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DIRKS Manual - Appendix 7 - Function source document

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DIRKS Manual - Appendix 7 - Function source document

    APPENDIX 7

    FUNCTION

    SOURCE

    DOCUMENT

    September 2001

    ffdf

ISBN 0 642 34449 3

    ? Commonwealth of Australia 2010

    This work is copyright. Apart from any use as permitted under the Copyright Act 1968, no part may be reproduced by any process without prior written permission from the National Archives of Australia. Requests and inquiries concerning reproduction and rights should be directed to the Publications Manager, National Archives of Australia, PO Box 7425, Canberra Mail Centre, ACT, 2610. Privacy statement Collection of personal information from email The National Archives of Australia will only record your email address if you send us a message. The address will be used only for the purpose for which you have provided it. We will not use your email address for any other purpose and will not disclose it without your consent.

    National Archives of Australia DIRKS manual Appendix 7 Function source document APPENDIX 7

    FUNCTION SOURCE DOCUMENT

    Use this form to consolidate information gathered about functions, activities, and

    transactions through Step B Analysis of business activity. Document

    recordkeeping requirements identified in Step C in Table 2. Complete one form for

    each function.

     1. Organisation:

2. Function reference:

3. Function term:

4. Function scope note:

5. Function date range:

    Start date End date Source and date of information

6. History of function

    Briefly indicate any changes to the function through its history, including amendments to legislation

    affecting or authorising the function

    Date Changes Source

7. Other organisations that have administered the function (or linked activities)

    Organisation Dates of Activities Source

    responsibility

8. Business units that carry out the function

    Name each business unit, branch and division responsible for all or part of the function.

    3

    National Archives of Australia DIRKS manual Appendix 7 Function source document Table 1

    Complete for Step B Analysis of business activity

    Note: A table cell will not accept more than one page of data. To monitor this, use ‘Page layout’ view. Activity Source of Authority Risk

    Transactions Stakeholders and nature of interest

    4

    National Archives of Australia DIRKS manual Appendix 7 Function source document Table 2

    Complete for Step C Identification of recordkeeping requirements

    Note: A table cell will not accept more than one page of data. To monitor this, use ‘Page layout’ view.

    Source Stakeholder Requirement Recordkeeping Requirements Type

    Disposal Action Other Description of Records

    5

National Archives of Australia DIRKS users manual Appendix 7 Function source document

    Guide to completing the Function source document

    1. Organisation: enter the name of the organisation being analysed.

    2. Function reference: a consecutive number to identify the function. 3. Function term: the term used to describe the function.

    4. Function scope note: the definition of the function term. See Step B.4.2.2 for

    advice on writing scope notes.

    5. Function date range: Based on research, give the date range for the function. If a

    function is ongoing, no end date is needed. See Step B.4.2.3 of the manual for

    advice on dating functions and activities. Indicate the source of the information,

    including relevant page number, or for legislation, section number. Also include

    the date of the source. You may use more than one source to determine the date

    of a function, including interviews.

    6. History of function: Describe the history of the function since its identified start

    date. Possible points to include are changes to legislation, information on the

    level of responsibility of agency, changing administrative control of the function,

    the social and political importance of the function.

    7. Other organisations that have administered the function (or linked activities):

    Indicate the name of any other organisation that has carried out all or part of a

    function, either before or concurrently with this organisation. Indicate the dates

    during which the other organisation performed this role.

    8. Business units that carry out the function: Name each business unit, branch

    and division responsible for all or part of the function. Alternatively, attach a

    detailed organisational chart with relevant areas highlighted. Once all functions

    are identified, all business units (except administrative units) should be assigned

    to one or more functions. It is important to note that many functions will cut

    across business units.

Guide to completing Table 1

    Complete Table 1 for every activity performed in relation to the function.

    1. Data entry: A data cell will not hold more than one page of data. If you are in

    ‘Normal view’ it will accept and display more than a page of data on screen, but

    it will not print beyond the first page. If you are in ‘Page layout’ view, any data

    beyond the first page will be hidden.

    1. Activity: Include the activity term, scope note and date range. A reference

    number for future use can also be included, eg A1, A2 etc.

    2. Source of authority: This can be a formal source such as legislation, or informal

    such as interview. It identifies how you know the activity is carried out. Provide

    a summary of the relevant part and a source number relating to the register of

    sources (question 22 of the Organisation context document).

    If the activity has been carried out over a long period of time you will need to

    ensure that the sources cover that period and note any that show a variation on

    how the activity was carried out.

    3. Stakeholders: Identify internal and external stakeholders who have an interest

    in the activity and indicate the nature of their interest. See Step B.4.4.

    6

National Archives of Australia DIRKS manual Appendix 7 Function source document

    4. Risk: Some activities within the function may carry a high risk. Indicate the

    nature of any high risk. Risk assessment guidelines or the organisation’s risk

    management plan may help identify these areas. See Step B.4.5

    5. Transactions: List transactions that form the activity. Identifying transactions

    can help determine the boundaries of an activity.

Guide to completing Table 2

    Complete Table 2 for Step C Recordkeeping requirements 1. Data entry: A data cell will not hold more than one page of data. If you are in

    ‘Normal view’ it will accept and display more than a page of data on screen, but

    it will not print beyond the first page. If you are in ‘Page layout’ view, any data

    beyond the first page will be hidden.

    2. View: Make sure you are in ‘Page layout’ view before you begin to enter data in

    the table. A data cell will not hold more than one page of data.; you can monitor

    this in ‘Page layout’ view.

    3. Activity: Include the activity term.

    4. Recordkeeping requirements: Enter identified recordkeeping requirements

    relating to the activity, for example ‘keep register for 50 years’, ‘file must be

    open to the public’.

    5. Source: Indicate the source of the requirement, including a specific part/section

    reference for legislation. You can use the source number from the register of

    sources. You may wish to copy and paste relevant parts of the text or include a

    brief summary. The source of authority for an activity (in Table 1) will be a

    source of recordkeeping requirements for the activity and there may be others.

    For example, if source of authority for an activity is a piece of legislation, you

    will find additional recordkeeping requirements in this legislation.

    6. Stakeholder: Identify the stakeholder for the requirement. This may be

    parliament for regulatory requirements, the organisation or a particular section

    (eg audit section), or a community group (eg the RSL for Department of

    Veteran’s affairs). One requirement may have a number of stakeholders.

    7. Requirement type: Indicate whether the requirement relates to creation, access,

    content, form, quality or retention.

    8. Description of records and disposal action: If you are developing a disposal

    authority, include the class description and recommended retention period. If

    any requirements are not being met, justify and document this elsewhere.

    9. Other: use this column to note any other issues. This may include

    recommending a class for retention as national archives, to show that a risk

    assessment has been conducted, or that there are specific requirements relating

    to the retention of the records (eg storage for unusual formats).

    Citing sources

    You may need to revisit your sources again in later steps, or when re-using the

    information for another project. To make this easier, it is important to cite

    information correctly. See Appendix 1 Guide to documentary sources, for advice

    on identifying and citing sources.

    7

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