions or programs should be available internally. It is also important for you to have a general understanding of the way government operates at the broader level, as there are whole-of-government policies and procedures that may affect the way your organisation carries out its functions. These are outlined in more detail in the section on External sources. Organisational records and recordkeeping systems

Once you have collated information on your organisation’s functions and activities at a broad level you will need to find out more specific information. Your organisation’s records should provide a useful source, although this will depend on the design of your existing recordkeeping systems. Existing control documentation, such as a keyword thesaurus or list of file titling conventions, should also indicate how your organisation currently perceives its functions and activities. Publications for particular stakeholders

Publications and other documents that arise directly from consultation with stakeholders, or target their specific concerns, are likely to provide a useful

6



perspective on your organisation’s business activities. Examples of these may include: •

•

memoranda of understanding; advisory board or council reports or recommendations addressing the responsibilities, performance or direction of the organisation;

•

service charters; and

•

client surveys.

External sources

To fully understand the business, accountability and societal context in which your organisation operates, you will need to look beyond its boundaries. There are many types of external sources that will provide important contextual information. Some of the more important sources are outlined below. Whole-of-government legislation

Apart from legislation specific to its core functions, your organisation is likely to be affected by a range of legislation relating to the public sector generally. Legislation relating to recordkeeping

Your organisation may be affected by administrative legislation, such as the Archives Act 1983, Freedom of Information Act 1982, Privacy Act 1988 and the Crimes Act 1914. The National Archives of Australia’s Records Issues for Outsourcing provides a useful summary of how this legislation impacts on your recordkeeping responsibilities. If your organisation is an incorporated body or a company, some of the provisions may apply differently, or not at all, and relevant companies legislation may need to be examined. Legislation relating to common administrative functions

It is not necessary to examine legislation relating to those general administrative functions common to most organisations unless your organisation is affected in a unique way. The National Archives of Australia has developed disposal coverage for records relating to such functions in the Administrative Functions Disposal Authority. The Archives is also preparing recordkeeping advice on some of these functions. Contact the National Archives if you are uncertain whether an activity conducted by your organisation relates to a common or unique function. Statutory rules (regulations)

In conjunction with your legislative research you should identify any regulations that have a significant effect on your organisation. Regulations may: •

•

contain the power to add or remove functions, eg paragraph 77(2)(a) Air Services Act 1955, gives the Governor-General the power to make regulations ‘specifying the functions of AA Services’; set out documentation, information or evidential requirements that may have a bearing on recordkeeping; or 7


•


establish mandatory industry or technical standards.

Regulations can be browsed online via SCALEplus, the legal information retrieval service of the Commonwealth Attorney-General’s Department or the Australasian Legal Information Institute databases (AustLII). Government circulars, directives, memorandums and instruments affecting the public sector

These types of notices may be issued on an organisational, portfolio or governmentwide basis and may affect the way your organisation carries out its unique functions. Key sources are likely to include the Government Notices Gazette, and circulars and memorandums issued by the executive government, Department of the Treasury, Department of Finance and Administration, Attorney-General’s Department, the National Office for the Information Economy, and Public Service and Merit Protection Commission. Reports and guidelines issued by audit, complaints-handling or other investigative bodies

A number of public authorities, such as the Australian National Audit Office, Australian Commonwealth Ombudsman, Australian Law Reform Commission and Commonwealth Parliament, periodically undertake investigations relating to particular issues or organisations. Such inquiries may identify performance or accountability concerns or highlight community expectations that have a bearing on your organisation’s recordkeeping practices. It is likely that your organisation will be aware of relevant external investigations and have access to reports. If not, you may need to undertake further research to identify significant sources. This may include browsing indexes to Hansard, parliamentary papers, parliamentary committees and searching the websites of specific investigative bodies. The Parliament of Australia search page is a useful starting point. In many cases electronic copies of recent reports, guides and other publications will be available online. It is also worthwhile to check whether your organisation has been subject to internal performance audits or other types of internal reviews pertinent to its recordkeeping practices. Standards relevant to your organisation’s business

Codes of practice, protocols, technical standards and industry standards specify the manner in which certain activities are carried out within an organisation. Organisations may be required to comply with mandatory standards as part of their legislative or administrative requirements, or they may choose to adopt voluntary standards pertaining to their business activities. Copies of all standards that apply to your organisation should be available through your corporate area. Additional sources for reconstructing your organisation’s historical context Some additional sources may be required to reconstruct your organisation’s historical context. These include: §

organisational histories; 8



§

parliamentary or government committees or inquiries; and

§

RecordSearch, the National Archives of Australia collection database.

Organisational histories

These may be published or unpublished and are sometimes associated with an anniversary or major event in the history of an organisation. These, if produced, may be found in your organisation's library or the National Library of Australia. Parliamentary or government committees or inquiries

References to reports undertaken prior to the current Parliament can be found in the register of committee reports (1970–1996) on the Parliament of Australia website. The National Library of Australia holds a full set of parliamentary papers, with indexes, from Federation. National Archives of Australia RecordSearch database

RecordSearch controls records in the Commonwealth Records Series (CRS) system, including details about Commonwealth agencies (ie Commonwealth institutions, or the various units of those institutions). RecordSearch is not necessarily a complete or authoritative record of agencies and records. However, it is a useful reference tool for organisations that have had dealings with the National Archives over time because it traces the administrative history of Commonwealth agencies and includes links to previous and subsequent agencies. Citing sources

You may need to revisit your sources again in later steps, or when re-using the information for another project. To make this easier, it is important to cite information correctly. This information will form the register of sources, question 22 in the Organisation Context Document. There are a number of widely accepted citation styles and information about these is commonly available from university library websites. The Style Manual for Authors, Editors and Printers (Australian Government Publishing Service, 1994, 5th edition) is also a useful reference that may be in your organisation’s library. Some basic points to remember when citing sources: •

•

•

Include the title, author, publisher and date of any source. For internal sources, the publisher and author is likely to be the name of your organisation. For legislation, record the full title, the year it was promulgated and also the consolidation date – as acts are amended over time, both dates are necessary. For online resources, include the URL and date of access.

9

APPENDIX 2 – GUIDE TO INTERVIEWS September 2001

September 2001



DIRKS manual – Appendix 2 – Guide to interviews

APPENDIX 2 GUIDE TO INTERVIEWS Before you start

The purpose of conducting interviews with staff of your organisation is to collect information for Steps A, B and C and to validate information gathered during the documentary source analysis. It is assumed that you will have at least a general understanding of the organisation’s functions and structure before beginning the interview process. The annual report and organisational chart will provide a broad overview of these aspects. Intranet sites are often very useful in providing details of work undertaken by each section of an organisation. If you are interviewing staff with direct responsibilities for administering legislation, you should familiarise yourself with this material before the interview. There are a number of ways to conduct the interview process, including interviews with individual officers or workshops with selected staff. You will need to decide which methods are appropriate to your organisation. Each method has advantages and disadvantages. Interviewing individuals is particularly useful for gaining an indepth understanding of a particular function or activity, while a workshop may be preferable for documenting a work process that is undertaken by a number of staff. Much of what is discussed in this guide pertains to the interview process, but it can be easily adapted to suit a workshop situation. Determining who to interview

You will need to interview different people for the different stages of the DIRKS process. For Step A, where you need a broad understanding of the organisation, you should focus on senior managers responsible for core business functions and, to address the recordkeeping questions in this step, the organisation’s records manager. For Steps B and C you will need to interview area or line managers and actions officers who undertake the work. Use the organisation chart to identify each operational area. You will need to interview at least one representative from each operational area, preferably the person in charge or an experienced action officer. You may discover during the course of some interviews that you need to interview more than one representative from a particular area (eg when one officer within the operational area is responsible for a specific activity). These additional interviews can be undertaken after the main series of interviews has been completed. Arrange for a memorandum to be circulated to all staff identified as potential interviewees. Ensure that the memorandum is endorsed, or preferably issued, by a member of senior management. The memorandum should: •

•

explain who you are and the name of the project; describe the expected outcomes of the project, emphasising the benefits to the organisation (for example, savings in money and staff time used in storing, retrieving and locating records);

3



indicate that interviewees have been selected because of their knowledge of the structure, functions and business activities of the organisation, as well as their understanding of the organisation’s information needs;

•

identify the type of information you are seeking and request that interviewees consider these matters prior to being interviewed; these should include:

•

1.

the functions, activities and transactions undertaken by the operational area, and how these fit into the overall purpose and structure of the organisation (you may need to explain the meaning of these terms and give examples of the sort of transactional details required);

2.

any legal or other recordkeeping requirements relating to the records;

3.

what records and recordkeeping systems result from these functions and activities; and

4.

the interviewees’ opinion on how long the records they use are r equired for business purposes.

state that the interview should take between 30 and 60 minutes, depending on the amount of information to be obtained from each operational area; and

•

thank prospective interviewees for their cooperation.

•

Arranging the interview program

Allow at least 90 minutes for each interview, including writing up your notes at the conclusion of each interview. This basic formula should give an indication of approximately how long the interview program will take to complete. Once you have decided on a time period, you should contact the interviewees and find out when each is available to be interviewed. You may need to extend the interview program's time frame to fit in with the interviewees’ other commitments. Preparing questions

This task can be tightly or loosely structured, depending on the style most comfortable for you. Whatever method you decide to use, you should prepare in advance a list of questions covering both business activities and records. These may include: the areas of responsibility of the operational area in which the interviewee works;

•

how these areas of responsibility relate to those of other operational areas and fit into the functions of the organisation as a whole (eg with reference to legislation under which the organisation is established and/or administered);

•

the broad areas of work that are undertaken to carry out the business activities of the organisation (eg report writing, preparing submissions, drafting publications, running training courses, liaison with other organisations, or contact with members of the public);

•

the transactions involved in undertaking this work (eg the individual steps involved in running training courses);

•

4


•

•

•

•

•

•

•

•


any specialist terminology used to describe business activities; if the organisation has a functions thesaurus, which terms apply to the operational area's functions and activities and whether any gaps have been discovered in its application; whether the work of the area is regulated by legislation or other external requirements (eg standards); if there have been any changes in the nature of the activities undertaken by the area; what records are generated as a result of the work undertaken by the area; whether information in the records is duplicated elsewhere, or if any of the records are duplicates; whether any of the records are related to each other, or to records used by other sections of the organisation (eg documenting different aspects of the same function or activity); and the interviewee's opinion of how long the records should be retained for the organisation's business purposes and the basis for this opinion (eg how often are records referred back to after action has been completed and for what purposes).

It is also important to confirm with the interviewees that you are using current sources and to seek information from them about other sources that you may have overlooked. Sample questions are provided in Appendix 3 – Interview questions, to help you start the interview process. Conducting the interview

Make arrangements to hold the interview in a suitable venue and consider the possibility of using a tape recorder. Taping interviews can be very effective as it allows you to concentrate on the interviewee and what is being said rather than trying to take notes during the session to capture the key information. Always check with those you are interviewing to make sure they are comfortable with you using a tape recorder. At the end of the session thank the interviewee for their cooperation, and mention that a follow-up interview may be required to clarify information in light of subsequent research. Writing up notes

Write up your notes directly after the interview, while the information is still fresh in your mind. It is a good idea to structure your notes clearly, according to each question or according to predetermined topics such as functions, activities, transactions and recordkeeping requirements. You may use the Source identification form – Other sources including interviews (Appendix 4) as a guide to structuring your notes.

5



You should provide adequate information to enable every source to be identified (eg person's name, position, date of interview). You should number your interview and add this to the register of sources (question 22 of Appendix 5 – Organisation context document). document).

6

APPENDIX APPEND IX 3 – INTERVIEW QUESTIONS September 2001

September 2001

ISBN 0 642 34449 3 © Commonwealth of Australia Australia 2001 20 01 This work is copyright. Apart from any use as permitted under the Copyright Act 1968, no part may be reproduced by any process without prior written permission from the National Archives of Australia. Requests and inquiries concerning reproduction and rights should be directed to the Publications Manager, National Archives of Australia, PO Box 7425, Canberra Mail Centre, ACT, 2610. Privacy statement – Collection of personal information from email The National Archives of Australia will only record your email address if you send us a message. The address will be used only for the purpose for which you have provided it. We will not use your email address for any other purpose and will not disclose it without your consent.


DIRKS manual – Appendix 3 – Interview questions

APPENDIX 3 INTERVIEW QUESTIONS

This guide provides suggested interview questions to assist in Steps A, B and C of your DIRKS project. For more information, read Appendix 2 – Guide to interviews. interviews. Questions for senior managers

Before commencing the interview, explain the project and identify the benefits to the organisation. Outline what research you have done and give an overview of the sources you have used. You may wish to omit or rephrase some questions depending on the responsibilities of the person you are interviewing and information you have already obtained. •

•

•

What are the core areas of responsibility of the organisation? What are the reporting lines within the organisation and to external authorities? Does the organisation consider itself to be operating in a highly regulated environment?

•

What is the organisation’s attitude towards the degree of regulation?

•

Who are your organisation’s stakeholders?

•

•

•

•

•

•

•

•

•

•

How does the organisation manage its external compliance regime (eg managing its performance in relation to the regulatory environment, environment, audits, standards and best practice)? Does the organisation operate in a litigious environment? If so, can you give a general description of how it manages claims made against it (eg through one unit such as a legal team)? Does the organisation have a risk management plan? Can you outline its major features and provide a copy? How are risks monitored and managed in the day-to-day operation of the organisation’s business? What are the high risk elements of the organisation’s business? Where in the structure of the organisation are high risk activities or processes performed or concentrated? Are there policies or procedures in place to help officers contribute to external compliance or risk management within the organisation? organisation? If so, what are they? What role does recordkeeping play in managing risks and external compliance within the organisation? How does the organisation obtain feedback from its clients? How does the organisation gauge community attitudes in relation to its performance?

3



Has the organisation been subject to any adverse community comments or campaigns?

•

Has the organisation established any advisory or consultative bodies that address or represent community concerns in relation to the business activity or activities of the organisation. If so, what are they?

•

Does the organisation have any statements about community relations or any special agreements or undertakings with clients or stakeholders that are documented (eg memorandum of understanding with stakeholders, service charters)?

•

Is the organisation subject to frequent parliamentary or ministerial scrutiny? If so, give examples.

•

How does the organisation manage its reporting to the Parliament and the government?

•

Is the business of other organisations reliant on the activities of your organisation? If so, describe how.

•

Has the organisation conducted internal reviews or audits concerning its performance and accountability recently? If so, what were the conclusions of the review or report? (Get a copy if relevant.)

•

What degree of technological currency and competence does the organisation display?

•

What are the organisation’s current priorities and goals?

•

Does the organisation have an information management or knowledge management plan? If so how is recordkeeping recordkeeping integrated into this wider plan?

•

Can you refer me to internal publications that will help define, at a detailed level, the organisation's business activity and recordkeeping requirements (eg policies and procedures, publications for clients or the community in general, technical codes or standards)?

•

Can you refer me to any historical publications about the organisation?

•

Questions for records managers

Before commencing the interview, explain what research you have done and give an overview of the documentary sources you have used. Seek to clarify any questions you may have arising from your documentary source analysis. You may wish to omit or rephrase some questions depending on the information you have already obtained. Could you describe the recordkeeping systems used in your organisation? (Cover both formal corporate, for example records management, electronic document management, personnel and finance systems, as well as ad hoc systems that may be used to support specific business activities and whether they are electronic or paper based.)

•

Do you have a corporate records manager?

•

4


•

•

•

•

•


Are recordkeeping responsibilities dispersed throughout the organisation? What level of recordkeeping awareness and competency do most staff have to meet the organisation’s work requirements? Does the organisation have recordkeeping policies? If so do these policies cover all record formats (eg paper, electronic including email)? What are the staff numbers in your recordkeeping area? Does the organisation have formal recordkeeping procedures or guidelines for staff to follow? Do these procedures cover creation, capture and maintenance of records in all formats?

•

Are the procedures regularly reviewed and are staff trained in their use?

•

Does your organisation control record titling?

•

Has your organisation applied metadata controls to electronic records?

•

•

•

•

•

•

•

•

Does your organisation have a vital records plan? Does this plan cover records in both paper and electronic formats? Does your organisation perform regular recordkeeping audits? Where are your records stored (both paper and electronic, active and semiactive)? What disposal authorities do you have that cover records produced in the course of current and (if appropriate) historical business activity? Do you have a planned disposal program? What is the approximate quantity and date range of unsentenced records in your organisation? Does the organisation have difficulty producing records when they are required (eg for litigation, audit, ministerial or parliamentary briefing, freedom of information requests)? If so, why do such difficulties occur? What levels of prominence, resources and support from management do the staff responsible for recordkeeping have within the organisation?

Questions for area or line managers and action officers

Before commencing the interview, explain the project and identify the benefits to the organisation. Outline what research you have done and give an overview of the sources you have used and the areas already interviewed. •

What functions is your area responsible for?

•

Do you administer any legislation?

•

•

What activities or steps do you undertake to perform these functions? (What is being sought here is the transactions or the actions undertaken.) Do you have procedures that guide your work?

5



•

Is your work governed by any standards?

•

Are there any compliance checks made on your work? Do you interact with other areas of the organisation in carrying out these business activities?

•

Do you interact with external organisations in carrying out these business activities?

•

Do you provide services to members of the public?

•

Who are your area’s stakeholders and what is their interest in the business activities you carry out?

•

•

What risks are involved in carrying out your work?

