APPENDIX 1 –

GUIDE TO
DOCUMENTARY
SOURCES

September 2001

September 2001
ISBN 0 642 34449 3

© Commonwealth of Australia 2001

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National Archives of Australia DIRKS manual – Appendix 1 – Documentary sources

APPENDIX 1
GUIDE TO DOCUMENTARY SOURCES

The preliminary investigation (Step A), analysis of business activity (Step B) and
identification of recordkeeping requirements (Step C) all involve an examination of
sources to fully understand the nature of your organisation’s business and the
context of its recordkeeping systems. The amount of fundamental research that you
undertake will depend on your level of corporate knowledge and the availability
and currency of pre-existing reports on relevant facets of the organisation.

Organisation-specific sources

The most useful starting points for your research are publicly available sources such
as World Wide Web sites, annual reports and corporate plans that provide an
overview of your organisation and its broad functions. These sources are intended
for a general audience and do not assume a detailed knowledge of your
organisation. They will guide you to other significant sources (such as legislation)
and should provide the necessary foundation to help you understand the
information contained in these other documents. These general sources may be
particularly useful to consultants undertaking documentary research on your
behalf.

World Wide Web sites

Most organisations maintain websites that contain information about their activities,
fields of special interest, organisational structure, administrative history, major
client groups and key contacts. Many organisations are increasingly making their
publications, including annual reports and corporate plans, accessible online. The
Commonwealth Government entry point and Government online directory (GOLD)
provide basic information about most Commonwealth organisations, including
contact names and details for program areas, information, publications, and
references to the organisation’s website. Your organisation’s intranet may also
provide online access to internal publications, policy and procedural material.

Annual reports
The annual report provides a summary of your organisation’s current structure and
business activity. It should contain a mission statement that defines the boundaries
of the organisation, corporate objectives that identify broad functional areas and
descriptions of major programs and their budgets. It should identify the
organisation’s enabling legislation or other legislation that the organisation
administers, as well as external requirements, such as reporting arrangements,
which may affect the way the organisation carries out its functions. The appendixes
may include information about the organisation’s powers and functions consistent
with sections 8 and 9 of the Freedom of Information Act 1982, as well as useful
statistics relating to its business activities.
Organisations covered by the Public Service Act 1999 must table annual reports in
Parliament, and most Commonwealth statutory authorities have a similar clause in
their enabling legislation. Annual reports presented to Parliament usually contain
standardised information consistent with guidelines issued by the Department of

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the Prime Minister and Cabinet, including information on any audits, legal action
the organisation has been involved in and outsourcing arrangements. They are
published as parliamentary papers and are usually available from the organisation.
Most registered companies must produce annual reports and most other
organisations prepare reports for accountability purposes.
Past annual reports are very useful if a historical analysis of the organisation is
being undertaken for appraisal purposes. While the preparation of annual reports
was not compulsory until 1985, most agencies and departments have been routinely
producing them since the late 1970s.
A full organisation chart should be obtained from your corporate area if it is not
included in the annual report. The organisation chart is useful for determining
which sections of your organisation are responsible for administering particular
functions (or parts of functions). The organisation chart is also useful when
planning interviews (see Appendix 2 – Guide to interviews).

Strategic plans (corporate plans, business plans and related planning documents)
Corporate plans and business plans are an important source of information on your
organisation’s current functions and activities.
Commonwealth government organisations are required to prepare outcomes and
outputs frameworks. These show what the organisation wants to achieve, how it
will achieve it and how it will know it is succeeding. It provides a high-level
overview of the work and aims of the organisation.
Some of the information provided in corporate plans will be similar to the
information in the annual report, such as your organisation’s vision and mission
statements. However, the corporate plan differs from the annual report in its
purpose and intended audience. While it may be distributed to an external
audience, the corporate plan is primarily an internally directed document that
provides the framework in which your organisation must operate. The corporate
plan should identify key objectives that reflect the major functions of your
organisation. These objectives may address more than one function, part of a single
function or aspects of several functions. Such plans are usually revised every three
to five years.
A business, implementation or operational plan provides a finer level of detail than
the corporate plan. It describes specific activities required to fulfil the organisation’s
strategic objectives and is usually prepared on an annual basis.
There is often some overlap between your organisation’s corporate and business
plans, as both relate to the same major objectives. However, you may find that
organisations differ in the level of information they provide in their respective
corporate and business plans. For this reason, it is essential to obtain all official
corporate planning documents relating to the organisation you are researching.
Most public service organisations are now required to prepare a risk management
plan. This should identify and evaluate risks and areas of risk within your
organisation and can be particularly helpful for Steps A and B of the DIRKS
methodology.

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National Archives of Australia DIRKS manual – Appendix 1 – Documentary sources

Your organisation may also produce a variety of plans relating to specific programs,
which may be useful sources of additional information. As with all sources, you
should use the information from these planning documents in conjunction with
information gathered from other sources to acquire a complete picture of the
organisation.

