Bsi bip 0025 3 2003

Effective records management — Part 3 Performance management for BS ISO 1 5489 1 Philip A Jones Ref BIP 0025 3 2003 Whilst every care has been taken in developing and compiling this publication, BSI a[.]

Part 3: Performance management

Phi ip A Jones

Ref: BIP0 25-3:2 0

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Lis t o ffigu re s

Figure 1 Th st rat egic , tac t ic al a d o erat ional lev els w it hin a org niz t ion 10

Lis t o ftab les

Ta le 1 Difere t c ont ex ts for t he pre entat ion of re ults at v ariou

Ta le 2 Th c rit eria u e a a b sis for t he EFQM Ex c ele c eMod l 2

Ta le B.3 Pre c ript ion C – Le al an reg lat ory re uirements 3

Ta le B.4 Pre c ript ion D – Ch rac t erist ic s of rec ord (metad ta) 3

Ta le B.5 Pre c ript ion E – Rec ord man g me t sy st ems 3

Ta le B.6 Pre c ript ion F – Rec ord man g me t proc es e a d c ont rols 3

All busine s s, whethe priv ate o publc s ctor , r ely on infor mation an r c r ds to c nd uct their

afair in a sy stematic an leg aly c mplant way The strateg ic manag ement of r ec rds an

info mation is e s ntial to this pr c s an nev er mo e s than in an ag e of e-c mme c an

e-g ov er nment W ith a ra id ly chang ing an d ev eloping busine s c ntext the e ar c nsid era le

o g anizational benefits to ad opting a c nsistent an stan ard iz d a pr ach to the manag ement

of r c rd s an info mation

In Octobe 2 01 the fir t inte national stand ard fo the manag ement of r c rd s was lau ched in

Montr al, Canad a The two-p rt publcation of Stand ard an Te h ical R epo t, implemented in

the United King dom as BSISO15 8 -1:2 01 an PDISO/TR15 8 -2:2 01, was the culmination

of thr e y ear ’ wo k b a g roup of inte national ex pe ts to sy nthe iz be t pr actic fr m ar u d

the wo ld in the strateg ic manag ement of r c r ds This Stand ard an Te h ical Repor t ar

a plca le to multinational c mp nie an smal ente pris s alke an pr ov id e an e s ntial to l

fo the manag ement of r c rd s an info mation

The Stand ard pr v id es a framewo k within which the ne e sary manag ement of r c rd s an

info mation can take plac This publcation is the third in a s rie of publcations on r c rds

manag ement sup o ted b BSI an is intend ed to c mplement the Stan ard an Te h ical

Repor t an help plac them in c ntex t fo the us r The publcations ex pan on the framewo k

that the Stand ard cr eate an pr v id e both inte pr tation an i ustration of g ood practic Each

v olume has be n writ en pr d ominantly fr m the United King d om per spe tiv e b lead ing United

King d om practitione s, who hav e fir st hand , practical ex e ienc of, an insig ht into, the is ue

facing United King d om o g anizations today

I can wholeheartedly r c mmen this info mativ e s rie to the r ad er, which pr v ide insig ht

into the a plcation of both BSISO15 8 -1:2 01 an PDISO/TR15 8 -2:2 01

The othe bo ks in this s rie ar :

— BIP0 2 -1:2 0 , Ef ct ve r ec r d s ma na gement—Pa r t1: A ma na gement guid e to the

The timely publcation of BSISO15 8 -1 and PDISO/TR15 8 -2 marked a water hed

in the records manag ement profes ion, presenting for the fir t time a comprehensiv e

record s manag ement f amework that could be used b profes ionals an

non-profes ionals al ke The f amework des ribed b BSISO15 8 -1 was completely

s ala le and could be a pled to any org anization reg ardles of it siz S or ly afer

the publcation of BSISO15 8 -1, the BIP0 2 series was lau ched :

