Use this form to consolidate information about the organisation gathered during the preliminary investigation (Step A of the DIRKS methodology).
Please note: If you are gathering information for the development of a functional retention and disposal authority, see the Procedures for Disposal Authorisation for State Records' requirements.
1. Who is responsible for managing this project in your organisation?
Show details of the senior officer in charge of the project.
|Jane Smith||Chief Information Officer||X978|
2. What is the name of the organisation?
Include all names that the organisation is known by including acronyms, registered business names, and names of business units (eg shopfronts).
|Fire Management Agency||Source 1: Fire Management Agency Annual Report 2005/6|
3. What type of organisation is it?
For example, department, statutory body, non-statutory body, corporation, university etc. If your organisation is registered show relevant details.
|Type||ABN or ACN||Source number|
|Statutory authority||123456||Source 1: Fire Management Agency Annual Report 2005/6|
4. To whom does the organisation report and is there anything unique about the reporting arrangements?
For example, to parent department, directly to portfolio minister.
|Reporting arrangements||Source number|
Reports to the Minister for Law and Order
Source 1: Fire Management Agency Annual Report 2005/6
5. What are the defining characteristics of the organisation?
Comment on unique characteristics (for example, the organisation's autonomy, budgetary status etc) and indicate whether the organisation is the 'lead agency' responsible for administering legislation which affects most organisations.
|Statutory body with sole responsibility for fire management in NSW||Source 7: Fire Management Agency website|
6. What is the history of the organisation?
Indicate the date that the organisation came into existence, predecessor or successor organisations and any major losses or gains in functions and/ or restructures of the organisation.
|July 1 1975||Fire Management Agency brought into existence by an Act of Parliament. Predecessor organisation was the Fire Brigades (1886 - 1975).||Source 2: NSW Government Gazette July 1975|
|c. 1980||Lost the function of 'fire saftey in the home' to the NSW Police.||Source 6: Fire Management Agency Annual Report 1980/81|
7. 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 scope of its business activity is taken into account. If there are numerous units they should be grouped into types of units that carry out the same group of business activities (for example, overseas posts may be classified as consulates and embassies).
|Office-holder responsible for the organisation, eg Secretary, Director-General:
|List units, eg offices or posts of the organisation and their location||Business activity||Source number|
|Head office||Strategic management; fire policy; reporting to Minister; Personnel management; Corporate services||Source 3: Interview with head of Corporate Services, Bob Francis, 14/1/07|
8. Who are the organisation's major stakeholders?
For ease of reference, list the stakeholders identified during the course of the preliminary investigation and specify the nature of their interests.
|Stakeholder||Nature of interests||Source number|
|NSW Police||Records of fires for investigations||Source 5: Interview with legal officer, John Brown 15/1/07|
9. What is the official basis of the organisation and why was it established?
Identify the nature and extent of the organisation's role, purpose and responsibilities, noting any divisions of responsibility between the organisation and its major stakeholders that are supported by establishment legislation or related documents.
|Establishment of the organisation||Source number|
|Fire Management Act 1975 establishes the Agency and described its functions. Amended twice; 1980, 1989.||Source 4: Fire Management Act 1975|
10. What legislation is administered by the organisation?
List legislation administered by the organisation. This may include legislation referred to in earlier questions.
|Source name (short title)||Source number|
|Fire Management Act 1975||Source 3: Interview with head of Corporate Services, Bob Francis 14/1/07|
|Fire Safety Act 1980||Source 3: Interview with head of Corporate Services, Bob Francis 14/1/07|
11. What legislation affects the role or the operation of the organisation?
Do not include legislation that is shown in the previous question or legislation that underpins the general administrative functions carried out by your organisation and covered by General Disposal Authorities linked to Keyword AAA.
|Source name (short title):||Business activity||Source number|
|Privacy and Personal Information Protection Act 1998||Personnel management; fire incident reporting||Source 5: Interview with legal officer, John Brown 15/1/07|
|Freedom of Information Act 1989||All||Source 5: Interview with legal officer, John Brown 15/1/07|
12. Has the organisation contracted out to non-government organisations any functions and /or activities that these bodies will perform on its behalf?