Legislation and related sources

Unamended principal acts, up-to-date consolidations of amended acts (referred to
as ‘paste-ups’) and historical versions of acts can be accessed online through either
the legal information retrieval service ComLaw of the Commonwealth Attorney-
General’s Department or AustLII, the Australasian Legal Information Institute
databases.
If you are undertaking historical analysis, it is useful to trace changes to the
legislation over time. Keep in mind that the 2001 consolidated version of an act may
bear little resemblance to the original version due to successive amendments.
Information about the history of legislation can be found in the explanatory
memoranda or second reading speech given by the Minister who introduced the
legislation to Parliament. Reasons for changing an act can be traced through the
numbered acts cited in the table of amendments, and references to the related bills.
Recent bills and associated documents can be located on the Parliament of Australia
website at Billsnet and the summaries are at Bills Digest. For earlier bills see
speeches in the Hansard (check index under ‘Bills, short title’).

Enabling legislation and other sources of origin

If your organisation is constituted under legislation, its functions and powers will
be outlined in the current version of its act. The interpretation section of the act will
define important terms. The act’s notes and tables of amendments should be
examined to determine whether the organisation’s identity or business activities
have been affected by legislative changes. For example, changes may cause new
functions to come within the organisation’s jurisdiction, transfer functions to
another organisation, or abolish functions.
If your organisation was not established by legislation, you may need to look at a
variety of other sources to obtain information about its origins or evolution. These
may include:
 Administrative Arrangements Orders;
 charters;
 media releases; and
 ministerial statements.
If sources relevant to your organisation’s origins are not available internally, you
may need to refer to parliamentary papers, if the documents were tabled in
Parliament.
Administrative Arrangements Orders (AAO) are published in the Commonwealth
of Australia’s Government Notices Gazette and its predecessors. Copies of the latest
AAOs may also be available online through ComLaw, the legal information

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retrieval service of the Commonwealth Attorney-General’s Department or the

Department of the Prime Minister and Cabinet website

Other legislation specific to your organisation

Apart from its enabling legislation, your organisation may be directly responsible
for administering other pieces of legislation or satisfying unique obligations set out
in legislation administered by other organisations. Legislation administered by your
organisation should be listed in its annual report or, if the organisation is a
department, in the latest Administrative Arrangements Orders. The Commonwealth
Government Directory, available through AusInfo, also contains a list of legislation
administered under each ministerial portfolio. It is likely that your organisation's
annual report would also identify any requirements to perform specific roles or
activities under legislation that is administered by another organisation.

Policies and procedures

Policies embody the reasons why organisations carry out particular activities and, in
a broad sense, how they should be carried out. All organisations possess official
policies, which have been approved by the organisation’s management, or which
apply to the whole of government or specific sections of government. A policy may
relate to a specific function, part of a function, aspects of several functions or all of
an organisation’s functions. Policy documents should provide information on
specific activities undertaken by your organisation.
Procedures are often collected together in a manual that provides details of how an
organisation carries out its functions at a very specific level. Manuals are often
confined to one particular function, and contain procedures that relate to one
activity or several activities. An individual procedure will generally relate to a
particular aspect of an activity. Procedures manuals are useful for identifying
components of activities. Policies and procedures relating to your organisation’s
unique functions or programs should be available internally.
It is also important for you to have a general understanding of the way government
operates at the broader level, as there are whole-of-government policies and
procedures that may affect the way your organisation carries out its functions.
These are outlined in more detail in the section on External sources.

Organisational records and recordkeeping systems

Once you have collated information on your organisation’s functions and activities
at a broad level you will need to find out more specific information. Your
organisation’s records should provide a useful source, although this will depend on
the design of your existing recordkeeping systems. Existing control documentation,
such as a keyword thesaurus or list of file titling conventions, should also indicate
how your organisation currently perceives its functions and activities.

Publications for particular stakeholders

Publications and other documents that arise directly from consultation with
stakeholders, or target their specific concerns, are likely to provide a useful

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perspective on your organisation’s business activities. Examples of these may

include:
• memoranda of understanding;
• advisory board or council reports or recommendations addressing the
responsibilities, performance or direction of the organisation;

• service charters; and

• client surveys.

External sources

To fully understand the business, accountability and societal context in which your
organisation operates, you will need to look beyond its boundaries. There are many
types of external sources that will provide important contextual information. Some
of the more important sources are outlined below.

Whole-of-government legislation
Apart from legislation specific to its core functions, your organisation is likely to be
affected by a range of legislation relating to the public sector generally.