• BIP0 2 -1:2 0 , Efe tve r ecor d s ma na gement—Pa r t1: A ma na gement

guid e to the va lue o B SISO15 8 -1, which a dres ed why the s and rd was

an impor ant to l for org anizations; and

• BIP0 2 -2:2 0 , Efe tve r ecor d s ma na gement—Pa r t2: Pra ctca l implementa tion

o B S ISO 15 8 -1, which focused on how to implement the f amework as des ribed

b the s and rd

This publ cation, which is Par 3 of the series, d eals with ensuring that sus aina i ty

of the record s manag ement prog ramme is maintained throug h monitoring and

manag ing perormance of the prog ramme I is throug h a clear u der tanding of how to

manag e per ormance that the records manag ement prog ramme ( the prod uc of

employ ing BSISO 15 8 -1) can be sus ained

This shor g uide on perormance manag ement within a records manag ement

prog ramme is aimed at two main audiences

1 Profes ional record s manag ement prac itioner – who wi l ne d to monitor how wel

the corporate record s manag ement prog ramme is ru ning

2 General manag er – to help them u der tand how to integ rate the perormance

manag ement of the records manag ement prog ramme (as des ribed b

BSISO 15 8 -1 and PDISO/TR15 8 -2) into the overal perormance manag ement

f amework of the org anization

This g uide is intended to bui d on both BIP0 2 -1 and BIP0 2 -2 This g uide wi

consider the pos implementation rev iew phase and ex lore the is ues of measuring the

perormance of the programme and how to d emons rate the benefit to the org anization

measurement ?

In a result -orientated world of mod ern economies, it is common in both the publc and

priv ate sec or for org anizations to measure per ormance in both formal and informal

way s Some larg er org anizations ha e formal per ormance manag ement fameworks

an ofen hav e special z d u it that ov er e the fu c ion I is far les common for

measures relating to record s manag ement and record s manag ement prog rammes to

be included

Records manag ement and the produc s of the records manag ement prog ramme hav e

ofen be n d ificult to measure This is p r icularly t ue when an org anization has

pocket of g ood prac ice in ex is ence, but lacks the consis ency aforded b a corporate

prog ramme BSISO15 8 -1 a vocates such a co-ordinated corporate a proach to the

manag ement of information and records which, when properly implemented, wi bring

many org anizational benefit A prog ramme that has be n dev eloped using the

BSISO15 8 -1 f amework c eates a more s ruc ured env ironment in which to

measure records manag ement per ormance The prog ramme consis s of polcies,

proced ures, prac ices and the pe ple who car y them out Al of these are q uantifia le

input that can be measured

In the perormance-orientated env ironment that exis s within many org anizations

there is a tendency to measure every thing that can be measured, a s enario that is

becoming al to common Measurement for the sake of measurement is a was e of

resour es I perormance measurement is to be a useful to l, it mus be focused and

prov ide d ta that wi l be useful in taking decisions a out the area that is being

measured This is t ue reg ardles of the ty pe of measurement being used, or if it is

related to s rateg ic or operational d ecisions

Per ormance measurement is a sys ematic wa of as es ing the g oals and targ et of an

org anization ( usual y ar iculated in plans and polcies) ag ains it ac ual achiev ement

Per ormance measures are of lt le v alue per se unles they are v iewed within the

contex t of the org anizational s rateg y and objec ives This is also t ue for the records

manag ement prog ramme, which can ot ex is in a v cu m and mus be se n to

cont ibute to the objec ives of the org anization if it is to be efec ive Measuring

perormance in this context should be hig h on the ag end of any one with responsibi ty

for corporate record s manag ement

Perormance measurement as prac ised in both the priv ate an publ c sec or can

ofen be used as a means of communicating suc es to s akehold er This is p r icularly

common in an ual per ormance s atement that comp re present per ormance to that

of prev ious y ear , competitor or ag ains the objec iv es of a s rateg ic plan or projec