Note specific legislative provisions and/or contractual arrangements that govern these relationships.
|Contracted out functions and details||Source number|
13. Dos the organisation have a role in overseeing the performance / operations of other organisations?
|Nature of role of overseeing other organisation||Source number|
14. Are there standards that have been imposed on or adopted by the organisation? If standards are imposed which body has the authority to monitor compliance? What purpose or effect do the standards have?
List mandatory standards, voluntary standards (or parts thereof) including best practice, technical, or industry standards to which the organisation subscribes. A distinction should be made between standards that are administered by the organisation (such as a regulatory body) but which apply to other bodies; and standards that apply to the organisation itself. Indicate, where applicable, the regulatory body which is responsible for monitoring compliance.
|Source of standard and other details||Source number|
15. Does the organisation have any significant joint ventures, agreements or consultative arrangements with other organisations relating to core functions?
|Agreement / arrangement||Source number|
16. What does the organisation do?
List the general areas of business activity for which the organisation is responsible (for example, health, education, employment, scientific research).
|Business activity||Source number|
17. What services or products is the organisation responsible for?
List the major products and services provided by the organisation.
|Product or service||Source number|
18. What industry sector or sectors does the organisation operate within (eg social services, higher education, health). Explain how changes in the industry sector(s) affect the operation of the organisation.
|Industry sector||Source number|
19. Are any of the business areas of your operations subject to a high level of litigation?
Comment on the nature, frequency, trends, risks and consequences of litigation. Show different areas of business activity separately.
|Litigation details||Business activity||Source number|
20. Who are the organisation's clients, customers or target audience?
Identify the principal client groups for the organisation's products and services. Do these correlate with its target audience? If not, ensure that actual and potential client groups are identified.
|Client / customer / target audience||Source number|
21. Are there interest groups in the general community who express opinions, either formally or informally, on how the organisation carries out its business? What business activities do they focus on?
Sources of interest may include consultative bodies, advocacy or community groups, the media, or Parliament.
|Stakeholder/Source of interest||Nature of issue and dates when the issues were current or topical||Source number|
22. What Committees (if any) oversee key aspects of the organisation's business?
|Committee||Dates of operation||Source number|
23. What is the current strategic focus of the organisation?
Look at the organisation's strategic planning documents and recent executive statements. These will identify the organisation's direction, changes in activities that are currently carried out, or new activities.
24. Has the organisation or any facet of its business been the subject of any recent internal or external audits?
List all the reports that have been produced in the course of these audits with a brief summary of any recommendations that have not been implemented. Indicate the business activities involved.
|Date||Recommendations||Business activity||Source number|
25. Does your organisation have a formal compliance program or strategies and/or procedures in place to ensure compliance to laws, standards etc?
Indicate any measures in place to ensure that relevant laws, regulations, codes and standards are not breached.
|Details of compliance programs, strategies or procedures||Source number|
26. Does the organisation have a formal risk management program in place?
Comment on the risks associated with the organisation's business activity and the strategies and/ or procedures in place to deal with such risks. Indicate if there are risks that could be better managed through improved recordkeeping practices.
|Risk levels and the recordkeeping risk management strategies in place||Business activity||Source number|
27. How is recordkeeping managed within the organisation?
Comment on recordkeeping systems in existence; who has responsibility for recordkeeping; the structures, policies and procedures in place to manage recordkeeping; the resources directly allocated to recordkeeping; staff awareness about recordkeeping; and staff competence and training.
|Recordkeeping management||Source number|
28. Does the organisation have a systematic records disposal program? What records disposal coverage currently exists and is there a significant volume of existing records that require coverage?
Include details of current record disposal authorities.
|Information about records disposal||Source number|
29. How is technology used in business information systems and information management systems including recordkeeping and /or records management systems?
Comment on the technological capabilities of the organisation, referring to indicators such as use of technology in business information systems, work-stations and work practices, resources allocated to technology, and staff competence and training.
|Technology and its use in the organisation||Source number|
30. What sources have been used to undertake the preliminary investigation?
Compile an annotated register of all documentary and oral sources used during the preliminary investigation.