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

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Analysis of business activity
Tip: Off-the-shelf packages are not the ultimate solution

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Reviewing business systems and processes

Step H: Post implementation review

Step H is an opportunity to measure how the implementation of new business processes or system changes has fared and whether they meet expectations outlined in project planning. It also provides the opportunity to take corrective action regarding faults detected in the process or system.

Further information

Business process and system assessment is referenced throughout the DIRKS Manual (particularly in Step B: ^ Analysis of business activity, Step D: Assessment of existing systems, Step E: Identification of strategies for recordkeeping and Step F: Design of a recordkeeping system), so read the manual for more guidance.

Other recommended sources include:

a Australian Technical Report: Work Process Analysis released by Standards Australia's IT/21 records management committee. This document is known as AS 5090 and is available for purchase from Standards Australia from April 2003.
Step 1 of A Methodology for Evaluating Existing Information Systems as Recordkeeping Systems from the Indiana University Electronic Records Project at ссылка скрыта.

Doing DIRKS to select and implement off-the-shelf records management software packages

What is an off-the-shelf records management software package?

Identifying recordkeeping requirements that your software package should meet

Assessing, designing and implementing your software package

Reviewing your software package

Further information

What is an off-the-shelf records management software package?

An off-the-shelf records management software package is a piece of software that you can purchase to help you meet a number of your records management needs. They are pre-configured software systems that undertake a range of key records management activities such as registration, indexing, tracking and disposal. These software systems can generally interface with a range of other business applications.

Particular off-the-shelf records management software packages have been recommended to certain public sector organizations, based on a rigorous selection process undertaken by the relevant government department.

An off-the-shelf software package could be used:

across your department/office
across a range of business areas, or
within a specific business unit.

The scope of this project can therefore be flexible, depending on your business needs and budget.

The DIRKS process can be used to establish the requirements you want your records management system to meet. It can then be used to establish the training and other strategies you need to effectively implement the software system across your department office.

^ Tip: Off-the-shelf packages are not the ultimate solution

Remember, an off-the-shelf software package is not a complete solution to your organization's records management issues. It can definitely help with the management of records and will improve the accessibility of organizational information. However these systems need to be supported by policies, procedures, training and recordkeeping tools, in order to be effective in your organization.

Over time you should also consider the recordkeeping needs that your organization may have in other business systems, particularly those that are not or cannot be connected to your records management software. The DIRKS Manual can help you to develop adequate recordkeeping strategies in such systems.

Identifying recordkeeping requirements that your software package should meet

Undertaking Steps A-C of the DIRKS methodology can help you to identify the types of requirements you will need your software package to satisfy.

Step A: Preliminary investigation

In Step A you should assess your functional area where you wish to implement your records management software. You should examine:

what business is performed?
how is it performed?
why is it performed?
what risks are inherent in this business?
what technical infrastructure is present?
what compatibilities are required to integrate with this infrastructure?

Establishing this context will give you a good overview of the environment in which your software package will be implemented and will begin to give you an understanding of the functionality the package must possess.

Step B: Analysis of business activity

In Step B, you examine your organizational business activities more closely. You will particularly focus on the activities you want the software package to support, in order to gain a thorough understanding of these activities. As part of this assessment you may also want to determine:

what records are generated in the course of business activity?
who generates them?
are they in different forms and formats?
how are these records currently managed?

Understanding issues such as these is important to help you determine the specific functionality you need within your records management software.

Step C: Identification of recordkeeping requirements

In Step C you determine the recordkeeping requirements - requirements for evidence and information, or requirements for the management of information - that your department/office needs to meet. When you are looking at purchasing software, you need to ensure that the software you are considering is capable of meeting some or all of these requirements.

Example:

You may transact a lot of business via your website and the online services it offers. Your department/offic has a significant recordkeeping requirement to capture evidence of these online transactions. If looking at off-the-shelf packages, you need to ensure that they can capture records of these online transactions.

Recordkeeping requirements can be derived from regulation, business needs, business practices, community requirements or best practice standards the organization may choose to meet. They can relate to a wide range of issues. For example, legislation can require that specific types of records are created, or it can specify that particular records must be managed in a specific way. Be sure to identify the full range of requirements that affects your department/office.

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