Manual for the Design and Implementation of Recordkeeping Systems (dirks)
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Document details regarding functions, processes and sources
Aside from your business classification scheme, it can be useful to record your more detailed findings regarding the functions. This information can be picked up in later steps or projects. For example, you could record information on:
- regulations or other sources that underpin the functions and activities
- risks associated with each function and activities
- stakeholders that have an interest in the function or activity
- business sections that are responsible for or carry out aspects of the function, and
- changes to the function through time (if found), and
- more details regarding the dates of functions (if found).
In addition, you should keep documentation of the information collected in your sequential analysis. Diagrams, known as 'logical models' are often a suitable way to record the analysis of business process information. [9]
Textual information should also be recorded about processes, such as the name of the process, transactions within it, records created or that need to be created as part of transactions, responsibilities, recommendations regarding changes and what functions and activities they have been mapped to. Dates when the processes were analyzed should be recorded.
If you established a register of all sources in Step A: ^ Preliminary investigation you may also want to keep notes for each documentary source summarizing the key information and location of the source.
[Drafting note: ARMS would like to include a more detailed model of process analysis. If anyone has one they consider suitable, and are willing to share it, it would be greatly appreciated].
^
Assign terms to functions and activities
As part of your analysis it will be necessary to choose terms that can provide labels for the functions and activities you have identified. The terms chosen should reflect the terms used in your department/section and in current files.
At this stage the terms do not need to be too controlled - they simply act as a 'handle' on the concepts. They can be phrases, for example, rather than one or two terms. If you are going to develop a classification scheme you can refine them at a later stage.
| ^ Tip: Using controlled vocabulary Some people do set up a controlled vocabulary in their business classification scheme as it enables them to clarify the document and make it suitable for viewing by staff. If you have an existing thesaurus or retention and disposal authority, you may decide to use that terminology in your business classification scheme. If you are going to develop a thesaurus anyway, you may find it useful to include the controlled vocabulary in the business classification scheme. You should refer to ARMS Guidelines for Developing and Implementing a Records Classification Scheme for more information. |
| ^ Tip: Terms that reflect administrative areas If you choose terms that relate to administrative areas you may have difficulty in convincing staff of the differences between the function and the administrative area. If the terms are also in the classification scheme, staff will need to be instructed in their use or they tend to assume the terms refer to the administrative area. |
Describe functions and activities
You will also need to include descriptions for functions and activities in the business classification scheme. The main reason to define the boundaries or breadth of each function or activity is so you can ensure that their meaning is understood, that entities at the same level do not overlap and that the relationship between entities is clear.
The definition of the function or activity will start as quite tentative statements or even dot points, and then can be revised as you refine your business classification scheme. If you are intending to compile a thesaurus these definitions can be turned into scope notes.
^
Assign dates to functions and activities
If your project involves creating a retention schedule, it is valuable to note down details of changes in the ways functions and activities are performed when you come across them. Sources for this information should also be noted in case you wish to go back and check the information.
Date ranges are particularly valuable for compiling retention schedules. Information about changes over time will help you to assess whether additional disposal classes and actions are required in the disposal authority to reflect the changes.
| Tip: Note changes If you suspect or know changes have taken place but you cannot find authoritative sources to support this, note the changes and inform ARMS when you submit your retention schedule. |
Link stakeholders
As part of analyzing the broad legal and social context in the preliminary investigation (Step A), you may have identified organizational stakeholders and you may come across more during this step.
| ^ Example: Identify stakeholders
Stakeholders in processes will include those involved and those managing the processes or those requiring the process to take place in order to complete other processes. |
These stakeholders should be linked to the relevant function or activity as their interests may be a source of recordkeeping requirements in Step C: Identification of recordkeeping requirements.