Sample management plan - DIRKS Manual

• Introduction
• Methodology
• Expected benefits
• Staff resources and training
• Related projects
• Reporting arrangements and quality control
• Other resources required
• Milestones
• Barriers and risks

Introduction

This is a Management Plan for the temporary project to compile a thesaurus and records disposal authority (named 'TADA') and to assist in the development and pilot implementation of an electronic records/document management system and associated recordkeeping policies and procedures at the ABA. The project Work Plan contains a more detailed examination of tasks.

Background

The ABA is committed to integrating knowledge across the organisation and sharing resources in order to reduce duplication of effort and inefficiency and streamline information resources in support of changing business goals. As part of this process, a new ABA information management system (AIMS) is being developed, integrating data from a number of access databases to provide the core data and technology infrastructure to support the ABA's functional requirements.

It is proposed that a new electronic records/document management system will be established to capture electronic transactions that fall outside the sphere of the AIMS databases. It is envisaged that the electronic records/document management system will operate along with the paper-based recordkeeping system - a 'hybrid' system.

Even if the electronic records/document management system is not implemented, a number of recordkeeping tools need to be developed so that the ABA's systems function effectively as recordkeeping systems. These tools need to be developed in compliance with relevant legislation and with standards set by the Office of Government Online (OGO) and the National Archives of Australia (NAA), and recommended in the Australian Standard AS 4390-1996, Records Management. They also need to be supported by relevant training, guidance, policy and procedures.

Scope

The main business objective of this project is to create a number of new tools necessary to support recordkeeping across the ABA. These tools should assist all staff at the ABA to meet their business needs, legal and regulatory obligations, and broader community expectations and should meet the relevant standards.

Specifically, the project involves using the methodology for Designing and Implementing Recordkeeping Systems (DIRKS) and associated guidance, to:

• assist in the selection and development of an electronic document/records management system for the ABA that will be linked to the ABA's information management system (AIMS)
• create a ABA specific thesaurus of functions, activities and topics/subjects that can be merged with the Commonwealth version of Keyword AAA: A Thesaurus of General Terms for the coverage of functional and administrative records
• implement the merged thesaurus across the ABA and train staff in its use
• create an ABA specific Records Disposal Authority based on the same business classification scheme that can be used to sentence paper and electronic files from creation
• assist in the identification of policy, procedures and other records management tools as required to support the above products.

It is expected that the implementation and review of AIMS and the EDMS/RMS will occur after the 6 month period, so it is not part of the project's scope. In addition, while the project does involve identifying the need for policy, procedures and guidance regarding recordkeeping, it is not the responsibility of this position to develop them within the 6 month period for which this project is being resourced.

Methodology

Source of the methodology

The methodology to be used is outlined in:

• Designing and Implementing Recordkeeping Systems: Manual for Commonwealth Agencies, jointly produced by the State Records Authority of NSW and the National Archives of Australia and customised to the Commonwealth environment (Steps A-C), and
• the Appraisal Guidelines for Commonwealth Records produced by the National Archives of Australia.

The manual and guidelines are based on Section 3 Strategies of the Australian Standard AS 4390-1996, Records Management.

Key stages of the methodology

The DIRKS methodology identifies 8 key stages for implementation of a recordkeeping system:

• Investigation of broad environment in which the organisation operates (stage 1 of Appraisal Guidelines)
• Analysis of the functions and activities performed by the organisation (stage 2 of Appraisal Guidelines)
• Analysis and identification of organisation's requirements for making and keeping records relating to these functions and activities (modified in Stage 3 of Appraisal Guidelines)
• Assessment of the extent to which existing systems meet these requirements
• Identification and selection of recordkeeping strategies to meet requirements
• Design of a recordkeeping system that incorporates these strategies
• Implementation of the recordkeeping system
• Evaluation of the performance of the recordkeeping system.

