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

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Example: The policy strategy
Example: A relevant mix of strategies
Example: Implementation drawing on Step F

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What can you do with the DIRKS methodology?

The primary use of the methodology is to design and implement recordkeeping systems.

You can use DIRKS for a range of projects designed to:

build better recordkeeping, and
develop recordkeeping tools.

Build better recordkeeping

This might include:

ensuring the creation and capture of records
managing your vital records appropriately
managing records security and access
improving business processes and systems
designing new recordkeeping systems
facilitating the purchase and implementation of off-the-shelf records management software
outsourcing functions

Develop recordkeeping tools

Parts of the methodology have other application. They can be used to:

create and implement a keyword thesaurus
create and implement a file classification scheme
specify and apply metadata

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.

Doing DIRKS to ensure the creation and capture of records

The creation and capture of records

Identifying what your organization should create and capture

Ensuring that your systems support creation and capture

Reviewing strategies for records creation and capture

Further information

The creation and capture of records

You may embark on a DIRKS project with the aim of ensuring the creation and capture of appropriate records to meet your business needs, regulatory requirements and what the community expects of you. This involves:

identifying what records your department/office are required to create and capture
ensuring that your systems, including people, policy, procedures, tools and software, support this creation and capture.

Identifying what your office should create and capture

Steps A-C of the DIRKS methodology enable you to define what records your office is required to create and capture.

Step A: Preliminary investigation

To understand what requirements your department/office has for creating and capturing records you will need to undertake an assessment of the business performed. This analysis begins in Step A where you examine sources to learn about the broad context of the U.N.

If you are intending to concentrate on one function or business unit at a time, you should still broadly analyse your business in Step A but you can start to focus more on those sources that relate to the function or business unit.

Step B: Analysis of business activity

The functional analysis conducted in Step B and business classification scheme that results from this step are useful in a project to identify requirements for creating and capturing records, because they provide a workable structure for mapping the requirements to. However, you may decide, in the case of a business unit, to map only those requirements affecting the business unit. The sequential analysis in Step B gives you a much better understanding of current processes, current records creation and business needs for records creation.

Step C: Identification of recordkeeping requirements

Step C is essential to understanding organizational requirements for creating and capturing records as it enables you to understand what your recordkeeping requirements for evidence are. If you decide that the department/office should not meet particular requirements, due to costs or difficulties caused, you need to analyse the risks of not meeting the requirements. You will then come up with an agreed list of requirements which will demonstrate what records should be created and captured in the department office. You should obtain the approval of senior management about this list.

Ensuring that your systems support creation and capture

Knowing what records your department/office is required to create and capture is important. However, you still need to ensure that these records are actually created and captured, and that your systems support these activities. Steps D-G of the DIRKS methodology can assist you in:

understanding whether your existing systems enable your creation and capture requirements to be met
deciding on the strategies required to ensure that your creation and capture requirements are met
designing or redesigning software and necessary system tools to support the creation and capture of these records, and
implementing these strategies effectively in your department/office.

Step D: Assessment of existing systems

Step D enables you to assess your current systems, to determine whether they are enabling your creation and capture requirements to be met. From this assessment you can see if systems need to be designed or redesigned to ensure that all appropriate documentation of business activity is being undertaken.

Step E: Identification of strategies for recordkeeping

Step E involves you determining the best combination of strategies - policy, design, standards or implementation - that will enable your creation and capture requirements to be effectively implemented and followed across your department/office.

^ Example: The policy strategy

You may decide to write a records management policy stating which positions have defined responsibilities for ensuring the creation and capture of records.

^ Example: A relevant mix of strategies

You might decide in Step E that requirements for creation and capture should be integrated into workflow and procedure manuals for particular business units. You may also highlight individual responsibilities that need to be assigned and training that needs to be conducted to ensure that the creation and capture rules are followed.

Step F: Design of a recordkeeping system

In Step F you can actually design or write the strategies chosen in Step E. Your system redesign work will focus on incorporating creation and capture tools into your systems and will build upon the strategies you outlined in Step E.

Step G: Implementation of a recordkeeping system

In Step G you need to implement the strategies so that they have effective uptake.

^ Example: Implementation drawing on Step F

You can issue the procedures or documentation designed in Step F and train staff in how to use the procedures to create and capture the necessary records.

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