Records manag ement prog rammes can exis in a competitiv e internal market, althoug h

it is not enoug h to simply be per orming wel – there is an imperativ e to hav e

demons ra le ev idence that the prog ramme a ds v alue to the org anization and

ultimately becomes an integ ral p r of the org anizations v alue chain

Measurement can be ma e at al lev els within the org anization, f om s rateg ic

indicator (st ateg ic g oals) throug h to specific operational ind icator (unit

measurement ) Per ormance manag ement can be initiated on a corporate or u it

specific lev el as d etermined b the req uirement of the org anization In terms of the

record s manag ement prog ramme, this ma relate to how the prog ramme ru s ( it

eficiency) or how the prog ramme cont ibutes to the org anization’s aims an objec iv es

as a whole (it efec iv enes )

Perormance measures can be dev eloped with the org anization, or be a req uirement of

an ex ternal reg ulator or s akeholder e.g cent al g ov ernment dep r ment set key

per ormance ind icator for local authorities

Perormance manag ement ne ds to be a cola orative proces and involv e al

org anizational s akeholder – those who manag e the prog ramme ( e.g records

manag er ), those who use the prog ramme ( e.g the org anization) and those who

ultimately measure the per ormance (e.g internal or external auditor )

I is impor ant to u der tand at this s ag e the diference betwe n ‘per ormance

measurement’ and ‘perormance manag ement’ Per ormance measurement is

es entialy an as es ment of eficiency and efec iv enes of a g iven set of resour es

ag ains a s ated or ex pec ed out ome Per ormance manag ement is a out using this

information to bring out benefit to the org anization throug h u der tanding this

information and a plying chang e where ne ded

3.1 Int roduc t ion

In g eneral in the UK, measuring per ormance has not be n a priority for many records

manag er , nor has measuring records manag ement perormance be n a p r icular

is ue for org anizations or their auditor A sear h of cent al an local g overnment

polcies and plans turns up l t le ev idence of such ac iv ity , and the recent prolferation

of publc sec or per ormance measurement initiativ es is indicativ e of this The

Char ered Ins itute of Publc Finance and Accou tancy ( CIPFA)

1

records only one

met ic d irec ly relating to records manag ement in their s atis ic for ar hiv e serv ices,

which measures ‘the q uantity of semicur ent records retained b the org anization’

From publcations of result , it is u clear if a larg e or smal quantity is a desired

result, or even what the sig nificance of such a measure mig ht be

I is pos ible that the UK record manag ement commu ity ma se l tle benefit in

perormance manag ement as an ac iv ity No profes ional as ociations in this field

publsh specific g uid nce on perormance manag ement, and there is no evid ence at the

time of writing of any profes ional g roups emb rked on specific benchmarking

ac iv ities for records manag ement Another pos ibi ity is that without s ruc ured

prog rammes to implement record s manag ement prac ice, it has be n v ery dificult to

ac omplsh any meaning ful per ormance measurement

There are many benefit that per ormance measurement can bring to the records

manag ement profes ion and this sec ion hig hlg ht some of these benefit

3.2 Assessing suc c ess

Measuring per ormance can demons rate that p r icular initiatives or prog rammes

being ru within an org anization are delvering the req uired or ag re d result either

for the org anization or cus omer of the org anization This kind of information is

c itical to the org anization in terms of it future plan ing req uirement By ev aluating

the prog rammes that are cont ibuting to it suc es the org anization can alocate

resour es on a more informed b sis Ob iously the rev er e is t ue where prog rammes

are u derper orming Al prog rammes in an org anization ne d to at rac sup or and

1

Archiv e Serv ice Statstc publshed an ualy b CIP A – w w.cipfastats.net

fu ding fom senior manag er This is p r icularly t ue of any records manag ement

initiative Simply per orming a g ood service is not in it elf enoug h to jus ify contin ed

sup or – it is impor ant that suc es can be measured, ev aluated and ultimately

commu icated

Records manag ement prog rammes are inevita ly g oing to compete for resour es with

other corporate prog rammes, whether in the priv te sec or or publ c sec or

Demons ra le suc es is an impor ant fac or in promoting records manag ement

prac ice within the org anization S c es is, howev er, a relativ e concept and the

c iteria with which it is measured are al impor ant The cont ibution of the records

manag ement prog ramme towards the suc es of the org anization should be under to d

within the hig her echelons of the org anization This is in a dition to me ting internal

targ et set b the org anization The g oals of the prog ramme mus be al g ned to those of

the org anization to secure the resour es for contin ing and en ancing the prog ramme

