Designing a Records Classification Scheme RCS Based on AS ISO 15489 methodology

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Designing a Records Classification Scheme
(RCS)Based on AS ISO 15489 methodology

• Introduction to DIRS/DIRKS
• Steps A B

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WHAT WELL COVER

• Role and Purpose of DIRKS
• DIRKS Step A Purpose Process
• DIRKS Step B Purpose Process
• RCS Tips Pitfalls

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THE DIRS/DIRKS PROCESS

• DIRS/DIRKS is an Eight Step process
• PRELIMINARY INVESTIGATION STEP A
• ANALYSIS OF BUSINESS ACTIVITY STEP B
• Identification of requirement for records
• Assessment of Existing Systems
• Strategies for satisfying records requirements
• Design of a records system
• Implementation of a records system
• Post implementation Review

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DIRKS STEP A

• Preliminary investigation
• Essential groundwork
• Identifies the major factors of the environment
  in which the business operates.
• Considers the administrative, legal, business and
  social contexts.
• Prepares a business case for records management
• Defines the role that records management plays in
  the corporate culture.

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DIRKS STEP B

• Analysis of business activity
• Details what the organization does and what are
  its main functions, activities and transactions.
• Conceptual view of the organization.
• The development of control tools essential to
  hard copy electronic records system. These
  control tools include the business classification
  scheme, thesaurus, disposition authorities and
  security and access schemes.

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STEP A - PURPOSE
The purpose of Step A is to identify and document
the role of your organization including

• its structure
• the business, regulatory and socio-political
  environments in which it operates
• and major factors affecting its recordkeeping
  practices.

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STEP A - PROCESS

• determine the scope of the preliminary
  investigation
• collect information from documentary sources and
  interviews
• document your research and
• prepare a report for senior management.

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STEP A Preliminary Investigation

• the boundaries of your organization
• the legal framework that impinges upon the
  operations of your organization
• the internal and external stakeholders whose
  interests your organization must take into
  account
• the business, social and ethical standards the
  community expects your organization to meet
• the type of work carried out by your
  organization
• your organizations corporate culture and
• factors affecting your organizations
  recordkeeping practices.

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Collect information from documentary sources

• annual reports
• organizational charts
• strategic plans (eg corporate plans, business
  plans and related planning documents)
• legislation, ministerial statements and media
  releases regarding the establishment of your
  organization
• policies and procedures
• interviews
• your organizations existing records and
  recordkeeping systems and
• publications targeting the interests of
  particular stakeholders.

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Documentary Sources
Source National Archives of Australia Website
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Document Your Research

• a register of all sources used and
• a set of notes for each source (documentary or
  interview).

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MANAGEMENT REPORT

• your organizations business activity
• major stakeholders
• the type of business risks that your organization
  is exposed to
• perceptions of the role recordkeeping plays in
  your organization
• strengths and weaknesses of recordkeeping and
  information systems
• level of management commitment to recordkeeping
  activities
• options for conducting the remainder of the
  project and
• resources required for proposed projects.

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STEP B - PURPOSE

• The purpose of Step B is to develop a conceptual
  model of what your organization does and how it
  does it by examining its business functions,
  activities and processes.
• This analysis will provide the core foundation
  for the development of recordkeeping tools and
  will contribute to the decisions made regarding
  the creation, capture, control, storage, disposal
  and access of records in subsequent steps.

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STEP B - PROCESS

• collect information from documentary sources and
  interviews
• analyse the work performed by the organization
• identify and document the business function,
  activity and transaction
• develop a business classification scheme based on
  a hierarchy of business functions, activities and
  transactions and
• validate the analysis of the organizations
  business activity with senior management.

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INTERVIEWS
Collect Information From Documentary Sources and
Interviews

• Focus on business
• Functions
• Activities and
• Transactions
• Usually involves team workshops

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BUSINESS FUNCTIONS

• Functions are the largest unit of business
  activity in an organization. They represent the
  major responsibilities that are managed by the
  organization to fulfil its goals. Functions are
  high-level aggregates of the organizations
  activities.
• Activities are the major tasks performed by the
  organization to accomplish each of its functions.
  Several activities may be associated with each
  function.
• Transactions are the smallest unit of business
  activity. 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 organization.

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SAMPLE BUSINESS FUNCTION

• Function Law Law Enforcement the function of
  managing activities relating to the regulation,
  notification, prosecution and issuing of
  penalties involved in Council's regulatory role.
  (Do not use for the licensing monitoring of
  individual Registered Premises).
• Activity Enactment the activities associated
  with preparing and enacting Local Laws within the
  municipal area.
• Transaction(s) Creation of draft and final
  copies of specific Local Laws. Includes
  distribution of drafts for comment and filing
  comments made on these drafts.

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Business Classification Scheme

• Commonly referred to as a BCS
• The business classification scheme is used to
  link records to their business context. This is a
  key requirement for making and capturing full
  and accurate records.
• The BCS is not used for Classifying

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KEYWORD AAA

• Keyword AAA is a thesaurus of general terms
  designed for use in classifying, titling and
  indexing most types of records in any environment
  (hard copy or digital). It covers terminology
  common to business functions and activities in
  most organisations.

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RCS SAMPLE
Function 5.0 - Environmental Management The
function of managing environmental issues for
which the Water Authority has direct
responsibility.

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RCS DISPOSAL Links
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Step B - OUTCOMES

• A thesaurus of terms or records classification
  scheme to control the language for titling and
  indexing records.
• A disposal authority that defines the retention
  periods and consequent disposal actions for
  various classes of records.

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SOME TIPS

• Document why a new Class Scheme is required
  (consider writing a business case).
• Gain senior management endorsement for the
  project.
• Engage a project Champion (a senior manager).
• Market the project and the proposed
  changes/outcomes, communicate progress.
• Use a proven methodology (DIRS/DIRKS).
• The record format (hard/soft copy) is
  irrelevant!!!

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SOME MORE TIPS

• Have positive samples stories on hand.
• Consider working backwards!!!
• Only expose users to those Functions they will
  work with.
• Dont use technology as an argument for the
  change.
• Be prepared for more than one method of
  classification e.g. property functional.

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SOME PITFALLS

• Using organisational structure / terminology.
• Bending the rules for one.
• Not knowing your audience (be prepared).
• Failing to outline the process / expected
  outcomes.
• Inflexibility it must work for the users in
  order to succeed.
• Too many levels (in the scheme).