The Bank of Thailand (BOT) commissioned Recordkeeping Innovation to: Review its archives and records policies and processes; review records control tools; conduct work process and functional analysis; develop records classification, develop retention and security/access schedules; coach, mentor and comment on work process analysis and functional analysis undertaken by BOT staff for records classification, retention and security/access schedules so they were able to complete aspects of this project themselves; determine the requirements for the development of a new, integrated corporate records management system; plan a strategy for a corporate records management system to support the BOT's corporate objectives; and promote awareness of the records program among senior staff/management.
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This project required extensive research to understand the regulatory framework, in particular the safety and environmental compliance requirements of the agency. The project required extensive stakeholder consultation, there was a need for regular communication and progress reporting and adherence with the agency's project management methodology. Our ability to coordinate and deliver in a complex technical environment was a key factor in gaining user acceptance and stakeholder's acceptance of the deliverables.
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UNSW was seeking to re-design and upgrade its IT infrastructure, and required a scoping study to identify and manage corporate electronic records across the University. In a complex and changing IT environment, we devised a scope of works, based on achievable phases to implement EDRMS outlining costs, benefits, resources and tasks for the project team. The study was undertaken to define the strategy and develop forward estimates, to look at hardware requirements and software standards that would support the proposed recordkeeping framework. The plan was devised in phases and identified key priorities for upgrading and implementation.
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Recordkeeping Innovation have undertaken a number of key strategic planning and design projects for Archives NZ.
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Recordkeeping Innovation was commissioned to develop and implement a number of recordkeeping control and system governance tools to address deficiencies identified as a result our strategic review of the organisation's records management program. Project deliverables included: a policy review; a Business Classification Scheme (File Plan); a metadata framework; and disposal guidelines.
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Sydney Ports needed a plan to manage the immediate logistics of assessing and culling inactive hardcopy records, identifying business critical records for re-location and planning the new storage requirements, moving inactive records to off-site storage and to target for conversion those records that are required for immediate access into electronic formats by scanning.
Over the short project timeframe Recordkeeping Innovation provided project management and expertise for records retention, sentencing and disposal. This required new policies and procedures, TRIM software implementation planning and the development of a business functions based classification system that was accepted by stakeholders.
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Recordkeeping Innovation reviewed Commerce's information management toolset. This involves analysing and documenting work processes within each of the agencies and developed taxonomies and disposal authorities, information assets maps.
The project involved: extensive consultation with staff at all levels of the organisation, done by interview and workshops; business process mapping using a work process analysis model; and development of titling and disposal authorities.
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Our consultants brief was extended beyond the recordkeeping processes to negotiate a shared corporate standard for approval processes, corporate communication, levels of delegated authority and business processes associated with external communication. The Department operates in a highly sensitive political environment, with numerous stakeholders, so consistency and accountability based on timely and accurate information in its dealings with clients was crucial.
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Recordkeeping Innovation undertook a strategic review, merged the classification schemes, identified the gaps in disposal authority coverage and developed disposal schedules to cover the identified gaps. The classification and disposal schedules were loaded into TRIM Context and linked, so that newly created records inherit disposal sentences (disposal on creation).
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Vopak operates in the hazardous substances industry and is required to maintain safety and environmental standards while managing a busy terminal and port operation. There is a wide range of industry and company standards, guidelines and reporting requirements to be met, and they are regularly audited by government agencies. With a wide variety of record types and formats, including voluminous engineering and technical drawings, Vopak needed a whole of enterprise knowledge and information system to meet its compliance standards. Recordkeeping Innovation developed a strategic information plan, based on the regulatory framework to meet the business needs.
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Recordkeeping Innovation has been a trusted advisor to Energy Australia, guiding the growth of the records management system and advancing its reform agenda through a number of strategic assignments. We completed a compliance audit of Energy Australia's records management program against the State Records Act 1998 and associated standards, identifying system deficiencies and recommending enhancements to operations. A key recommendation was that the agency move towards a fully digital/electronic recordkeeping environment. As a consequence of the review, we were engaged to develop an implementation plan and business case for the deployment of enterprise Electronic Document Management software. The business case was approved by Executive Management and the EDRMS roll-out commenced in 2009.