3.3 Communic at ing suc c ess

Go d per ormance measures can be clear and t ansp rent means b which suc es can

be commu icated both within the org anization (e.g throug h teams and employe s) and

out ide the org anization ( e.g throug h s akehold er , reg ulator and polticians) Records

manag er ‘sel ’ the neces ity for a records manag ement prog ramme in many way s

e.g financial sa ing s, improv ed produc iv ity , g reater t ansp rency A positive wa to

reinfor e this mes ag e is b a demons ra le set of perormance s atis ic , which can

v l d te these claimed benefit of records manag ement to the org anization

This perormance information can be commu icated in a n mber of wa s:

• throug h reg ular up ate repor s to senior manag er ;

• an ual s atement or repor s;

• throug h auditor repor s;

• on an internet/i t anet site;

• service/cus omer newslet er

W hatev er the method of commu ication that this is achiev ed throug h, it is an

impor ant ac iv ity in dev eloping and maintaining a suc es ful records manag ement

prog ramme Implementing BSISO15 8 -1 within an org anization is a major projec

and ofen can inv olve the implementer in a chang e manag ement proces In any

chang e manag ement initiativ e commu ication is p ramou t to ensure the suc es of

the initiative

3.4 Financ ial c onsiderat ions

The v arious divisions within an org anization are ofen competing for finite resour es to

pur ue their respec iv e objec ives Per ormance measurement is one wa in which

decisions can be ma e a out alocating financial sup or to prog rammes Go d records

manag ement prac ice is an inv es ment for the org anization althoug h it could easi y be

viewed as an ov erhea The ne d to demons rate the tang ible returns on this inves

-ment is c ucial if the prog ramme is g oing to continue at rac ing fu ding and sup or

To implement BSISO 15 8 -1 wi l req uire an inv es ment b the org anization both in

per on el time and financial commitment Many publc org anizations wi ne d to mov e

fom d is ributed to corporate record s manag ement prog rammes if they are to comply

with the req uirement of s4 (code of prac ice) u der Fre dom of Information Ac 2 0

This ag ain wi require inv es ment ev en if BSISO15 8 -1 is not employed There are

many benefit to implementing a records manag ement prog ramme fol owing the

methodolog y presented in BSISO15 8 -1 Ultimately there are l kely to be financial

sav ing s, but there is fir t a ne d to inves to sav e, as smal local z d cos s that are

disper ed throug hout the org anization become larg er cent alz d cos s

Thi s id entified cent al cost , albei t smal er t han the u id ent ifi ed agg r egated cost s of the

piecemeal a proach, wi s i a pear as a new ov er head on any b lance she t The cos

of t he d ecent ali sed a pr oach is lkely t o hav e be n los in general management cos s

Or g anizat ions ne d to k now t hat any commitment of fu d s is to the benefit of t he

organization and ofer v al ue Go d perormance management result are one el ement

in helping to as ure those who hold t he corporat e pur e s rings that money is wel spent

3.5 Improv ement

Per ormance measurement is also a out continuous improvement al owing inc emental

modifications an improv ement to be ma e b sed on ac ual output and ex pec ed

output I is also impor ant in determining resour e uti ization in terms of human,

faci ties and eq uipment input Records manag ement lterature consis ently makes the

case for the benefit of employ ing ‘g ood prac ice’ record s manag ement BSISO 15 8 -1

identifies the benefit

2

of this a proach, howev er any prog ramme that fai s to measure

an use measurement for contin al improv ement is l kely to ha e a finite l fesp n

