Manual for the Design and Implementation of Recordkeeping Systems (dirks)
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Use policy to assign recordkeeping roles and responsibilities
To ensure recordkeeping requirements are met and to ensure that your recordkeeping system operates effectively, it is important to ensure that responsibility allocation is included as part of your system design.
You can use the policy you are developing to assign responsibility for records management.
^
What responsibilities should be assigned and to whom?
In previous steps you will have determined what recordkeeping tasks need to be performed in your department/section. You can use policy to assign responsibility for these recordkeeping tasks.
You can also use policy to assign responsibilities for quality control. Someone must be responsible for ensuring that recordkeeping tasks are not only performed, but also performed correctly, so make sure you allocate this responsibility.
In some cases, you may use policy to assign responsibilities to a particular individual or staff position, such as the Corporate Records Manager. In other cases, you may assign responsibilities to particular work groups or sections, or to all staff across the section. Regardless of the persons, positions or sections to which you assign particular responsibilities, you must ensure that all recordkeeping roles and responsibilities are clearly documented. This will help ensure accountability for recordkeeping actions (or inaction). Responsibilities should usually be documented in policy and procedure documentation, or position descriptions.
The activity of assigning roles and responsibilities should be conducted in conjunction with any workflow or business process design or redesign being undertaken. New or redesigned processes will result in the creation of new roles and responsibilities across the business area concerned.
^
Applying the design and standards strategies
Overview
Design technical components of systems to enable better record creation, capture and management
Responsibilities for technical design
Steps involved in technical design
Conduct regular design reviews
Develop a migration and/or conversion strategy
Documenting technical design
Overview
If in Step E: ^ Identification of strategies for recordkeeping, you selected design and standards as strategies that would be of use to your department/office, this section examines how you can develop and use technical solutions a means to improve recordkeeping.
This section looks at issues associated with technical design, including the skills required to undertake it, the steps that need to be considered as part of technical design and the documentation of technical design.
^
Design technical components of systems to enable better record creation, capture and management
Depending on the strategies selected in Step E, or the nature of the systems with which you are working, it may be necessary to design significant electronic components for your recordkeeping system, or to integrate some automation into existing paper-based systems.
^
Responsibilities for technical design
The technical design of your recordkeeping system may be conducted by:
- the IT and business analysis staff on your project team
- external consultants
- system vendors, or
- a combination of the above.
The range of staff you may want to include in your DIRKS project is outlined in the Introduction to DIRKS.
| Tip: Staff with recordkeeping responsibilities should be involved in technical design Staff with recordkeeping responsibilities have a key role to play in technical design. Even if you have no interest or expertise in technical design you must be prepared to provide a professional opinion on the recordkeeping functionality of the electronic system as it is being designed. Ask questions or speak out if it appears that the recordkeeping functionality of the system is being compromised, or if your requirements are being misinterpreted. |
Obtaining IT involvement
If you are having trouble in convincing your IT staff that they should be involved in your system redesign projects, there are a number of points you can emphasize to demonstrate the utility of your project to both organizational and IT objectives.
| ^ Example: 'Sell it' the project your IT staff To demonstrate your project's relevance, objectives and validity to IT personnel, discuss it using IT terms and concepts. You could emphasize that your project is:
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Your project will have many synergies with organizational IT objectives, and highlighting these should help to give you the IT or system development support you need. Better positioning your requirements, and demonstrating how they serve broader information management needs, will help you to obtain the support you require.
| ^ Example: Work together In its assessments of organizational systems, Indiana University noted that to the university's IT managers that the 'standard back-up procedures were not creating an environment where records could be easily retrieved and were not preserving the kind of records that would be useful in the future'.[4] Specifically examining IT procedures and discussing their concerns from an IT viewpoint helped both IT and records staff to agree that there was a problem and to work together to rectify it. |
| ^ Tip: Sign a 'memorandum of understanding' (MOU) Consider establishing an MOU with the IT Department and build responsibilities for your project into IT planning. If IT staff have written responsibilities as part of the project this indicates their significant commitment to the project. |
Before you talk to IT staff about the type of technical components you want, make sure you have a very good idea about the functionality you want from your system:
- what should it be able to do?
- what type of metadata do you want to capture?
- what types of records should it administer?
- should it be capable of resolving access permissions?
- does it need to integrate with other business systems?
- do you want to employ classification schemes?
Clearly outlining these and other requirements will greatly assist IT and system designers to understand your needs and help all participants build a system that meets business needs. The ideas you outline should not just be preliminary. You must provide solid information so that the designers can create specific functionality that enables your department/section to meet its recordkeeping requirements.
You do not need to become an IT or technology expert to effectively undertake this step. You do however need a good understanding of how you want your system to operate and be able to explain this, using appropriate terminology and concepts, to IT or system design staff.
| ^ Example: Do not assume understanding Staff at Indiana University found that when dealing with IT staff or those with data management responsibilities, IT personnel had a good understanding of functional assessment, metadata and how data is managed within systems. They did not tend to have a great degree of familiarity with records as defined by ISO 15489, the role and importance of contextual information and the value of evidence in organizational business systems. Informational content is often regarded as more valuable and of more organizational importance than the preservation of evidence. [5] Therefore do not assume that all your colleagues will have the same understanding of concepts and issues. Be sure everyone is working from the same definitions and understandings before you commence any specific design work. |