•

Is your area subject to any litigation?

•

Do you employ consultants to carry out any work?

•

What records are created in undertaking your work?

•

Are full and comprehensive records created to support your work?

•

What recordkeeping systems are used to manage the records you create? How long are the records you create needed to support the business activities of your organisation?

•

Can you identify any other uses your records may have, other than for the provision of evidence of work undertaken? (ie can the information be used for other purposes?)

•

6

APPENDIX 4 – SOURCE IDENTIFICATION FORMS September 2001

September 2001



DIRKS manual – Appendix 4 – Source forms

APPENDIX 4 SOURCE IDENTIFICATION FORMS

This appendix contains three form you can use to identify sources used in your organisation’s DIRKS analysis: 1. Source identification form – Acts of Parliament 2. Source identification form – Statutory Regulations 3. Source identification form – Other sources

3


DIRKS manual –Appendix 4 – Source forms

Source identification form – Acts of Parliament Name of organisation:

Date of compilation:

Source number: A unique number for each source is required for reference purposes. Use a single running number. Use only one sequence of numbers irrespective of the nature of the source.

Type of source: (eg Act of Parliament)

Source name:

Full title of Act (eg Commonwealth Employees’ Rehabilitation and Compensation Act 1988).

Reference number: The Act’s reference number and the date of assent (eg 75 of 1988, Date of Assent 24 June 1988). The website of the Parliamentary Library provides the dates of assent to bills.

Source hyperlink: URL to legislation online.

Start date(s): The date that the Act came into force. There is a provision within Acts for their commencement, usually at Section 2 (eg ‘This Act commences on the day on which it receives the Royal Assent’, or ‘The several parts of this Act shall come into operation on such respective dates as are fixed by proclamation ’). There may be special provision for specified parts of the Act to commence on different dates (eg item 14 of Schedule 2 commences on the 28th day after the day on which this Act receives the Royal Assent).

End date: Show the date the Act was repealed.



Legislation that supersedes repealed legislation (where appropriate):

Give title and date of repealing Act if source no longer current.

Date legislation came into operation: Give information on when the Act came into operation (if different from the start date) and any other specific details associated with its introduction and operation. Example: This Act became fully operational on 1 December 1988 with full cost-recovery arrangements via a premium introduced for 1989–90 injury year covering all workers compensation claims with a date of injury on and after 1 July 1989. For pre-premium claims (ie those claims with a date of injury before 1 July 1989) budget funded agencies were required to transfer their estimates of workers’ compensation costs from their Compensation and Legal annual appropriation item to Comcare’s special appropriation, and Comcare continued to meet the costs associated with these claims. Non budget funded agencies had to meet their own costs in relation to these claims (except for cases where the Commonwealth accepted liability following sale of some agencies).

Establishment of the organisation:

Include Division, Part and/or Section number(s) and include sufficient text to show establishment of organisation (where appropriate). Also show the broad responsibilities the Act may establish for the agency and the relative responsibilities of other major stakeholders, if any. Example: The Act establishes Comcare as the agency responsible for the application of the management of compensation in the Commonwealth. Rehabilitation, in relation to Comcare claims, is managed through the employing agency.

Administration of the Act:

Include Division, Part and/or Section number(s) and include sufficient text to show the responsibility the organisation has for administering the Act. Also show if there are any other organisations which take a significant role in administering the Act.

Effects on the operation of the organisation:

This may also include the legislation cited in the previous question. Include Division, Part and/or Section number(s) and show how the legislation impacts on the operations of the organisation.

Business activity:

Identify the major business activity or activities that the legislation mandates (eg health services, education, training, compensation, rehabilitation, etc).



Functions:

Using the information gathered about the business activity of your organisation, make notes in this field on the scope of your organisation’s functions and on possible terms for formal naming of these functions. This information will assist you in step B.

Recordkeeping requirements:

Note any specific recordkeeping requirements identified in the legislation, together with the relevant provisions of the Act. This will assis t you in step C.

Notes:

Give details of any general information that will help you understand the organisation and complete the preliminary investigation template. Example: The Commonwealth Employees Rehabilitation and Compensation Amendment Act 1990 at Section 68 established a Commission called the Commission for the Safety, Rehabilitation and Compensation of Commonwealth Employees. The Act, for that reason, is also referred to as the SRC Act. © Commonwealth of Australia 2000



Source identification form – Statutory rules (regulations) Name of organisation:


Source number: A unique number for each source is required for reference purposes. Use a single running number. Only use one sequence of numbers irrespective of the nature of the source.

Type of source: Statutory rule, regulation.

Source name: Full title (eg Statutory Rules 1984 No. 100 Archives Regulations). Regulations can be numerous and, in most cases, it will be best to browse the consolidated version of the regulations online and make notes of those that are relevant (ie those that impact on the activities of the organisation or have recordkeeping implications).

Regulation number: Regulation or regulations involved (eg Regulation 3).

Name of Act under which statutory rules were made: (Eg Archives Act 1983)

Source hyperlink: URL to regulation or other source online.

Start date: The date when the regulations were intended to take effect. This will be found in the notes to the regulation (eg *1* Notified in the Commonwealth of Australia Gazette on 1 June 1984).

End date: The date of repeal.



Repealed/superseded by (where appropriate): Give title and date of repeals if source no longer current (eg Statutory Rules 1987 No. 285 Freedom of Information (Addresses) Regulations (Repeal), Regulation 1). This field may not be completed for the preliminary investig ation, but it is provided so that, if appropriate, the information can be updated later.

Purpose of statutory rule: Example: Provides for Commonwealth agencies to provide certain information to National Archives relating to their functions and the Commonwealth records in their custody for the purposes of appraisal.

Effect on the operations of the organisation: Example: In order to exercise its authority to approve the disposal of Commonwealth records by Commonwealth agencies under Section 24 of the Archives Act 1983, the National Archives needs to have access to information about the context of records creation and the functions and activities of the organisations. Regulation 3 empowers the National Archives to gain access to that information.

Other organisations affected by the regulations: Example: Commonwealth institutions which create Commonwealth records are obliged to provide the information requested under Regulation 3 within a reasonable time.

Business activity: Identify the major business activity or activities that the regulation mandates (eg health services, education, training, compensation, rehabilitation, etc).

Functions: Using the information gathered about the business activity of your organisation, make notes in this field on the scope of your organisation’s functions and on possible terms for formal naming of these functions. This information will assist you in step B.

Recordkeeping requirements: Note any specific recordkeeping requirements identified in the regulation, together with the relevant provisions of the Act. This will assis t you in step C.

Notes: Give details of any general information that will help you understand the organisation and complete the preliminary investigati on template. © Commonwealth of Australia 2000



Source identification form – Other sources including interviews The information shown below should be completed for other sources. For interviews adapt the form to include information about the interview such as the time, date, details about the officer being interviewed etc.

Name of organisation:


Source number: A unique number for each source is required for reference purposes. Use a single running number. Use only one sequence of numbers irrespective of the nature of the source.

Source name: Cite bibliograp hic details of published sourc e (eg All About Workers’ Compensation: A Guide for Employees, Canberra, Comcare, June 1997). Where the source is an action officer who is interviewed show the name of the officer, position title, section and organisation.

Source hyperlink: URL to publication online.

Source type: This information is important where you have a large number of sources. It will enable you to evaluate them and decide which sources will be most useful when conducting research for other steps. See Guide to documentary sources for examples.

Source start date: Date of publication or if the source is an interview, give date of interview.

Source end date: If a publication, the date superseded by another publication (or, if it has not been superseded but there is evidence that the source is no longer used, the date it dropped out of use). This field may not be completed for the preliminary investigation, but it is provided so that the information can be updated later, if required.



Source overview: Provide an overall description of the source. Example: This source is a guide to the Commonwealth’s workers’ compensation scheme, which is administered by Comcare. The guide has been written specifically for employees claiming compensation and provides a step-by-step approach to the compensation and the return to work process.

Business activity: Identify the major business activity or activities to which the source refers (eg health services, education, training, etc).

Notes: Give details of any general information that will help you understand the organisation and complete the preliminary investigation templa te. Example: A compensation claim to Comcare results in the initiation of a rehabilitation program which is the responsibility of the employing agency. The function of compensation in Comcare has a direct relationship to the function of rehabilitation in Commonwealth agencies and there is an interdependence of recordkeeping needs between those organisations. © Commonwealth of Australia 2000

APPENDIX 5 – ORGANISATION CONTEXT DOCUMENT September 2001

September 2001



DIRKS manual – Appendix5 – Organisation context

APPENDIX 5 ORGANISATION CONTEXT DOCUMENT

Use this form to consolidate information about the organisation gathered during Step A – Preliminary investigation. The source number against each question is a cross-reference to question 22, the register of sources. Background 1.

Who is responsible for managing this project in your organisation? Show details of the senior officer in charge of the project.

Name

Position

Phone number

Identifying the organisation and its administrative context 2.

What is the name of the organisation? Include all names that the organisation is known by, including acronyms, registered business names, and names of business units (eg shopfronts).

Name

3.

Source number

What type of organisation is it? For example, department, statutory body, non-statutory body, corporation, university, etc. If your organisation is registered show relevant details.

Type

Australian Company Number (ACN) or other registration number (if appropriate)

Source number

3


4.

DIRKS manual – Appendix 5 – Organisation context

What are the defining characteristics of the organisation? Comment on reporting arrangements (eg to parent department, directly to portfolio minister), unique characteristics (eg the organisation’s autonomy, budgetary status, etc), and indicate whether the organisation is the ‘lead agency’ responsible for administering legislation which affects most government organisations.

Characteristics

5.

What is the history of the organisation? Provide a chronological overview of the establishment of the organisation and major changes and events, including major losses or gains in functions and/or restructuring. Also name earlier organisations and indicate the date range of their existence.

Date

6.

Source number

Comments

Source number

What is the structure of the organisation? Where are the various units located if there is more than one, and what is the business activity carried out by each? All units of the organisation need to be clearly identified so that the full range of work carried out by the organisation is taken into account. If there are numerous units they should be grouped into types of units that carry out the same types of work (eg overseas posts may be grouped together). Alternatively, attach a detailed current organisational chart.

Office-holder responsible for the organisation, eg secretary, director-general List units and their location

7.

Business activity

Source number

Does the organisation have any administrative links to other organisations? For example, your agency may have strong links with statutory authorities, councils, boards of management, committees etc that are defined as separate organisations. See A.5.2. Note the name of the organisation and the relationship to your organisation.

Name of organisation

4

Relationship

Source number



Identifying the legal and regulatory framework 8.

What is the official basis of the organisation and why was it established? Identify and document the establishment of the organisation and the purpose for which it was established. Indicate if there have been any major changes to the establishing legislation.

Establishment of the organisation

9.

Source number

What legislation is administered by the organisation? List legislation administered by the organisation. This may include legislation referred to in earlier questions, and repealed legislation that was administered by the organisation in the past. Agencies (particularly portfolio departments) with a long list of legislation should distinguish between those they substantively administer and those for which they have an oversight or other minor role.

Source name (short title)

10.

What legislation affects the role or the operation of the organisation? Indicate what legislation affects the operations of the organisation, excluding the enabling legislation in the previous question and common administrative legislation that underpins the Administrative Functions Disposal Authority. For example, laws on the use and handling of chemicals may affect scientific research organisations.

Source name (short title)

11.

Source number

Business activity

Source number

Has the organisation contracted out any aspects of its business activity to government or non-government organisations? For example, some government agencies contract-out service provision to Centrelink. Note specific legislative provisions and/or contractual arrangements that govern these relationships. This information is available from annual reports.

Contracting-out details

Source number

5


12.


Are there standards that have been imposed on or adopted by the organisation? List mandatory and voluntary standards (or parts thereof) including best practice, technical, or industry standards, to which the organisation adheres, such as ISO or Australian standards. Indicate, where applicable, the regulatory body that is responsible for monitoring compliance. Also list standards that are administered by the organisation, for example the National Archives of Australia administers the AGLS metadata standard.

Name of standard and other details

Mandatory, voluntary or administered

Source number

Identifying the business context 13.

What does the organisation do? List the general areas of business or the industry sector for which the organisation is responsible (eg health, education, employment, scientific research) and major outputs, services and products provided by the organisation.

Business activity

14.

Source number

Are any of the business areas of your organisation’s operations subject to a high level of litigation? Include litigation where the organisation is either the defendant or complainant. Comment on the nature, frequency, trends, risks and consequences of litigation. Show different areas of business activity separately. Information on litigation is usually available in annual reports.

Litigation details

15.

Outputs, products or services

Business activity

Source number

Who are the organisation’s major stakeholders? For ease of reference, list the stakeholders identified during the course of the preliminary investigation and specify the nature of their interests. Stakeholders include groups that express an opinion on the organisation’s products or services, community groups, clients and customers, as well as the Minister, parent department, formal advisory groups etc.

Stakeholder

6

Interest of stakeholder in the organisation

Source number



Identifying the corporate culture 16.

What is the current strategic focus of the organisation? Look at the organisation’s strategic planning documents and recent executive statements. These will identify the organisation's direction, changes in activities that are currently carried out, or new activities.

Strategic focus

17.

Has the organisation or any facet of its business been the subject of any recent internal or external audits? List any recent audits, indicating the business area involved. Note any adverse findings including any comments on recordkeeping or information management. Basic information on audits is available in annual reports.

Date

18.

Source number

Audit

Business area

Findings

Does your organisation have a formal compliance program or strategies and/or procedures in place to ensure compliance to laws, standards, etc? Indicate any measures in place to ensure that relevant laws, regulations, codes and standards are not breached.

Details of compliance programs, strategies or procedures

19.

Source number

Source number

Does your organisation have a formal risk management program in place? Comment on the risks associated with the organisation’s business activity and the strategies and/or procedures in place to deal with such risks. A recent government initiative requires all agencies to prepare risk management plans.

Risk levels and risk management strategies in place

Business activity

Source number

7


20.

How is recordkeeping managed in the organisation? Comment on whether recordkeeping is centralised, decentralised or mixed, levels of staff awareness, the management of paper and electronic records and whether there are comprehensive, known policies and procedures. If there is a current disposal program, indicate what disposal authorities are used.

Recordkeeping in the organisation

21.

Source number

How is technology used in business systems and information management systems, including recordkeeping and/or records management systems? Comment on the technological capabilities of the organisation, referring to indicators such as use of technology in business systems, work stations and work practices, resources allocated to technology, and staff competence and training.

Technology and its use in the organisation

22.


Source number

What sources have been used to undertake the preliminary investigation? Compile a register of all documentary and oral sources used during the preliminary investigation. Number each source to keep track of the sources in later steps. See Appendix 1 – Guide to documentary sources, for advice on identifying and citing sources.

© Commonwealth of Australia 2000

8

APPENDIX 6 – PRACTICAL ADVICE FOR USING KEYWORD AAA AND AGIFT TERMS

September 2001 (rev July 2003)

September 2001



DIRKS manual – Appendix 6 – Using Keyword AAA and AGIFT terms

APPENDIX 6 PRACTICAL ADVICE FOR USING KEYWORD AAA AND AGIFT TERMS

Organisations undertake Step B – Analysis of business activity of the DIRKS methodology to analyse their core functions and activities and develop a business classification scheme that conceptually represents their core business activities. The business classification scheme is the basis for developing three additional tools: •

•

•

Merged business classification scheme This comprises the organisation’s core functions and activities plus the administrative functions and activities identified as being common to most government agencies. The merged business classification scheme will provide your organisation with a comprehensive classification regime for its records. The 17 common administrative functions, and their associated activities, are outlined in the Commonwealth version of Keyword AAA: Thesaurus of General Terms (May 2001) (Keyword AAA); Functions-based records disposal authority This controls the disposal of records produced as a result of your organisation’s core business functions and activities (see Appendix 8 – Procedures for developing a records disposal authority in the Commonwealth). This authority, in conjunction with the Administrative Functions Disposal Authority (AFDA) which provides disposal coverage for records produced as a result of the 17 common functions outlined in the Commonwealth version of Keyword AAA, will provide your organisation with comprehensive disposal coverage for its records. (Please contact the National Archives if you wish to develop your own functions-based records disposal authority, email: [email protected]); and Classification tools Classification tools (such as a functions thesaurus or records classification scheme) expand the utility of your organisation’s business classification scheme to provide a comprehensive indexing, retrieval and classification regime for your organisation’s records. The Overview of Classification Tools for Records Management provides further advice on developing classification tools.

The remainder of this document provides guidelines for using Keyword AAA (Commonwealth version) and AGIFT terms when developing your agency's business classification scheme and related classification tools. In particular, adherence to these guidelines will ensure that the classification regime you implement uses unambiguous terms and that it is fully compatible with the Administrative Functions Disposal Authority. Rules for using Keyword AAA terms in an organisation’s core business classification scheme

Following these seven rules will ensure that your organisation’s business classification scheme is fully compatible with the Commonwealth version of Keyword AAA.

