Outcome and outputs reports

The National Archives of Australia Outcome and Outputs Framework 2000–01 has provided a basis for work planning, resource allocation and performance assessment within government resourcing and policies. The outcome and outputs reports that follow provide an assessment of the Archives’ progress towards achieving the performance measures, indicators and targets.

During the year, changes within the Archives’ output groups were made. This was necessary to more clearly define the various tasks and functions performed, and the resources allocated to them. Changes to the outputs are as follows:

• The descriptions of Outputs 1.2 and 1.4 had minor changes to more appropriately describe the activity performed.
• An additional Output 2.1 was created to cover the review of the National Archives collection.
• As a consequence of creating a new Output 2.1, a renumbering of the previously existing outputs in Output Group 2 occurred.
• There have been changes to the performance information of a number of the outputs in both Output Group 1 and Output Group 2.

The performance information that the National Archives of Australia used to assess its level of achievement against outputs during 2000–01 is shown on the following page.

Outcome and outputs

Outcome

To preserve valuable Commonwealth records as part of the archival resources of Australia and make them accessible to present and future generations.

Output group 1

Output group 2

Output group 1

Following the launch of the Archives’ e-permanence suite of web-based recordkeeping standards, policies and guidelines in March 2000, priorities for the year 2000–01 were promoting e-permanence, developing and delivering training courses in the various standards, policies and guidelines, and assisting Commonwealth agencies in their implementation.

Outputs

Output 1.1 – Recordkeeping standards, policies and guidelines

Anecdotal evidence suggests that government agencies view the standards, policies and guidelines as important tools for improving recordkeeping practices in government agencies. In particular, feedback received from project teams in government agencies on the exposure draft of the Designing and Implementing Recordkeeping Systems (DIRKS) Manual, the foundation document of e-permanence (see below), has been extremely positive. In a significant development, one of the most important government stakeholders, the ANAO, has been highly complimentary of e-permanence and has indicated it intends to use the standards, policies and guidelines as benchmarking tools for assurance audits of agency recordkeeping.

The e-permanence suite of standards, policies and guidelines was launched on 30 March 2000. Supporting training courses for e-permanence were developed through the second half of 2000. Most training modules were delivered in February 2001. It is planned to conduct a formal survey of the views of government agencies concerning the products in 2001–02.

The development of the standards, policies and guidelines concentrated on improving and consolidating the e-permanence suite of publications by adding new standards, policies and guidelines and by revising and improving existing standards, policies and guidelines on the basis of user feedback and implementation experience.

An area of concern to some government stakeholders has been the extent of documentation requirements for appraisal projects, and the need for a more seamless alignment and integration of advice and procedures between the DIRKS Manual and the Appraisal Guidelines for Commonwealth Agencies. These concerns have been noted and are being monitored in the course of various agency implementations. Work commenced to streamline the Appraisal Guidelines in conjunction with the review of the DIRKS Manual.

Reactions from the professional community to e-permanence products have been very positive. In particular, there have been positive reactions to the DIRKS Manual from archival institutions and professional recordkeeping communities in the United States (Michigan and Minnesota), Canada (The National Archives of Canada), China, Malaysia (National Archives), France (The National Archives of France), and the United Kingdom (Public Records Office of England and Wales). Project teams in each of these countries are looking at adapting the DIRKS methodology to their own circumstances and requirements, and have sought the advice of the Archives in these efforts.

Recordkeeping publications

Amongst our new publications was Archiving Web Resources: Guidelines for Keeping Records of Web-based Activity in the Commonwealth Government. It provides practical guidance for agencies in complying with the Archives’ previously published policy requirements in this area.

An important new standard substantially completed during the year was the Standard for the Physical Storage of Commonwealth Records. This standard was developed following the expiry of the common use arrangement Buyers Guide 240 in 2000. Its aim is to give agencies direction in procuring records storage services from industry providers and in developing and assessing in-house storage facilities. The development of the storage standard was informed by the outcomes of a formal review of Buyers Guide 240, which was conducted in cooperation with the Department of Finance and Administration, and by consultation with other archive organisations, agencies and commercial storage providers.

DIRKS Manual

The foundation document of the e-permanence suite of standards and guidelines is Designing and Implementing Recordkeeping Systems: A Manual for Commonwealth Agencies, or DIRKS Manual. This manual was jointly published with State Records New South Wales as an exposure draft in February 2000. During the year the manual was comprehensively reviewed based on the combined experience of Archives and agency staff, and consultants, in implementing the methodology.

