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

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Содержание Person to  interview Preliminary investigation Standard on Full and Accurate Records Example: Explicit or implicit requirements

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External documentary sources

Codes of practice, policies, guidelines, reports etc

You will also need to consider codes of practice, policies, guidelines, reports or directives arising from:

• complaints handling bodies such as the U.N. Ombudsman
  
• audit authorities such as the Office of Internal Oversight Services (OIOS)
  
• administrative or judicial reviews
  
• committees of inquiry
  
• investigative bodies, General Assembly committees
  
• Archives and Records Management Services (ARMS).
  

Industry and best practice standards

Various industry standards and best practice standards and guidelines are also relevant, and include:

• the International Organization for Standardization (ISO) 15489 standard on records management and the accompanying technical report;
  
• the International Organization for Standardization (ISO) 9000 series of quality management standards;
  
• software development standards; and
  
• documentation standards which specify how data or records should be captured within your system. Documentation standards include recordkeeping metadata standards such as the ARMS Standard on Recordkeeping Metadata.
  

Media reports

Examining media reports, including newspaper and magazine articles and radio and television coverage that focus on your department/section may also provide valuable information, particularly on accountability or business failures and future risk areas.

Interviews

In addition to documentary sources, key personnel in your department/section can be interviewed to obtain detailed information on business activities and processes and provide useful perspectives on why particular records need to be created and kept.

The following table indicates whom you might interview and the information you might obtain:

 

^ Person to  interview	What might they provide?
Managers	The big picture regarding the department/section's business and accountability requirements.
Operational staff and action officers	Information on more specific business requirements.  Knowledge of community expectations in relation to their work.
Audit and legal specialists (internal and external)	Specific accountability requirements and retention requirements for legal defensibility.
Quality assurance managers	What records need to be kept and why to meet quality standards.

 

If you have carried out interviews with some key personnel during Step A: ^ Preliminary investigation and Step B: Analysis of business activity, and you could draw on this contextual material to focus your inquiries in Step C. 

You should carefully consider whether you need to also interview some external stakeholders, or whether documentary sources and staff views on stakeholder interests are sufficient. If you have consumer groups or customer councils, these groups could be consulted for stakeholder views. External stakeholder interests may represent different types of recordkeeping requirements. 

Identifying recordkeeping requirements

Overview

Broad or specific?

Explicit or implicit?

Regulatory, business or community requirements

Identify types of recordkeeping requirements

Required recordkeeping functionality

Overview

This section explores how to use the sources you have collected to find the recordkeeping requirements that are likely to apply to your department/section. These could be broad or specific, implicit or explicit, and could be regulatory, business or community requirements. The process of identifying recordkeeping requirements also involves identifying the types of requirement they are so that you can build mechanisms to meet these requirements into your recordkeeping systems.   

Broad or specific?

Requirements may be: 

• specific, with applicability to a particular record or group of records, or 
  
• very broad, applying to whole functions, types of records or the United Nations as a whole.   
  

Regulatory requirements that apply across a broad range of public offices can also contain broad recordkeeping requirements. 

Likewise best practice standards or whole of organization policies may introduce a range of broad recordkeeping requirements. 

In the United Nations the broad requirements for 'full and accurate' records are articulated in the ARMS ^ Standard on Full and Accurate Records. See also Introducing DIRKS – Characteristics and functionality of recordkeeping systems for an outline of some general requirements for recordkeeping systems.

Explicit or implicit?

Requirements can be explicit, but are more often implicit.

 

^ Example: Explicit or implicit requirements An explicit requirement for creation and access might be that 'the organization must create a register of licences and members of the public must be given access to it.'  Implicit in this statement is that the records within the register must be captured and maintained for a certain period of time, so that access is possible.