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

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Example: Use existing internal methods of monitoring
Preliminary investigation

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Further information

Conducting the review or ongoing monitoring

Ongoing monitoring

Post implementation review

Ongoing monitoring

Planning for ongoing monitoring of systems and tools should be implemented when the need arises.

Post implementation review

Once the planning for a post implementation review is in place, the review team can conduct the review using the performance criteria and methods identified. Review teams should be given access to all appropriate sources and personnel required to conduct the review effectively.

Taking corrective action

Any remedial action suggested by the review or ongoing monitoring should be documented and assessed. It may also need to be prioritized. If the action is essential to the viability of the recordkeeping system it should be undertaken as soon as possible.

Continuous review and monitoring

Monitoring and review are not one off processes. Components of the system are likely to require ongoing monitoring and regular review. They should be periodically examined to allow you to:

identify changes to recordkeeping requirements
respond to environmental changes (such as user requirements)
assess the efficiency of technological components, and
anticipate the need for any modifications or systems redevelopment.

In some cases this may involve re-examining other steps of the DIRKS methodology.

^ Example: Use existing internal methods of monitoring

A number of organizations have included recordkeeping components in their scheduled internal audits as a means of promoting ongoing monitoring.

Documenting Step H

Overview

Planning documentation

Data gathered and recommendations

Report to management

Overview

It is very important to document reviews and ongoing monitoring processes. Such documentation can demonstrate that you have undertaken the review or monitoring in an accountable and objective way.

Planning documentation

You should document all decisions made in planning for:

ongoing monitoring, including what needs to be maintained, what methods should be used, who is assigned responsibility, and
the review process, including choosing the scope, particular reviewers and dates, performance criteria and methods.

Any variations to planning documentation that resulted from monitoring or reviews should also be documented.

Data gathered and recommendations

You should document the data gathered in ongoing monitoring or post implementation review, such as checklists used.

You might also:

document any variations or deviations to requirements defined in steps C and D
review the effectiveness of recordkeeping strategies chosen in step E
identify areas that warrant priority treatment
recommend corrective action, and
propose mechanisms for ongoing monitoring.

Report to management

The monitoring and review process and findings should be presented to management and a record created and retained for evidential and future reference purposes. This record may take the form of a written report, speaking notes or minutes.

Remember that circumstances may change over time and justification for decisions made or action taken may become very important. For this reason, the review and any follow-up action should be formally endorsed by senior management and all project management files and systems documentation should be brought up to date before the project team is dispersed.

Doing your DIRKS project

This section contains information on how Steps A-H can be applied to achieve specific recordkeeping goals. The guidance provided in this section should be read in conjunction with the relevant steps of the DIRKS Manual.

Guidance is provided to help you with the following projects:

doing DIRKS to create and implement a file titling plan/thesaurus
doing DIRKS to create and implement a retention schedule
doing DIRKS to ensure the creation and capture of records
doing DIRKS to manage your vital records
doing DIRKS to specify and apply recordkeeping metadata
doing DIRKS to manage records access and security
doing DIRKS to ensure records are kept of outsourced functions
doing DIRKS to ensure records are created and kept when business processes and systems are reengineered
doing DIRKS to select and implement off-the-shelf records management software packages
doing DIRKS to develop new systems with adequate recordkeeping functionality

If you are undertaking DIRKS with more than one project aim you should compare the relevant summaries and your scope to ascertain the extent of the work required.

Example:

If you are doing DIRKS to compile a whole-of-office classification and you are also intending to examine vital records for one function as part of the same project, you will need to complete Step A: ^ Preliminary investigation and Step B: Analysis of business activity for the whole of your organization, then consider what the scope of Step C: Identification of recordkeeping requirements should be in order to address the vital records issue.

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