Managing the whole records lifecycle

Using the Accreditation Standard as a benchmark, we initially carried out a comprehensive assessment of the client’s Archive collections and services. To do this we:

• reviewed existing documentation
• interviewed staff responsible for providing archive services
• conducted site visits and evaluated collections
• interviewed key stakeholders regarding records management practice and archive use

We also considered the organisational health, the collections and stakeholders and their experiences in line with the Standard requirements.

A revealing gap analysis

As a result of this gap analysis, we were able to provide an objective view on their current readiness to begin the accreditation process. We did have to deliver the unfortunate news that a significant amount work had to be undertaken in order to reach accreditation standard. However, this did provide our client with an honest assessment of their current maturity and an analysis that quantified the amount effort and resources required to achieve accreditation.

One of the key findings of our review was that many of the issues that we identified in the Archive had root causes in past and present records management practices. For example, gaps in records retention management led to haphazard transfer of items of long-term value to the Archive. There was a lack of distinction among staff between the Archives and records that the organisation is obliged to keep because of legislation – which led to bleed between collections. It was evident that the lack of records governance, and the resulting lack of clear guidelines for staff, was also causing many issues for the Archive.

Expanding the focus

Based on the findings of the gap analysis, it became clear that governance of the whole records lifecycle was required. From an archival perspective, there was an acute concern regarding the capture of modern digital records with preservation value. There were no clear pathways to ensure that records of significance made it into the Archive, which meant the risk of the organisation suffering a “digital dark age” was high.

In addition, there was a real need to address records management within the organisation, to ensure that compliance and risk was addressed. Being a cultural heritage institution meant that the records supported heritage artefacts that they managed. Within the heritage sector, it is vital that organisations are accountable for the decisions they make, and records management is critical to ensure this.

This discovery meant that the recommended business case needed to be expanded to ensure records were effectively managed throughout their whole lifecycle.

Our business case provided a clear and attainable vision for the future of records and archives management. Activities to govern both records and archives were identified and organised into a roadmap. Developing records and archives governance via a roadmap allowed for the organisation to complete the work in small and achievable blocks of work – which is ideal for organisations with limited resource. Our plan also addressed the resources required, although this was scoped with sensitivity with regard to the constraints faced by the client.