Manual for the Design and Implementation of Recordkeeping Systems (dirks)

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Information and documentation - Records management

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Validate schemes

It is important that you consult widely during your functional and sequential analysis of business activity. It is also important that you validate what you have found and documented in your business classification scheme. This will involve asking questions of managers and operational staff to confirm that your analysis and representation is accurate and complete. It is essential that your models are meaningful to the department/section as they have the potential to inform key recordkeeping activities (including intellectual control and appraisal).

The hierarchical and sequential analysis and business classification scheme should also be validated with senior management. You may, for example, compile a report on your findings to show senior management that can also serve as a progress report on your project.

Keep your analysis up to date

Analysis of business activity can provide an effective and powerful tool for managing records. To ensure that your analysis and business classification scheme remains relevant to your needs it is prudent to periodically review its currency, particularly when there is:

administrative change within the department/section
a change in organizational responsibilities.

Footnotes

[1] Australian Standard AS ISO 15489-2002, Records Management, Part 2, 8.4b.

[2] For example:

Standards Australia IT-021, Australian Technical Report: Work Process Analysis. This document is known as AS 5090 and will be available for purchase from ссылка скрыта in April 2003. This document provides guidance on undertaking work process analysis for recordkeeping purposes and includes both hierarchical and sequential analysis methods. This document provides guidance on undertaking work process analysis for recordkeeping purposes and includes both hierarchical and sequential analysis methods.

Indiana University Electronic Records Project, Step 1 of 'A Methodology for Evaluating Existing Information Systems as Recordkeeping Systems' available at December 2002 via ссылка скрыта. This document describes practical use of both hierarchical and sequential analysis.

[3] J. Whitten and L. Bentley, Systems Analysis and Design Methods, 4th ed., McGraw-Hill, Boston, 1998, p.218.

[4] Australian Standard, AS 4390-1996, Part 1: General, Clause 4.27

[5] Philip C Bantin, 'The Indiana University Electronic Records Project Revisited', The American Archivist, Volume 62, Spring 1999, p156.

[6] Whitten and Bentley, op.cit., p.218.

[7] AS 5090, op.cit., p.4,8.

[8] Loc.cit.

[9] Such models are shown in Jeffrey L. Whitten and Lonnie D. Bentley, Systems Analysis and Design Methods, 4th ed, McGraw-Hill, Boston, 1998, p.122.

Step C - Identification of recordkeeping requirements

Collect information from documentary sources and through interviews; identify the requirements for evidence of and information about each business function, activity and transaction which should be satisfied through records. The requirements can be derived from an analysis of the organization's regulatory environment and the risk of not creating and maintaining the records. Determine how each requirement may be satisfied through records management processes, and articulate and document the requirements for records. Choose the appropriate records structure which best satisfies each business function, activity or transaction.

ISO 15489.1, ^ Information and documentation - Records management, Clause 8.4

Content and scope of Step C

Sources for Step C

Identifying recordkeeping requirements

Linking requirements to functions and activities

Analyzing risk

Documenting Step C

Content and scope of Step C

Overview

Aim of Step C

Summary of Step C

Why should you do Step C?

How is Step C scalable?

Relationship to other steps

Overview

This section in an introduction to Step C: Identification of recordkeeping requirements. It:

outlines the aim of Step C
summarizes the major elements of Step C
explains why it is important to undertake Step C for particular DIRKS projects
indicates how Step C is scalable and when it is necessary to complete, and
shows how Step C relates to the other steps in the DIRKS methodology.

Aim of Step C

The aim of Step C is to identify and document your recordkeeping requirements. Recordkeeping requirements are requirements arising from regulatory sources, business needs and community expectations. Many DIRKS projects require knowledge of your recordkeeping requirements, so that you can address them in recordkeeping systems and tools to ensure you are accountable and make and keep evidence of your business activities.

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