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

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Example: Relationship with Steps E and F

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How is Step G scalable?

The implementation step is essential for any DIRKS project - there is no point in creating solutions for existing problems or designing systems if you do not implement them. However, the scale of Step G will depend heavily on solutions you are implementing and how much of the DIRKS process you have already undertaken. With large and complex changes, you may choose to implement aspects gradually to make the best use of resources and to manage change effectively.

There may be management-driven imperatives to skimp on resources for implementation or to implement systems or components of systems without fully understanding recordkeeping requirements and organizational constraints. Be aware that implementing a new system without proper resources or the knowledge that comes from completing relevant steps of DIRKS may adversely affect:

how the system or component is configured or developed
its ability to meet your needs
the way implementation is carried out, and
the acceptance of the change by staff.

You may ultimately incur additional, and otherwise avoidable costs (in terms of staff, time and goodwill) and your system may not be able to guarantee you are creating and managing the evidence you need to satisfy your regulatory and business needs and community expectations.

Relationship to other steps

All other steps

Step G is, of course, reliant on having something to implement, so you will be undertaking other steps of the DIRKS methodology in order to use it. You may have undertaken some or all of the following:

analyzed recordkeeping requirements and organizational constraints. These can be derived fully from Steps A to E
developed any specific tools to assist your records management needs, such as a corporate record plan (arising from Step B or C) and retention and disposal schedule (derived from Steps A to C)
developed a list of vital records which can help you to protect them from disaster, promote business continuity and prioritize recovery efforts during a disaster (derived from Steps A to C)
identified the strengths and weaknesses of your existing systems (Step D)
agreed on a range of strategies to satisfy your recordkeeping requirements and organizational constraints, including implementation strategies (Step E)
developed a plan that shows how the various system components (processes, procedures, people and technology) fit together in practice (Step F)
obtained management support and resources to implement the plan, and/or
acquired necessary hardware and software.

Step E and F

Step E: Identification of strategies for recordkeeping and Step F: Design of a recordkeeping system are closely aligned to Step G and in many cases these steps will be undertaken together. In Step E you choose strategies to meet your needs and you design these in Step F to implement in Step G.

^ Example: Relationship with Steps E and F

You may decide in Step E that an important strategy for implementing a file classification scheme across the office is to have classification procedures in place (policy strategy) and to train staff in those procedures (implementation strategy). Step F is where you design these procedures, decide training methods and write the training course. Step G is where the procedures are distributed to the department/section and where training is conducted.

Planning for implementation

Plan for implementation at the beginning of your project

Plan for implementation at later stages of your project

Develop a timetable for implementation

Use project management and change management methodologies

Plan for implementation at the beginning of your project

At various stages in your DIRKS project you will need to plan for implementation. You will have established broad strategic plans at the beginning of your project and these should address some aspects of implementation and change management, such as involvement of staff in analysis and design. See Introducing DIRKS for more information on project planning and change management issues.

If you have a particular issue in mind, such as implementing a records classification scheme, you may have also developed more detailed implementation plans at the outset of your project, focused on how you want to design and introduce this tool into your department/section (aspects of Step E: Identification of strategies for recordkeeping and Step F: Design of a recordkeeping system can help you with this).

Plan for implementation at later stages of your project

However, sometimes you may be unclear at the beginning of a project just what strategies you will choose to address your problems. You may not even be fully aware of the nature of the problems! Therefore, you may need to do some additional planning at a later stage, after you have assessed existing systems (Step D) and looked at strategies to address problems (Step E).

Implementation issues are likely to come up again in Step F when you are deciding how to design aspects of your overall strategy. Planning for rollout may begin in Step F but should form part of your planning for implementation in Step G. See Roll out new or redesigned systems for more information.

[Drafting note: ARMS would like to include a model implementation plan as an example. If anyone has examples they consider suitable, and is willing to share, they would be greatly appreciated].

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