Org anizations are dy namic entities responding to market , leg islation and cus omer

ne ds, and it is therefore imperative that record s prog rammes evolv e within these

chang es and contin e t o ad apt and improve to me t org anizational req uirement

Improv ement can also come as a result of specific projec s focusing on ad dres ing

identified problems or urg ent req uirement This ma be as a result of proces

re-eng ine ring , either d riven b the BSISO15 8 series method olog y or another

sour e This improvement can be inc emental or dramatic depend ing on the nature of

the projec

2

Se BS ISO 1 4 9-1:2 0 , clause 4

int egrat ed business st rat egy

To v iew any records manag ement prog ramme in isolation fom the org anization is to a

g reater extent to ‘mis the point’ The purpose of the record s manag ement prog ramme

is to ensure that the org anization g et the g reates v lue out of the wa it manag es and

org aniz s it records In other words, the records manag ement prog ramme makes a

direc cont ibution to the objec iv es and plans of the org anization

Per ormance manag ement within records manag ement prog rammes (eficiency) is

impor ant to ensure that the prog ramme is ru ning in the optimum way , but this alone

is not enoug h without considering how the record s manag ement prog ramme

cont ibutes to the perormance of the org anization as a whole ( efec iv enes ) An

eficient and efec iv e record s manag ement prog ramme wi bring benefit to the

org anization and is far more lkely to at rac inv es ment fom the org anization

An org anization wi ha e plans and objec ives, polcies and procedures and work

prac ices at the s rateg ic, tac ical and operational lev el (as i lus rated in Fig ure1) The

record s manag ement prog ramme wi l be dev eloped at the tac ical lev el but ne ds to

ln with the s rateg ic plans and work prac ices at the operational lev el The suc es of

this interac ion can be measured

5.1 W hat is t he diferenc e?

In u der tanding how records manag ement prog rammes per orm, it is es ential to

dis ing uish betwe n the two concept of eficiency and efec iv enes Eficiency is a out

doing thing s the rig ht way , whis efec iv enes is a out doing the rig ht thing s For

ex mple a car could be working at 10 percent eficiency in terms of it spe d, but

hav e 0per cent efec iv enes as far as p s eng er are concerned if it is t a el ng in the

wrong direc ion I do s not neces ariy folow that one wi lea to the other e.g a

prog ramme can be eficient but inefec ive and make lt le diference to the

org anization, and conver ely a prog ramme could ha e a deg re of efec iv enes , but

that efec ivenes is hampered b a lack of eficiency

5.2 Measuring efic ienc y

Eficiency can be v iewed as a measure of prod uc iv ity (output ) ag ains comp risons of

resour ces employ ed (i put ) Eficiency in it elf is not a measure of suc es an should

not be se n as such In isolation fom other forms of measure, t he r ev er e can be t ue in

cert ain cir ums ances i.e t he eficiency can be a contr ibut ory fac o in t he d ecl ne of an

inefec iv e initiativ e The resour es in t his case ar e not simply l mited to financial

resour ces, althoug h in pr ac ice many measur es of eficiency ar e related t o monetary

input The result ne d t o be measured agains a pr ed efined mod el that ma be

comp r able t o ac iv ities within or out id e an organi zat ion (benchmark ing ), bes prac ice

s and ar d s or specified cr iteria that are consid er ed reasona le The u it of measur ement

fo eficiency ar e ofen ti me and money To a cer ain ex t ent this is v ery much an

operati onal per pec iv e an is argua ly a nar ow measurement ofov eral per formance