The revised manual, which will be released in early 2001–02, will incorporate in one place advice that was previously provided in two publications, the DIRKS Manual and the Appraisal Guidelines for Commonwealth Agencies. The decision to combine these two publications was made in response to implementation experience, which highlighted the difficulty agencies experienced in working with two separate Archives publications when conducting essentially the same set of processes. The revised manual will incorporate newly developed guidelines for preparing a business case and a cost–benefit analysis for recordkeeping system projects.

In conjunction with the release of the revised DIRKS Manual, the Archives will release a database tool which will assist agencies in collecting and managing the information that is gathered in the course of implementing the DIRKS methodology.

General Disposal Authority

Substantial progress was made during the year towards the issue of a new General Disposal Authority (GDA) for copied records. This new authority will supersede and extend the existing GDA 22 which authorises the destruction of short-term temporary records once they have been copied. The new disposal authority will allow the early destruction, without further authorisation from the Archives, of most original records scheduled for temporary retention, provided copies are made and kept to appropriate recordkeeping standards, and are retained for the entire retention period. Applying the new GDA will benefit agencies because they will be able to store records in a more compact form (for example, microfilm), thereby reducing storage costs.

International records management standard

In February 2001, the international standards community approved a draft standard for records management. The standard, ISO 15489-1: Information and Documentation – Records Management – Part 1: General will be published later in 2001 with a companion technical report, ISO 15489-2: Information and Documentation – Records Management – Part 2: Guidelines. The Australian recordkeeping community, including Archives staff, participated in development of the standard. The international standard will supersede Australian Standard AS 4390, Records Management, which is referenced in the Archives’ standards, policies and guidelines.

Output 1.2 – Authorisation of disposal and custody of records, approval or certification of recordkeeping and services

One agency has written to the Archives concerning the scope of GDA 22, which authorises the destruction of short-term value records that have been copied. The agency was concerned that the authorisation does not extend to long-term temporary-value records. A decision has since been made to extend authorisation to long-term temporary records.

During 2000–01, five amended disposal authorities and eight new disposal authorities were issued. Of these, three amended disposal authorities, or 27 per cent, were issued within ninety days from the receipt of agency agreement. The delay in issuing the other two amendments and the eight new authorities was due to the development and introduction of a database to control the issue of disposal classes and associated procedures. No complaints were received about the delay.

Disposal authorities

The Administrative Functions Disposal Authority (AFDA) is an authority that covers the disposal of the general administrative records common to all government agencies. It provides more effective and comprehensive disposal coverage of routine administrative functions.

Positive feedback has been received from government agencies on the AFDA relating to both the extent of its coverage and ease of use. AFDA has generated widespread professional interest both nationally and internationally because it is the first significant product of the e-permanence approach to modern recordkeeping and provides a useful model for generic and specific disposal authorisation.

Some activities concerning the property management, personnel and establishment functions may need to be covered separately by those agencies with unusual legislative or operational requirements. Agencies with current records disposal authorities have a degree of disposal coverage for their unique functions. These records disposal authorities will, over time, be replaced by disposal authorities based on functional appraisal.

Forty-four agencies on the Recordkeeping Implementation Work Plan undertook functional appraisal work in 2000–01. New functions-based records disposal authorities being produced by agencies include retrospective analysis of functions and will be used to support the Archives’ collection review activities.

The next survey of the proportion of government agency functions with disposal coverage will be conducted in 2002. The Archives conducts these surveys every five years.

Notes

Provision of advice and assistance to government

Comprehensive advice and assistance was provided to government agencies on implementing elements of the e-permanence suite of standards, policies and guidelines. In particular, Archives staff assisted agencies with implementing the DIRKS methodology. Most of these agencies were primarily focused on completing the first three steps of the methodology, which will produce a functions thesaurus and a functions-based disposal authority – two key control tools for introducing and managing best-practice recordkeeping.

Appraisal practices

In conjunction with the implementation of the Archives’ new appraisal regime, the Archives has commenced the development of formal consultation mechanisms to help analyse community expectations for the retention of Commonwealth records. The first of these formal consultative arrangements has now been established with the Australian Historical Association. The Archives is also working with government agencies, such as the Department of Veterans’ Affairs, to widen consultation with external stakeholder interest groups as part of the appraisal process. These consultative arrangements will help the Archives assess those Commonwealth functions and activities for which records need to be retained as national archives.

Records destruction freeze

The destruction freeze on National Archives records relating to Aboriginal and Torres Strait Islander people, put into place by the National Archives in May 1996, was extended in September 2000. The freeze was extended to cover both policy and operational records of selected Commonwealth agencies that might be of use to Indigenous people trying to re-establish family and community links with those from whom they were separated as a result of government policies. The freeze is one of the Archives’ responses to the recommendations of the 1991 Royal Commission into Aboriginal Deaths in Custody and the 1997 Bringing Them Home report of the Human Rights and Equal Opportunity Commission.