Legislation relating to recordkeeping

Your organisation may be affected by administrative legislation, such as the Archives
Act 1983, Freedom of Information Act 1982, Privacy Act 1988 and the Crimes Act 1914.
The National Archives of Australia’s Records Issues for Outsourcing (PDF 114kb)
provides a useful summary of how this legislation impacts on your recordkeeping
responsibilities. If your organisation is an incorporated body or a company, some of
the provisions may apply differently, or not at all, and relevant companies
legislation may need to be examined.

Legislation relating to common administrative functions

It is not necessary to examine legislation relating to those general administrative
functions common to most organisations unless your organisation is affected in a
unique way. The National Archives of Australia has developed disposal coverage
for records relating to such functions in the Administrative Functions Disposal
Authority. The Archives is also preparing recordkeeping advice on some of these
functions. Contact the National Archives if you are uncertain whether an activity
conducted by your organisation relates to a common or unique function.

Statutory rules (regulations)

In conjunction with your legislative research you should identify any regulations
that have a significant effect on your organisation. Regulations may:
• contain the power to add or remove functions, eg paragraph 77(2)(a)
Air Services Act 1955, gives the Governor-General the power to make
regulations ‘specifying the functions of AA Services’;
• set out documentation, information or evidential requirements that
may have a bearing on recordkeeping; or

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 establish mandatory industry or technical standards.

Regulations can be browsed online via ComLaw, the legal information retrieval
service of the Commonwealth Attorney-General’s Department or the Australasian
Legal Information Institute databases (AustLII).

Government circulars, directives, memorandums and instruments affecting the

public sector
These types of notices may be issued on an organisational, portfolio or government-
wide basis and may affect the way your organisation carries out its unique
functions. Key sources are likely to include the Government Notices Gazette, and
circulars and memorandums issued by the executive government, Department of
the Treasury, Department of Finance and Administration, Attorney-General’s
Department, the National Office for the Information Economy, and Public Service
and Merit Protection Commission.

Reports and guidelines issued by audit, complaints-handling or other

investigative bodies
A number of public authorities, such as the Australian National Audit Office,
Australian Commonwealth Ombudsman, Australian Law Reform Commission and
Commonwealth Parliament, periodically undertake investigations relating to
particular issues or organisations. Such inquiries may identify performance or
accountability concerns or highlight community expectations that have a bearing on
your organisation’s recordkeeping practices. It is likely that your organisation will
be aware of relevant external investigations and have access to reports. If not, you
may need to undertake further research to identify significant sources. This may
include browsing indexes to Hansard, parliamentary papers, parliamentary
committees and searching the websites of specific investigative bodies. The
Parliament of Australia search page is a useful starting point. In many cases
electronic copies of recent reports, guides and other publications will be available
online.
It is also worthwhile to check whether your organisation has been subject to internal
performance audits or other types of internal reviews pertinent to its recordkeeping
practices.

Standards relevant to your organisation’s business

Codes of practice, protocols, technical standards and industry standards specify the
manner in which certain activities are carried out within an organisation.
Organisations may be required to comply with mandatory standards as part of their
legislative or administrative requirements, or they may choose to adopt voluntary
standards pertaining to their business activities. Copies of all standards that apply
to your organisation should be available through your corporate area.

Additional sources for reconstructing your organisation’s historical context

Some additional sources may be required to reconstruct your organisation’s
historical context. These include:
 organisational histories;

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§ parliamentary or government committees or inquiries; and

§ RecordSearch, the National Archives of Australia collection database.

Organisational histories
These may be published or unpublished and are sometimes associated with an
anniversary or major event in the history of an organisation. These, if produced,
may be found in your organisation's library or the National Library of Australia.

Parliamentary or government committees or inquiries

References to reports undertaken prior to the current Parliament can be found in the
register of committee reports (1970–1996) on the Parliament of Australia website.
The National Library of Australia holds a full set of parliamentary papers, with
indexes, from Federation.

National Archives of Australia RecordSearch database

RecordSearch controls records in the Commonwealth Records Series (CRS) system,
including details about Commonwealth agencies (ie Commonwealth institutions, or
the various units of those institutions). RecordSearch is not necessarily a complete
or authoritative record of agencies and records. However, it is a useful reference
tool for organisations that have had dealings with the National Archives over time
because it traces the administrative history of Commonwealth agencies and
includes links to previous and subsequent agencies.

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. This information will form the register of sources, question 22
in the Organisation Context Document. There are a number of widely accepted
citation styles and information about these is commonly available from university
library websites. The Style Manual for Authors, Editors and Printers (Australian
Government Publishing Service, 1994, 5th edition) is also a useful reference that
may be in your organisation’s library.
Some basic points to remember when citing sources:
• Include the title, author, publisher and date of any source. For internal
sources, the publisher and author is likely to be the name of your
organisation.
• For legislation, record the full title, the year it was promulgated and
also the consolidation date – as acts are amended over time, both dates
are necessary.
• For online resources, include the URL and date of access.