Stages 1-3 of the Appraisal Guidelines draw on Steps A-C, with some modification to Step C. The TADA project will involve these 3 stages. 

Stages used in the TADA project

The stages will not be approached in a completely linear way. Where possible, steps will be collapsed. For example, it is possible to complete some aspects of Stage 2 while completing Stage 1.

Stage 1

Stage 1 of the methodology will involve identifying and documenting the role of the organisation, its structure, the business, regulatory and sociopolitical environments in which it operates, and the major factors affecting recordkeeping practices. It provides contextual information about factors that will influence the ABA's need to create and maintain records.

Stage 2

Stage 2 will involve developing a conceptual model of what the ABA does and how it does it, by examining its business activities and processes. The analysis is to understand how records relate to the ABA's business and will contribute to decisions about their creation, capture, control, storage, disposal and access.

The conceptual model (the business classification scheme) developed in Step B can then be used as the basis for developing an ABA specific functions-based thesaurus for records, that will conform with ISO 2788-1983, Standard for the Establishment and Development of Monolingual Thesauri. It is expected that, once staff have been consulted and are comfortable with the thesaurus, it will form part of the pilot of the records/document management system. If this system is not operational, it can be used within electronic directory structures.

Stage 3

Stage 3 will involve conducting risk assessments, identifying the ABA's requirements to make and keep evidence (in its broadest sense) of its business activities and to document the requirements in a structured and easily maintainable form. This evidence will ensure that individuals and organisations are accountable to government, courts of law, shareholders, clients, community interest groups and future generations.

The nature of the ABA and the context in which it operates will dictate whether it needs to create and keep evidence of its activities. These recordkeeping requirements will be identified in Stage 3 by analysing the ABA's business needs, legal and regulatory obligations, and broader community expectations. Stage 3 also involves an assessment of the organisation's exposure to risk if the evidential requirements are not addressed.

Stage 3 also involves creating a records disposal authority for the ABA's records, which then needs to be authorised for use (by law) by the National Archives. This can be incorporated into the electronic record/document management system to enable sentencing at creation.

The documentation compiled during Stages 1-3 (Steps A-C of DIRKS) can also assist, to some degree in identifying:

• other recordkeeping requirements, such as access, content, form and quality (part of Stage 3 not covered by appraisal)
• requirements for an EDMS/RMS (step D)
• the need for policies and procedures for recordkeeping (Step E).

However, these will not formally be part of this project. In addition, the analysis will only cover the ABA, not the Australian Broadcasting Control Board or the Australian Broadcasting Tribunal.

See milestones below and the project Work Plan for information about expected time for completion of the stages.

Expected benefits

General

• Tools to improve creation, capture and access to relevant information (which may facilitate efficiency and effectiveness of program delivery, policy formation and decision making)
• Streamlining of business processes and linkage to recordkeeping needs
• Improved capacity to explain and provide evidence of ABA's actions and decisions when required
• Identification of main strengths and weaknesses in recordkeeping practice at the ABA
• Definition of responsibilities for recordkeeping

Thesaurus

• Faster and more efficient retrieval and access to records
• Facilitation of document sharing
• Greater consistency and control of the language used for file titling and indexing paper and electronic records
• Mapping of records to disposal classes so that sentencing can happen at creation

Records Disposal Authority

• Decreased FOI and discovery compliance costs
• Knowledge of what records need to be created and managed so that ABA can be more accountable.
• Documentation of legal and regulatory requirements and community expectations which may improve compliance
• Understanding of evidence-related risks which can lead to decreased exposure to unacceptable risks
• More appropriate management of records consistent with retention requirements
• Improved retention of and access to corporate memory
• Ability to continue transferring records to the National Archives of Australia or destroying them legally (decrease storage costs)

Assistance with EDMS

• Improved integration of electronic recordkeeping with other business systems, applications and technologies
• Compliance with Government information management and technology (IM&T) initiatives
• Documentation for assessing systems against recordkeeping requirements, or developing new recordkeeping systems at a later date (Steps D-H of DIRKS)

Supporting documentation

• Identification of strategies, such as policies, procedures and guidance to support recordkeeping tools and address recordkeeping problems

Staff resources and training

Project coordinator

Janet Knight has been appointed for a 6 month temporary period to conduct the project on a full time basis.

