Académique Documents
Professionnel Documents
Culture Documents
THE DIRKS
METHODOLOGY:
A USERS GUIDE
September 2001 (rev July 2003)
September 2001
CONTENTS
1.
1.1
1.2
5
6
Why recordkeeping?
The importance of DIRKS
2.
3.
4.
10
4.1
4.2
4.3
10
11
12
5.
6.
7.
Recordkeeping aims
Recordkeeping processes
Recordkeeping systems
UNDERSTANDING DIRKS
13
13
15
6.1
6.2
6.3
6.4
6.5
6.6
6.7
15
15
15
16
16
17
17
18
7.1
7.2
7.3
18
19
19
7.4
7.5
20
21
8.
21
9.
22
ENDNOTES
22
1.
1.1
Why recordkeeping?
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 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 43901996,
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:
information managers;
staff representatives.
The DIRKS approach will also result in the development of products and
tools to support good recordkeeping. These include:
4.1
Recordkeeping aims
10
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:
11
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
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
12
UNDERSTANDING DIRKS
The methodology for designing and implementing recordkeeping systems
outlined in Australian Standard AS 43901996, 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 Managers Guide to
the Strategic Management of Records and Information.
13
14
Multi-disciplinary 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.
6.1
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 organisations 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
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 the
Commonwealth provides clear advice on formulating disposal classes based
on your organisations functions, activities, transactions and recordkeeping
requirements. It also outlines the National Archives of Australias 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 Australias
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
17
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 organisations compliance
with recordkeeping obligations, develop strategies to address problems
revealed, and design, implement and monitor these solutions (Steps DH).
7.1
18
a project sponsor who will assume overall responsibility for the project
on behalf of senior 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 projects sponsor and including senior
Change management
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
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
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:
choose a style that can be understood by others (eg avoid jargon); and
7.5
Technical options
21
ENDNOTES
1.
2.
3.
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.
8.
23
PART 2
STEPS AH
September 2001
STEP A
PRELIMINARY
INVESTIGATION
September 2001
September 2001
CONTENTS
A.1
A.2
A.3
A.4
A.5
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
WHATS NEXT
13
ENDNOTE
13
A.1
A.2
A.4
the business, social and ethical standards the community expects your
organisation to meet;
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
organisations 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 organisations 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 organisations 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 organisations corporate culture will help you more
fully understand why and how your organisation operates as it does.
An organisations 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 organisations 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 organisations 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
annual reports;
organisational charts;
Most of the sources listed above are produced by your organisation, and may
be accessible online through your organisations internet or intranet facilities.
However, to fully understand the business, regulatory and sociopolitical
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:
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 organisations
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
major stakeholders;
Using the organisation context document as the basis for your report will
enable you to write up the findings of your preliminary investigation.
10
ISSUES
11
CHECKLIST
Before proceeding further check that you have:
12
A.7
WHATS 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.
13
STEP B ANALYSIS
OF BUSINESS
ACTIVITY
September 2001
September 2001
CONTENTS
B.1
B.2
B.3
B.4
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
13
15
15
16
16
7
14
ISSUES
16
B.5.1
B.5.2
B.5.3
16
17
17
B.6
CHECKLIST
18
B.7
WHATS NEXT?
18
ENDNOTES
18
B.1
B.2
B.3
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:
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.
The analytical process starts with a big picture view of your organisations
business activity and breaks it down into more detailed parts. These
component parts (or entities) are referred to in descending order as the
organisations functions, activities and transactions.
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.
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
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
organisations 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.
10
You may also wish to consult AGIFT to determine whether any of its
function terms are appropriate to your organisations 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:
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
the combined functions account for all of the business the organisation
carries out.
13
Activity
Experiment design
Design development
Ref No: F1
Ref No: A1
Date range:1960
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 stakeholders 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
business sections that are responsible for or carry out aspects of the
function; and
ISSUES
16
Taking a holistic approach in both Steps A and B will enable you to place
your organisations 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 organisations business activity have been covered. (See Step A,
Section A.5.1 Housekeeping functions.)
