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Last updated: : 31 August 2007
Note for file: A report on recordkeeping in the Australian Public Service
Case studies
‘Managing electronic information’—DEWR
Key Points
- DEWR's success is underpinned by the use of its intellectual resources to deliver quality and valued products. A key element is the department’s information assets. It is important that appropriate standards and contemporary technology are applied in the management and use of these assets.
- DEWR staff are accountable for the effective management of information and must comply with relevant legislative and departmental obligations in this regard.
- DEWR is committed to supporting continuous improvement in best practice information management through ongoing development and promotion of business processes.
Agency Facts
DEWR’s role is to develop policies and implement and manage programmes directed at maximising Australians’ ability to participate in the workforce and improve the productivity of enterprises in Australia. To do this, the department provides government with high-quality advice and services designed to achieve three outcomes:
- Efficient and effective labour market assistance
- Higher productivity, higher pay workplaces
- Increased workforce participation
The department’s outcomes work towards achieving the government’s broader economic, employment and social goals. In doing this, they contribute substantially to other government policy measures directed at sustaining a sound economy.
DEWR has 3500 staff operating in all capital cities and regional areas around Australia.
Approach to recordkeeping
DEWR understands the legislative and business requirements for creating records as evidence of its activities. The current recordkeeping environment provides for appropriate mechanisms to facilitate compliance with the Archives Act and the Australian Standard AS ISO 15489. DEWR’s recordkeeping practices are aligned to the DIRKS methodology.
DEWR manages its records both in paper and electronic formats. In the last financial year, the department created 69,000 paper files of which approximately 45% were case files. DEWR’s financial transactions and information is captured and managed electronically by business systems such as, Business Information System (BIS).
The Information Management strategy is to shift the focus from paper to electronic (where possible) and this is currently being progressed. An example of this strategy at work is evidenced in the approach being taken with the new SAFE (PROTECTED) Project (see—Specific better practices section for more details).
Policy and Strategy
DEWR’s recordkeeping environment is an integral part of DEWR’s Information Management practices. This is acknowledged by the inclusion of Information Management in the Chief Executive Instructions.
Recordkeeping is fundamental to the principal documents that make up the Information Management Reference Set which provide the framework for Information Management within DEWR:
- The IM Vision Statement
- The Information Management Practical Guide
- Information Management Framework
- The Recordkeeping Policy
- Records Management Guideline
- The IM Strategy 2005-2007
Future directions
The successful management of DEWR’s information resources has an importance beyond the efficient conduct of our business processes. Our Mission is to ‘maximise the ability of all Australians of working age to find work, particularly those that face the most severe barriers to work; and support strong employment growth and improved productive performance of enterprises in Australia’.
DEWR’s vision for Information management is that documents, records and e-mails (including attachments) of departmental value will be saved with minimal action and the attribution of metadata will be automated as much as possible. Information will be searchable and accessible regardless of where it is stored or where staff are located. Fragmented shared drives will not be required and inactive documents will only remain available for a specified period. There will be a consistent and logical approach to structuring and classifying our information assets and all information will be read-only by default.
The application of business processes to meet our statutory requirements (privacy, accessibility and security) will be acknowledged as leading practice in the APS.
DEWR has recognised the challenge facing government agencies to manage records in an electronic environment. DEWR is meeting this challenge with the view to balance compliance with an enhanced user experience. In particular, wherever possible, remove any unnecessary burden caused by duplicating information in both an electronic and a paper environment.
Specific better practices—WIMS Document Manager (DM) and SAFE
WIMS
The Workflow and Information Management System (WIMS) is a desktop information facility to capture, manage and retrieve electronic information. WIMS has been operational since October 2000. WIMS was progressively rolled-out to the organisation and is currently available to all departmental staff. WIMS has provided considerable insight into the Department’s information management needs. It has enabled the department to manage documents consistently, provide evidence of the decisions we make and make better use of the work people do.
WIMS has the following key features:
- It is an electronic document management system designed to provide an effective and easy way to manage the ever growing amount of electronic documents with which staff need to deal, in such a way that makes electronic documents easy to store and find again; protects them from unauthorised access but makes them easy to share; and assists the organisation in meeting its compliance obligations for the storage of electronic documents
- it is integrated with other IT systems such as word processing, spreadsheets and email. It is separate from the management of information systems (e.g. for financial, human resource or contract management) and workflow systems
- it has a strong change management, training and user support focus. WIMS training is consistently highly regarded.
DEWR is currently undertaking a project to replace WIMS with 80/20’s
Document Manager (DM)
DM is an advanced electronic document management system and importantly will give the department an improved capability to better manage its work related documents.
Following extensive consultation a new folder hierarchy (organisationally based) and metadata model will be introduced. Throughout the consultation process customised metadata fields were identified, these will enable users to save and search for their documents in a more efficient manner.
There will be in introduction of ‘core’ folders to help staff identify their information. Core Folders will exist in the organisationally based folder hierarchy and will help provide commonality across all of DEWR.
SAFE
DEWR network is currently vetted to the IN-CONFIDENCE level, which means the security classification of information managed within the network should not exceed the IN-CONFIDENCE level.
To assist the management of classified electronic information at the CABINET-IN-CONFIDENCE and PROTECTED level the department created a secure environment called SAFE. It is an isolated working environment where DEWR employees are able to store, edit and email PROTECTED and CABINET-IN-CONFIDENCE information.
SAFE is built around SharePoint technology and introduces the concept of ‘sites’ and ‘libraries’. As part of the creation of these sites, the Information Management Team is assessing the content and assigning a retention period on the site (and its libraries). This approach will ensure that classified electronic information is treated in much the same way that DEWR treats its paper records. This does not however remove employees responsibility to print and place on file all documents of business activities considered official records.
Resource implications
DEWR currently has a team of 20 staff engaged in the Information Management Team. This team is responsible for all aspects of information management within DEWR including:
- support and administration of information systems (including WIMS, TRIM, Corporate Directory and the Corporate Reference Data System)
- policy development and dissemination
- records management activities (including creation, sentencing and destruction of departmental records)
- all change management aspects of information management (including training)
For further information on the recordkeeping practices in the Department of Employment and Workplace Relations please contact:
Simon Mann
Director, Information Management
Phone: 02 6218 4226