3



Rule 1. Avoid making changes to functions and activities (including scope notes) in Keyword AAA. Rule 2. You can attach activities from Keyword AAA to agency core functions. Rule 3. Retain the hierarchical level of authorised terms in Keyword AAA. Rule 4. Agency-specific activity terms can only be used with agency-specific functions. Rule 5. Do not use a function term from Keyword AAA, or alter its scope, to describe a core agency business function. Rule 6. Do not use an activity term from Keyword AAA, or alter its scope, to describe a core agency business function Rule 7. Make sure you have a clear understanding of the effect of deleting unused functions, activities and function-activity links from Keyword AAA. Rule 1: Avoid making changes to functions and activities (including scope notes) in Keyword AAA

It is important to understand that, because there are direct links between the Commonwealth version of Keyword AAA and AFDA, you should not make changes to authorised terms (function and activity) when you are compiling your merged business classification scheme. Scope notes of authorised terms should also not be altered. Any changes would make it difficult to sentence records in accordance with AFDA, as the new scope notes would not match AFDA disposal classes. (Note: A disposal class consists of the function and activity term and scope plus the description of records and disposal action.) Rule 2: You can attach activities from Keyword AAA to agency core functions

When you are compiling a business classification scheme to merge with the Commonwealth version of Keyword AAA, you can use activity terms from Keyword AAA under your core functions. You cannot modify the scope note of the Keyword AAA activity term. Some Keyword AAA activity terms that may be applicable to your core functions are ‘Policy’, ‘Implementation’, ‘Meetings’, ‘Research’, ‘Liaison’, ‘Acquisition’, ‘Contracting-out’, ‘Tendering’ and ‘Audit’. If the Keyword AAA scope note is not appropriate to describe your business, you should create an activity term that accurately describes your organisation’s unique activity. Rule 3: Retain the hierarchical level of authorised terms in Keyword AAA

You should always retain the hierarchical level of authorised terms in the Commonwealth version of Keyword AAA. For example, you cannot use

4



‘Occupational Health and Safety’, which is itself a function term, as an activity under the function of ‘Personnel’. If you change the hierarchical levels of Keyword AAA terms you will not be able to sentence your records. Disposal classes in AFDA are linked to the functions and activities of Keyword AAA. Also, you cannot group several functions together into a new function. For example, you cannot group several functions like ‘Personnel’, ‘Occupational Health & Safety’ and ‘Staff development’ together to form a new function of ‘Human resources’. This would be an inappropriate level for a function. Rule 4: Agency-specific activity terms can only be used with agency-specific functions

Agency-specific activities belong with agency-specific functions rather than with administrative functions. Please do not add agency-specific activities to Keyword AAA functions. AFDA will not provide disposal coverage for such combinations. If there are missing relationships in the Commonwealth version of Keyword AAA and AFDA please inform the staff of the National Archives who will consider it in reviews of these products. Rule 5: Do not use a function term from Keyword AAA, or alter its scope, to describe a core agency business function

For example, AusInfo has a core responsibility for Commonwealth Government publishing. AusInfo cannot use the function ‘Publication’ from Keyword AAA as it stands, nor should it widen the scope note, to cover its agency-specific activities. Likewise the National Archives of Australia cannot use ‘Information management’ for its own core function of managing Commonwealth records. The current scope in the Commonwealth version of Keyword AAA is too limited and widening the scope note would cause problems when sentencing. If your organisation performs a function from Keyword AAA as part of its core business, you have some options, depending on the circumstances. •

You can keep the original function in Keyword AAA and add another function to cover additional agency needs. This is suitable when you need to distinguish between your core business and your administrative needs. For example, the National Occupational Health and Safety Commission cannot use the function ‘Occupational Health and Safety’ to describe its core responsibility of providing OH&S advice and assistance to other agencies. This agency should, instead, create an additional function term (eg ‘Workplace Health and Safety’) as well as retaining ‘Occupational Health and Safety’ for the common administrative function of implementing and coordinating OH&S and associated legislation throughout their own organisation. For organisations with a core functional responsibility that may partly overlap a Keyword AAA function – for example the function of ‘Community relations’ – using the Keyword AAA term ‘Community relations’ in conjunction with an 5



agency-specific function term like ‘Promotion’ will provide for the agency’s administrative and core business needs. If you cannot find a suitable alternative term for a core function, you can simply add to the Keyword AAA term, for example ‘Gallery community relations’, to avoid confusion between the terms. You can remove the original function (and all of its relationships) from Keyword AAA, choose a different term to cover your new function and widen the scope. This approach is suitable if you do not need to use the original function at all in an administrative sense.

•

For example, if your organisation performs the function of ‘Community relations’ as part of its core business, this approach is suitable. When compiling your business classification scheme and records disposal authority you should change the name of the term (for example to ‘Customer relations’) and tailor the scope note accordingly. This means that ‘Community relations’ from AFDA cannot be used to sentence records. The classes under ‘Customer relations’ in your records disposal authority would apply instead. Rule 6: Do not use an activity term from Keyword AAA, or alter its scope, to describe a core agency business function

It is important not to use an activity term from the Commonwealth version of Keyword AAA to describe a core business function. For example, some agencies undertake inspections as part of their core business. The term ‘Inspections’ is an activity in Keyword AAA. For an agency with inspections as a core function, the combination of activities that make up that process would need far more description than the scope provided in Keyword AAA. If you perform an activity from Keyword AAA as a core business function, you have some options, depending on the circumstances. You can remove the original activity term and all of its relationships from Keyword AAA and create a new function term. This is suitable when you are entirely replacing the scope of the original activity with a new scope. You should not remove the original activity unless you are confident that you will never undertake this activity as part of any of your administrative functions.

•

For example, if your organisation dispenses grants to other bodies, but is not itself a grant recipient, you might wish to remove the activity ‘Grant funding’ from your merged business classification scheme. You could then add a core function of ‘Funding’ (to avoid confusion do not call it ‘Grant funding’) and cover it under your records disposal authority. You can keep the original activity in place and create a new function. Again, this is suitable when you need to distinguish between your core business and your administrative needs.

•

For example, the Office of the Auditor-General would not use the activity term ‘Audit’ when performing financial audits of other organisations. They would need to choose a term like ‘Audit management’ to represent their core function. However, they can still use ‘Staff development – Audit’, for 6



internal staff development audits, or ‘Financial management – Audit’, for internal audits conducted within the Office of the Auditor-General. Rule 7: Make sure you have a clear understanding of the effect of deleting unused functions, activities and function-activity links on your use of Keyword AAA

You may delete unused functions, activities and function-activity links in the Commonwealth version of Keyword AAA (and therefore not use the corresponding terms in AFDA) in order to streamline your business classification scheme. However, it is recommended that you do not follow this option unless you will never require these in the future. Be aware that such changes need to be monitored so the changes can be made again in new versions of merged business classification schemes and so that agency staff can sentence records correctly. ‘For’ references

‘For’ references may be included after a term in the ‘merged business classification scheme’ to direct users to the appropriate function or activity. These examples show the conventions to follow: •

•

For compensation claims made by employees, use COMPENSATION – Cases. For formal submissions made by the agency on government matters, use GOVERNMENT RELATIONS – Submissions.

Ensure that references included in the ‘merged business classification scheme’ add value. These references can greatly increase the accessibility and useability of your organisation’s ‘merged business classification scheme’. Rules for using AGIFT terms

The Australian Governments’ Interactive Functions Thesaurus (AGIFT) is a national cross-jurisdictional thesaurus of government functions. It contains 24 high-level (or ambient) function terms and more than 500 lower level function terms covering Commonwealth government functions, as well as functions of other government jurisdictions. A function, or part of a function, described in AGIFT will be undertaken by your organisation. AGIFT is a potential source of function terms for use in your organisation’s business classification scheme and related classification tools. For more information see DIRKS Step B - Analysis of business activity and Overview of classification tools for records management . Many of the high-level (or ambient) functions described in AGIFT will extend beyond the scope of your organisation’s business functions. However, it is likely your organisation’s business functions will correspond to particular lower level function terms in AGIFT. Organisations may adopt these terms for their own purposes rather than developing alternative function terms, subject to the following conditions. Rule 1: Ensure that the term is appropriate

Before using an AGIFT term, you must ensure that the term you are adopting is an appropriate term for a Commonwealth function. AGIFT is a cross-jurisdictional

7



thesaurus and terms cover Commonwealth government functions as well as functions of other government jurisdictions. Rule 2: Ensure that the scope is consistent

Before using an AGIFT term, you must ensure the scope of your organisation’s function is consistent with the scope assigned to AGIFT term. It does not need to be identical, but it must not be defined in a way that contradicts the scope of the same term in AGIFT. Although it is conceivable that some organisational functions will be identical in scope to AGIFT terms this is likely to be uncommon, since the selected function would need to be performed only by the Commonwealth and only by a single agency. The scope of the AGIFT term would also need to be at a level of specificity useful for classification purposes. AGIFT provides a national framework for public sector functional classification. Your agency’s classification regime sits within this national framework. It is therefore important to ensure consistency with, and appropriate cross references between, the function terms in your organisation’s business classification scheme and related classification tools and relevant lower level function terms in AGIFT. Fore more information on AGIFT, see www.naa.gov.au/recordkeeping/gov_online/agift/summary.html Documenting changes

The source of all functions and activities (Commonwealth version of Keyword AAA, AGIFT or the organisation’s own business classification scheme) should be noted clearly in the merged business classification scheme and related classification tools. It is also essential that any changes made to Keyword AAA terms are carefully documented. This will enable you to transfer the same changes to subsequent editions of merged business classification schemes or classification tools used in your organisation. These steps will also enable you to carefully track what effect your modifications will have on the application of AFDA.

8

APPENDIX 7 – FUNCTION SOURCE DOCUMENT September 2001



DIRKS manual – Appendix 7 – Function source document

APPENDIX 7 FUNCTION SOURCE DOCUMENT

Use this form to consolidate information gathered about functions, activities, and transactions through Step B – Analysis of business activity. Document recordkeeping requirements identified in Step C in Table 2. Complete one form for each function. 1.

Organisation:

2.

Function reference:

3.

Function term:

4.

Function scope note:

Function date range: Start date End date

5.

6.

Source and date of information

History of function Briefly indicate any changes to the function through its history, including amendments to legislation affecting or authorising the function

Date

Changes

Source

Other organisations that have administered the function (or linked activities) Organisation Dates of Activities Source responsibility

7.

8.

Business units that carry out the function Name each business unit, branch and division responsible for all or part of the function.



Table 1 Complete for Step B – Analysis of business activity

Note: A table cell will not accept more than one page of data. To monitor this, use ‘Page layout’ view. Activity

Stakeholders and nature of interest

4

Source of Authority

Risk

Transactions



Table 2 Complete for Step C – Identification of recordkeeping requirements

Note: A table cell will not accept more than one page of data. To monitor this, use ‘Page layout’ view. Activity: Recordkeeping Requirements

Source

Stakeholder

Description of Records

Disposal Action

Other

Requirement Type

5


DIRKS users manual – Appendix 7 – Function source document

Guide to completing the Function source document 1. 2. 3. 4.

5.

6.

7.

8.

Organisation: enter the name of the organisation being analysed. Function reference: a consecutive number to identify the function. Function term: the term used to describe the function. Function scope note: the definition of the function term. See Step B.4.2.2 for advice on writing scope notes. Function date range: Based on research, give the date range for the function. If a function is ongoing, no end date is needed. See Step B.4.2.3 of the manual for advice on dating functions and activities. Indicate the source of the information, including relevant page number, or for legislation, section number. Also include the date of the source. You may use more than one source to determine the date of a function, including interviews. History of function: Describe the history of the function since its identified start date. Possible points to include are changes to legislation, information on the level of responsibility of agency, changing administrative control of the function, the social and political importance of the function. Other organisations that have administered the function (or linked activities): Indicate the name of any other organisation that has carried out all or part of a function, either before or concurrently with this organisation. Indicate the dates during which the other organisation performed this role. Business units that carry out the function: Name each business unit, branch and division responsible for all or part of the function. Alternatively, attach a detailed organisational chart with relevant areas highlighted. Once all functions are identified, all business units (except administrative units) should be assigned to one or more functions. It is important to note that many functions will cut across business units.

Guide to completing Table 1

Complete Table 1 for every activity performed in relation to the function. Data entry: A data cell will not hold more than one page of data. If you are in 1. ‘Normal view’ it will accept and display more than a page of data on screen, but it will not print beyond the first page. If you are in ‘Page layout’ view, any data beyond the first page will be hidden. 1. Activity: Include the activity term, scope note and date range. A reference number for future use can also be included, eg A1, A2 etc. 2.

3.

Source of authority: This can be a formal source such as legislation, or informal such as interview. It identifies how you know the activity is carried out. Provide a summary of the relevant part and a source number relating to the register of sources (question 22 of the Organisation context document).

If the activity has been carried out over a long period of time you will need to ensure that the sources cover that period and note any that show a variation on how the activity was carried out. Stakeholders: Identify internal and external stakeholders who have an interest in the activity and indicate the nature of their interest. See Step B.4.4.


4.

5.


Risk: Some activities within the function may carry a high risk. Indicate the nature of any high risk. Risk assessment guidelines or the organisation’s risk management plan may help identify these areas. See Step B.4.5 Transactions: List transactions that form the activity. Identifying transactions can help determine the boundaries of an activity.

Guide to completing Table 2

Complete Table 2 for Step C – Recordkeeping requirements 1. Data entry: A data cell will not hold more than one page of data. If you are in ‘Normal view’ it will accept and display more than a page of data on screen, but it will not print beyond the first page. If you are in ‘Page layout’ view, any data beyond the first page will be hidden. View : Make sure you are in ‘Page layout’ view before you begin to enter data in 2. the table. A data cell will not hold more than one page of data.; you can monitor this in ‘Page layout’ view. Activity: Include the activity term. 3. Recordkeeping requirements: Enter identified recordkeeping requirements 4. relating to the activity, for example ‘keep register for 50 years’, ‘file must be open to the public’. Source: Indicate the source of the requirement, including a specific part/section 5. reference for legislation. You can use the source number from the register of sources. You may wish to copy and paste relevant parts of the text or include a brief summary. The source of authority for an activity (in Table 1) will be a source of recordkeeping requirements for the activity and there may be others. For example, if source of authority for an activity is a piece of legislation, you will find additional recordkeeping requirements in this legislation. Stakeholder: Identify the stakeholder for the requirement. This may be 6. parliament for regulatory requirements, the organisation or a particular section (eg audit section), or a community group (eg the RSL for Department of Veteran’s affairs). One requirement may have a number of stakeholders. 7. Requirement type: Indicate whether the requirement relates to creation, access, content, form, quality or retention. Description of records and disposal action: If you are developing a disposal 8. authority, include the class description and recommended retention period. If any requirements are not being met, justify and document this elsewhere. 9. Other: use this column to note any other issues. This may include recommending a class for retention as national archives, to show that a risk assessment has been conducted, or that there are specific requirements relating to the retention of the records (eg storage for unusual formats). Citing sources

You may need to revisit your sources again in later steps, or when re-using the information for another project. To make this easier, it is important to cite information correctly. See Appendix 1 – Guide to documentary sources, for advice on identifying and citing sources.

APPENDIX 8 – PROCEDURES FOR DEVELOPING A RECORDS DISPOSAL AUTHORITY IN THE COMMONWEALTH September 2001

September 2001



DIRKS manual – Appendix 8 – Records disposal authority

APPENDIX 8 PROCEDURES FOR DEVELOPING A RECORDS DISPOSAL AUTHORITY IN THE COMMONWEALTH Aims and purpose

This appendix outlines the procedures that organisations should follow to assemble and present to the National Archives the information that is required by the Archives before it can authorise the disposal or destruction of Commonwealth records. The procedures describe: •

•

•

the role of the Archives in the appraisal and disposal process; the procedures for developing and presenting disposal recommendations to the Archives; and the documentation requirements that organisations need to fulfil as they progress through the steps of the DIRKS appraisal process that will lead to the issuing of a disposal authority by the Archives.

These procedures complement and supplement the information in the main body of the DIRKS manual. What is appraisal?

Australian Standard AS 4390–1996, Records Management defines appraisal as ‘the process of evaluating business activities to determine which records need to be captured and how long the records need to be kept, to meet business needs, the requirements of organisational accountability and community expectations’ (AS 4390–1996, Part 1, Section 4.3). The appraisal process is integral to designing recordkeeping systems. It helps to inform systems designers of the functional requirements for creating, capturing, maintaining and disposing of records over time. These requirements can then be built into recordkeeping systems. The appraisal process is covered by the first three steps of the DIRKS methodology. These steps are: Step A – Preliminary investigation, Step B – Analysis of business activity, and Step C – Identification of recordkeeping requirements. At the end of Step C, disposal classes are developed which are based on the identified recordkeeping requirements. What is a r ecords disposal authority?

Disposal authorities are legal documents issued by the National Archives of Australia under Section 24 of the Archives Act 1983 to authorise the disposal of Commonwealth records. Disposal authorities are also used to indicate classes of records for which destruction is not authorised. The Archives Act provides that records are not to be disposed of without the consent of the Archives unless the action of disposal is positively required by law, or takes place in accordance with normal administrative practice of which the Archives does not disapprove. Disposal authorities are used to ‘sentence’ records. Sentencing involves matching records to

3



appropriate disposal classes in disposal authorities, which in turn indicate the retention periods for the records being sentenced. Disposal authorities specify classes of records and the minimum length of time they should be kept. General disposal authorities (GDAs) such as the Administrative Functions Disposal Authority (AFDA) normally apply to all Commonwealth organisations. The AFDA covers housekeeping and other administrative records common to most organisations. Records disposal authorities (RDAs) apply to a single organisation. Usually, organisations will implement their RDAs in conjunction with the AFDA to achieve disposal coverage of the entirety of their records. RDAs developed in accordance with the DIRKS methodology will usually be divided into a number of sections, with one function per section. The function and activity relationships form the disposal set or ‘disposal classes’. These are described in full, with the retention period being linked to the ‘disposal class’. Descriptions of the function and activity are part of the disposal class. Each class has a reference number that may or may not be sequential. Role of the National Archives of Australia

Under the Archives Act 1983, the National Archives of Australia has the responsibility to regulate the disposal of records in the Commonwealth. The Act gives the National Archives functions and powers to: •

•

ascertain the material which constitutes the archival resources of the Commonwealth (sub-section 5(2)(d)); and advise and assist agencies in the keeping of current Commonwealth records in a manner that ‘will facilitate their use as part of the archival resources of the Commonwealth’ (sub-section 5(2)(c)).