B.5.2 Defining the scale of functions and activities
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
CHECKLIST
Before proceeding further check that you have:
B.7
WHATS 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.
2.
3.
4.
18
STEP C
IDENTIFICATION OF
RECORDKEEPING
REQUIREMENTS
September 2001 (rev July 2003)
September 2001
CONTENTS
C.1
C.2
C.3
C.4
C.4.1
C.4.2
C.5
7
10
7
16
ISSUES
19
C.5.1
C.5.2
C.5.3
C.5.4
19
19
19
20
13
17
18
C.6
CHECKLIST
20
C.7
WHATS NEXT?
20
C.1
C.2
an appreciation of your organisations level of exposure to evidencerelated risks (such as failures in accountability, legal action and loss of
vital records);
a basis for determining the range of strategies which best enable your
organisation to meet these recordkeeping requirements (Step E); and
its disposal;
access conditions;
the section responsible for an activity regularly refers to the records for
seven years after the event (a business requirement); or
committees of inquiry;
documentation standards.
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
organisations 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-Generals 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
organisations regulatory environment. Of course, this approach can be
10
representations;
parliamentary debates;
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 communitys shifting response over time. The value of such
records becomes obvious when the histories of particular organisations,
functions or activities are commissioned.
12
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, functionactivity pair or transaction to which it applies.
C.4.3.1 Tables and templates
You may consider it sufficient to document your organisations
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 organisations 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 organisations recordkeeping requirements into a
database. The advantages of a database over other options are:
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 organisations 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:
14
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);
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);
a citation of the precise text in the source that specifies (or implies) the
requirement;
15
16
Originating
authority
Parliament of Australia
Source name
Effective date
30 October 1990
Source type
Legislation
Reference
Function/activity
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)
Stakeholder
Requirement type
Risk assessment
keeping records;
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
quantify and prioritise those risks in terms of the cost to, or impact on,
your organisation (ie operational, financial and technical feasibility
factors); and
18
C.5
ISSUES
changes to legislation;
CHECKLIST
Before proceeding further check that you have:
C.7
WHATS 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
organisations 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
CONTENTS
D.1
D.2
D.3
D.4
D.4.1
D.4.2
D.4.3
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
WHATS NEXT?
12
D.1
D.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
an appreciation of your organisations potential exposure to recordsrelated business and accountability risks (caused by the strengths and
weaknesses of your organisations existing practices); and
D.3
use this step as the starting point to establish a business case for a more
extensive recordkeeping project.
D.4
the controls they have in place (eg registering and dating business
transactions and linking them to a classification of the business
activity); and
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.
Parliament of Australia
Source name
Effective date
30 October 1990
Source type
Legislation
Reference
Function/
activity
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)
Stakeholder
Requirement
type
Risk assessment
The following questions will help test whether requirements for evidence are
met by the existing system(s).
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
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
CHECKLIST
Before proceeding further check that you have:
11
D.7
WHATS 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
organisations existing systems are fully functional and satisfy requirements
for evidence.
12
STEP E
STRATEGIES FOR
RECORDKEEPING
September 2001
September 2001
CONTENTS
E.1
E.2
E.3
E.4
E.4.1
E.4.2
E.4.3
E.4.4
E.4.5
5
12
14
16
16
E.5
ISSUES
17
E.6
CHECKLIST
18
E.7
WHATS NEXT?
18
E.1
E.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
E.3
E.4
There are four broad approaches that can help an organisation satisfy its
recordkeeping requirements. These are:
State that all records are a corporate asset and, as such, do not belong
to individual employees.
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 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).
Lock records storage areas (eg room, compactus, safe) to ensure only
authorised access to paper-based records.
maintainability;
portability;
extensibility.
10
recordkeeping metadata;
documentation;
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 governments 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:
assist with compliance in other areas (for example, quality records will
assist ISO 9000 certification).
