Manual for the Design and Implementation of Recordkeeping Systems (dirks)
| Вид материала | Документы |
- Design and installation of pipelines for heating systems usingpipes, 616.28kb.
- Design and installation of pipelines for heating systems usingpipes, 608.87kb.
- 1 Примеры программ ecad, 243.4kb.
- Audi Group Design Center. Уникальный проект audi ag и Audi Russia, направленный, 105.22kb.
- Тематика лекций по дисциплине «Механика грунтов, основания и фундаменты», 8.01kb.
- Web-дизайн Понятие веб-дизайна, 215.6kb.
- Web дизайн включает в себя визуальный дизайн (вообще), дизайн представления информации, 1039.6kb.
- Assessing Implementation of the eecca environmental Partnership Strategy – a baseline, 147.38kb.
- Государственный стандарт союза СССР информационная технология Комплекс стандартов, 428.01kb.
- Experience of tqm principles and iso 9000 implementation in the Pridneprovsky region, 67.13kb.
Analysing risk
Overview
Risks in Step B
Link to functions and activities
Overview
Once the hierarchical analysis and process analysis has been performed, the risk connected to functions and activities should be analyzed. How detailed the process will be will depend on your department/section’s culture with respect to risk, whether recent organizational risk assessments have been done and whether research indicates there is likely to be a high level of risk.
Assessing risk at the functional level in Step B assists in:
- prioritizing areas for future analysis, and
- identifying areas that perform the function as requiring more stringent recordkeeping practices and training.
Risks in Step B
If you have conducted the analysis in Step A: Preliminary investigation you may have already identified some areas of risk in your department/section. Source analysis during Step B may have revealed other areas of risk, for example, legislation may carry strong penalties for non-compliance in particular areas, or risks may have been identified in workshops with staff.
You also need to consider the consequences of these risks, such as financial loss, public embarrassment or unacceptable delays. The degree of analysis will be dependent on your organization's culture and experiences with respect to risk.
^
Link to functions and activities
If you have identified areas of risk in Step A: Preliminary investigation or Step B you should link them to the analysis you have performed. For example, the risk can be noted next to the functions - activity - transaction it relates to. This will assist you to see what functions and activities constitute the most risk for the organization and help you if you wish to prioritize your DIRKS process based on levels of risk.
^
Documenting Step B
Overview
Business classification scheme
Document details regarding functions, processes and sources
Assign terms to functions and activities
Describe functions and activities
Assign dates to functions and activities
Link stakeholders
Validate schemes
Keep your analysis up to date
Overview
It is at your discretion regarding how you wish to document the business analysis and how detailed this documentation needs to be. Decisions may be made based on the aims of your project.
| ^ Example: Check existing requirements ARMS has certain requirements regarding the structure of a retention schedule. The hierarchical business classification scheme described below provides the basis for this structure. Therefore, if your project is to create a retention schedule you will save time if you document your Step B analysis in this way. |
| ^ Example: Merging with record titling classification schemes If you are using an alphabetic representation of a hierarchical classification scheme customized for records titling and if the aim of your project is to create a thesaurus, you should consider documenting your analysis in Step B using the hierarchical business classification scheme described below. |
Documentation should be kept on functions, activities, transactions, processes and sources analyzed. This section gives further advice on what should be documented.
^
Business classification scheme
The business classification scheme is a hierarchy of functions, activities and transactions. A business classification scheme helps you to make decisions about the management of records at an aggregate level.
The layout of the business classification scheme can make it easier to see if there are any inconsistencies or overlaps in your analysis. You can check that:
- the combined functions account for all of the business the department/section carries out
- each function and activity and transaction is described using meaningful terms
- each function and activity has a definition and date ranges if they can be found (and if they are relevant to the project)
- the boundaries of each function mutually excludes the other functions, and
- the boundaries of each activity mutually excludes the other activities.
Example of a business classification scheme
An example of one way you might represent a hierarchical business classification scheme is shown below. In this example, the definitions have been turned into scope notes in preparation for a file titling thesaurus. The organization is a fictitious one that monitors food production.
| Function | Activity | Transaction |
| Quality Compliance Date range: 1998 - Description: The function of monitoring the observance of quality assurance standards and licence conditions by food producers. Includes managing complaints, inspecting facilities and taking enforcement action where the health and safety of consumers is at risk. | ^ Complaints management Date range: 1998 – Description: The activity of receiving and responding to complaints. Includes ensuring that any necessary corrective action is taken. | Receive complaints Assess complaints and possible solutions Refer complaints to other programs Respond to complainants |
| | Inspection Date range: 1998 – Description: The activity of inspecting food producer production methods and facilities. Inspections may be in response to complaints or as a part of licence allocation or monitoring processes. Includes reporting on the inspection, issuing notices, re-inspection and referrals to other Departments for action. | Inspect and assess food production processes and facility Issue Direction or Improvement Notices where applicable Report on inspection Reinspect and assess where notices have been issued Report on re-inspection Refer breaches to other Departments |
| | Investigation Date range: 1998 – Description: The activity of investigating and reporting on breaches of quality standards and licence conditions with regarding to food production methods and facilities. Includes interviewing and observing production and facilities, reporting and referrals. | Interview food production staff Observe food production and facilities Refer breaches to other Departments where further action is required Report to the Quality Food Board Inform producer of results of investigation Include summary of breaches in annual report |
[Drafting note: ARMS would like to include a template and a more detailed example of a U.N. business classification scheme as appendices. If anyone has one they consider suitable, and are willing to share it, it would be greatly appreciated].