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

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Many business information systems need to be recordkeeping systems
Tip: Business systems can function as recordkeeping systems
Characteristics and functionality of recordkeeping systems
DIRKS builds recordkeeping systems
Characteristics of recordkeeping systems
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Many business information systems need to be recordkeeping systems


There are a huge number of business information systems within the United Nations. Many of these systems will be used for information purposes only and these types of systems should not be the focus of your DIRKS initiatives. 

Other business information systems, however, will be used to transact United Nations business. They will conduct significant transactions and your office will need a definitive record of these transactions. If your office needs to keep a record of its activities, it needs to ensure that the business systems that support these activities are capable of creating and keeping records. 

 

^ Tip: Business systems can function as recordkeeping systems  

It is important to ensure that relevant business information systems are actually able to function as recordkeeping systems - systems that are capable of producing and maintaining the information your department/section requires to sustain its business activities. 

 

In many UN offices, business information systems that conduct significant business are not able to perform as recordkeeping systems. They have been introduced on an ad hoc basis, or without consideration of recordkeeping issues, and as a consequence do not manage, preserve and make accessible evidence of business operations. 

Through not having recordkeeping systems, organizations can: 
  • place themselves at significant risk 
  • incur unnecessary expenditure, and 
  • deny themselves access to significant organizational information. 



Example: Systems often do not include recordkeeping

The United Nations is increasingly doing business online. Many of the systems that are being developed include interfaces that allow clients to conduct business with UN electronically. Often recordkeeping is a neglected component of these systems. Systems are designed to allow easy access to UN services and to meet client needs, but frequently the recordkeeping requirements that should be incorporated into the systems are not accommodated. 

As a result the systems may transact business, but they do not document or keep adequate records of this business. 

 

The DIRKS methodology is a means of ensuring that business information systems are recordkeeping systems where appropriate or necessary. 
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Characteristics and functionality of recordkeeping systems


Overview

DIRKS builds recordkeeping systems

Characteristics of recordkeeping systems 

Functions that should be performed by recordkeeping systems

What these qualities provide

Overview


This section examines:
  • the qualities recordkeeping systems should have, and
  • the types of operations they need to be able to perform.


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DIRKS builds recordkeeping systems


The DIRKS methodology helps you to transform business information systems into recordkeeping systems that should be managing evidence of UN operations. 

To operate effectively, recordkeeping systems have to meet a defined set of characteristics. These characteristics are summarized here to provide an overview of the types of qualities your recordkeeping systems should possess. These characteristics are revisited in Step D: Assessment of existing systems and Step E: Design recordkeeping systems, the sections of the methodology where you focus on transforming relevant business information systems into recordkeeping systems.  
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Characteristics of recordkeeping systems 


Recordkeeping systems should possess the following characteristics, in order to produce and maintain authoritative records:

 

The characteristic of...

Means that systems should...

Reliability
  • routinely capture all records 
  • organise records appropriately 
  • provide adequate information about the records within them 
  • provide ready access to records and make records of system operation

Integrity
  • prevent unauthorised access, destruction, alteration or removal of records

Compliance
  • be managed in compliance with all requirements that apply to the business documented within them

 

Comprehensiveness
  • manage all records resulting from the business activities that are documented or managed by the system

 

Authenticity
  • store records in ways that mean they cannot be tampered with, deleted inappropriately or altered

Accessibility
  • allow records to be shared as information resources across a work space, business unit or organization [2]