11
existing systems have appropriate functionality but are not being used
properly;
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 organisations 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 organisations 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:
15
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.
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:
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:
revisit potential tactics to select options that can work within current
constraints; or
E.5
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
Checklist
E.7
established the links between the selected tactics and the requirements
they are intended to address (Step C);
Whats next?
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.
4.
5.
19
STEP F
DESIGN OF A
RECORDKEEPING
SYSTEM
September 2001
September 2001
CONTENTS
F.1
F.2
F.3
F.4
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
ISSUES
F.5.1
F.5.2
7
8
8
9
10
13
14
15
15
16
16
16
F.6
CHECKLIST
17
F.7
WHATS NEXT?
17
ENDNOTES
17
3
F.1
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:
develop and implement a new records system for high-risk areas of the
organisation; or
For this step, consider the overall strategy developed in Step E and
determine which of the following activities will help bring it to fruition:
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
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:
Outputs of the step will depend on the strategies and tactics chosen in Step E.
Outputs may include:
F.3
plans showing how the design will integrate with existing systems and
processes;
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.
complete Steps A to E;
develop and get approval for a business case for the design of a new
system (Appendix 9 Guide to developing a business case).
disposal of records.
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
organisations new electronic records system, training will need to be
provided to assist them in:
This can include both manual work processes and processes that use
automated work flow software. Changing work flows and processes 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:
metadata specifications;
external consultants;
system vendors; or
10
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:
user interfaces, such as menus and dialogue boxes, which enable users
to interact with a system; and
11
system integration;
12
system response and recovery times (How quickly does the system
perform tasks; how long does it take to recover from crashes or
interruptions?).
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. 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
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
changed; or
recordkeeping definitions;
reference cards;
site preparation;
software programming;
hardware configuration;
system testing;
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:
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 organisations
recordkeeping requirements as closely as possible.
16
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
Before proceeding further check that you have:
F.7
WHATS 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.
2.
18
STEP G
IMPLEMENTATION
OF A
RECORDKEEPING
SYSTEM
September 2001
September 2001
CONTENTS
G.1
G.2
G.3
G.4
G.4.1
G.4.2
G.4.3
G.4.4
6
12
13
14
G.5
ISSUES
14
G.6
CHECKLIST
15
G.7
WHATS NEXT?
15
ENDNOTES
15
G.1
G.3
training materials;
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:
G.4
IT specialists;
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:
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 policies and procedures that direct and support the system;
intranet sites;
newsletters;
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.
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 organisations
business activities (Step B) or surveyed existing systems and practices in Step
D. Further information can be obtained from:
interviews;
observation;
job analysis;
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 Authoritys 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 organisations capacity to develop and present
relevant material. Options may include:
briefings;
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:
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.
12
reviewing storage facilities for physical records, and storage media for
electronic records;
13
G.5
corporate thesaurus;
recordkeeping requirements;
disposal authorities;
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 systems and potentially jeopardise the
organisations 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
CHECKLIST
Before proceeding further check that you have:
G.7
WHATS NEXT?
After you have completed this step and implemented your recordkeeping
solutions you should proceed to Step H Post-implementation review, to
evaluate the efficiency of the development process and the effectiveness of
your organisations new or improved 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 issues.
3.
4.
5.
6.
7.
8.
16
STEP H
POSTIMPLEMENTATION
REVIEW
September 2001
September 2001
CONTENTS
H.1
H.2
H.3
H.4
CONDUCTING A POST-IMPLEMENTATIONREVIEW
H.4.1
H.4.2
H.4.3
H.4.4
H.4.5
6
7
9
10
10
H.5
CHECKLIST
10
H.6
WHATS NEXT?
11
ENDNOTE
11
H.1
H.2
H.3
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 organisations 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
Effectiveness
Efficiency
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
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
organisations 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
Can users easily locate the records they need using the new system?
Management
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?
Disposal
Are staffing levels and competency skills adequate (within the records
management area and among other staff)?
Did we keep the key stakeholders informed and committed during the
project?