Assistance from information management staff

In addition, it is expected that assistance will be required on a regular basis from information management staff within the ABA with knowledge and experience in:

• the functions and activities performed by the ABA
• the records management practices of the organisation
• current tools, such as the existing thesaurus and disposal authority.

Staff members with these skills may be called upon to discuss ABA recordkeeping issues, comment on drafts and assist in staff training/consultation. They will also be kept informed about the progress of the project so that they can keep the tools up-to-date when the project has been completed.

It is estimated that 2 information management staff will be required for an average of 1 day each per week for the 6 month period. However, their involvement will be on an irregular basis.

The following timetable estimates the level of involvement in each part of the project:

*Note: where possible, time will be saved on some stages by merging them slightly. For example, business activities and recordkeeping requirements (stages 2 and 3) can be partly identified in Stage 1.

Supervision

Jenny Brigg, Project Manager, IT Infrastructure Upgrade Project, will supervise the conduct of the main project to compile a thesaurus and disposal authority. John Evans, Special Projects, will supervise any input into the electronic records/document management project.

In addition, a project officer from the National Archives of Australia is assigned to the project to advise and check on each stage to ensure compliance with the DIRKS methodology. Geoff Smith has been appointed the contact person at National Archives, Sydney Office.

Staff and stakeholder involvement

The project will require additional staff resources due to the staff and management participation required. For example:

• In Stage 1 assistance may be required from the librarians in gaining access to suitable sources. Short interviews with be conducted with records managers and corporate managers regarding recordkeeping, risk management and corporate goals.
• Stage 2 involves discussions a few representatives of each business unit (about 1-2 hours per unit) to confirm that the range of the unit's activities has been adequately identified. This may be able to be combined with other UPIT consultations.
• Half day training sessions in Sydney and Canberra will be run for all staff on use of the thesaurus. These may need to be followed up with individual hands-on training (1 hr) in renaming files and using electronic tools (these can be incorporated with EDM training if the system is implemented or can be done using Windows Explorer).
• Stage 3 involves short discussions with stakeholder groups and with those responsible for risk management within the organisation. It may also involve some additional feedback from key staff.
• Half day training will be run for records staff in the use of the records disposal authority.

Related projects

This project has a number of overlaps with other information management projects.

• AIMS - Some of the information captured in the AIMS databases are also records and need to be managed and disposed of according to the disposal authority.
• E-Dime web review - The terms in the thesaurus can be used in the metadata (descriptive information) that supports the Web pages. The metadata makes the web pages more accessible.
• Government Online Strategy - The strategy encourages electronic commerce. The TADA tools can streamline the process of making ABA records available on the web site (use of thesaurus terms; movement of recordkeeping metadata to AGLS metadata). Information obtained on the web site may also be captured into ABA's databases or the electronic records/document management system.
• Electronic Transactions Act - IT requirements and verification procedures need to be examined. These issues are as relevant to the TADA project as records must be authentic and accurate.
• Pilot of electronic records/document management system - The thesaurus and disposal authority will be used in the EDMS. When files are created and titled disposal decisions can be attached to them immediately.

Reporting arrangements and quality control

Janet Knight will report to Jenny Brigg on a fortnightly basis about the project's progress. She will also report informally to John Evans about EDMS/RMS as required.

When relevant to the progress of the project, reports will be submitted to

• IT Infrastructure Project (UPIT) reference group, which has branch representation, and
• the working group examining additional implementation issues for the information system, which reports to the UPIT reference group.

