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

About the draft 'DIRKS' Manual

The DIRKS methodology is an 8-step methodology to be used for the design or redesign of systems that create, capture and maintain records.

This draft manual seeks to expand on the methodology and explain how it can be used to design and implement best practice systems to ensure organizational efficiency and accountability. 'Systems' examined in this manual include the software and hardware components, but also policies, procedures, recordkeeping tools and strategies, and people.

The primary audiences for the manual are records managers, records management project teams and consultants responsible for designing recordkeeping systems or building recordkeeping functionality into existing systems.

Note: Supplementary material for the manual such as forms and appendices are still being revised and therefore are unavailable at present.

^ How to provide comments

This draft of the manual will be available for comment until .

We welcome feedback and comment from U.N offices and other interested parties. In particular, we would be grateful for tips, examples and case studies from practitioners with experience in implementing DIRKS or related IT projects.

Comments may be provided in any format and may be of any size, from a few words to many pages. You may wish to annotate printed sections and send them to us, or just write a short e-mail. It's up to you.

Send your comments to:

Tony Newton, Chief
Archives and Records Centre
Archives and Records Management Section
United Nations Headquarters, New York

Telephone: (212) 963 8685
Facsimile: (212) 963 8686
E-mail: newtont@un.org

Acknowledgement

This draft is based on an exposure draft released State Records Authority of New South Wales, Australia, in 2002, which was based on an earlier work developed by the State Records Authority of New South Wales, Australia and the National Archives of Australia. Permission to adapt their work is greatly appreciated.

^ Introducing DIRKS

Recordkeeping systems

Characteristics and functionality of recordkeeping systems

The DIRKS methodology and manual

Commencing a DIRKS project

Recordkeeping systems

Overview

What is DIRKS?

What is recordkeeping?

What are recordkeeping systems?

Many business information systems need to be recordkeeping systems

Overview

This section examines:

what the DIRKS process is
what recordkeeping is and how it should be achieved, and
what recordkeeping systems are and why you need them in your organization.

What is DIRKS?

DIRKS is an acronym that stands for 'designing and implementing recordkeeping systems'. DIRKS is about building more efficient and accountable business practices through the design and encouragement of good recordkeeping across an organization.

^ The DIRKS methodology:

is a means of building good recordkeeping into your organization, through the design and implementation of recordkeeping systems.

What is recordkeeping?

Recordkeeping is the making and maintaining of complete, accurate, reliable evidence of business transactions.

Why is recordkeeping important?

Good business requires good recordkeeping. In complex business environments and strict accountability structures, it is vital that the United Nations has the evidence and information they need to drive and support its business operations.

What are recordkeeping systems?

Recordkeeping systems are business information systems capable of:

capturing
maintaining and
providing access

to records over time.

Recordkeeping do not just have to manage records - they can perform other business functions as well. Having the capacity to capture, maintain and provide access to records is however crucial.

Components of recordkeeping systems

Recordkeeping systems are not simply software applications designed to manage records. They are organised collections of:

people
policies
procedures
tools
technology
ongoing supporting education, and
maintenance.

In combination, these combinations enable United Nations’ business to be adequately documented.

Benefits of recordkeeping systems

Recordkeeping systems that are based on a sound understanding of the United Nations’ business environment, legal needs and organizational requirements provide substantial benefits.

Recordkeeping systems:

support better performance of business activities and better decision making throughout the United Nations
enable the United Nations to comply with legal and regulatory requirements
protect the interests the United Nations and the rights of its employees, clients and the public
provide protection and support in litigation, including the better management of risks associated with the existence or lack of evidence of organizational activity
support consistency, continuity, efficiency and productivity in service delivery, program management and administration
produce dynamic, valuable information that can be fed back into business processes to continually improve, automate and facilitate these processes
avoid the retention and clutter of ephemeral records, or the loss or inadvertent destruction of significant records, and
enable management of records as an asset and information resource, rather than a liability. [1]

^ Tip: Demonstrate tangible business benefits

Using arguments that demonstrate tangible business benefits that can be obtained through better recordkeeping, may help to convince management and other staff about the importance of ensuring your office has the recordkeeping systems it needs to sustain its business activity.

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

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