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 43901996, Records
Management to identify other potential aspects for evaluation. [1]
Performance data can be gathered by:
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
CHECKLIST
Before concluding the systems development process, ensure that you have:
10
H.6
WHATS 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.
11
PART 3
APPENDIXES
September 2001
APPENDIX 1
GUIDE TO
DOCUMENTARY
SOURCES
September 2001
September 2001
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 organisations 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 organisations website. Your organisations intranet may also
provide online access to internal publications, policy and procedural material.
Annual reports
The annual report provides a summary of your organisations 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
organisations 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 organisations 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
organisations 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 organisations 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 organisations
strategic objectives and is usually prepared on an annual basis.
There is often some overlap between your organisations 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.
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 AttorneyGenerals 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 acts notes and tables of amendments should be
examined to determine whether the organisations identity or business activities
have been affected by legislative changes. For example, changes may cause new
functions to come within the organisations 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:
charters;
ministerial statements.
If sources relevant to your organisations 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 Australias Government Notices Gazette and its predecessors. Copies of the latest
AAOs may also be available online through SCALEplus, the legal information
5
memoranda of understanding;
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 Australias 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:
Regulations can be browsed online via SCALEplus, the legal information retrieval
service of the Commonwealth Attorney-Generals 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-Generals
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 organisations 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 organisations 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 organisations historical context
Some additional sources may be required to reconstruct your organisations
historical context. These include:
organisational histories;
8
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 (19701996) 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 organisations 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.
APPENDIX 2
GUIDE TO
INTERVIEWS
September 2001
September 2001
APPENDIX 2
GUIDE TO INTERVIEWS
Before you start
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 organisations 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:
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);
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.
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 required 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
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:
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
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 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.
APPENDIX 3
INTERVIEW
QUESTIONS
September 2001
September 2001
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.
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 reporting lines within the organisation and to external
authorities?
How does the organisation manage its external compliance regime (eg
managing its performance in relation to the regulatory environment, audits,
standards and best practice)?
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
organisations business?
What are the high risk elements of the organisations business? Where in the
structure of the organisation are high risk activities or processes performed or
concentrated?
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)?
How does the organisation manage its reporting to the Parliament and the
government?
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)?
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.
Are the procedures regularly reviewed and are staff trained in their use?
Does your organisation have a vital records plan? Does this plan cover records
in both paper and electronic formats?
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?
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?
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.
Do you interact with other areas of the organisation in carrying out these
business activities?
Who are your areas stakeholders and what is their interest in the business
activities you carry out?
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?)
APPENDIX 4
SOURCE
IDENTIFICATION
FORMS
September 2001
September 2001
APPENDIX 4
SOURCE IDENTIFICATION FORMS
This appendix contains three form you can use to identify sources used in your
organisations DIRKS analysis:
1. Source identification form Acts of Parliament
2. Source identification form Statutory Regulations
3. Source identification form Other sources
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 Acts 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.
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.
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.
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 organisations 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 assist 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
Date of compilation:
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).
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.
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 organisations 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 assist you in step C.
Notes:
Give details of any general information that will help you understand the organisation and complete the
preliminary investigation template.
Commonwealth of Australia 2000
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.
Source name:
Cite bibliographic details of published source (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 overview:
Provide an overall description of the source. Example: This source is a guide to the Commonwealths 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 template. 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
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.
Name
Position
Phone number
Name
3.
Source
number
Type
Source
number
4.
Characteristics
5.
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.
7.
Source
number
Name of organisation
Relationship
Source
number
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.
9.
Source
number
10.
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
12.
Mandatory,
voluntary or
administered
Source
number
Business activity
14.
Source
number
Litigation details
15.
Business activity
Source
number
Stakeholder
Source
number
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
19.
Source
number
Source
number
Business activity
Source
number
20.
21.
Source
number
22.
