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

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Functions that should be performed by recordkeeping systems
The function of...
Additional requirements
What these qualities provide
The DIRKS methodology and manual
What is the DIRKS methodology?
Steps in the DIRKS methodology
Summary of the steps in the DIRKS methodology

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Functions that should be performed by recordkeeping systems

In addition to having these characteristics, recordkeeping systems must be capable of performing a range of standard recordkeeping functions.

^ The function of...	Means that systems should be capable of...
Registration	capturing records by assigning them unique identities and attributing brief descriptive information to them, such as a title and date
Classification	arranging records into categories based on the business activities they document, as a means of facilitating record control, retrieval, disposal and access
Indexing	establishing access points to facilitate record retrieval
Access and security monitoring	assigning and implementing rights or restrictions that protect records against unauthorized or inappropriate use or access
Tracking	monitoring record use to ensure no inappropriate use occurs and an auditable record of use is maintained
Disposal	utilizing retention schedules, linking disposal periods to records, triggering any required disposal actions, reviewing any history of use to confirm or amend disposal status and maintaining an auditable record of disposal (retention, destruction or transfer) actions
Storage	appropriately maintaining records in consideration of their form, use and value for as long as they are legally required
Searching, retrieval and rendering	making records available as corporate information resources identifying and presenting records in response to user search requests and, where appropriate, enabling records to be printed on request
Reporting	generating any reports deemed necessary by the organization

Additional requirements

Recordkeeping systems should be capable of...	This involves...
Managing records in any form	managing electronic records, scanned images, voice files, video clips, digital plans, databases, information from other applications etc. managing electronic signatures and encrypted records, where appropriate Some systems may only be required to manage records in one format, while others will need to be capable of managing multiple formats
Integration with electronic applications	integration with applications used for transaction of business (office utilities, e-mail, websites, database applications, workflow, etc) [3]

What these qualities provide

Developing systems that meet these criteria provides you with recordkeeping systems. These systems provide the structures and controls within which:

accurate
accountable and
information-rich

records are created and maintained.
^

The DIRKS methodology and manual

Overview

What is the DIRKS methodology?

Where does DIRKS come from?

Implementing the DIRKS methodology

The DIRKS Manual

Overview

This section introduces the DIRKS methodology and the DIRKS Manual. It outlines the specific steps involved in the DIRKS methodology and explains where the methodology has come from. It also discusses the methodology's flexibility and how it can be implemented in a variety of ways.

It describes the range of projects you can undertake using the DIRKS methodology and explains means by which you can implement DIRKS in your office.
^

What is the DIRKS methodology?

The DIRKS methodology is a structured process for designing and implementing recordkeeping systems.

DIRKS is not new. It is based on traditional system design methodologies, but has been adapted to meet recordkeeping objectives. DIRKS provides a structure for many of the traditional operations the United Nations has always conducted. It is not a new and daunting approach - it is a methodology based on traditional principles that is designed to help you achieve meaningful and applicable outcomes.

The DIRKS methodology:

Provides a comprehensive approach to system design that will help develop systems with adequate recordkeeping functionality that are specific to and that meet your particular business needs.

Steps in the DIRKS methodology

DIRKS is comprised of eight steps:

Step A	Preliminary investigation
Step B	Analysis of business activity
Step C	Identification of recordkeeping requirements
Step D	Assessment of existing systems
Step E	Identification of strategies for recordkeeping
Step F	Design of a recordkeeping system
Step G	Implementation of a recordkeeping system
Step H	Post implementation review

Summary of the steps in the DIRKS methodology

The following table provides a summary of the activities involved in each step of the DIRKS methodology.

In...	You...
Step A: Preliminary investigation	collect information in order to identify the legal and structural characteristics of your department/section obtain an understanding of the factors that influence need to create and maintain records in your section establish an awareness of your organization's business activities, technological infrastructure, major stakeholders and recordkeeping risks
Step B: Analysis of business activity	identify and document your organization's business functions activities and transactions determine how, when and where these are performed
Step C: Identification of recordkeeping requirements	examine legal, business and other sources to identify the requirements for evidence and information (called ‘recordkeeping requirements’) for your business
Step D: Assessment of existing systems	assess the systems currently used to perform business operations in your organization identify where these systems are not meeting your recordkeeping requirements
Step E: Identification of strategies for recordkeeping	determine strategies to enable your systems to meet recordkeeping requirements choose strategies that fit with the culture and environment of your organization
Step F: Design of a recordkeeping system	design recordkeeping systems that incorporate your chosen strategies
Step G: Implementation of a recordkeeping system	ensure that all components of the new / redesigned systems function according to your requirements educate staff about new systems roll out technology convert legacy data manage change
Step H: Post implementation review	gather information on the effectiveness of the recordkeeping system survey or interview staff about the system rectify any problems identified

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