Agencies are also required, on request, to furnish information to the Archives for appraisal purposes (Regulation 3). Section 24 of the Act prohibits the destruction, damage, alteration and transfer of custody or ownership of the Commonwealth records except: •

as required by law;

•

with the permission of the Archives;

•

in accordance with a practice or procedure approved by the Archives;

•

•

in accordance with a normal administrative practice (other than one of which the Archives has said it disapproves); and to return certain records to Commonwealth custody.

The legislative framework indicates that appraisal is a collaborative process between the organisation and the Archives. The Archives assesses and authorises the arrangements, makes final selection of records as national archives and provides

4



advice throughout the process. Disposal arrangements are largely based on the organisation’s investigation and analysis of its business activities and environment. Developing and presenting disposal recommendations

1.

Before starting an appraisal project notify the National Archives

The National Archives works closely with organisations throughout the course of appraisal projects. Before commencing a DIRKS appraisal project organisations should submit to the Archives a formal request to be added to the Archives’ work plan. This request should be made in writing and signed by a senior officer. Contact details are provided at the end of this appendix. After joining the work plan, a representative of the National Archives will be assigned to provide advice and assistance throughout the project. Please contact this officer if you have any questions about your project. In addition, the Archives will ask to see evidence of your analysis at each stage in the process (see Section 3 – Documentation requirements). Archives Advice 49 – Getting started with a DIRKS appraisal project provides advice on how to undertake appraisal projects using the DIRKS methodology. 2.

Define the scope of the appraisal project

Ideally, an appraisal project would cover the entire organisation. However, it may not be practical to appraise all functions in one project. The Archives will accept a minimum analysis of recordkeeping requirements relating to one function provided: §

§

that the business classification scheme has been developed to a stage of specifying all the functions of the organisation; and the business classification scheme specifies all activities and transactions for the function being appraised.

The aim of this approach is to maintain an organisation-wide perspective, rather than tackling individual sections or offices within the organisations. 3.

Develop a draft disposal authority

To develop a draft disposal authority, organisations will need to: §

complete DIRKS steps A to C

§

formulate disposal classes

§

describe the records in each disposal class

§

identify the date range covered by each disposal class

§

determine disposal actions for each class

§

validate the disposal classes

5



Complete DIRKS Steps A, B and C Organisations that are intending to develop a disposal authority are required to complete Steps A, B and C of the DIRKS methodology. The following advice assumes that you are familiar with the functional analysis undertaken in Steps A, B and C. The Archives will review the results of your research and analysis conducted during Steps A and B before you start work on identifying recordkeeping requirements (Step C) and developing disposal recommendations. (See Section 3 – Documentation requirements.) Formulate disposal classes The first step in developing a records disposal authority is to formulate disposal classes. A disposal class comprises five elements: •

the function;

•

the activities and transactions of the function;

•

description of records types;

•

date range of the records; and

•

disposal action.

You analysed your organisation’s functions, activities and transactions in Step B. The functions and activities provide the first two elements of a disposal class and are the basis of the structure of a disposal authority. Describe the records in each disposal class The transactions identified in Step B and the recordkeeping requirements identified in Step C will provide the basis for describing the records in a disposal class. You will need to list the transactions identified for each activity of a function. For example, a function may have the activity ‘meetings’, which has the following transactions: §

determine time and venue of meeting;

§

book meeting room;

§

write agenda;

§

circulate agenda, agenda papers and minutes of previous meeting;

§

record apologies;

§

record minutes of meeting;

§

circulate draft minutes for corrections and modifications;

§

direct action to be carried out as a result of decisions made at meeting.

6



These transactions will result in a number of record types. Records created in the course of the transactions that comprise the activity ‘meeting’, for example, will include: •

agenda;

•

agenda papers;

•

minutes of previous meeting;

•

draft minutes of meeting;

•

final minutes of meeting;

•

records directing action to be taken as a result of the meeting.

The next step is to identify the recordkeeping requirements of each record type and group records together that have the same recordkeeping requirements into a disposal class. For example, a business requirement may have been identified that final minutes of meetings and key papers are required for a longer period than records relating to administrative arrangements for meetings. Two disposal classes can therefore be developed for the activity ‘meetings’. A simple description of these two classes could be as follows: 1. Final minutes and supporting documents tabled at meetings held to discuss matters relating to [….] function – includes meetings with external agencies. 2. Records documenting administrative arrangements – includes agenda, notice of meeting and draft minutes. You may also wish to include subject references in the description, for example, ‘Records of meetings relating to international liaison’. The records described together in a disposal class should form a cohesive group and be linked by the same retention period. The description should be broad enough to encompass as many related records as possible without being too generic. It must also be easily understood and have defined boundaries. Terminology that requires a value judgement should be avoided, for example, ‘significant’, ‘major’, ‘minor’ and ‘controversial’. Opinions on what was controversial can change with time and can depend on the historical knowledge of the person implementing the authority. Instead, use more descriptive phrases such as ‘involved ministerial intervention’ or ‘evidence of interest and scrutiny in the public arena’. Where possible, add a qualifier such as ‘includes’ to give examples of the kinds of records that may be sentenced under a class. For example: includes: •

documents establishing the committee;

7


•

final versions of minutes;

•

briefing papers;

•

final version of reports.


There is no minimum or maximum number of disposal classes for each function or activity. However, if there are no disposal classes for an activity you should investigate whether the activity is actually performed by your organisation. Identify the date range of each disposal class The date range for a disposal class indicates the earliest date and latest date of records that the class may be applied to. For example, if a class has the date range 1960–1985, it can only be used to sentence records that were created between those dates. It can be an open-ended date (eg 1985– ) range if you want the class to be used for future records. Generally, the date range for a class is the same as for the activity. It may be different if, for example, a new piece of legislation has come into force, or if there has been a change to rules or procedures that affect the recordkeeping requirements. An example of this can be found in the Administrative Functions Disposal Authority under the function and activity pair, Publication – Production. The Copyright Act 1968 included a new requirement for publications to be lodged with the National Library of Australia. Under this functional activity there is one class, for publications produced before 1968 and another for publications produced after 1968. Determine disposal actions The disposal action specified in a disposal class is based on the retention requirements identified during Step C – Identification of recordkeeping requirements. Specific retention or disposal periods are rarely mentioned in legislation or documentary sources, so interviews will usually be the main means of identifying these requirements. When determining disposal actions you should consider the organisation’s need to refer to or reuse the information, any audit requirements and any requirements identified by consulting with external stakeholders. Conflicting requirements should be resolved through an assessment of the risks involved (see Appendix 11 – Risk analysis in DIRKS). The National Archives publication Why Records Are Kept provides further information on the archival objectives of the appraisal regime for Commonwealth records.

One common disposal action is ‘Destroy when reference ceases’. It should be used for groups of records that have transitory value, for example additional or surplus copies of policies, minor working papers etc. Usually, such records would be kept for a year or less. This disposal action is suitable for cases where more formal disposal coverage is required than instances of disposal under ‘normal administrative practice’, but the records nevertheless have low value. The Archives undertakes responsibility for designating classes as ‘retain as national archives’ (RNA) and in doing so may consult with interested groups in the broader community. Organisations may recommend classes for retention. Any recommendation should be justified against one or more of the appraisal criteria in Why Records Are Kept and documented in Table 2 of Appendix 7 – Function source 8



document (‘Other’ column). Recommendations for retention as national archives could be based on the importance of the function and activity to the agency, government or Australian society (see criteria 1–4, Why Records Are Kept). Recommendations may also be based on whether particular records contain valuable information, mark an important period in history or simply have particular aesthetic value (see criterion 5, Why Records Are Kept). Even if you are nominating a class as RNA, you should still include the disposal action required by your business if the RNA nomination is rejected by the Archives. If you have strong business reasons why records need to be retained indefinitely, but they do not meet the criteria for national archives, you can make a recommendation of ‘retain for business needs’. You should note that such classes of records cannot be transferred to National Archives custody so you are committing your organisation to maintaining these records. Such recommendations will need to be persuasive enough to convince senior management in your organisation to commit resources to the indefinite retention of these records. Validate the disposal classes by checking existing records Once you have drafted your disposal classes it is useful to test their applicability against samples of existing records to ensure the classes are meaningful and useable. This process may also reveal omissions from the draft disposal authority. It is important, however, to remember that you are appraising the need for records related to the functions and activities of your organisation, not just the particular records that have been created in the past to support that work. Remember that the disposal authority, in most cases, will be used to sentence records created in the future as well as those that have already been created. While it is important to have an authority that is useable for existing records, do not make the classes so narrow that they cannot be used for the range of records which may be created in the future. Documentation requirements

The National Archives needs to see certain information during the course of DIRKS appraisal projects in order to ensure that the projects progress appropriately. The Archives documentation requirements are explained below and should be completed in accordance with the methodology outlined in the DIRKS manual. Use of the templates or documentation database referred to is optional. The Archives will accept documentation presented in different formats, but please discuss your preferred format with your Archives contact officer first to ensure that all the necessary information will be assembled. Documentation requirements for Step A

At the end of this step, please submit: •

•

An organisation context document (See Appendix 5 – Organisation context document); a project plan; and

9


•


a covering letter, signed by a senior manager outlining the goals of the agency in undertaking the project.

The National Archives will review these documents to ensure that: •

•

•

•

•

•

all relevant aspects of the organisation have been investigated and adequately explained in the organisation context document; the organisation has been defined appropriately and overlaps with other organisations, such as boards of management, identified; relevant sources have been used and referenced; the project plan sets a realistic time frame and no tasks have been overlooked; the project is grounded in a wider understanding of recordkeeping and information management within your organisation; and the appropriate management level has signed off on the documentation.

Documentation requirements for Step B

At the end of this step, please submit: •

•

a function source document for each function (see Appendix 7 – Function source document); and the business classification scheme.

The function source document includes two tables. Table 1 – Analysis of business activity should be completed by the end of Step B. It provides a summary of the source of authority for each activity, an identification of stakeholders and their interests and a list of transactions. Some recordkeeping requirements will be identified in the course of Step B and can be documented in Table 2. However, Table 2 – Identification of recordkeeping requirements does not need to be completed until the end of Step C. The business classification scheme must include functions and activities with scope notes and date ranges. You should also indicate whether an activity term derives from Keyword AAA. It is not compulsory to include the transactional analysis in the business classification scheme, as it is covered in the function source document. The Archives will check the material presented to ensure that: •

•

•

10

the entire organisation has been covered (excluding general administrative functions covered by Keyword AAA); appropriate sources have been examined and identified; functions and activities are pitched at an appropriate level, boundaries are clearly defined and there are no overlaps or inconsistencies;


•

•

•


the identification of functions, activities and transactions are based on an examination of business activity rather than current recordkeeping practices; functions and activities are dated; scope notes for the functions and activities reflect their subordinate components, ie the activities for the functions, and transactions for the activities, and do not contain recordkeeping advice;

•

Keyword AAA activities have not been altered;

•

stakeholders and their interests have been identified; and

•

there is evidence of appropriate retrospective analysis of the functions.

Documentation requirements for Step C and disposal classes

For appraisal purposes you will need to complete Table 2 of the function source document or the relevant fields of the documentation database. This includes information gathered during Step C and disposal recommendations. In Table 2 you will note recordkeeping requirements, linked to particular stakeholders, and identify the type of requirement (ie creation, disposal, retention, form etc). The records description, recommended disposal action and any nominations for ‘retention as national archives’, if made, are also documented in Table 2. Again, if you wish to use alternative formats for presenting this documentation please discuss this with your contact officer at the Archives. At the end of your analysis for Step C and after you have developed the description of records, and nominated a disposal action, you will need to submit: •

the function source document with completed Table 2;

•

any evidence of risk assessments, if undertaken;

•

evidence of senior management approval; and

•

a request for cancellation of previous disposal authorities, where relevant.

To ensure that there are minimal changes to the disposal recommendations after senior management approval, please submit the documentation to National Archives as a draft prior to gaining formal sign-off. The Archives will check the material presented to ensure that: •

the identification of recordkeeping requirements is comprehensive and based on relevant sources;

•

recordkeeping requirements have been linked to stakeholders;

•

there are no inconsistencies, overlaps or omissions in the disposal classes;

•

recommendations for ‘retain as national archives’ are justified;

11



•

the disposal classes are clearly based in identified requirements;

•

evidence of any risk analysis has been submitted; and

•

a request for cancellation of previous disposal authorities is present, where relevant.

The Archives may also determine that some classes of records should be retained as national archives. This will be based on the appraisal criteria in Why Records Are Kept and may involve consultation with the National Archives staff and external stakeholders. Obtaining a disposal authority

When all documentation and approval is received and checked the National Archives will issue a draft disposal authority and seek formal approval from the agency’s senior manager. The letter from this officer should also include permission for the cancellation of earlier disposal authorities. The numbers of earlier authorities should be included. When concurrence is received the Archives will formally issue a disposal authority under section 24 of the Archives Act. Further information

Further information about appraisal and requests for inclusion on the work plan please contact: Director Recordkeeping Implementation National Archives of Australia GPO Box 7425 Canberra Mail Centre ACT 2610 Phone: (02) 6212 3610 Email: [email protected]

12

APPENDIX 9 – GUIDE TO DEVELOPING A BUSINESS CASE FOR A DIRKS PROJECT September 2001

September 2001



DIRKS manual – Appendix 9 – Business case

APPENDIX 9 GUIDE TO DEVELOPING A BUSINESS CASE FOR A DIRKS PROJECT Introduction

The DIRKS methodology recommends the development of a business case to obtain management support for a recordkeeping, records management or information management project. A business case is developed to convince management of the viability of a proposed course of action and to justify the resource commitment required to achieve a desired outcome. This document provides guidance on developing arguments likely to persuade management to endorse a project. Business cases and DIRKS

One of the major strengths of DIRKS is its capacity to be phased. This allows projects to be scoped according to the resources and time frames available. Discrete DIRKS projects deliver immediate outcomes and benefits, which then provide the basis for later projects and additional outcomes and benefits. A business case may be developed for each project. The development of a business case is recommended to: •

•

•

•

•

obtain the resources and commitment required to undertake the preliminary investigation (Step A); obtain commitment to undertake an analysis of business activity (Step B) and identification of recordkeeping requirements (Step C); fund the development of a functions thesaurus and functions-based records disposal authority; to gain support for a project to analyse the state of current recordkeeping within the organisation (Step D) and identify methods by which gaps between recordkeeping requirements and the reality of recordkeeping might be rectified (Step E); to obtain commitment for a project to implement one or more of the methods identified to rectify gaps in current recordkeeping (Steps F and G).

Constructing a persuasive business case

A business case, by nature, is a bid for resource and management commitment to a proposed course of action. In order to succeed in obtaining the resources required to undertake the project, the business case must be as persuasive as possible. To be persuasive a business case must convince management of the viability of a proposed project. Certain issues must be comprehensively addressed. Headings to include

Your organisation may have an internal standard for the development of a business case, which will guide the preparation of an argument for a DIRKS project. If not, the following sections are suggested:

3


1.

Executive summary and recommendation

2.

Purpose and objectives

3.

Scope

4.

Determining the preferred option

5.

Project plan

6.

Project management


Responsibility Resources Cost-benefit analysis

•

•

7.

8.

Assumptions Time period Costs Benefits Conclusion

9.

Appendix: Analyses of non-preferred options.

•

•

•

•

What to include under each heading

1. Executive summary and recommendation

This is the most important section of the business case. The arguments to secure agreement for a DIRKS project are concisely summarised. Benefits likely to gain management attention and commitment are emphasised. It is usual to write this part of the business case last, once the analysis for the preferred option has been completed. This section clearly states the reasons why a preferred option is recommended. It will be the first (and maybe the only) section resource allocators read and will need to be the most persuasive. 2. Purpose and objectives

Explain the purpose of the proposed project. This is the broad causal statement and should clearly explain why the project is necessary. This is a very important element of the report as it should convince management of the requirement for such a project, either by demonstrating there is a current problem or that the organisation's goals would be better served by initiating change. The business case must convince management that the project will contribute to, or help realise, one or more of the organisation's strategic goals. To define these, utilise the organisation's strategic plan, corporate plan or mission statement. The objectives must be proven to be a logical outcome or by-product of the project. If they are not clearly linked in this way, the argument will lose credibility and the business case will be unlikely to achieve its aim. Be realistic when identifying and listing objectives.

4



Where the proposed project can be linked to helping the organisation achieve, or partially achieve, a whole-of-government directive, such as the government online directive, this can be used as a strong selling point. Knowing your organisation's 'corporate culture' will help you make decisions. Tailor your arguments to suit your audience. For example: •

•

•

if the government online strategy is perceived as important, emphasise this issue; if 'knowledge management' is a buzz phrase, emphasise how DIRKS can improve the knowledge process; or if adherence to standards is important to your organisation, emphasise the link with Australian Standard AS 4390–1996, Records Management.