Source
number
APPENDIX 6
PRACTICAL ADVICE
FOR USING
KEYWORD AAA
AND AGIFT TERMS
September 2001
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:
Classification tools
Classification tools (such as a functions thesaurus or records classification
scheme) expand the utility of your organisations business classification
scheme to provide a comprehensive indexing, retrieval and classification
regime for your organisations 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 organisations core business
classification scheme
Following these seven rules will ensure that your organisations business
classification scheme is fully compatible with the Commonwealth version of
Keyword AAA.
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 organisations 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
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 agencys
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
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:
Ensure that references included in the merged business classification scheme add
value. These references can greatly increase the accessibility and useability of your
organisations merged business classification scheme.
Rules for using AGIFT terms
APPENDIX 7
FUNCTION
SOURCE
DOCUMENT
September 2001
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.
5.
6.
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.
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
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
6.
7.
8.
3.
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 organisations 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.
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.
7
APPENDIX 8
PROCEDURES FOR
DEVELOPING A
RECORDS
DISPOSAL
AUTHORITY IN THE
COMMONWEALTH
September 2001
September 2001
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:
These procedures complement and supplement the information in the main body of
the DIRKS manual.
What is appraisal?
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:
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;
advice throughout the process. Disposal arrangements are largely based on the
organisations investigation and analysis of its business activities and environment.
Developing and presenting disposal recommendations
1.
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.
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:
the business classification scheme specifies all activities and transactions for the
function being appraised.
the function;
disposal action.
write agenda;
record apologies;
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;
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:
briefing papers;
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:
the organisation has been defined appropriately and overlaps with other
organisations, such as boards of management, identified;
the project plan sets a realistic time frame and no tasks have been
overlooked;
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
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;
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:
11
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
agencys 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: recordkeeping@naa.gov.au
12
APPENDIX 9
GUIDE TO
DEVELOPING A
BUSINESS CASE
FOR A DIRKS
PROJECT
September 2001
September 2001
APPENDIX 9
GUIDE TO DEVELOPING A BUSINESS CASE FOR A DIRKS PROJECT
Introduction
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:
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:
1.
2.
3.
Scope
4.
5.
Project plan
6.
Project management
Responsibility
Resources
Cost-benefit analysis
7.
8.
Assumptions
Time period
Costs
Benefits
Conclusion
9.
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:
decreased exposure to, and better management of, evidence related risks;
accountable decision-making;
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 AC of DIRKS and develop a records disposal
authority, possible options are:
undertake the work in-house with restricted resources over a longer time
frame; or
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. Costbenefit analysis
Costbenefit 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 costbenefit analysis will assist you in
developing a project costbenefit analysis.
Assumptions
Identify and clearly outline any assumptions used in the costbenefit analysis,
quantitative (measurable) or qualitative.
Time period
The period covered by the costbenefit 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 costbenefit 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 costbenefit 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 costbenefit 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 costbenefit 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
The person who develops the business case will need to be experienced in project
planning and have the ability to undertake a costbenefit 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.
APPENDIX 10
RECORDKEEPING
COSTBENEFIT
ANALYSIS
September 2001 (rev July 2003)
September 2001
APPENDIX 10
RECORDKEEPING COSTBENEFIT ANALYSIS
Introduction
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 costbenefit analysis
The scope of the proposed DIRKS project will set the parameters of the costs and
benefits to be considered in the costbenefit 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.
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:
the impact of not achieving best practice standards, ie not complying with the
International Standards Organisation Records Management Standard (ISO
15489);
enabling or supporting other benefits (eg using business analysis (Step B) for
work process re-engineering).
Additional factors
Has allowance been made for either uncertainty in the expected costs and
benefits or the differential timing of costs or benefits?
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 costbenefit 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 costbenefit analysis
Cost benefit analysis can be used in each of the steps in the DIRKS methodology. By
collecting and analysing costbenefit information you will be able to make informed
recommendations in a business case for a proposed DIRKS project.
6
Costbenefit 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 AC 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 costbenefit 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:
Products delivered:
Steps DH 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:
system administration.