Output 1.3 – Recordkeeping promotion and training

Activities undertaken during the year to promote e-permanence to a range of audiences included seminars, trade displays, publishing of articles and delivery of papers at professional and government forums.

Informal feedback and take-up of e-permanence products and services indicate that the promotional campaign has achieved widespread recognition and acceptance of the Archives’ role in setting recordkeeping standards for Commonwealth government agencies. This is supported by the number of people trained, the agencies now undertaking DIRKS projects, the proportion of agencies which have nominated a senior officer with whom we can liaise about the standards, and the substantial increase in visits to our recordkeeping web pages. The Archives conducted forty-eight training courses, and attracted a total of 720 participants during 2000–01.

Survey of attitudes, perceptions and behaviour towards recordkeeping

A survey of attitudes, perceptions and behaviour concerning recordkeeping in public sector agencies and initial analysis of the results was completed in August 2000. The survey is the first of its kind undertaken of government agencies by the National Archives. While the survey results showed that Australian public service staff considered recordkeeping an important contributor to good business outcomes, this was not matched by perceptions of the state of recordkeeping in their agencies. Overall responses reflected concern in a number of areas, including management of electronic records; inadequate training for both records managers and record creators; and lack of understanding and support by senior managers for recordkeeping. The survey results also indicated strong support for consistent records management standards and guidelines across the service.

Survey results are being used to inform promotion and training strategies and to provide a reference point for measuring progress in the future. The survey data will continue to be assessed as part of promotion and training development projects.

Recordkeeping website

The Archives’ recordkeeping website was launched in March 2000 and provides access to all Archives’ standards, policies and guidelines as well as details about training services. Since its launch, visits to the recordkeeping web pages have nearly trebled and are now in the vicinity of 45 000 to 50 000 per month.

Responsible agency officer register

The Archives has established a register of senior officers who have been nominated by their agency heads to be responsible for recordkeeping policies and practices. To date, this register includes contacts from 129 agencies out of a possible 164, and is used to direct information about the Archives’ standards and also identify the appropriate person with whom we can liaise about agency-specific recordkeeping issues.

Training activities

The Archives completed development of a range of new training courses to support best-practice recordkeeping within the Commonwealth. The development of the training courses and materials and their promotion and delivery to agency staff and contractors involved substantial effort by Archives staff from a range of programs as well as input from recordkeeping consultants. Staff also received training in the design of educational materials and presentation skills to ensure high quality results. The Archives conducted forty-eight training courses, and attracted a total of 720 participants during 2000–01.

Training for Commonwealth recordkeepers

This training course covers the ongoing creation, maintenance, preservation, sentencing (including the use of the new AFDA), transfer, lending, and destruction of records. It is presented as either a one- or two-day course and its target audience is records managers and other staff with records responsibilities in Commonwealth agencies. The course has been presented seventeen times to 232 participants.

Training in DIRKS methodology

A half-day seminar giving an overview of the new DIRKS methodology and a four-day set of practical workshops were developed as part of a joint project with State Records New South Wales. The four-day practical workshops give participants an opportunity to look at the DIRKS methodology in detail as well as the related development of a functions thesaurus for titling records and development of a functions-based records disposal authority. Workshop participants undertake a range of practical exercises using a case study. The target audience for these sessions includes DIRKS project leaders, project staff and senior managers with information and records responsibilities. The ‘Working with DIRKS’ overview has been presented thirteen times to 189 participants and DIRKS workshops have been presented four times to 59 participants.

Training in application of AGLS metadata

Because the Australian Government Locator Service (AGLS) metadata standard is a key enabler for the Commonwealth Government’s Online Strategy, which has a 2001 compliance deadline, the Archives had a very busy year providing AGLS training courses and conducting site accreditation assessments of Commonwealth websites. Fourteen AGLS training courses (twelve in Canberra and one each in Sydney and Melbourne) were delivered to 240 participants in cooperation with AIMA Training and Consultancy Services Pty Ltd.

Training for record creators

While most of the e-permanence suite of promotional and training products are aimed at recordkeeping professionals in Commonwealth agencies, the Archives took steps during the year to address another important audience in the field of government recordkeeping, namely the individual public servants who create and use records on a daily basis. Substantial progress was made toward producing training materials highlighting the importance of good recordkeeping by public servants and to provide basic guidance on good recordkeeping practice. The Archives will endeavour to distribute the materials to as many Commonwealth public servants as possible and will make the materials available to agencies to use when delivering induction training and records management system training.