Information management and information technology tend to be better resourced than records management and recordkeeping. Records management is a subset of information management. Information technology can provide technical solutions for records management. Think about framing your project within this broader context. A DIRKS project has the potential to deliver benefits that help to realise many of an organisation’s strategic objectives. Examples of the possible objectives of a DIRKS project are listed in Part 1, Section 3 – Benefits and outcomes of recordkeeping and DIRKS. Explicitly link the DIRKS project to the organisation's strategic direction and specify how it will help the organisation achieve its business goals. Some further strategic objectives that a DIRKS project can help to achieve are: •

compliance with governance obligations;

•

improved compliance with legal, regulatory and community expectations;

•

compliance with whole-of-government objectives such as govonline, transacting business via the Internet;

•

decreased exposure to, and better management of, evidence related risks;

•

improved retention and access to corporate memory;

•

better knowledge sharing;

•

management of records in line with creation and retention requirements;

•

improved integration of electronic recordkeeping and wider information management with business systems, applications and technologies;

•

accountable decision-making;

•

better capacity to explain actions and decisions;

•

•

increased consistency and continuity of program delivery and policy formation; increased productivity and streamlining of business processes;

5



greater business confidence;

•

decreased storage and labour costs;

•

•

decreased cost in freedom of information and discovery compliance costs; and

•

decreased costs in business dispute resolution.

3. Scope

Define what is included in the project and what is not. This will set parameters and identify the beginning and end of the project. The outcomes that are sought and the outputs to be produced are also identified. If you are doing a 'staged' implementation of DIRKS, give details of any previous steps completed and provide information on why this step needs to be completed before another can be started. 4. Determining the preferred option

Different options to achieve the desired results should be explored when developing a business case. These may be many and varied or restricted and narrow, depending on the scope of the problem or need. For instance, if the desired project was to undertake Steps A–C of DIRKS and develop a records disposal authority, possible options are: undertake the work in-house with optimum number of resources;

•

undertake the work in-house with restricted resources over a longer time frame; or

•

appoint a consultant to undertake the work.

•

Compare the possible approaches, presenting the advantages and disadvantages of each option in the document. At the least, a 'do nothing' scenario should be included, exploring the costs and benefits of maintaining the current situation. Explain why the preferred option is the most viable and why it is selected. 5. Project plan of preferred option

Carefully map the steps involved in the project in a logical order. Decide which steps need to precede others and which processes can progress in parallel. At each point highlight major benefits and outcomes and clearly indicate the resources and inputs required. It is important to be realistic when developing the project plan. Allow for unexpected delays and develop a contingency plan. 6. Project management

Explain how the project will be managed. Management issues include: •

project management (Background, Section 7.1 – Managing the project);

•

change management (Background, Section 7.2 – Change management);

6



•

risk management (Appendix 11 – Risk analysis in DIRKS); and

•

quality management (Step G, Section G.4.1.6 – Quality systems).

Responsibility Decide who has responsibility to manage the project and deliver its expected benefits. This person will also be accountable for any adjustments in the project's time frame, resource requirements and expected benefits (see Part I, Section 7.1 – Managing the project). Resources Specify the resource commitment required to undertake the project. This includes skilled personnel, financial allocations, equipment and supporting technology. Part 1 – Background and purposes of the DIRKS manual gives an overview of the skills and personnel required to undertake the whole of DIRKS. The resources needed for each step are clearly stated in the Resources and prerequisites section of each step of the DIRKS manual.

Management accepts that projects need resources. Provide a detailed, full and fair picture of the resources required. A false or 'rosy' underestimate could jeopardise the project in the long term. It could also jeopardise justifications for resources for future projects. Maintain the project's credibility: be realistic not optimistic or simplistic. The types of skills and experience required in the project team are diverse. A DIRKS project involves project management skills, conceptual and analytical skills as well as practical and operational skills. A DIRKS project also draws on the experience of stakeholders. For instance, interviewing operational staff in other business areas. Indicate where these resources are available. This can include elements of program budgets or personnel that can be redirected towards the achievement of project objectives. Where it is possible to undertake the proposed project and deliver the desired benefits within the resource and skill base available, this should be stressed. However, where it is necessary to acquire resources or skills externally this should be clearly stated. Management is more likely to endorse the allocation of financial resources to a project if the predicted return on the investment (benefits minus costs) is persuasive. 7. Cost–benefit analysis

Cost–benefit analysis is a tool used to support the proposed project. By detailing the expected costs and benefits to be derived from the project, management is provided with the information required to decide whether to resource the project or not. DIRKS manual Appendix 10 – Recordkeeping cost–benefit analysis will assist you in developing a project cost–benefit analysis. Assumptions Identify and clearly outline any assumptions used in the cost–benefit analysis, quantitative (measurable) or qualitative.

7



Time period The period covered by the cost–benefit analysis should be long enough to incorporate all expected costs and benefits of the project, both short and long term. Costs List all costs associated with undertaking the project, whether one-off or recurrent. A DIRKS project will involve costs in terms of staff, training, skills and technology. Bear in mind that it is relatively easy to quantify the costs of a DIRKS project, but difficult to quantify its benefits.

Your organisation's experience will be unique. Cost estimates from other organisations can give a false impression of the costs your organisation will encounter. A guide to analysing and determining project costs is detailed in Appendix 10 – Recordkeeping cost–benefit analysis. Benefits Describe the expected improvements, or benefits, to be achieved by undertaking the project, whether one-off or ongoing. Many benefits are intangible but are still valuable tools to convince management to commit resources to a project. Most benefits are qualitative and, therefore, difficult to quantify or cost.

Governance obligations, like those contained in the Financial Management and Accountability Act, are imposed on senior management in organisations. Meeting these legal obligations, or improving accountability, are key benefits. Organisations have little choice but to comply with these obligations. Therefore, emphasise the benefit to be achieved (ie compliance with obligations) rather than potential cost savings. DIRKS will help organisations achieve compliance with records management obligations. Secondary benefits may also be derived from a project. These can be outlined, and may prove persuasive, but again they must be practical and realistic. Further information on analysing and identifying benefits is detailed in Appendix 10 – Recordkeeping cost–benefit analysis. 8. Conclusion

This is the final opportunity to persuade management to expend resources on a DIRKS project. The significance of the problem or need to be overcome is re-stated. It summarises the rationale for the proposed action, refers to the supporting evidence gained in the cost–benefit analysis, and shows how the preferred DIRKS project option will help to realise specific strategic objectives. 9. Appendix: Analyses of non-preferred options

An appendix showing the cost–benefit calculations and feasibility of other options, which were considered but rejected, is a useful addition to the business case. This will clearly state the reasons why other options were unsatisfactory and reinforce why the preferred option was chosen.

8



Presenting the business case

The person who develops the business case will need to be experienced in project planning and have the ability to undertake a cost–benefit analysis. The proposed project manager will most likely undertake this task. The written business case should be clear, concise and written to suit its intended audience – in this case management. It is also desirable to orally present the business case to stakeholders. Benefits may then be emphasised and issues addressed immediately. Conclusion

Putting together a business case for a proposed project will ensure that a decision to embark on the project is supported by fully documented costs, benefits and outcomes. It provides the rationale and justification for undertaking the project. During the life of the project, the business case should be used as a benchmark against which actual costs and benefits may be assessed against expected costs and benefits.

9

APPENDIX 10 – RECORDKEEPING COST–BENEFIT ANALYSIS September 2001 (rev July 2003)

September 2001



DIRKS manual – Appendix 10 – Cost–benefit analysis

APPENDIX 10 RECORDKEEPING COST–BENEFIT ANALYSIS Introduction

These guidelines give advice on the preparation of a cost–benefit analysis. A cost– benefit analysis provides an economic framework to evaluate the viability of a proposed project. Cost–benefit principles are explained in the context of undertaking DIRKS projects. This type of analysis enables records and information management staff to assess the likely impacts, advantages and disadvantages of implementing DIRKS. A cost–benefit analysis is resource intensive and needs to be clearly defined before beginning. It must be properly justified on the basis of the business needs of the agency. The results of the analysis are a valuable justification tool, which can be used in a business case to obtain management support for records management or information management projects. What is cost–benefit analysis?

Cost–benefit analysis is the systematic gathering of technical and financial data about a given business situation or function. Information gathered and analysed through this method assists decision-making about resource allocation. A cost–benefit analysis specifies financial inputs and expected returns from a given project. It compares ‘with’ and ‘without’ situations. The results of this analysis can be used to evaluate alternative options. It can strongly support a bid for management endorsement and resource allocation. To undertake a cost–benefit analysis the scope, purpose and objectives of the proposed project must be explicit. Objectives of the cost–benefit analysis

You will need to know the purpose and business objectives that the proposed DIRKS project is expected to realise. Ensure that sufficient resources are assigned to undertake the analysis. Consider the availability of capable staff, the ease of data collection, including accessibility to financial data, and possible interruption to normal routines. Scope for the cost–benefit analysis

The scope of the proposed DIRKS project will set the parameters of the costs and benefits to be considered in the cost–benefit analysis. What are costs?

Costs are anticipated expenditure. They can be tangible, and therefore quantifiable, or intangible and less easy to assign a dollar figure. Costing a project is difficult and advice from financial staff will be helpful.

3



Attempt to provide a dollar figure for each cost. When quantifying costs that will be encountered in the future, consider whether inflation should be factored in. Gathering as much relevant data as possible will ensure accurate results. Even so, some costs may need to be estimated, as clear-cut figures may not be available. The use of ‘best guess’ estimates is valid for intangible costs, as they will have to be, by definition, estimations. Where this is necessary, ensure that the assumptions used to assign a dollar figure are stated. Tangible or quantifiable costs Information on the level of staff expertise and training required to undertake the proposed project and its expected time frame are tangible costs.

Cost types include: •

direct project costs (eg staff, office space);

•

acquisition costs (eg purchase of technology);

•

implementation costs (eg loss of productivity); and

•

whole of life ownership costs (eg operating costs, maintenance, upgrade/replacement of facilities, staff, training and support).

Intangible or non-quantifiable costs Costs associated with intangibles, although not easy to quantify, need to be recognised as they can impact on the overall costs of the project under consideration. The cost–benefit analysis should acknowledge non-quantifiable costs, even if they are not factored into the calculations in the analysis.

Depending on the project, some intangible costs to consider may include: •

the impact of non-compliance with legislation;

•

impaired knowledge management (exacerbated by decentralised operations); diminished corporate memory (compounded by administrative change and high staff turnover);

•

the impact of not achieving best practice standards, ie not complying with the International Standards Organisation Records Management Standard (ISO 15489);

•

potential litigation costs due to inadequate records management and information management;

•

•

reduced accountability in decision-making and actions; and

•

reduced organisational productivity.

4



What are benefits?

Benefits are the returns expected from a project. Most benefits are articulated in terms of improvements or cost savings. Like costs, benefits can be quantifiable (tangible) and non-quantifiable (intangible). Attempt to provide a dollar figure for each benefit. Again, when quantifying benefits that will be achieved in the future, consider whether inflation should be included. Again, seek advice from financial staff. Bear in mind that secondary benefits may also be derived from a project – that is, benefits that will be achieved because other benefits were delivered. They must be practical and realistic. The best way to achieve this is to investigate benefits over a reasonable time frame. Tangible or quantifiable benefits Tangible benefits are quantifiable service or financial gains to the organisation. Tangible benefits include: •

•

•

improved effectiveness (eg improved service delivery, improved access); improved efficiency (eg reduced costs, more efficient use of existing resources); and enabling or supporting other benefits (eg using business analysis (Step B) for work process re-engineering).

Intangible or non-quantifiable benefits Intangible benefits are non-quantifiable improvements in the ‘welfare’ of the organisation. These are still valuable tools in convincing management to undertake a proposed DIRKS project. Intangible benefits include: •

•

•

compliance with governance obligations; achieving best practice standard, ie compliance with International Standards Organisation Records Management Standard (ISO 15489); reduced exposure to litigation costs due to appropriate records and information management;

•

compliance with recordkeeping requirements;

•

improved management of corporate memory;

•

improved policy formation and delivery; and

•

increased organisational productivity.

Organisations have little choice but to comply with legislative requirements. Therefore, quantifying these benefits may not be very useful. It is more important to emphasise the benefit of achieving compliance.

5



Additional factors

Although a cost–benefit analysis provides useful information, there are some shortcomings to avoid. Do not use the analysis to justify a vested interest. This can be overcome, to a degree, by making the assumptions relied on in the cost–benefit analysis explicit from the outset. Avoid over-estimation of benefits and underestimation of costs. Full disclosure of predicted costs and benefits will minimise bias. Bear in mind that taking intangible factors into account will limit the accuracy of the final calculation. Some questions to help you check your methodology include: What were the original questions the cost–benefit analysis attempted to answer and are they fully addressed?

•

What other strategies (such as risk or feasibility analysis) were used in conjunction with the cost–benefit analysis?

•

•

Are the cost estimates justifiable?

•

Were the methods of evaluation satisfactory?

•

Was any relevant cost omitted?

•

Is the information used reliable?

•

Is the measurement of benefits justifiable? Has allowance been made for either uncertainty in the expected costs and benefits or the differential timing of costs or benefits?

•

How high would your level of confidence be making recommendations based on your cost–benefit analysis?

•

Determining cost–benefit analysis results

Compare the overall costs and the overall benefits that the proposed DIRKS project would deliver to the organisation. Are the benefits derived more important than the costs to the organisation? Figures in dollars will strengthen an argument as to why the DIRKS project is viable and valuable. Management is more likely to endorse the allocation of financial resources if the predicted return on investment (benefits minus costs) is persuasive. Incorporate the calculations and findings of the cost–benefit analysis into a business case to support the proposed DIRKS project. The report should highlight costs and benefits in monetary figures, but also emphasise the intangible facets associated with undertaking the proposed DIRKS project. DIRKS and cost–benefit analysis

Cost benefit analysis can be used in each of the steps in the DIRKS methodology. By collecting and analysing cost–benefit information you will be able to make informed recommendations in a business case for a proposed DIRKS project. 6



Steps A, C, D, E, F, G and H of the DIRKS process are particularly suited to cost– benefit analysis. See below for some ideas of the costs and benefits of undertaking DIRKS projects. Cost–benefit analysis with feasibility and risk assessment

Cost–benefit analysis can be used on its own or in conjunction with other analytical tools, such as recordkeeping feasibility analysis and recordkeeping risk assessment. A recordkeeping feasibility analysis assesses how viable a project is (see Appendix 12 – Recordkeeping feasibility analysis). It may indicate it is not financially, technically or operationally feasible to proceed. A recordkeeping risk analysis specifies the consequences, or risks, involved in taking, or not taking, a particular action (see Appendix 11 – Risk analysis in DIRKS). Steps A, B and C of DIRKS – some costs and benefits

Steps A–C of DIRKS are about placing the organisation in its context, analysing its business and investigating its requirements for evidence. These steps form the basis for the development of two important recordkeeping products – a classification tool such as a functions thesaurus and a records disposal authority. A cost–benefit analysis can be used to identify the costs and benefits that would accrue to the organisation by undertaking these steps of the DIRKS methodology. The following ideas on the costs and benefits could be considered in such an analysis. Costs to be considered include: •

time and expertise of staff/consultants undertaking the process; and

•

access to time and expertise of operational and management staff.

Benefits that may accrue to the organisation include: •

compliance with the International Standards Organization Records Management Standard (ISO 15489) and National Archives policies;

•

compliance with legislative requirements;

•

compliance with government-wide policy initiatives;

•

a substantial understanding of business conducted;

•

an appreciation of requirements to make and keep records;

•

an appreciation of level of exposure to evidence-related risk;

•

•

an intellectual framework for the classification of records and to support appraisal decisions and disposal actions, and cost savings generated from better recordkeeping and records management practices.

7



Products delivered: •

a business classification scheme;

•

documented recordkeeping requirements;

•

a classification tool such as a functions thesaurus; and

•

a records disposal authority.

Steps D, E, F, G and H of DIRKS – some costs and benefits

Steps D–H of DIRKS are about assessing current systems and practices and implementing strategies to rectify problems arising from current processes. A cost– benefit analysis can be used to identify the costs and benefits that would accrue to the organisation by undertaking these steps of the DIRKS methodology. The following list provides ideas on the costs and benefits that could be considered if implementing a new or revised electronic recordkeeping system. Costs to be considered include: •

acquisition and maintenance of equipment;

•

upgrade, redesign or enhancement of current networks;

•

acquisition, testing and maintenance of software;

•

development and delivery of training for support staff and users;

•

conversion of records from current system; and

•

system administration.

Benefits that may accrue to the organisation include:

compliance with the International Standards Organization Records Management Standard (ISO 15489) and National Archives policies;

•

•

compliance with legislative requirements;

•

compliance with government-wide policy initiatives;

•

universal access to records;

•

delivery of services in a consistent and equitable manner;

•

business conducted in an effective, orderly, efficient and accountable manner;

•

reduced risk of loss of vital records;

•

consistently meeting requirements to make and keep records;

•

documentation of business transacted;

•

support and maintenance of corporate memory; and cost savings generated from better recordkeeping and records management practices.

•

8



Products delivered: •

new or revised electronic recordkeeping system; and

•

policies and procedures.

