Sample business case - DIRKS Manual

• Business background
• Methodology
• Scoping study findings - current situation
• Solutions
• Resource estimates
• Options for implementation
• Conclusions and feasibility assessments

Business background

The Department has responsibility for a number of key functions with a requirement for public scrutiny. The current records system cannot meet retrieval requirements in either speed or comprehensiveness. The current system regularly fails to ensure that all records relating to an issue have been retrieved for answer to questions raised by the media, in parliament and directed to the Minister. Valuable staff time is lost searching for records that are either registered but lost, or not registered and their existence and location is difficult to identify.

Methodology

The project methodology is based on the Australian Standard on Records Management – AS ISO 15489, and the DIRKS Manual developed by State Records NSW.

Scoping study findings - current situation

This investigation has identified a number of shortcomings of the current records management system in addition to those which instigated this study:

• the user metadata in the system is significantly out of date (as staff changes have occurred over the past five years, this information has rarely been updated) [a comprehensive clean-up project is required which will also require a partial file census to verify locations]
• there is an urgent need to convert legacy data relating to the transfer of 25,000 records acquired along with the Community Care Access Program [there are an estimated 10,000 current and 15,000 non-current records which need to be brought under control and develop a disposal program]
• there are no controlled terms or conventions for file titling , and
• disposal of non-current records is ad hoc and there is a significant backlog of non-current records awaiting evaluation and disposal action.

A review of the recordkeeping system by independent consultants in 1999 found no major breaches of government security requirements for records, but a number of issues to be addressed which are still in evidence:

• some important file records could not be located via the tracking system
• some scanning/data conversion processes were substandard, requiring on-going reference to archived paper records
• the ministerial tracking system cannot adequately track briefing papers
• information about Nursing Care Centres which have been operating for more than 10 years is incomplete because earlier records were not included in the new system
• the software application used to manage the centralised records system does not meet current standards, and
• electroniclodgement of license applications are not systematically captured and stored electronically. The Department is reliant on the hardcopy version of the license application.

The most immediate implications of these shortcomings are that:

• the department's records management systems and tools do not meet best practice standards
• inaccurate information may, unknowingly, be provided in answer to questions because records cannot be identified, retrieved or are not accessible if over 10 years old
• security is compromised because non-current staff members have not been removed from the system, and
• additional costs are incurred due to the inefficiencies in the system and poor control over records.

Solutions

To bring the central records management system up to best-practice standard, the department will need to commit to a comprehensive records improvement program, over time, which will comprise the following:

• development of a functional thesaurus merged with Keyword AAA
• development of a thesaurus for Ministerial briefings and issues
• new procedures for filing and tracking Ministerial briefings and issues through integration of the document and records management systems
• assessment, selection and purchase of upgraded software
• a comprehensive clean-up project is required which will also require a partial file census to verify locations
• conversion of an estimated 10,000 current and 15,000 non-current records which need to be brought under control, and
• development of a etention and disposal authority, disposal guidelines and an implementation plan.

These changes could be managed in a phased approach, enabling change to be managed at a pace which can be accommodated by the organisation without trading off a reasonable timeframe for positive results. Some aspects of the project, such as disposal implementation, will initially have little effect on the current operations of the department since we would implement first in secondary storage.

A suggested approach is:

Stage 1 – Undertake a business analysis and develop a functions thesaurus and retention and disposal authority

• collect and analyse information about the department's business activities including outposted locations
• develop a business classification scheme
• negotiate approval with the archival authority
• develop a merged functions thesaurus/Keyword AAA
• develop a retention and disposal authority
• negotiate approval with the archival authority.

Stage 2 – Software upgrade

• using available assessments of suitable systems made by government IT supply officers
• IT Unit requested to cost the options for implementation in RMU and 50 workstations across the department
• tender for the purchase, installation, configuration and training in software.

Stage 3 – Implementation strategy

• develop, in consultation with unit manager, a strategy for implementing the thesaurus across the department, unit by unit
• develop, in consultation with RMU, a strategy for implementing the thesaurus across the department [note that these may require additional resources to undertake the conversion or sentencing within a reasonable timeframe]
• this will include a conversion strategy (for files to be closed/retired and those required in the new system), identification of supporting documentation required (guidelines and procedures) and a timetable for implementation
• development of a training strategy for RMU and operational staff to support the implementation.

Stage 4 – Thesaurus implementation

• implement the thesaurus in RMU, then progressively in selected business units.