Products delivered:
Further reading
APPENDIX 11
RISK ANALYSIS IN
DIRKS
September 2001
September 2001
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?
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 EH) remains clear.
3
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);
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
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]
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
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
Definition of risks:
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
Unlikely
Possible
Likely
Almost certain
Table 2 provides statements and examples to help you assess the consequences of
risk.
Rating
Negligible
Low
Some accountability implications for the function/activity area, but would not affect the
organisations 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
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
Conclusion
APPENDIX 12
RECORDKEEPING
FEASIBILITY
ANALYSIS
September 2001
September 2001
APPENDIX 12
RECORDKEEPING FEASIBILITY ANALYSIS
Introduction
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
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:
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;
Determining feasibility
Conclusion
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.
APPENDIX 15
GUIDELINES FOR
USING SELECTED
GENERIC ACTIVITIES
FROM KEYWORD AAA
IN AGENCY BUSINESS
CLASSIFICATION
SCHEMES
APRIL 2005
September 2001
ADDRESSES (PRESENTATIONS)
2.
ADVICE
3.
AGREEMENTS
4.
COMMITTEES
5.
CONFERENCES
6.
CONTRACTING-OUT
7.
MEETINGS
8.
PLANNING
10
9.
POLICY
11
10.
PROCEDURES
12
11.
REPORTING
13
12.
TENDERING
14
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.
Identify the need for a generic activity from Keyword AAA to be used
within a core function (Step B Analysis of business activity).
2.
3.
If it is, read the introduction of the guidelines to find out how to use
them.
4.
5.
6.
ADDRESSES (PRESENTATIONS)
The activity of giving addresses for training, professional, community relations or
sales purposes. Includes speeches and multi-media presentations.
Transactions
Obtain clearance/approval
Rehearse/prepare address/presentation
Rehearse/prepare presentation
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
Send advice
Provide advice
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
COMMITTEES
The activities associated with the management of committees and task forces.
Includes the committees 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
Write agenda
Where the agency does not provide secretariat for the committee
Provide briefings
Attend meetings
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
Register participants
Hold conference
Attend conference
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
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
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
Write agenda
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
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 agencys operating procedures are determined.
Transactions
Policies developed by the agency
Develop options
14
PROCEDURES
Standard methods of operating laid down by an organisation according to
formulated policy.
Transactions
Define the parameters for the proposed procedures (eg scope, jurisdiction)
Receive responses
Update draft
Trial procedures
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
Plan the investigational approach (how to gather material, what work needs
to be done)
Organise material
Analyse material
Decide on conclusion
Decide on recommendations
Seek comments
Collect data/information
Analyse data/information
16
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
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)
When strategy decided upon develop and release the final RFT
documentation
Sign contract/agreement
18
19
GLOSSARY
September 2001
September 2001
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
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 43901996, 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 43901996, Records Management, Part 1: General, Clause 4.2.
Administrative Functions Disposal Authority (AFDA)
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
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 43901996, 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
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 43901996, 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 43901996, 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 records 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
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 38061998, Compliance Programs.
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
Information that tends to prove a fact. Not limited to the legal sense of the term.
Australian Standard AS 43901996, Records Management, Part 1: General, Clause
4.14.
Full and accurate records
complete containing not only the content, but also the structural and
contextual information necessary to document a transaction;
authentic enabling proof that they are what they purport to be and that
their purported creators did indeed create them; and
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
Functions thesaurus
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
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
10
Recordkeeping
the creation of records in the course of business activity and the means to
ensure the creation of adequate records;
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
11
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 43901996, 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 43901996, Records Management,
Part 1: General, Clause 4.23.
12
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 43901996, 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 43601999, 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 43601999, Risk Management.
Standards
13
System
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
14
Vital records
Those records without which an organisation could not continue to operate, that is,
those containing information needed to re-establish the organisation in the event of
a disaster. Vital records are those which protect the assets and interests of the
organisation as well as those of its clients and shareholders.
J Kennedy and C Schauder, Records Management, p. 302.
Sources
15