Further reading

Treasury, Office of Financial Management, Economic Appraisal: Principles and Procedures Simplified, Sydney, Revised edition, NSW Government, Sydney, 1999. Kingma, Bruce R, The Economics of Information: A Guide to Economic and Cost–Benefit Analysis for Information Professionals, Libraries Unlimited, Engelwood Col., 1996 Department of Finance, Introduction to Cost–Benefit Analysis for Program Managers, 2nd edition, AGPS, Canberra, 1995. JA Sinden and Thampapillai, DJ, Introduction to Cost–Benefit Analysis, Longman, Melbourne, 1995. Perkins, Francis, Practical Cost–Benefit Analysis: Basic Concepts and Applications, Macmillan Education Australia, South Melbourne, 1994.

9

APPENDIX 11 RISK ANALYSIS IN DIRKS September 2001

September 2001



DIRKS manual – Appendix 11 – Risk analysis

APPENDIX 11 RISK ANALYSIS IN DIRKS

Risk arises out of uncertainty. It is the exposure to the possibility of such things as economic or financial loss or gain, physical damage, injury or delay, as a consequence of pursuing a particular course of action. The concept of risk has two elements, the likelihood of something happening and the consequence if it happens. [1] What is risk management?

Risk management is defined as the ‘systematic application of policies, procedures and practices to the tasks of identifying, analysing, evaluating, treating, and monitoring risk’. [2] Essentially it involves anticipating what can go wrong, why and what can be done. Risk management can be applied at any stage in the life of a policy, program, project, activity or asset and can also be applied to all levels of your organisation – strategic and operational. Risk management does not mean that risks can be prevented or avoided completely. Rather it enables your organisation to reduce the impact of risk to an acceptable level and to make contingency arrangements. The level of risk relates to the likelihood of something happening (ie its frequency or probability) and the potential consequences (ie its impact or magnitude of effect). The level of risk is influenced by any controls, or measures, currently in place to minimise the likelihood of the occurrence or its consequences. The process of designing and implementing recordkeeping systems involves numerous risk-based decisions. Often these decisions are made intuitively. The formal adoption of risk management principles is not intended to introduce unnecessary complexity or levels of bureaucracy into your recordkeeping practices. Rather it is intended to provide a systematic approach to what you already do, and thereby improve organisational accountability. The purpose of this document is to raise awareness about risk management principles and techniques in the context of your recordkeeping project. More extensive information on managing risk and using analytical tools is available in the references cited in the endnotes. [3] DIRKS and the risk assessment process

Each of the steps in the DIRKS methodology involves identifying and assessing risks associated with particular business activities, developmental activities or recordkeeping decisions. Risk management activities are indicated in each step. Steps B, C, E, F, G and H require particular attention to risk factors and warrant careful consideration to safeguard the outcome of your project. You may prefer to prepare separate risk registers and risk reduction plans for each step or to consolidate the information from several steps. If you wish to consolidate information on risk, ensure that the distinction between risks associated with business activities (Steps A and B), recordkeeping (Step C) and project development (Steps E–H) remains clear. 3



Assessing and managing risk

There are a number of possible risk management models. The model developed for managing risk in the Australian Public Service uses a six-step approach: •

•

•

•

•

•

establish the context (ie define the political, social, economic, legal and physical environment in which the activity is conducted); identify all risks arising from the environment (ie identify the source of each risk, when, where, why and how it is likely to occur, who might be involved and what its consequences might be); analyse the risks (ie determine the likelihood and impact of each risk occurring, taking into consideration any existing controls which may detect or prevent potential or undesirable risks); assess and prioritise risks (ie consider the degree of control over each risk, the cost, benefits and opportunities presented by each risk, decide which risk(s) are unacceptable and rank them for treatment); treat risks (ie decide what cost-effective counter-measures need to be in place to help minimise the unacceptable risks and/or their impact and prepare and implement action plans; and continually monitor and review risks (ie periodically review the environment, known and potential risks, priorities, treatments and plans, and make adjustments as necessary). [4]

These steps are described in detail in the Guidelines for Managing Risk in the Australian Public Service , along with case studies that may help your organisation conceptualise some of its risk factors. Tools

Two tools may help you apply the six-step risk management framework and document the process for evidential purposes: the risk register and the risk impact matrix. Additional tables are included to assist in determining likelihood and severity of consequences. Risk register

In order to identify your organisation’s susceptibility to risks, you need to anticipate the possibility that your activities may not go according to plan or that your decisions may have undesirable consequences. The risk register provides a useful tool to identify, analyse and document potential risks.

4



Risk register Risk

Likelihood rating

Potential impact

Adequacy of existing risk reduction measures and/or controls

Consequences rating

Level of risk (calculated from risk impact matrix)

Priority rating

[insert identified risk] [insert identified risk] [insert identified risk] [insert identified risk] [insert identified risk]

Risk impact matrix

After you have identified the risks associated with particular activities or decisions and entered them in the risk register (above), you can use the risk impact matrix to analyse the impact of the risks. Entering the likelihood, consequences and level of risk into the risk register will enable you to assess their relative priority for treatment. Likelihood

Consequences

Extreme

Very high

Medium

Low

Negligible

Almost certain Severe

Severe

High

Major

Significant

Likely

Severe

High

Major

Significant

Moderate

Moderate

High

Major

Significant

Moderate

Low

Unlikely

Major

Significant

Moderate

Low

Trivial

Rare

Significant

Moderate

Low

Trivial

Trivial

5



Definition of risks: •

•

severe risk – must be managed by senior management with a detailed plan; high risk – detailed research and management planning required at senior levels;

•

major risk – senior management attention is needed;

•

significant risk – management responsibility must be specified;

•

moderate risk – manage by specific monitoring or response procedures;

•

low risk – manage by routine procedures; and

•

trivial risk – unlikely to need specific application of resources.

For example, if you anticipate that the likelihood of an event is ‘moderate’ and that its consequences to your organisation are ‘negligible’ then the level of risk would be deemed ‘low’. Having analysed and assessed the risks, transfer your information to the risk register (above). A five-scale rating is used for likelihood. This is explained in Table 1. Table 1: Qualitative measures of likelihood Likelihood rating

Description

Rare

May occur only in exceptional circumstances.

Unlikely

Could occur at some time.

Possible

Might occur at some time.

Likely

Will probably occur in most circumstances.

Almost certain

Is expected to occur in most circumstances.

Table 2 provides statements and examples to help you assess the consequences of risk.

6



Table 2: Description and rating of impact of adverse consequences Description

Rating

Operational performance of the function/activity area would not be materially affected.

Negligible

The organisation would not encounter any significant accountability implications. The interests of stakeholders would not be affected. Public perception of the organisation would remain intact. Slight inconvenience/difficulty in operational performance of function/activity area.

Low

Some accountability implications for the function/activity area but would not affect the organisation’s ability to meet key reporting requirements. ,

Recovery from such consequences would be handled quickly without the need to divert resources from core activity areas. Some minor effects on ability of stakeholders to pursue rights and entitlements. For example, other sources or avenues would be available to stakeholders. Public perceptions of the organisation would alter slightly, but no significant damage or disruption occurs. Operational performance of organisation would be compromised to the extent that revised planning would be required to overcome difficulties experienced by function/activity area.

Medium

The organisation would experience difficulty in complying with key reporting requirements, which would jeopardise some Commonwealth interests. Recovery would be more gradual and require detailed corporate planning with resources being diverted from core activity areas. Stakeholders would experience considerable difficulty in pursuing rights and entitlements. Considerable adverse public reaction would result in some damage and disruption to the organisation.

7



Operational performance of the functions/activity area would be severely affected with the organisation unable to meet a major portion of its obligations and liabilities. The organisation’s asset/resource base may be significantly depleted.

Very high

The organisation would not be able to comply with the majority of its reporting requirements effectively. Recovering from consequences would be highly complicated and time consuming. Stakeholders would be unable to pursue their rights and entitlements. Public reaction would result in major disruptions. The organisation would be rendered dysfunctional.

Extreme

Operational performance would be compromised to the extent that the organisation is unable to meet obligations and liabilities in core activity areas. Severe accountability implications would result in the organisation being unable to meet key reporting requirements. The organisation would incur huge financial losses. The organisation would be unable to recover from such consequences. Stakeholders would face life-threatening consequences. Major adverse repercussions would affect large sectors of the Commonwealth and its clients, including the general public.

Conclusion

The adoption of risk management principles provides a means for improving accountability in decision making. When applied to DIRKS, it will help your organisation to make informed decisions about its recordkeeping requirements and the most appropriate systems to satisfy these requirements. It will also ensure those decisions are documented and available for scrutiny in the future. Endnotes

[1] Management Advisory Board’s Management Improvement Advisory Committee (MAB/MIAC), Guidelines for Managing Risk in the Australian Public Service, Report No. 22, Canberra, October 1996, p. 10. [2] Australian and New Zealand Standard AS/NZS 4360–1999, Risk Management. [3] In addition to the above references, see: •

Australian Institute of Risk Management website

•

Emergency Management Australia website

Emergency Management Australia, Non-stop Service: Continuity Management Guidelines for Public Sector Agencies , Canberra, 1997.

8

APPENDIX 12 RECORDKEEPING FEASIBILITY ANALYSIS September 2001

September 2001



DIRKS manual – Appendix 12 – Feasibility analysis

APPENDIX 12 RECORDKEEPING FEASIBILITY ANALYSIS Introduction

A feasibility analysis involves a detailed assessment of the need, value and practicality of a proposed enterprise, such as systems development. The process of designing and implementing recordkeeping systems has significant accountability and resource implications for an organisation. Feasibility analysis will help you make informed and transparent decisions at crucial points during the developmental process as you determine whether it is operationally, economically and technically realistic to proceed with a particular course of action. The purpose of this section of the DIRKS manual is to raise awareness about feasibility analysis in the context of your recordkeeping project. More extensive information on the role of feasibility in systems development projects is available in the references cited in the endnotes. [1] DIRKS and the feasibility assessment process

Feasibility analysis can be used in each of the steps in the DIRKS methodology to assess the financial, technical and operational capacity of your organisation to proceed with particular activities. Steps A, C, E and F present particular feasibility issues and warrant careful consideration to safeguard the outcome of your project. Types of feasibility

A feasibility analysis usually involves a thorough assessment of the financial (value), technical (practicality), and operational (need) aspects of a proposal. In systems development projects, business managers are primarily responsible for assessing the operational feasibility of the system, and information technology (IT) analysts are responsible for assessing technical feasibility. Both then work together to prepare a cost–benefit analysis of the proposed system to determine its economic feasibility. Financial feasibility

A systems development project may be regarded as economically feasible or good value to the organisation if its anticipated benefits outweigh its estimated costs. However, many of the organisational benefits arising from recordkeeping projects are intangible and may be hard to quantify. Examples of intangible benefits include: •

improved compliance with legislative and regulatory requirements;

•

better management of evidence-related risks;

•

enhanced public image;

•

•

improved consistency, continuity, efficiency and productivity in program delivery, management and administration; and greater protection of the rights of employees, clients and citizens. 3



In contrast, many development costs are easier to identify. These costs may include the time, budget and staff resources invested during the design and implementation phase, as well as infrastructure, support, training and maintenance costs incurred after implementation. Nonetheless, it can also be difficult to accurately quantify project costs when new technologies and complex systems are involved. In these high-risk situations it may be appropriate to use sophisticated cost-benefit analysis tools to make appropriate assessments of financial feasibility. Technical feasibility

A systems development project may be regarded as technically feasible or practical if the organisation has the necessary expertise and infrastructure to develop, install, operate and maintain the proposed system. Organisations will need to make this assessment based on: •

•

•

•

•

•

knowledge of current and emerging technological solutions; availability of technically qualified staff in-house for the duration of the project and subsequent maintenance phase; availability of infrastructure in-house to support the development and maintenance of the proposed system; where necessary, the financial and/or technical capacity to procure appropriate infrastructure and expertise from outside; capacity of the proposed system to accommodate increasing levels of use over the medium term; and the capacity of the proposed system to meet initial performance expectations and accommodate new functionality over the medium term.

Operational feasibility

A systems development project is likely to be operationally feasible if it meets the 'needs' and expectations of the organisation. User acceptance is an important determinant of operational feasibility. It requires careful consideration of: •

corporate culture;

•

staff resistance or receptivity to change;

•

management support for the new system;

•

•

•

4

the nature and level of user involvement in the development and implementation of the system; direct and indirect impacts of the new system on work practices; anticipated performance and outcomes of the new system compared with the existing system;



•

viability of the proposed development and implementation schedule;

•

training requirements and other change management strategies; and

•

‘pay back’ periods (ie trade-off between long-term organisational benefits and short-term inefficiencies during system development and implementation).

Part 1, Section 7.2 – Change management provides additional information on managing and marketing change. Additional factors

While financial, technical and operational criteria are important determinants of feasibility, it may also be prudent to give special consideration to project schedules and legal issues. Project time frames should be examined as an aspect of operational feasibility. It is important to make realistic estimates of the staff resources and time required to complete different phases of the project, and to recognise that schedule delays may occur due to unforeseen circumstances. The impact of such delays will vary depending on the complexity of the recordkeeping project. Detailed scoping of the project using critical path analysis will help minimise adverse effects. Obviously, management should be alerted to any delays as these may affect both the viability of the project and the organisation. It is important for organisations to identify their legal and other regulatory requirements to make and keep records, and to assess their capacity to meet these requirements. A preliminary investigation of your organisation will provide a general understanding of your obligations, while a more detailed investigation will highlight your organisation's exposure to evidence-based risks (including legal liability). These issues are elaborated in steps A and C of the DIRKS methodology. In addition to these evidence-based issues, it is important to be aware of other legal and regulatory matters that may affect systems development and project implementation. These include: •

•

•

the framework for procurement of goods and services in the Commonwealth public sector; general contractual obligations and liabilities; and use of records management products and suppliers endorsed under the Commonwealth Government’s Shared Systems Suite (follow links to Shared Systems on the Office for Government Online website.

Determining feasibility

A proposal may be regarded as feasible if it satisfies all of the three criteria: financial, technical and operational. Nevertheless, if a proposal fails to meet any one of the criteria it may still be deemed feasible to proceed. For example, management may decide to implement a new 5



system to obtain long-term operational efficiencies even though the organisation may experience short-term economic burdens. Alternatively, management may accept that a project is not technically feasible at the present time, but it may be appropriate to review the situation in the future. A project assessed as feasible at one point may be subsequently rendered infeasible due to critical changes in circumstances. It is therefore important for organisations to periodically monitor and reassess the feasibility of particular enterprises.

Conclusion

Feasibility analysis provides a means of minimising risk and improving accountability in decision-making. When applied to DIRKS, it will help your organisation to make informed decisions about its recordkeeping requirements and the most appropriate systems to satisfy these requirements. It will also ensure those decisions are documented and available for scrutiny in the future.

6



Endnotes

[1] Most systems development texts provide advice on feasibility analysis. The following list is a small sample. Burch, J G, Systems Analysis, Design and Implementation, Boyd & Fraser, 1992. •

•

•

•

Rob, P and Coronel, C, Database Systems: Design, Implementation and Management, 2nd edition, Boyd & Fraser, 1995. Shelly, G B, Cashman, T J Adamski, J and Adamski, J J, Systems Analysis and Design, Boyd & Fraser, 1991. Whitten, J L, Bentley, L D and Barlow, V M, Systems Analysis and Design Methods, Irwin, 1994.

7

APPENDIX 15 –

GUIDELINES FOR USING SELECTED GENERIC ACTIVITIES FROM KEYWORD AAA IN AGENCY BUSINESS CLASSIFICATION SCHEMES APRIL 2005

September 2001

ISBN 0 642 34449 3 © Commonwealth of Australia 2005 This work is copyright. Apart from any use as permitted under the Copyright Act 1968, no part may be reproduced by any process without prior written permission from the National Archives of Australia. Requests and inquiries concerning reproduction and rights should be directed to the Publications Manager, National Archives of Australia, PO Box 7425, Canberra Mail Centre, ACT, 2610. Privacy statement – Collection of personal information from email The National Archives of Australia will only record your email address if you send us a message. The address will be used only for the purpose for which you hav e provided it. We will not use your email address for any other purpose and will not disclose it without your consent.


DIRKS manual – Appendix 15 – Generic activities

Appendix 15 – Guidelines for using selected generic activities from Keyword AAA in agency business classification schemes Introduction Activities from Keyword AAA: A Thesaurus of General Terms can be used as activities within an agency core function in a business classification scheme so long as the scope note attached to the activity in Keyword AAA is applicable to the conduct of that activity within the core function. This guide has been developed to assist agencies in developing transaction sets for Keyword AAA activities during the DIRKS Step B process. Transaction sets and ‘For’ references have been drawn up for 12 Keyword AAA activities commonly used within core functions. The examples of transaction sets can be used as a basis for developing agency specific transaction sets. The possible ‘For’ references provided demonstrate how they can assist in clarifying the scope of certain activities and also provide linkages between activities within a function. The transaction sets and ‘For’ references do not take into account the specific requirements of individual agencies and should be used as a guide only. Agencies are encouraged to analyse the unique context in which generic activities are performed, developing more detailed, agency-specific documentation.

Generic Keyword AA A activities in cluded in these guidelines Page

1.

ADDRESSES (PRESENTATIONS)

3

2.

ADVICE

4

3.

AGREEMENTS

5

4.