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The Office of the Victorian Privacy Commissioner issued a compliance notice to the OPI under section 44 of the Information Privacy Act 2000 (Vic) arising from the investigation of circumstances surrounding a privacy breach. The outcomes of this investigation were published in an OVPC report #39;Jenny#39;s Case', February 2006. The Compliance Notice requires an independent audit to review initiatives and improve facilities and procedures to protect the personal information held by OPI from loss, unauthorised access and unauthorised disclosure, which in turn will inform the Privacy Commissioner about whether there is a need for further steps. In the course of the investigation, the records systems supporting the work of OPI were reviewed by Recordkeeping Innovation and recommendations made to support initial actions already underway to improve recordkeeping in OPI.
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Following a complaint to the Ombudsman, Canterbury City Council received recommendations for recordkeeping improvements and the enhanced accountability of its officers for their decisions.
Using HB 278 - 2009 Recordkeeping Compliance as the measurement and reporting framework, Recordkeeping Innovation assessed the Councils recordkeeping tools, systems, processes and training framework to produce a corrective action report and plan for addressing the Ombudsman's findings.
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A leading advocate for vulnerable young people, YOTS is a not for profit organisation based in Sydney, but expanding rapidly. The organisation requires accreditation from the NSW Commission for Children and Young People for its work with young people. The Commission has guidelines for managing case records for services recipients, and maintains high accountability standards. YOTS needed to develop recordkeeping procedures to comply with the Commission's requirements. We worked with their staff to develop simple, hardcopy records procedures, including templates, forms and file construction formats that were practical, could be followed by field workers and met the Commissioners requirements for accreditation. These were essential for auditing and to meet the grant funding standards.
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Recordkeeping Innovation developed a Quality Improvement Framework for Archives and Records Management Services for the Scottish Council on Archives.
The aim of the project was to develop meaningful measures of service provision and quality of archives services so that funding bodies could evaluate the impact of the services they supported and provide a baseline for continual improvement. The study involved extensive stakeholder consultations on the role and meaning of archives, alignment of archives and records outcomes to national and local authority outcomes and alignment with the outcomes of other similar professions, such as libraries, museums and galleries in the cultural heritage domain. The report included developing quality indicators and a self assessment tool.
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Recordkeeping Innovation reviewed the validity and coverage of the 1973 Public Record Act of Victoria following a strategic review of archives and records by the Victorian Auditor General. This project involved consultation with a range of strategic stakeholders including key regulatory compliance officers, such as the Ombudsman, Auditor General and Privacy Commissioner. Consultation was also undertaken with key players in the cultural heritage and arts administration fields, public service standards setting bodies, and the broader public sector. The project objectives were to develop options for revised or new legislation for appropriate management of public records of all ages into the future.
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Recordkeeping Innovation assessed the readiness and the change management processes needed to manage digital resources within the documentary heritage institution. The review examined all aspects of the ATL operations: its mandate, mission; holdings; relationships with the National Library of NZ; descriptive and control processes; systems; skills and infrastructure.
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Recordkeeping Innovation was engaged to undertake a Knowledge Strategy development and pilot project at Transgrid. Transgrid has an ageing workforce and a highly technical environment, where past knowledge is vital to maintenance and production schedules. The aim is to identify sources of tacit knowledge and make them more accessible.
Recordkeeping Innovation also produced a Recordkeeping Assessment Report based on ISO15489, with strategies for improvement. This project was to develop a high level action pan to improve recordkeeping by identifying key tasks and providing indicative timeframes for tasks completion.
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Recordkeeping Innovation undertook an assessment of the level of compliance against the HB 278 - 2009 Handbook for Recordkeeping Compliance. The assessment was to benchmark and measure that the quality of the records program was adequate to meet the needs of the business for accountability. It covered all aspect of records management and recordkeeping, including policy, responsibilities, recordkeeping processes, system design and technology. The aim was to identify priorities for risk remediation and recommend improvements in systems, policy and monitoring. Medicare operates a major transactional reporting and financial system, with high levels of accountability based on sound recordkeeping practices, business intelligence and auditing practices.
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Recordkeeping Innovation was involved in the development of a metadata standard to act as the framework for data extraction and unification within a portal environment (virtual digital repository), working across Singapore's archives and museums. Each institution had a separate inventory system, with different protocols, metadata and descriptive standards.
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