Regular reports will also be given to the Information Management Steering Committee and published on the records management section of the Intranet (see Project Work Plan for details). There may also be formal reporting to the Chief Information Officer when this position is filled.

The National Archives of Australia requires certain documentation to be submitted at the end of each stage of the project for quality checking (and for authorisation of the disposal authority). The documentation can also be submitted to interested parties and placed on the Intranet.

Other resources required

Other resources, besides staff resources that will be required, are:

Milestones

Commencement date: 10 January 2001

Cessation date: 9 July 2001

Note: As required feedback and involvement in EDMS/RMS selection and development and identification of the need to develop policy and guidelines will be built into this timetable. Stages may also be collapsed slightly, which will affect exact timing.

Barriers and risks

1. Change management

One of the main difficulties in a project of this nature is managing change. The project impacts on every individual in the organisation who creates or receives records (including e-mail). Users need to adjust to a shift in the way records are classified (moving from classifying by subject or not at all to classifying by functions and activities using the thesaurus terms), which can take time to learn. In addition, some staff may experience difficulties in adjusting to the new processes and use of the new technology.

Suggested solution: Spend a significant part of the project dealing with change management issues and reassess these at each stage of the project.

Change management issues can involve :

• ensuring that the project is seen as an integral part of the AIMS project, with presentations and staff discussions focussing on both areas
• having a project sponsor and using members of the Information Management Steering Committee to champion the project
• keeping staff informed about the progress of the project using discussions, meetings, staff newsletters, the Intranet site and other sources to promote its aims and objectives
• having regular consultation sessions with staff, such as informal one-to-one discussions, briefings and training (integrated with AIMS where relevant)
• setting up suitable feedback mechanisms - such as a system to register issues, workshops, help desk, quality controllers
• when complete, making accessible via intranets - eg thesaurus and schedule, policy, guidelines, quick reference guides, templates
• assisting in the creation of suitable tools to assist in the use of the thesaurus and disposal authority eg. policies, and guidelines, quick reference guides
• identifying the need for training in records management tools as part of induction training

2. Managing expectations

Alternatively, it is sometimes the case that some users expect too much of the final results of the project, particularly as technology is involved. As a result, if the solution is not what they expected, they may react negatively.

Suggested solution: When communicating with staff make it clear exactly what the new system will and will not do.

3. Monitoring

From preliminary discussions with staff, it appears that previous use of a thesaurus and use of the records management system were sporadic, and deteriorated over time. This will need to be more tightly controlled for the project to succeed.

Suggested solutions: Define mechanisms such as induction and training, refresher courses, monitoring regimes and quality control and reinforce the support of senior management. Development and implementation of these is beyond the scope of this project.

4. Time factor

There is a great deal to achieve in the 6 months of this project. Despite best intentions, the project plan may blow out. For example:

• the ABA is often assigned new responsibilities, such as control of data casting. If this happens within the 6 months, revision of and additions to thesaurus terms and disposal authority entries may be needed
• staff may wish to consult more than what is built into the project plan
• each stage is reliant on the National Archives' approval which could be delayed due to their internal resources
• there is also no scope in the project plan for contingencies such as illness.

Suggested solution: Where possible, variations will be made to the methodology to save time but not encroach on quality (for example, some of the identification of business activities and recordkeeping requirements for Stage 2 and 3 can be done in Stage 1). In addition, the project plan should be reviewed at the end of each stage to ensure the project is still on track. Supervisors and committees should be kept will informed of any problems with timing. Any changes to the project plan can then be negotiated. In addition, the staff who are to be inheriting the tools should be kept informed of the progress of the project so they can deal with any residual tasks.

5. Handover

This is only a 6 month appointment. However, work to maintain the thesaurus and disposal authority, keep training current and manage the rest of the EDMS implementation will continue.

Suggested solution: As recommended above, keep information management staff who will be inheriting the project involved in all phases and ensure they have an understanding of their future responsibilities.