Eficiency in a records manag ement prog ramme ma lo k at the eficiency of a record

cent e measured in terms of cos of ru ning , how quickly a record can be ret iev ed or

the q ual ty of the service such as low per entag e of user complaint

5.3 Measuring efec t iv eness

Efec ivenes can be viewed as a measure of the deg re to which predefined objec ives

hav e be n achiev ed These objec ives can be internal org anizational req uirement or

external leg al, reg ulatory or s akeholder req uirement Efec ivenes is not neces ariy

a measure of suc es if the objec iv es are misinformed These objec iv es ma be set b

the initiator of the records manag ement prog ramme, or ma be req uired b the

recipient of an ex ternal authority such as a reg ulator or ombud sman I the objec ives

of the prog ramme are u clear then ev aluating the efec ivenes wi l be dificult This is

much more a tac ical per pec iv e b sed on achiev ing objec ives set elsewhere

5.4 Measuring impac t

Measuring imp c can be ex pres ed as rev iewing how the whole org anization is

influenced b a projec or initiativ e such as the records manag ement prog ramme

Imp c can measure both the positiv e and neg ativ e conseq uences for the org anization

These conseq uences can be ex ec ed or u ex ec ed, and can be measured in terms of

the internal or ex ternal env ironment I is impor ant when ev luating imp c to be

a le to comp re the prac ices in ex is ence prior to the commencement ofthe initiativ e

BSISO 15 8 -1 a v ocates the use of the DIRS

3

( DIRKS) methodolog y to analyse the

record s manag ement req uirement of the org anization, which includes a prel minary

inves ig ation

5

that could provide v alua le ev idence on the s atus quo Imp c measures

are related to the overal s rateg ic direc ion of the org anization and can demons rate

the benefit of sup or ing cer ain initiatives such as the records manag ement

prog ramme These are, howev er, much more dificult to identify and cor oborate as

subjec iv e element are ofen req uired in analy sing d ta

Efec ivenes in a records manag ement prog ramme ma be to lo k at s af

satis ac ion in locating information since the inception of the records manag ement

prog ramme comp red with what ex is ed previously

Imp c of a record s management programme ma be to lo k at inc eased profita i ty

of the org anization b sed on s af d ealng with a g reater n mber of cus omer enq uiries

related to q uicker ret iev al of cus omer information broug ht a out b the prog ramme

Before dev eloping per ormance measures it is impor ant to se the proces as p r of

the overal busines plan ing proces ( se Fig ure1) The ln betwe n the long -term

g oals (the busines v ision), the shor - to med ium-term g oals ( busines plan objec ives)

an the mies ones to achieving them al, sha e the per ormance manag ement sy stem

The per ormance measures that are chosen wi l be the vehicle for commu icating

suc es or fai ure Any set of per ormance measures ne ds to be carefuly selec ed to

ensure that they are in fac measuring the route to achiev ing busines objec ives and

ultimately the busines vision

A minimum number of meaning ful per ormance measures are far more prefera le than

a plethora of measures that do not relate to org anizational/prog ramme g oals Many

org anizations use the SMART ( Specific-Measura le-Attaina le-Reals ic-Timely) rule

when developing their per ormance measures

• Spe ific: clear and focused to a oid mis onception

• Measura le: can be q uantified and comp red to other d ta Statis ical analy sis

should be pos ible

• At aina le: achiev able, reasona le, and ac epta le in p r icular per ormance

contex t

• Real stic: fit into the org anization’s culture and is cos -efec iv e within resour es

av aia le

• Tim ely: achiev ble within the time f ame

No sing ular set of g eneric measures wi be efec iv e for al org anizations, and ma not

even be efec ive for org anizations in simi ar environment The final mix of measures

wi l be a produc of operational, leg islativ e an cultural contex t

One s ar ing point can be to a dres some fu d mental q ues ions ( se An exA) on the

nature of the busines which the record s manag ement prog ramme sup or s This ma

hav e be n u der aken in Step A of the DIRS method olog y , as outlned in BIP0 2 -2 A