COMMITTEES

6

5.

CONFERENCES

7

6.

CONTRACTING-OUT

8

7.

MEETINGS

9

8.

PLANNING

10

9.

POLICY

11

10.

PROCEDURES

12

11.

REPORTING

13

12.

TENDERING

14

3



Notes on usi ng the examples of transaction s ets •

•

•

•

•

The lists of transactions should be used as a guide only. The lists are not exhaustive and, as not all transactions will apply in every instance, extraneous transactions should be excluded. You should add or amend transactions where specific steps are undertaken by the agency that are not included in these sets. Where established procedures for carrying out an activity within the relevant function exist they should be reflected in the transaction sets for this activity. If, in addition to how the activity is performed generally within the function, the activity is performed differently for specific purposes, this should be reflected by the inclusion of separate transaction sets. Examples of this are included for some activities.

Checklist on how to u se these guidelines 1.

Identify the need for a generic activity from Keyword AAA to be used within a core function (Step B – Analysis of business activity).



2.

Look up the Generic Keyword AAA activities included in these guidelines on page 1 to check if the activity you need is covered.



3.

If it is, read the introduction of the guidelines to find out how to use them.



4.

Look at the examples of transactions provided for the activity identified.



5.

Undertake your own analysis of how the activity is conducted in your organisation. To do this you can refer to internal procedures, conduct interviews with staff that carry out the activity and observe the activity as it is occurring in the workplace.



6.

Use your analysis of the activity to modify the examples of transactions provided so that the analysis reflects the way your organisation conducts the activity.



4



ADDRESSES (PRESENTATIONS) The activity of giving addresses for training, professional, community relations or sales purposes. Includes speeches and multi-media presentations.

Transactions •

Receive request to give an address/presentation or identify event at which address is to be given

•

Accept/not accept invitations

•

Decide on topic for address/presentation

•

Undertake research for address/presentation

•

Prepare a draft address/presentation

•

If necessary, circulate for comment/discussion/editing

•

Review and amend the draft

•

Obtain clearance/approval

•

Prepare final copy of address/presentation

•

Prepare presentation aids (eg. PowerPoint, slides, overheads, web version)

•

Provide speaker with address/presentation materials (if previous steps undertaken by person not giving address/presentation)

•

Rehearse/prepare address/presentation

•

Give the address/presentation

•

If requested, provide copy of address/presentation to event organiser (before or after)

Presenting a paper at any conference •

Write a synopsis or proposal

•

Research and write paper

•

Prepare any presentation aids needed

•

Prepare final copy of paper

•

Rehearse/prepare presentation

•

Make arrangements with conference organisers for presentation requirements

•

Give the address/presentation

•

Provide final copy to conference organisers for inclusion in proceedings

Possibl e ‘For’ references For the preparation of training material for internal staff, use STAFF DEVELOPMENT – Training For addresses presented at government occasions, use GOVERNMENT RELATIONS – Addresses (presentations)

5



ADVICE The activities associated with offering opinions by or to the organisation as to an action or judgement. Includes the process of advising.

Transactions Advice provided by the agency, includes advice provided to both internal and external clients •

Receive request for advice or identify need for provision of advice to external organisation or another area within the agency

•

Establish whether sufficient information has been provided by the requestor

•

If necessary, request additional information/clarification

•

Carry out research/consultations regarding the issue

•

Draft the advice

•

If required, seek comment on draft

•

Prepare final version of advice

•

If required, seek authorisation from appropriate authority

•

Send advice

Advice received by the agency •

Identify need for advice from external organisation

•

Issue request for advice

•

Clarify advice needs as required

•

Receive notification of advice

•

Consider/act upon advice

Verbal advice may involve a different set of transactions, for example •

Receive request for advice or identify need for provision of advice

•

If necessary, seek further information about the request

•

Establish what advice should be provided

•

Undertake research/gather information

•

If required, confirm with superior officer

•

Provide advice

•

Document the advice provided, eg Note for file

Possibl e ‘For’ references For formal submissions made by the agency, use [FUNCTION] – Submissions For responses to routine enquiries, use [FUNCTION] – Enquiries For distribution of promotional material, use [FUNCTION] – Marketing

6



AGREEMENTS The processes associated with the establishment, maintenance, review and negotiation of agreements. Agreements may include certain types of contracts (not resulting from a tender process) and memoranda of understanding (MOU).

Transactions •

Identify the need to establish a new agreement, receive a request to establish an agreement or identify the need for a review of an existing agreement

•

Undertake negotiations for the drawing up of the agreement

•

Establish lines of communication between all parties

•

Investigate options and set up terms of reference

•

Seek legal support as required

•

Draw up draft agreement

•

Consult internal and external stakeholders on agreement as required

•

Amend agreement as needed

•

Draft approved by all parties (or is circulated again)

•

Create instrument of agreement

•

If necessary, cancel any previous agreement

•

Sign instrument of agreement

•

Distribute copies of agreement

Possibl e ‘For’ references For contracts or agreements resulting from a tendering process, use [FUNCTION] – Tendering For management of contracts, use [FUNCTION] – Contracting-out For establishment and maintenance of leases, use [FUNCTION] – Leasing or Leasing-out

7



COMMITTEES The activities associated with the management of committees and task forces. Includes the committee’s establishment, appointment of members, terms of reference, proceedings, minutes, reports, agenda etc. This activity is designed to cover all possible committees including local, state, national, and international committees.

Transactions Where the agency provides secretariat for the committee •

Establish Terms of Reference for a Committee – including establishing particular task or purpose of the Committee

•

Appoint Chairperson and members to the Committee

•

Determine time and venue of meeting

•

Book meeting room

•

Write agenda

•

Circulate agenda and minutes of previous meeting as well as agenda papers and other reference material as required

•

Record minutes of meeting and apologies

•

Circulate draft minutes for corrections and modifications

•

Direct action to be carried out as a result of decisions made at meeting

•

Develop briefing papers or reports

•

Dissolve committee if no longer required

•

Endorse minutes at next meeting (or by email if no subsequent meeting)

•

Circulate final minutes

Where the agency does not provide secretariat for the committee •

Receive agenda/notice of committee meeting

•

Provide briefings

•

Attend meetings

•

Receive draft minutes

•

Prepare reports on meetings

Possibl e ‘For’ references For records of meetings, other than committee meetings, use [FUNCTION] – Meetings

8



CONFERENCES The activities involved in arranging or attending conferences held either by the organisation or by other organisations. Includes registrations, publicity and reports of participants etc. This activity is designed to cover all possible conferences including local, state, national, international, private industry, Commonwealth sponsored etc.

Transactions Conference arranged by the agency •

Select conference organisers

•

Determine time and place of conference

•

Decide on theme and prepare draft program

•

Determine budget for conference

•

Call for speakers or send invitations to potential speakers

•

Notify successful speakers

•

Arrange venue, catering, accommodation and security

•

Design brochures and signage

•

Prepare final program

•

Arrange for publicity

•

Send out conference brochures

•

Register participants

•

Arrange staff to assist with on site conference arrangements

•

Compile conference proceedings

•

Hold conference

•

Prepare report on management and conduct of conference for future use

Conference conducted by another organisation •

Decide on agency attendance and select representatives or seek approval to attend conference

•

Complete and return conference registration form

•

Organise travel to/from conference

•

Attend conference

•

If required, write a report on conference

Possibl e ‘For’ references For administration of travel arrangements for staff members attending conferences, use PERSONNEL – Arrangements For printing proceedings, brochures, conference proceedings etc, use PUBLICATION – Production

9



For payment of conference registration fees and payments to service providers, eg caterers, use FINANCIAL MANAGEMENT – Payments For papers presented by staff at conferences, use [FUNCTION] – Addresses (Presentations)

10



CONTRACTING-OUT The activities involved in managing the performance of work or the provision of goods and services by an external contractor, vendor or consultant, or by using external bureau services. Includes outsourcing. Functions that include the Contracting-out activity will normally also include the Tendering activity as contracts most often result from the tender process. Some types of contract may result from the Agreements activity. In these instances the function should include both the Contracting-Out and Agreements activities. In both cases the creation of the actual contract (ie negotiation and signing) falls within the scope of either Tendering or Agreements, not within Contracting-Out.

Transactions •

•

•

Prepare a management plan for the transition of work to the successful provider (this includes management of cultural changes that may be required within the agency) Develop a complaint/dispute handling mechanism for managing contracts Develop contingency plans (succession plan) for instances where the contract is terminated so there is a smooth transition to a new provider

•

Monitor the performance of the contract taking into account any milestones

•

Hold stakeholder meetings

•

Secure any reports specified to support milestones

•

•

Ensure appropriate recordkeeping is undertaken by contractors to maintain the agency’s accountability for management of the contract On completion of each milestone and on completion of the contract certify that the services have been performed and are satisfactory, and costs are correct

•

Take action where performance is not satisfactory

•

Submit the invoice for payment where performance is satisfactory

•

Produce an evaluation report on the contractor’s performance

Possibl e ‘For’ references For payment of invoices, use FINANCIAL MANAGEMENT – Payments For selection of contractor to provide goods or services using a tender process, use [FUNCTION] – Tendering For drawing up contract and signing of contract resulting from tender process, use [FUNCTION] – Tendering For selection of a provider of goods and services where no tender process was undertaken, use [FUNCTION] – Acquisition or [FUNCTION] – Agreements

11



MEETINGS The activities associated with ad hoc gatherings held to formulate, discuss, update, or resolve issues and matters pertaining to the management of the section, department or organisation as a whole. Includes arrangements, agenda, taking of minutes etc. Excludes committee meetings. This activity is designed to cover all possible meetings that are ad hoc and relate to the management of the section, department or agency in regards to the function. This may include meetings with external agencies, local, state, national or international government bodies or individuals.

Transactions •

Determine time and venue of meeting

•

Book meeting room

•

Arrange catering, equipment and other requirements

•

Notify interested persons of meeting details

•

Write agenda

•

Circulate agenda, agenda papers and minutes of previous meeting

•

Record minutes of meeting and apologies

•

Circulate draft minutes for corrections and modifications

•

Amend minutes if required

•

Direct actions to be carried out as a result of decisions made at meeting

•

Endorse minutes at next meeting (or by email if no subsequent meeting)

•

Circulate final minutes

Possibl e ‘For’ references For committee meetings, use [FUNCTION] – Committees

12



PLANNING The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to those needs. If the agency distinguishes functional level planning from strategic planning this must be reflected by the inclusion of this activity within the relevant core functions. If all planning is considered strategic planning within the agency and the scope notes for the function-activity pair STRATEGIC MANAGEMENT – Planning (from AFDA) adequately cover all planning activities it is not necessary to include the activity within core functions. You will need to be able to demonstrate that the functionactivity pair STRATEGIC MANAGEMENT – Planning adequately covers all planning activities.

Transactions •

•

•

•

Identify and prioritise objectives to be achieved in the planning process Analyse/assess the current situation (eg identify strengths, weaknesses, opportunities, threats) Seek reports to support or inform analysis Convene working groups or establish other means of collecting ideas and information

•

Develop and evaluate various strategies for achieving the objectives

•

Examine resources available

•

Decide on a strategy to meet the objective

•

Develop a draft plan

•

Circulate draft plan to stakeholders

•

Adopt changes suggested by stakeholders if appropriate

•

Submit draft for approval to appropriate authority

•

Approve final plan

•

Release/distribute plan as appropriate

Possibl e ‘For’ r eferences For overall agency planning to achieve corporate objectives, use STRATEGIC MANAGEMENT – Planning For requests to seek funds for planning goals, use FINANCIAL MANAGEMENT – Budgeting

13



POLICY The activities associated with developing and establishing decisions, directions and precedents, which act as a reference for future decision making, as the basis from which the agency’s operating procedures are determined.

Transactions Policies developed by the agency •

Identify requirement for policy

•

Develop project plan for the development of the policy

•

Allocate resources to produce the policy

•

Undertake research on the issue

•

Undertake consultative process

•

Analyse stakeholder needs

•

Develop options

•

Produce a draft policy document

•

Seek comments on draft from interested parties

•

Review draft policy taking into account comments received

•

Produce an amended policy document(s)

•

Submit policy document to relevant agency authority for approval

•

Final decision/ratification of policy recommendations

•

Distribute and promulgate approved policy

Contribution to government-wide policy proposals •

Receive request for comments on government-wide policy

•

Allocate officer to compile comments

•

Undertake research on the issues

•

Consult relevant internal stakeholders

•

Produce draft response

•

Submit to Senior Officer for comment

•

Amend draft incorporating Senior Officer comments

•

Produce final copy and covering letter to requesting agency

•

Letter signed by Senior Officer and sent to requesting agency

Possibl e ‘For’ references For review of policy, use [FUNCTION] – Reviewing For publication of policies, use PUBLICATION – Production For the development of procedures to implement policy, use [FUNCTION] – Procedures

14



PROCEDURES Standard methods of operating laid down by an organisation according to formulated policy.

Transactions •

Identify need for new or revised/updated procedures

•

Define the parameters for the proposed procedures (eg scope, jurisdiction)

•

Define the expected outcome of the procedures

•

Produce a project plan for developing the procedures

•

Seek relevant information on statutory requirements, policies, standards, professional codes of practices and guidelines

•

Analyse work area and examine existing processes

•

Seek staff input

•

Seek other stakeholder input

•

Develop draft internal procedure manuals and other documentation

•

Circulate draft for comment

•

Receive responses

•

Update draft

•

Trial procedures

•

Refine procedures as a result of the trials

•

Produce final document

•

Have final document ratified by appropriate authority

•

Distribute and promulgate procedures

Possibl e ‘For’ references For the policy on which the procedures is based, use [FUNCTION] – Policy

15



REPORTING The processes associated with initiating or providing a formal response to a situation or request (either internal, external or as a requirement of corporate policies), and to provide formal statements or findings of the results of the examination or investigation. Includes agenda, briefing, business, discussion papers, proposals, reports, reviews and returns. This activity descriptor should only be used for formal or periodic reporting against corporate or business plans, work plans and corporate policies. This activity should not be used for day-to-day reporting of business activities.

Transactions Compiling formal reports •

Receive request for report or identify requirement for report

•

Allocate responsibility for production of report

•

Consider the aim of the report

•

Plan the investigational approach (how to gather material, what work needs to be done)

•

Gather material (including surveys and statistical returns)

•

Consult with relevant parties for additional information

•

Organise material

•

Analyse material

•

Decide on conclusion

•

Decide on recommendations

•

Develop a writing plan

•

Write the draft

•

Seek comments

•

Edit the draft and prepare a final copy

•

Issue or distribute final copy

Carrying out periodical internal reporting •

Receive request for report or reach time for a report to be generated

•

Identify type of data/information required to fulfil reporting obligations

•

Plan how to collect/gather data/information

•

Collect data/information

•

Analyse data/information

•

Formulate your response

•

Write the report

•

Issue or distribute final copy

16



Possibl e ‘For’ references For reports that are the outcome of a business process, use [FUNCTION] – (relevant activity) – eg, for reporting on an inspection of a building, use [FUNCTION] – Inspections

17



TENDERING The activities involved in receiving and assessing tenders, of making offers and finalising contract arrangements for the supply, sale or purchase of goods and services.