Output 1.4 – Recordkeeping metadata and descriptive standards

The Archives’ standards for describing and retrieving records continue to be adopted for use in other jurisdictions and to receive recognition through professional awards. The most recent survey found that 76 agencies expected to be AGLS compliant by June 2001.

AGLS metadata standard

The Archives continues to manage the development and deployment of the Australian Government Locator Service (AGLS) metadata standard with the assistance of the cross-jurisdictional AGLS Working Group. In September 2000 a revised version of the AGLS Manual for Users (Version 1.2) was released. Later in the year a new publication was released on the Archives website, the Commonwealth Implementation Manual for AGLS Metadata. This new manual replaces previous Commonwealth AGLS Implementation Guidelines and Service Description Guidelines, combining all Commonwealth-specific AGLS requirements into one publication.

The AGLS standard has been adopted by the Public Record Office of Victoria for use in conjunction with its Victorian Electronic Records Strategy and has also formed the basis of the recordkeeping metadata standard issued by State Records New South Wales. The Archives was honoured when the standard was awarded the Australian Society of Archivists’ (ASA) Mander Jones Award for ‘the publication making the greatest contribution to archives or a related field written by or on behalf of a corporate body’. The award was announced at a ceremony in Melbourne in August 2000.

The value of the AGLS standard has been recognised internationally. It has been adopted for use by the New Zealand Government, and the governments of Ireland, Canada and the United Kingdom have shown strong interest in using the standard. The leading international status of AGLS as a Dublin Core-based resource discovery metadata standard was confirmed by the appointment of the Archives’ Andrew Wilson as chair of the Dublin Core Governments Working Group and member of the peak international Dublin Core Advisory Committee.

International standard for archival description

In September, the International Council on Archives (ICA) published the second edition of the International Standard for Archival Description, General, or ISAD(G). Through its membership of the ICA’s Committee on Descriptive Standards, the National Archives of Australia had substantial input into the revision and substantial expansion of this significant international archival standard. ISAD(G) has been adopted in a large number of countries and has enabled the international archival community to make substantial progress towards standardised practice in the description of archival holdings. In turn this should improve accessibility of archival holdings, provide greater consistency and certainty for researchers and facilitate the computerised exchange of archival descriptive data.

In March, Adrian Cunningham attended an international workshop in Toronto, Canada, which had the aim of commencing the development of an international standard which will support the web-based exchange of standardised descriptions of records creators (persons, families and corporate bodies). This standard, to be called Encoded Archival Context (EAC), will be a companion standard to the Encoded Archival Description Standard (EAD), which provides for the construction of web-accessible descriptions of archival records using eXtensible Markup Language (XML). The combination of these two new standards will facilitate web-based searching of the full range of archival descriptive data across distributed national and international archival repositories.

Compliance with metadata standards

Compliance with the National Archives’ metadata standards is explicitly required by the Government Online Strategy, which is administered by the National Office for the Information Economy (NOIE). The recordkeeping metadata standard will usually be implemented when a government agency reviews and develops its recordkeeping systems. Most government agencies are at the early stages or have not yet commenced DIRKS projects that should lead to the implementation of recordkeeping systems complying with the National Archives’ recordkeeping metadata standard. While it is too early to conduct a formal survey of agency compliance in this area, compliance with the recordkeeping metadata standard will be able to be assessed routinely when the Archives commences registering electronic records series in the Commonwealth Record Series system and taking these records into custody.

Compliance with the AGLS metadata standard is assessed by NOIE as a part of its Government Online reporting framework. The most recent NOIE survey, conducted on 30 March 2001, found that 76 agencies expected to be AGLS compliant by June 2001.

AGLS accreditation

Over forty agencies and fifty websites received AGLS quality assurance accreditation by the Archives during the year. While there is still much work to do to achieve widespread AGLS compliance across the Commonwealth, a critical mass of quality AGLS metadata is now in existence on government websites. The existence of this metadata greatly assists online access to Commonwealth information and services via government web entry points and portals.

Output 1.5 – Preservation and storage of archives

As at 30 June 2001, over 95 per cent of the Archives’ holdings of national archives were stored in appropriate conditions. Of these, over 51 per cent are packaged in archival quality containers, defined as those set out in the standards issued by the National Archives and published as Appendix C to the Australian Standard AS 4390, Records Management, Part 6. The Archives’ schedule for repackaging is determined by the rate at which the various types of records deteriorate.

Treatment plans for individual items progressed as planned during the reporting year. Between 1 July 2000 and 30 June 2001, the proportion of national holdings of records of established archival value stored in appropriate containers increased by more than one per cent overall. In particular, significant quantities of film-based records were surveyed and re-packaged in the Melbourne and Sydney offices of the Archives.

Notes explaining disposal terms used in the following tables

Go to Output Group 2