record s manag ement prog ramme dev eloped for a pharmaceutical comp ny wi l be

diferent fom one dev eloped to sup or a cent al g ov ernment dep r ment The

prog ramme is an integ ral p r of the busines and ne ds to cont ibute to the suc es of

the busines and wi be informed b the req uirement of the busines This in turn

wi influence how perormance measurement is employed

6.2 Dec iding w hat t o measure

There are a number of levels of per ormance measurement rang ing f om s rateg ic hig

h-level measures to more specific operational or prog ramme- ev el measures The

impor ant detai to remember is to measure what ac iv ity mater , and not to measure

simply because an ac iv ity can be measured In terms of eficiency , we ne d meaning ful

measures that wi l indicate what is realy ha pening so that we can decide to either let

an ac iv ity contin e or interv ene to take cor ec iv e ac ion In terms of efec iv enes , we

ne d measures to u der tand if the prog ramme is del v ering what the org anization

ne ds In terms of imp c , measurement ne d to as er ain if the prog ramme is

sup or ing the org anizational s rateg y

This publcation sug g es s some measures in An exB The measures there can be

employ ed direc ly or used as a g uid e to d eveloping more meaning ful measures in an

org anizations p r icular busines context

6.3 Ty pes of measure

6.3.1 Input measures

These are related to the resour es (financial, per onnel, proper y or materials)

employ ed to produce output This is a useful wa of measuring cos -efec ivenes , and

also to lo k at the overal b lance of resour es for a prog ramme A record s manag ement

prog ramme wi l use a n mber of resour es as input :

• pe ple (se PD ISO/TR15 8 -2:2 01, 2.3.2);

• ca ital inv es ment, whether this is in plant ( record cent es) or IT

inf as ruc ures/sofware;

• budg et, such as s afing cos s and premises cos s

6.3.2 Out put measures

These are the u it of d el vera le serv ices or tang ibles produced , and could be

measured, for ex ample, as cus omer serv ed or widg et man fac ured Output

measures relate to what has be n completed, but can ot indicate whether this was

eficient or even desira le You ma serv e a thousand cus omer a we k but if

5 per cent are not satis ied with the serv ice the fig ure is meaning les

Output measures g eneral y deal with q uantities or volume of output, cos s of output

( total or u it), timelnes of the output me ting , org anizational or cus omer

req uirement and q ual ty of output i.e fitnes for intended purpose.

A records manag ement prog ramme ma ha e a n mber of output :

• a completed record s manag ement pol cy ( BS ISO 15 8 -1:2 01, 6.2);

• a s hed ule of d eleg ated responsibi ities (BS ISO 15 8 -1:2 01, 6.3);

• the produc ion of any retention s hedules ( BS ISO 15 8 -1:2 01, 9.2);

• the implementation of a clas ification sys em ( BS ISO 15 8 -1:2 01, 9.5.2);

• the records ret ieved fom record cent es;

• the n mber of elec ronic records ca tured in to Elec ronic Document and Records

Manag ement Sys em ( EDRMS)

6.3.3 Out c ome measures

This is a measurement of the imp c that a prog ramme has, or in other word s

something that has consequences for the org anization These measures can be shor

term or long term Measuring the achievement of out omes is not alway s easy , and can

be chal eng ing

An ex ample of out ome measures in a record manag ement prog ramme

( se BSISO15 8 -1:2 01, clause4) is measuring if the org anization me t leg islativ e

an reg ulatory req uirement throug h employing records manag ement prac ice, and

what the conseq uences of this ma be For ex ample:

• les ltig ation for org anizations, lea ing to g reater market, cus omer or inv es or

confidence;

