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

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Information and documentation - Records management.
Example: Non linear approaches
Example: Some steps contribute to others
Risk management
Tip: All UN systems do not have to be assessed using DIRKS

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Where does DIRKS come from?

The DIRKS methodology is outlined in ISO 15489.1, ^ Information and documentation - Records management. It was originally detailed in the earlier national standard, Australian Standard, AS 4390-1996, Records Management.

Implementing the DIRKS methodology

Flexibility of DIRKS

The DIRKS methodology is intended to be both scalable and flexible.

In its implementation, DIRKS can be whatever you want it to be. Implementing the DIRKS methodology can be a multi-million dollar exercise, or it can involve a quiet afternoon's worth of reflection. DIRKS can also be used to fulfill a wide variety of business objectives.

For any DIRKS project, the methodology does not need to be done in a linear way, if this is not the most effective use of your time and resources.

^ Example: Non linear approaches

Although the steps are called A, B, C etc, you may choose to start with Step B: Analysis of business activity move on to Step C: Identification of recordkeeping requirements and then jump to Step F: Design of recordkeeping systems.

Depending on the nature of your project, it can also make more sense to work through some of the steps concurrently, rather than thinking of them as self contained, fixed points in a process.

^ Example: Some steps contribute to others

You may complete a lot of your Step C: Identification of recordkeeping requirements research during the course of your work on Step A: Preliminary investigation and Step B: Analysis of business activity.

You may find that DIRKS can be used to support a range of other business outcomes in department/section, in addition to the projects outlined above.

DIRKS and ARMS Requirements

The UN Archives and Records Management Section (ARMS) has not made the DIRKS process a mandatory requirement in the United Nations. It is rather a tool that can help you improve recordkeeping in your organization. This is an outcome that can contribute significantly to business efficiency and accountability. In all, a wide range of business benefits can be obtained by implementing the DIRKS process.

Skills and knowledge that will obtained by undertaking the DIRKS process

DIRKS can be a challenging process, but its results can be incredibly rewarding, organizationally and personally.

Depending on the nature of your DIRKS project, people working through DIRKS will gain an excellent understanding of the business of your department/section, both in terms of its requirements and how it is conducted. They will gain experience in broad stakeholder consultation, become adept at listening to and responding to user requirements and will have concrete experience of change management. They will also have an excellent understanding of records management requirements and how these should be implemented to best meet organizational needs.

Case studies and examples in the DIRKS Manual

The DIRKS Manual has tried to incorporate a range of case studies and examples that illustrate how DIRKS can be applied in different ways to meet different objectives. Some of these are part of the text and some are provided on the Case studies page.

This manual provides a range of guidance about ways to follow the methodology. This advice is for guidance only - all recommendations provided can be adapted to suit particular projects or to help achieve specific outcomes.

A number of the case studies and tips provided are based on real life DIRKS implementations that have taken place internationally. A number of the organizations that have provided these case studies have been identified by name, while others remain unidentified at the request of the contributing organization. Other examples provided within the manual are fictitious, created to illustrate a particular point, or represent amalgamations of different stories.

Commencing a DIRKS project

Overview

Measure risk

Determine the scope of your project

Obtain senior management support

Plan for what you want to achieve

Establish a project team

Implement change management strategies

Overview

This section examines the different issues you need to consider when embarking on a project to improve recordkeeping in your department/section. It identifies:

methods by which you can scope your project and determine what is attainable
the importance of senior management support and means of attaining this
the need for project planning
the people you may need in a DIRKS project team, and
the importance of change management.

Measure risk

Measuring the risks faced by your department/section as a result of poor recordkeeping is a useful way to commence your DIRKS project.

Risk management is a theme that runs through the DIRKS Manual. ^ Risk management is 'the culture, processes and structures that are directed towards the effective management of potential opportunities and adverse effects'. [4]

DIRKS projects can be targeted and employed in your department/section based on the results of a risk assessment. For example, undertaking risk assessments may help your department/section to realize that recordkeeping is crucial to areas of your business that are subject to high degrees of risk and litigation. Other areas may have minimal amounts of risk associated with recordkeeping. You could therefore commence your DIRKS work in the areas that are subject to high degrees of risk and build good recordkeeping systems that will help you to manage and minimize this risk.

^ Tip: All UN systems do not have to be assessed using DIRKS

Remember that not all business systems or processes in the United Nations may need to be subject to the DIRKS process. Choosing which business areas to target with your DIRKS analysis should be a risk-based decision.

If you are measuring risk to help you determine where the DIRKS methodology can best be applied in your department/section, use the results of your assessment for a variety of purposes. For example, if you believe your department/section faces significant risks as a result of its current recordkeeping practices, your risks assessment results may make persuasive arguments for senior management and convince them to give support to your project.

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