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

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Review methods
What should you review?
Documentation required for review
Documenting the Step H analysis
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Review methods


Methods for collecting information for the review may include:
  • interviewing stakeholders (e.g. project sponsor, senior management, business experts, records management staff and representative users)
  • using questionnaires or surveys
  • observing the system in operation
  • examining procedures manuals, training materials and other documentation
  • carrying out random checks on the quality of records and control information, and/or
  • obtaining computer-generated reports on usage figures for statistical analysis.
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What should you review?


What you need to review will depend very much on the scope of your review. See Doing your DIRKS project for reference to particular projects. Below are some sample questions you might select from, as appropriate, to measure systems:
  • Records creation and retrieval 
    • Are records being created to adequately document business activity?
    • Are records being captured into the recordkeeping system in a timely, accurate and complete manner?
    • Are records adequately preserved and accessible?
    • Can users retrieve the records they need?
    • Can users easily locate the records they need using the new system?
    • Do your business classification scheme and recordkeeping metadata adequately reflect functions, activities, and transactions?
  • Management 
    • Is systems documentation adequate for operational and maintenance purposes?
    • Have audit trails been established between the old and new systems?
    • Have vital records and relevant control information from the old system been converted to the new system?
    • Are staff still relying on any unauthorized stand-alone or ad hoc systems in preference to the new system?
    • Are adequate security arrangements in place to protect sensitive records (including privacy and confidentiality aspects)?
    • Is the physical security of records adequate (e.g. locked cabinets/compactus)?
    • Has the quality and level of records-based services changed since implementation from both the user and management perspective (e.g. ease of use, precision and coverage of search and retrieval)?
    • How often are maintenance checks carried out?
    • Has the disaster response plan been tested?
  • Retention and disposal
    • Do you have comprehensive records retention and disposal coverage?
    • Does the coverage satisfy the needs of the department/section?
    • Is it consistent with the requirements of the UN Archives and Records Management Section (ARMS)?
    • Is the retention schedule built into the recordkeeping system in a way that meets your needs?
    • Are the retention periods sufficient to fulfill business, accountability requirements and community expectations or do they need to be revised to longer/shorter periods?
    • Are records being sentenced and disposed of appropriately?
    • Is there documentation to substantiate these actions (e.g. certificates of destruction, retention of control records, current records retention schedules)?
    • Is your department/section creating any additional types of records that need to be appraised and incorporated in its disposal coverage?
    • Are some of the vital records listed no longer being created?
  • Staff training 
    • Are personnel aware of their recordkeeping roles and responsibilities (e.g. through job descriptions, training)?
    • Do personnel have access to up-to-date policy and procedural documentation?
    • What problems have personnel experienced with the new system?
    • Are personnel applying classification and titling conventions appropriately and consistently?
    • Are personnel retrieving records using the appropriate tools?
    • Are staffing levels and competency skills adequate (within the records management area and among other staff)?
  • Learning from the process 
    • Were the original terms of reference sufficiently precise to guide the project?
    • Did we negotiate sufficient resources to carry out the project?
    • Did we keep the key stakeholders informed and committed during the project?
    • Could we improve our broad planning processes if we had to start afresh?
    • Was the planning process appropriate to the project's size, complexity and predictability?
    • Did our techniques for managing the project work well?
    • Are the stakeholders satisfied?
    • Did we complete the project on time?
    • Did we complete the project within budget?
    • Have we handed the project over as a going concern?
    • Do we need a formal sign-off?
    • Have we acknowledged everyone who made a contribution?
    • Have we celebrated our success as a team?
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Documentation required for review


You should specify in review planning what type of documentation is required. You might, for example, construct a table that lists the aspects of the recordkeeping system you wish to measure, with columns for a 'yes/no' answer and comments. 

See ^ Documenting the Step H analysis for information on all of the documentation recommended for this step.