• fav oura le response fom reg ulator for improvement in s and rd s lea ing to

improved imag e and per eption of org anization

7.1 Planning t he proc ess

I is vital y impor ant that consid eration is g iv en to how the per ormance measurement

wi l be conduc ed The thre areas of measuring eficiency, measuring efec iv enes and

measuring imp c ( identified in 5.2, 5.3and 5.4respec ively ) are the broa categ ories

within which the measures wi l fal

I is impor ant at this s ag e in deciding that there is a clear u der tand ing behind the

wa per ormance is being measured I it is being measured to determine how wel the

record s manag ement prog ramme is operating , then it is lkely that measures concerned

with eficiency and efec iv enes wi l be employed I the rationale behin the

perormance measurement is to promote or en ance the s atus of the record s

manag ement prog ramme, then it would be more g ermane to employ measures relating

to the overal imp c of the prog ramme These imp c measures would hopefuly

cor elate with the aims and objec iv es of the org anization as a whole

In terms of eficiency there are a n mber of thing s that can be measured within the

overal records manag ement prog ramme, including cos eficiency and time Ex amples

are g iv en in An exB These measures not only indicate how eficiently the prog ramme

is ru ning , but can be used as the sour e d ta for benchmark req uirement

Benchmarking ma be employ ed when consid ering if the records manag ement

operation should be out our ed or if there is a desire to u der tand the per ormance

relativ e to another org anization

Efec ivenes can also be measure in a n mber of way s StepC

6

of the DIRS projec

methodolog y for implementing a records manag ement prog ramme identifies the

req uirement for records manag ement These req uirement can be used as the b sis of

comp rison for the out ome of the completed prog ramme I measures the req uired

out ome ag ains the ac ual out ome

In a simiar wa imp c can be measured b consid ering the d ta col ec ed d uring

StepA (prelminary inv es ig ation) of the DIRS projec method olog y , which se ks to

6

Se PD ISO/ TR 1 4 9-2:2 0 , 3.2.4

identify the g oals and objec ives of the org anization throug h plans and s rateg ies.

Measures can be devised to as er ain if the prog ramme has cont ibuted to these aims

and objec iv es

7.2 Met ric s

Met ic or measures are only useful if cer ain charac eris ic and lmitations are buit

in to the measures

• Can an objec ive means of measuring the met ic be employed?

• Are the ex ec ed end result ar iculated?

• Do s the met ic reflec s akeholder or corporate req uirement or complance is ues

where a propriate? (Result of PDISO/TR15 8 -2 methodolog y StepA wi provide

much of this information)

• Do s the met ic focus on the efec ivenes , eficiency or imp c of the prog ramme/

sys em/component being measured?

• Are there a smal n mber of relev nt and focused measures rather than a plethora

of ev ery thing that can be measured?

• Can s atis ical analysis be a pl ed to the met ic for ag g reg ation or wider

per pec ives, t ends et ?

• I the met ic widely used within the org anization or ind us ry ?

• Are the met ic chal eng ing but real s ic

• Do s a benchmark of po r, satis ac ory and ex celent perormance exis ?

• Has the met ic be n commu icated and ac epted b al s akeholder inv olved ?

AnnexB of this publ cation lo ks at pos ible met ic that could be employ ed or a a ted

as p r of a per ormance measurement prog ramme for implementing BSISO 15 8 -1

However, the l s is not ex haus ive and it ma be more a propriate to develop specific

local measures to suit an indiv idual busines context A s ar ing point for this is to lo k

at other org anizational per ormance met ic and consider how they ma be t anslated

into a records manag ement context

7.3 Col ec t ing data

There are a number of wa s in which d ta can be col ec ed The d ta that is ne d ed is

dependent on the indic or that ha e be n selec ed , as wel as the a ai a i ity of d ta

( this is not the same as measuring what can be measured)

Data colec ion can be u der aken in-house or throug h employ ing third p r ies

W hichev er method is used it is v ital that a comprehensive, consis ent and v erifia le

reg ime is employ ed Ac uracy is imperative, as is ne d for consis ency Much of this can

be achiev ed b set ing clear objec iv es and methods for those involv ed in the d ata

col ec ion, and ensuring that this is a eq uately commu icated I employe s are

u fami ar with this area of work, ensure that they are both t ained and aware of their

role in the ov eral proces