Transactions •

Identify the need for goods or services

•

Determine required outcomes and expected performance levels

•

Prepare an estimate of the total costs of the requirement

•

Obtain approvals from the appropriate authority to spend money

•

•

•

•

•

•

•

Obtain approvals from the appropriate authority to start tender arrangements and enter into a contract Draw up a Statement of Requirements (SOR), which will form part of the tender documents Prepare other tender documents – Request for Proposal; Expression of Interest and Request for Tender (RFT) Issue draft tender documents for industry and client comment (optional) Decide on the form and type of contract (eg standing offer; period; fixed; lump sum; performance-based; cost plus performance etc) Select tender strategy (eg open, one-staged or multi-staged) When strategy decided upon develop and release the final RFT documentation

•

Gazette business opportunity on the AusTender website

•

Advertise tender following nominated strategy

•

Receive tender bids

•

Evaluate tender bids

•

Carry out post-offer negotiations and diligence checks

•

If no suitable bid is received make a decision whether to halt the process

•

Prepare formal recommendation

•

Obtain approval from the appropriate authority for selection of successful tender

•

Advise bidders of outcome

•

Provide a debriefing to unsuccessful bidders

•

Negotiate final contract details

•

Gazette details of the contract if over $10,000

•

Sign contract/agreement

•

Exchange signed contracts

18



Possibl e ‘For’ references For management of contracts, including renegotiation of existing contracts, use [FUNCTION] – Contracting-out For selection of a provider of goods and services where no tender process was undertaken, use [FUNCTION] – Acquisition or [FUNCTION] – Agreements

19

GLOSSARY September 2001

September 2001



DIRKS manual – Glossary

GLOSSARY

This glossary accompanies DIRKS – A Strategic Approach to Managing Business Information (DIRKS manual). It is not intended to be comprehensive or function as a general records management glossary. The source of some terms is cited and full bibliographic details are provided at the end of the document. Access

Right, opportunity, means of finding, using, or retrieving information International Standard ISO15489-2001, Records Management, Part 1, Section 3 Terms and Definitions, Clause 3.1. Accountability

The principle that individuals, organisations and the community are required to account to others for their actions. Organisations and their employees must be able to account to appropriate regulatory authorities, to shareholders or members, and to the public to meet statutory obligations, audit requirements, relevant standards and codes of practice, and community expectations. Australian Standard AS 4390–1996, Records Management, Part 1: General, Clause 4.1. Accurate (see Full and accurate records) Activity

Activities are the major tasks performed by the organisation to accomplish each of its functions. Several activities may be associated with each function. An activity is identified by the name it is given and its scope (or definition). The scope of the activity encompasses all the transactions that take place in relation to it. Depending on the nature of the transactions involved, an activity may be performed in relation to one function, or it may be performed in relation to many functions. Adequate

Records should be adequate for the purposes for which they are kept. Thus, a major initiative will be extensively documented, while a routine administrative action can be documented with an identifiable minimum of information. There should be adequate evidence of the conduct of business activity to be able to account for that conduct. See also Full and accurate records. Australian Standard AS 4390–1996, Records Management, Part 1: General, Clause 4.2. Administrative Functions Disposal Authority (AFDA)

The Administrative Functions Disposal Authority was released in March 2000 by the National Archives and relates to common administrative functions performed by most Commonwealth agencies. The structure of the Authority is based on the

3



business classification scheme of the Keyword AAA: Thesaurus of General Terms Commonwealth Version. See Disposal authorities . Ambient functions

High-level functions that define and provide context and meaning to the activities of records creators in any domain other than the native organisation or recordkeeping system of the records creator. Appraisal

The process of evaluating business activities to determine which records need to be captured and how long the records need to be kept to meet business needs, the requirements of organisational accountability and community expectations. Australian Standard AS 4390–1996, Records Management, Part 1: General, Clause 4.3. Authentic (see Full and accurate records) Business activity

An umbrella term covering all the functions, processes, activities and transactions of an organisation and its employees. It includes public administration as well as commercial business. Note: This term is distinguished from ‘Activity’ which is used to denote a specific activity carried out within the scope of each of the functions carried out by one organisation. Australian Standard AS 4390–1996, Records Management, Part 1: General, Clause 4.6. Business classification scheme

An articulation of the functions and activities of the organisation derived from the analysis of business activity. The business classification scheme contains terms and scope notes that represent and describe functions, activities, transactions or other elements, and shows their relationships. The number of levels within the scheme can vary depending on the level of refinement required and how the scheme will be used. The structure of the scheme is hierarchical, moving from the general to the specific. Each function has activities that are identified in relation to it, and each activity (linked to the function) has categories of transactions that are encountered. Business system

A system designed to enable the realisation of desired business outcomes and outputs through the efficient management and facilitation of interrelated business processes. Capture

A deliberate action which results in the registration of a record into a recordkeeping system. For certain business activities, this action may be designed into electronic systems so that the capture of records is concurrent with the creation of records.

4



Australian Standard AS 4390–1996, Records Management, Part 1: General, Clause 4.7. Classification

The process of devising and applying schemes based on the business activities that generate records, whereby they are categorised in systematic and consistent ways to facilitate their capture, retrieval, maintenance and disposal. Classification includes determining document or file naming conventions, user permissions and security restrictions on records. The term classification is distinguished from National Security Classification which is the system for identifying and protecting information that may damage national security or national interest if it were disclosed to the general public. Australian Standard AS 4390–1996, Records Management, Part 1: General, Clause 4.8.

A fundamental component of the intellectual control processes in a recordkeeping system is the use of a scheme for classifying records. The classification of a record is an essential element of the metadata that describes that record. This in turn enables the record to be managed, understood, linked to other related records and retrieved by users. Australian Standard AS 4390–1996, Records Management, requires records classification schemes to be based on a rigorous classification of business activities. This means that records are classified on the basis of why they exist (their function or the activity that caused the record to be brought into existence), rather than on the basis of what they are about (their subject). As such, the focus of classification is the context of a record’s creation and use, rather than the content of the record itself. National Archives of Australia, Control, 2000, published online at http://www.naa.gov.au/recordkeeping/control/summary.html Complete (see Full and accurate records) Compliance

Ensuring that the requirements of laws, regulations, industry codes and organisational standards are met. Australian Standard, AS 3806–1998, Compliance Programs. Compliance program

Compliance programs aim to prevent, and where necessary, identify and respond to, breaches of laws, regulations, codes or organisational standards occurring in the organisation. They should promote a culture of compliance within the organisation. Australian Standard, AS 3806–1998, Compliance Programs.

5



Compliant (see Full and accurate records) Comprehensive (see Full and accurate records) Control

Control systems and processes associated with records management include: •

•

•

•

registration, which provides evidence of the existence of records in a recordkeeping system; classification, which allows for appropriate grouping, naming, security protection, user permissions and retrieval; indexing, which allocates attributes or codes to particular records to assist in their retrieval; and tracking, which provides evidence of where a record is located, what action is outstanding on a record, who has seen a record, when such access took place and the recordkeeping transactions that have been undertaken on the record.

Australian Standard AS 4390–1996, Records Management, Part 4: Control, Clause 1. Controlled vocabulary

An alphabetical list containing terms or headings which are authorised or controlled so that only one heading or form of heading is allowed to represent a particular concept or name. It contrasts with natural language. A controlled vocabulary is also referred to as a thesaurus. J Kennedy and C Schauder, Records Management, p. 291. Conversion

Conversion is the process of changing from an existing system to a new one. Australian Standard AS 4390–1996, Records Management, Part 3: Strategies, Appendix B, Clause B1. Create

The act of making a record of a document or information originating in or received by an organisation. State Records Authority of NSW, Government Recordkeeping Manual, Glossary.

6



Disaster plan

A written procedure setting out the measures to be taken to minimise the risks and effects of disasters such as fire, flood or earthquake etc, and to recover, save and secure the vital records should such a disaster occur. J Ellis (ed.), Keeping Archives , p. 467. Disposal

A range of processes associated with implementing appraisal decisions. These include the retention, deletion or destruction of records in or from recordkeeping systems. They may also include the migration or transmission of records between recordkeeping systems, and the transfer of custody or ownership of records. Australian Standard AS 4390–1996, Records Management, Part 1: General, Clause 4.9. Disposal authority

A legal document issued by the National Archives of Australia to authorise the disposal of Commonwealth records. It specifies classes of records and the minimum length of time they should be kept. Records disposal authorities (RDAs) apply to the records of a single organisation, while general disposal authorities (GDAs), such as the Administrative Functions Disposal Authority (AFDA), normally apply to all Commonwealth agencies. Disposal classes

Classes of records performing or recording similar activities and therefore having the same retention period and disposal action. Australian Standard AS 4390–1996, Records Management, Part 1: General, Clause 4.11. Entity/entities

The component parts of business activity referred to in descending order as an organisation's functions, activities and transactions. Evidence

Information that tends to prove a fact. Not limited to the legal sense of the term. Australian Standard AS 4390–1996, Records Management, Part 1: General, Clause 4.14. Full and accurate records

Full and accurate records must be: •

compliant – complying with the recordkeeping requirements arising from the regulatory and accountability environment in which the organisation operates; 7


•

•

•

•

•

•

•


adequate – for the purposes for which they are kept; complete – containing not only the content, but also the structural and contextual information necessary to document a transaction; meaningful – containing information and/or linkages that ensure the business context in which the record was created and used is apparent; comprehensive – documenting the complete range of the organisation's business for which evidence is required; accurate – reflecting accurately the transactions that they document; authentic – enabling proof that they are what they purport to be and that their purported creators did indeed create them; and inviolate – securely maintained to prevent unauthorised access, alteration or removal.

Australian Standard AS 4390–1996, Records Management, Part 3: Strategies, Clause 5.3. Function

The largest unit of business activity in an organisation or jurisdiction. Functions represent the major responsibilities that are managed by the organisation to fulfil its goals. Functions are high-level aggregates of the organisation's activities. A discrete area of operational or housekeeping responsibility administered by an organisation over a period. A function may be, or derive from, a substantive function of the organisation (eg allocated through the Administrative Arrangements Orders), or it may be a construct of the organisation's management to achieve the organisation's goals. Australian Standard AS 4390–1996, Records Management, Part 1: General, Clause 4.15 Functional appraisal (see Appraisal) Functional records

Records created by an agency to help carry out its unique business role. The functions and their associated records are specific to the agency, as opposed to housekeeping records that document functions common to all agencies. Also referred to as operational or unique records. Functional records disposal schedule

A disposal schedule covering an agency's functional records. State Records Authority of NSW, Government Recordkeeping Manual, Glossary.

8



Functions thesaurus

A keyword thesaurus, produced and maintained by an agency (which has implemented the Keyword Classification System) and which contains keywords, descriptors and forbidden terms. The thesaurus covers terms of a functional nature relating specifically to an organisation’s specific functions, to provide comprehensive controlled vocabulary to describe paper and electronic records and recordkeeping systems. A thesaurus that reflects the unique functions of an agency. State Records Authority of NSW, Government Recordkeeping Manual, Glossary. Identified requirements

A comprehensive list of implicit and explicit recordkeeping requirements, identified from documentary and oral sources in DIRKS Step C, that an organisation may potentially decide to meet. An organisation must subject these identified requirements to risk-based assessment to prioritise a subset that the organisation will meet. See also Prioritised requirements and Recordkeeping requirements . Information

Knowledge communicated or received concerning some fact or circumstance. The Macquarie Dictionary , 3rd edition, 1997, p. 1095. Information systems

Organised collections of hardware, software, supplies, policies, procedures and people, which store, process and provide access to information. Australian Standard AS 4390–1996, Records Management, Part 1: General, Clause 4.17. Intellectual control

The control established over the informational content of records and archives resulting from ascertaining and documenting their provenance, and from the processes of arrangement and description. J Ellis (ed.), Keeping Archives , p. 472. Inviolate (see Full and accurate records) Maintain

Retaining records in identifiable recordkeeping systems over time in accordance with appraisal decisions. Records that are required to be maintained should remain accessible, their integrity should be protected and, where necessary, they should meet the conditions or requirements identified in order to satisfy business needs, organisational accountability and community expectations. This may include migrating records across successive systems and other preservation strategies.

9



Meaningful (see Full and accurate records) Merged thesaurus

A merged keyword thesaurus is a single alphabetical list of both general and functional terms, which is used to classify records according to the Keyword Classification System. See also Thesaurus . State Records Authority of NSW, Government Recordkeeping Manual, Glossary. Metadata

Structured information that describes and/or allows us to find, manage, control, understand or preserve other information over time. A Cunningham, ‘Recent developments in standards for archival description and metadata’, p. 19. See also Recordkeeping metadata Modelling

The act of creating a simplified abstract representation of a system for the purpose of describing, understanding and/or analysing that system. Open systems

Systems (usually operating systems) that are not tied to a particular computer system or hardware manufacturer. An example is the UNIX operating system, with versions available for a wide variety of hardware platforms. W Martin et al., Managing Information Technology, p. 692. Preservation

The range of activities associated with maintaining archival materials in a useable state, either in their original physical form or in some other useable way. Preservation encompasses a wide range of areas – from storage materials and conditions, to handling issues, to the unique problems associated with the preservation of electronic records. Intensive ‘hands on’ conservation, the function most associated with preservation, is really only a small part of the picture. National Archives of Australia, Preservation, 2000, published online at http://www.naa.gov.au/recordkeeping/preservation/summary.html Prioritised requirements

The subset of implicit and explicit recordkeeping requirements identified from sources in DIRKS Step C that an organisation prioritises as essential to meet, after it has undertaken a risk-based assessment. See also Identified requirements and Recordkeeping requirements .

10



Recordkeeping

Making and maintaining complete, accurate and reliable evidence of business transactions in the form of recorded information. Recordkeeping includes the following: •

•

•

the creation of records in the course of business activity and the means to ensure the creation of adequate records; the design, establishment and operation of recordkeeping systems; and the management of records used in business (traditionally regarded as the domain of records management) and as archives (traditionally regarded as the domain of archives administration).

Australian Standard AS 4390–1996, Records Management, Part 1: General, Clause 4.19; Part 3: Strategies, Foreword. Recordkeeping metadata

Structured or semi-structured information which enables the creation, management and use of records through time and across domains. Recordkeeping metadata can identify, authenticate and contextualise records and the people, processes and systems that create, manage and use them. A Cunningham, ‘Recent developments in standards for archival description and metadata’ , pp.19–20. See also Metadata Recordkeeping requirements

Identified needs for evidence arising from various internal and/or external sources that may be satisfied through appropriate recordkeeping action (such as creation, capture, maintenance, preservation and access). The sources include legislative and other regulatory sources, industry codes of best practice, broader government interests, external clients or stakeholders and the general public. An umbrella term that covers Identified requirements and Prioritised requirements. Recordkeeping systems

Recordkeeping systems contain information which is linked to activities that they document. Their purpose is to capture, maintain and provide access to evidence over time, as required by the jurisdiction in which they are implemented and I accordance with common business practices. Recordkeeping systems include: 1. both records practitioners and records users; 2. a set of authorised polices, assigned responsibilities, delegations of authority, procedures and practices; policy statements, procedures manuals, user guidelines and other documents which are used to authorise and promulgate the policies, procedures and practices;

11



3. the records themselves’ 4. specialised information and records systems used to control the records; and 5. software, hardware and other equipment, and stationery. Recordkeeping systems may be distinguished from other types of information systems by the fact that they are organised to accomplish the specific functions of creating, storing and accessing records for evidential purposes. Australian Standard AS 4390–1996, Records Management, Part 3: Strategies, Clause 6.21; David Bearman, Electronic evidence, p. 36. See also Records system Records

Information created, received, and maintained as evidence and information by an organisation or person, in pursuance of legal obligations or in the transaction of business. Recorded information, in any form, including data in computer systems, created or received and maintained by an organisation or person in the transaction of business or the conduct of affairs and kept as evidence of such activity. International Standard ISO 15489, Records Management, Part 3 Terms and Definitions, Clause 3.15; Australian Standard AS 4390–1996, Records Management, Part 1: General, Clause 4.21. Records continuum

The whole extent of a record's existence. Refers to a consistent and coherent regime of management processes from the time of the creation of records (and before creation, in the design of recordkeeping systems), through to the preservation and use of records as archives. Australian Standard AS 4390–1996, Records Management, Part 1: General, Clause 4.22. Records management

Field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records. The discipline and organisational function of managing records to meet operational business needs, accountability requirements and community expectations. International Standard ISO 15489, Records Management, Part 3 Terms and Definitions, Clause 3.16; Australian Standard AS 4390–1996, Records Management, Part 1: General, Clause 4.23.

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Records system

Information systems which capture, manage and provide access to records through time. International Standard ISO 15489, Records Management, Part 3 – Terms and Definitions, Clause 3.17. See also Recordkeeping system. Registration

The act of giving a record a unique identity in a recordkeeping system. The purpose of registration is to provide evidence that a record has been created or captured in a recordkeeping system. It involves recording brief descriptive information about the record in a register and assigning the record a unique identifier. Registration should link the record to descriptive information about the context of the record and to other related records. Australian Standard AS 4390–1996, Records Management, Part 1: General, Clause 4.24, Part 1: General, Clause 7.2. Risk

The chance of something happening that will have an impact upon objectives. It is measured in terms of consequences and likelihood. Australian and New Zealand Standard, AS/NZS 4360–1999, Risk Management. Sentencing

The process of identifying the disposal class a record belongs to and applying the disposal action specified in the relevant disposal authority to the record. Sentencing is the implementation of decisions made during appraisal. Stakeholder

Those people and organisations who may affect, be affected by, or perceive themselves to be affected by, a decision or activity. The term stakeholder may also include interested parties. Australian and New Zealand Standard, AS/NZS 4360–1999, Risk Management. Standards

Records management and recordkeeping standards are authoritative standards to which an organisation is subject or which it chooses to adopt. Standards provide benchmarks for measuring performance and describe best practices in any or all aspects of recordkeeping. Thus standards may function to specify minimum performance levels or describe best practice. State Records Authority of NSW, Government Recordkeeping Manual, Glossary.

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System

A set of interrelated components that work together to achieve some common purpose. W Martin et al., Managing Information Technology, p. 696. Systems analysis and design

The process used to develop a system. The systems development life cycle is the traditional methodology used by information system professionals to develop a new computer application. It includes three general phases: definition, construction and implementation. The methodology defines the activities necessary for these three phases, as well as a framework for planning and managing a development project. Operations and maintenance are included in the implementation phase. W Martin et al., Managing Information Technology, p. 696. Thesaurus

A thesaurus is a complex alphabetical listing of all terms derived from a classification scheme. Such tools act as a guide in the allocation of classification terms to individual records. In a thesaurus the meaning of the term is specified and hierarchical relationships to other terms are shown. A thesaurus should provide sufficient entry points to allow users to navigate from terms which are not to be used to the preferred terminology adopted by the organisation. See Merged thesaurus . Australian Standard AS 4390–1996, Records Management, Part 4: Control, Clause 7.3.2.2. Transaction

The smallest unit of business activity. A transaction should be activity-based rather than subject- or topic-based. A transaction provides the basis for identifying, in detail, the records that meet the business needs of the organisation. Depending on the complexity of an organisation's business activities, it may be necessary to group transactions on the basis of their similarities or to further dissect this level to obtain an appropriate degree of specificity for the organisation’s recordkeeping purposes. A particular instance in the performance of an activity. In some cases, the term transaction is used to cover a class of transactions that occur in the performance of an activity. Australian Standard AS 4390–1996, Records Management, Part 1: General, Clause 4.27.

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The DIRKS methodology: a user guide

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