Stage 5 – Staff training

• deliver training for staff in records management practices, principles and use of the thesaurus and retention and disposal authority.

Stage 6 – Disposal implementation

• commencing at backlog at secondary store, sort, list into RM software and sentence the backlog of records
• arrange for transfer of archival records
• arrange for destruction of records due/overdue for destruction.

Stage 7 – Post implementation review

• 6-12 months after the implementation is complete, a review of the implementation should be undertaken to identify any problems.

Resource estimates

Stage 1– Undertake a business analysis and develop a functions thesaurus and retention and disposal authority

Stage 2– Software upgrade

Stage 3 – Implementation strategy

Stage 4 – Thesaurus implementation

Stage 5 – Staff training

Short sessions of several hours for operational staff

Full day session for RMU staff and 1-2 days hands on implementation training

Stage 6 – Disposal implementation

Stage 7 – Post implementation review

5-10 days depending on requirements

Options for implementation

In-house

There is insufficient expertise in-house to undertake the project within a reasonable timeframe. It would not be possible to release the Chief Information Officer from regular duties to work full-time on the project. A period of intensive training would also be required for the CIO to update her knowledge of the latest methodologies. This option is not considered feasible to produce the required result.

Engage a consultant

There are specialist consultants available in this field who could undertake key elements of the project to deliver tools which could then be implemented by in-house staff. This would provide timely delivery of a useable system at a reasonable cost. It would have the added advantage of involving staff in the development process, which would be an important part of the change management strategy.

Conclusions and feasibility assessments

Operational feasibility

The Department has made a commitment to move towards best practice in records management. The results of our scoping study were that there were a number of shortcomings in the current department-wide records management system which do not meet best practice specifications, and that appropriate practices, while in place, need to be followed more rigorously.

Market-testing in the Department indicated that users of the system are aware of the shortcomings, have altered their work practices to support or circumvent the system where it does not work effectively, and are supportive of the need for an upgraded system. Those who are particularly supportive have come from organisations with effective records management programs and systems in place. The major concern amongst staff is the potential for increased workload in some areas if records creation and maintenance are heavily decentralised; this is one option for implementation and would be addressed in developing an implementation plan.

The Department is beginning to investigate the feasibility of sharing records/information across jurisdictions. For such an approach can work successfully with all safeguards in place to protect privacy, commercially sensitive information, and ensure information protection protocols work effectively good practices and systems must be in place.

In July 1998 the Department out-sourced its IT operations and support and at the same time undertook a major upgrading of technology. This was a complex process and staff found it difficult to cope with the pace of change. Now that the systems are bedded down we have the advantages of an operational system which is working well and with which staff feel comfortable. We are due to tender for a new outsourcing contract, to be let from July 2001. If there is a change in supplier, there will be a period of disruption. Any major system changes we commence as a result of this project will take place from now to December 2001, and it is advised that any technical changes wait until after the new contract is let.

We recommend commencing the development of tools to be used with the new system - thesaurus and retention and disposal authority and development of an implementation plan for further discussion.

It is concluded that the improvements to the system are operationally feasible, based on the current and immediate future needs of the Department, and taking the change management issues into account.

Technical feasibility

Due to the improvements made in the operating system in 1998, the Department now has a standard platform across the whole organisation including new regional offices.

There are a number of products available which have been evaluated and approved by the Office of Government Online for use in government and which would meet our needs. Because new products are being placed on the market all the time, we recommend undertaking a review of what is available through other State government assessments.

The skills required to complete the project would involved in-house staff in project management and on-going maintenance, and consultants to assist in developing the tools, advising on software configuration and delivering training.

It is concluded that the improvement to the system are technically feasible both in terms of the Department's IT infrastructure and products and skills readily available in the marketplace.

Financial feasibility

The costs of the project will be further quantified with the letting of requests for Expressions of Interest, to include estimated time frames and costs. The purchasing of a software licence for a records management system and the development of the tools to support its operation are a standard operating requirement of any government organisation, along with staff training in the new tools and system.

As the implementation progresses there will be a need for discrete projects to migrate data to the central system, convert legacy data and to update user metadata which is significantly out of date and affects ability to track records accurately. The productivity benefits of better retrieval and control on records will be realised in the medium-term, and will flow through to areas such as the Ministerial system, with improved workflow and better access to information.

It is concluded that further costings are required but that the costs of initial purchase and installation will be at a level expected for a Department of this size.