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Last updated: : 31 August 2007
Note for file: A report on recordkeeping in the Australian Public Service
Case studies
‘It’s your business’—DEST
Key points
- DEST understands the legislative framework for open and accountable government to ensure good recordkeeping.
- DEST supports a high level framework for the creation and management of records within DEST
- DEST is committed to supporting continuous improvement in best practice recordkeeping through supportive cultural change and ongoing review of business processes.
Agency Facts
DEST provides national leadership and works in collaboration with others including the community in support of the Government’s objectives. It develops and implements policies to ensure the continuing relevance of education, science and training to contemporary needs and the growing requirement for lifelong learning. DEST manages many diverse programs through third party providers in education, science and training sectors. These programs have been reasonably discrete but are moving closer together as government policy develops and changes. DEST has 2500 staff operating in Australia and at overseas posts.
Approach to Recordkeeping
DEST developed a strategic direction to move from paper based recordkeeping to electronic information management. To engage the business areas and demonstrate delivered improvement, DEST took a pragmatic phased approach to delivery and implementation. This enabled the gradual introduction of change and minimised the impact on work practices.
DEST reviewed its existing recordkeeping practices and identified emails as the group of departmental records in greatest need of management, so these were addressed first. As the benefits of electronically filing emails were recognised, demand increased for additional functionality leading to the implementation of document filing of final and significant versions.
To minimise the impact of change and reduce concern the electronic recordkeeping system was implemented with the default of mixed mode files. This meant files could be paper based with electronic documents attached. This is gradually being changed to offer complete electronic filing through re-education and improved use of the recordkeeping system. Future considerations for scanning incoming Australia Post mail and continual analysis of business process to support relevant capture of records will allow DEST to consider decreasing paper file creation and only accept paper files in exceptional circumstances.
As mentioned, DEST took a deliberate phased approach to new initiatives in capturing and sharing departmental information. The focus was on a ‘hands on support approach’ and ‘how can we help you’ method.
DEST recognised that there was different types of information being stored on the desktop environment—Individual, Team and Corporate.
- Individual Level—This was categorised as personal information using the staff member’s local drive or LAN.
- Team Level—This information was shared by teams/ peers and workgroups and seen as the collaborative space in development of records/reports/policies.
- Corporate Level—This category was for the final draft and record of activity. This information was captured as a final and put into the recordkeeping system and made accessible to all staff unless it was deemed need to know or security classified.
It is recognised that there needs to be a stronger emphasis on wider distribution of information at the Team and Corporate Level to encourage knowledge sharing and reuse of information. Initially the practice was to lock down information to encourage staff to feel comfortable about capture of information with some assurance that information was secure and not at risk of exposure. However, with continued education staff are now aware of how the recordkeeping system can capture records and protect the information through security classifications and access privileges.
DEST recognises that workgroup support was integral to take up of the recordkeeping system. A business support team comprising of system trainers, business analysis and a technical team is the main resource for workgroup support. As part of a broad mandatory compliance program in line with the recordkeeping policy principles, workgroups need to have in place a plan or framework within each Group structure that commits to providing a list of corporate files, and an understanding of the recordkeeping system through training attendance. The business support team have an ongoing role to provide support to the compliance program through regular workgroup visits and workgroup and individual training for staff to understand good recordkeeping practice and document management process.
DEST has continued to promote rollout and use of the electronic recordkeeping system, however technical implications and network performance issues have delayed rollout to the State and District offices. The pilot for States is scheduled to commence in Brisbane in November 2006.
Policy and Strategy
In March 2005 the Department issued a range of policy documents themed under the banner Recordkeeping—“It’s your business”. These included:
- Recordkeeping Policy
- Management Instructions – Corporate Administrative Records
- Recordkeeping Guidelines for Managers
- Frequently Asked Questions
These documents provide specific directions on how DEST can meet its recordkeeping obligations.
Its Recordkeeping Policy actively acknowledges its legislative and regulatory requirement to keep records in addition to recognising their value as a strategic resource and vital assets in support of day-to-day operations.
DEST has in place a recordkeeping compliance framework at Group level as a minimum to ensure business area have agreed responsibilities for a recordkeeping plan, training and file structures.
Specific Better Practices
The DEST policy framework package focused on a high level policy statement with a more specific Management Instructions to give broad advice on recordkeeping procedure. The package was designed to allow expansion of the policy as we broaden the focus to include information management initiatives such as web content, improved archiving of information, improved management of emails and ongoing development of core business systems to include life cycle management. This policy has been endorsed by the National Archives of Australia as best practice policy framework for the Commonwealth. Each of these policy initiatives is outlined as:
Recordkeeping Policy
- the comprehensiveness of the policy (including content on compliance, authority, definitions, scope and legislative basis)
- the Recordkeeping Responsibility Matrix (which outlines levels of responsibility for policy, risk management, governance, quality assurance/audit, recordkeeping, systems and training)
Management Instructions—Corporate Administrative Records
- Including discussion of security, methods for converting paper documents, disposal and advice on the copying or conversion of records
- Recordkeeping Glossary
- Audit trails checklist to be maintained when changing or removing a record
- Symbols to be used and types of sensitive information which should not be included in a file title
Recordkeeping Guidelines for Managers
Guidelines for managers including; statements of “best practice” for recordkeeping within a Group; and, a Manager’s Checklist for Good Recordkeeping.
The continuous improvement and graduated buy in approach will allow DEST to have ongoing reviews of the recordkeeping policy and management instructions to expand capture from workgroup space to corporate space.
DEST will need to ensure that capture of information focuses on capture of records of lasting value rather than capture of specific files. This will be achieved through the DIRKS analysis. While it is recognised that the original basis of DIRKS was for disposal of Commonwealth records, DEST recognises that the DIRKS process will help add value to designing business categories of information and improving automation of capture and disposal management.
Future Directions
The next phase of the recordkeeping project will see full electronic document and records management introduced. This will entail introduction and marketing of version control, business process analysis, collaborative work practices including sharing and reusing data consistently.
Resources
Two teams support the recordkeeping function in DEST. The Records Management Operations team comprising of core functional responsibilities for file creation, quality assurance , mailroom management and archiving commonwealth records. The other team, the Business Support team has responsibility for training in EDRM, recordkeeping plans and business analysis.
For further information on the recordkeeping practices in the Department of Education, Science and Training please contact:
Michael Nagle
Director, Collaboration and Information Management Section
Phone: 02 6211 6337
Chart The portion of the ‘DEST Recordkeeping Responsibility Matrix’ relating to The Policy. Other responsibilities relate to Risk Management, Governance, Quality Assurance/Audit, Delegations, Recordkeeping, Recordkeeping Systems and Training1 is available here. |
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1 DEST, 2005, Recordkeeping Policy
