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

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Содержание Tip: It is a recordkeeping requirement to document changes to recordkeeping requirements Name of Department/Section Effective date Requirement(s) derived from the citation Risk assessment

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Documenting Step C 

Overview

Document recordkeeping requirements

Report to management

Maintain and update documentation

Overview

This section outlines the type of documentation you should keep about sources, recordkeeping requirements and findings in Step C. It also explains when you should maintain and update that documentation.

Documenting recordkeeping requirements

Importance of documentation

It is important to document what sources you have used for the Step C analysis, as you may need to justify your findings or refer to the sources again. A simple list of sources is sufficient to record the location of sources.

You will need to document each of the business, regulatory and community-related recordkeeping requirements that you have identified in relation to your project. If you are continuing with DIRKS these can be used to assess your existing systems and work processes (Step D), develop recordkeeping strategies (Step E) and design new systems and work processes (Step F). 

You should use a format that is easily maintainable as requirements are prone to change and will need to be amended or updated from time to time. 

 

^ Tip: It is a recordkeeping requirement to document changes to recordkeeping requirements The need for evidence of changes to recordkeeping requirements is in itself a recordkeeping requirement, because it enables your department/section to account for past recordkeeping actions and decisions.

Documentation options

There are a number of possible options for documenting recordkeeping requirements, depending on your department/section's needs and the number and complexity of its requirements. For example, you may choose:

• tables/templates in a series of word-processed documents
  
• spreadsheets, or
  
• databases.
  

Templates

The following table illustrates how full information on a recordkeeping requirement may be documented in a simple template format. The requirements are grouped together as they relate to the one record and come from one source.

 

^ Name of Department/Section	Department of Management Archives and Records Management Section
Source name	ST/AI/326
^ Effective date	28 December 1984
Source type	GA Resolution
Reference	Section II.8
Function/activity	Disposal
Citation	S.II.8 “Secretariat units shall not dispose of records in their possession without the written authorization of the Chief of the Archives Section. The latter may require that samples of the records proposed for disposal be sent to him for review prior to authorizing disposal"
^ Requirement(s) derived from the citation	Disposal: ARMS approval is required be records can be disposed.  Form: Approval for disposal form must be completed and authorized. Capture and maintenance: Information about records destroyed must be maintained in a destruction register in the records management system Retention and disposal: The register will be retained permanently. Access: Information in the register can be released when it is 20 years old
^ Risk assessment	Medium

 

[Drafting note: ARMS would like to develop a suitable template for documenting recordkeeping requirements. Ideas are welcome].

Spreadsheets

Spreadsheets offer more functionality than word-processed document and need not be complex. Benefits of spreadsheets include being able to sort by different elements, for example function or requirement type, making your research more useable for different purposes. 

Databases

In instances where there are many recordkeeping requirements, or where requirements are likely to change frequently, it may be appropriate to place information about your recordkeeping requirements into a database. The advantages of a database over other options are:

• only having to record information, including changes, about a particular requirement, function, activity or function-activity pair once
  
• being able to produce tailored views of the information in the database to meet different needs.
  

This option will involve more work at the outset, because a database needs to be properly specified, designed and documented for it to be useful and maintainable. 

Information to include

Regardless of the format that you choose, you will need to decide what data to compile about your recordkeeping requirements. You should consider the number and complexity of your recordkeeping requirements, the project scope, and exactly what information is essential, and create documentation that suits your needs. Documentation of the requirements could include all or a selection of the following:

• the name of the source including reference number (ie resolution title and number, publication title and details)
  
• the date the source came into effect (ie publication or issue date and superseded or decommissioned date)
  
• a description of the source (eg resolution, regulation, directive, industry standard, best-practice standard, internal policy, community expectation)
  
• the specific paragraph, clause, section or page in the source that contains the requirement
  
• a statement outlining how the requirement relates to the organization's specific situation (ie the recordkeeping requirement). Remember requirements relate to records and the statement should also identify the record involved, eg a register, minutes of meetings etc
  
• the stakeholder that has their interest met by the requirement eg. a community group or a particular section of the organization
  
• the evidential need the requirement relates to (eg the content, form or quality of the record or its creation, retention, disposal or access)
  
• the business function, activity or function-activity pair the requirement applies to (ie drawn from the analysis of business activity in Step B)
  
• the citation of the precise text in source which specifies (or implies) the requirement
  
• the organizational position responsible for ensuring that the requirement is met, and
  
• results of any risk assessments.
  

[Drafting note: ARMS would like to provide a detailed example of recordkeeping requirements for a whole function or section. If anyone has examples they consider suitable, and are willing to share them, they would be greatly appreciated].