Module 4: Text 1

e-TERM reference*

TKB5

Version no.*

2

Version date*

2002-03-01

Contributor*

Barata, Kimberly J; revised Yeo, Geoffrey

Author/s*

National Archives of Australia and the State Records Authority of New South Wales

Title*

Designing and Implementing Recordkeeping Systems (DIRKS): A Manual for Commonwealth Agencies

Print availability

Electronic availability

http://www.naa.gov.au/recordkeeping/
dirks/dirksman/dirks.html

Copyright

© National Archives of Australia and the State Records Authority of New South Wales, 2001

Introduction

Records professionals agree that one effective strategy for managing electronic records is to integrate recordkeeping principles into the design of information systems. A pre-requisite for good systems design is the identification of requirements. The manual provides Australian government agencies with practical guidance on the design and implementation of best practice recordkeeping systems in accordance with the eight-step methodology recommended in the Australian Standard AS 4390-1996, Records Management (which has formed the basis for the development of the ISO Records Management Standard, ISO 15489:2001). In addition it helps agencies to develop policies and procedures to support their operational and regulatory requirements for recordkeeping. The primary audience for this manual is government agency records managers and archivists and consultants.

Part One of DIRKS provides a broad introduction to the methodology and to electronic recordkeeping concepts generally. Part Two presents the eight steps that comprise the DIRKS methodology:

Step A - Preliminary investigation
Step B - Analysis of business activity
Step C - Identification of recordkeeping requirements
Step D - Assessment of existing systems
Step E - Identification of strategies for recordkeeping
Step F - Design of a recordkeeping system
Step G - Implementation of a recordkeeping system
Step H - Post-implementation review

Although the manual was written for use in the Australian legal and regulatory environment and recordkeeping culture, the methodology advocated can be easily adapted to other contexts.

More importantly, the DIRKS methodology demonstrates how a national standard can be translated to have practical affect.

No individuals are named as authors. DIRKS is a joint publication of the National Archives of Australia and the State Records Authority of New South Wales.

Relevance

The text is a useful introduction to what electronic recordkeeping is and why it is important, as well as illustrating the implementation of a electronic records programme from policy development through to systems implementation. The Frequently Asked Questions Section provides a clear explanation of basic questions asked by senior managers, IT and records professionals alike.

Concepts*

Corporate Culture
Data
Digital preservation
Document
Functional requirements
Information system
Metadata
Policy
Record
Record keeping strategies
Record keeping system
Record series
Risk assessment
Security
Standards
Storage media
Systems design
Systems implementation

Cases

-

Module no.*

4

Role

-

Contribution to learning objectives*

Study of this text will contribute to the following learning objectives:

Preliminary reading

-

Reading help

Students should begin by reading the opening 'Background' section of Part I 'Introducing the DIRKS Methodology'. Although all of Part II 'Step-by-Step Through the DIRKS Methodology' is useful to skim, concentrate on Step E 'Identification of Strategies for Recordkeeping'.

While reading the Step E consider:

• What should be the goal of an electronic records management programme and how do the tactics presented support that goal?

• What recordkeeping requirements are the tactics described intended to satisfy?

• What is the role of records professionals in implementing these strategies? Who else would need to be involved to ensure successful implementation?

• What other factors could provide support or inhibit implementation of the strategies described?

• How could the tactics described be brought together to form an overall strategy? Should all tactics be included or only combinations of selected ones?

Discussion

The report points out that 'chief executive officers, senior managers, information professionals and employees make choices every day that determine whether their organisation creates and retains evidence of its business activities. Unfortunately, many of these choices are made on an ad hoc basis without an adequate understanding of the organisation's recordkeeping requirements, an assessment of the risks of failing to meet such requirements or an appreciation of the most appropriate methods for obtaining organisational compliance.'

How far is this statement true? What impact could an organisation's culture have on the success of implementing the tactics discussed in the methodology? How could you manage change? How would you obtain the necessary support for implementing a new records management system?

Assignment

What are the main computing environments found in your organisation and what tactics would be useful in that environment and which ones would not? Develop an outline for a strategy for your organisation and include an assessment of potential risks.

Further reading

International Council on Archives, Committee on Electronic Records. ICA Guide on Electronic Records. (Paris: ICA, 1997)

DLM-Forum. Guidelines on Best Practices for Using Electronic Information. European Archives News Supplement III (1997). http://europa.eu.int/ISPO/dlm/
documents/gdlines.pdf

UK Public Record Office. Management, Appraisal and Preservation of Electronic Records Vol 1: Principles. 2nd Edition. (London: PRO, 1999). Chapter 5 'Design of Electronic Records Management Systems' http://www.pro.gov.uk/recordsmanagement

Slavin, Timothy A. 'Ensuring Authentic Electronic Records: From Requirements to Demonstration.' DLM Forum '99 http://europa.eu.int/ISPO/dlm/
fulltext/full_slav_en.htm

Dollar, Charles. 'Selecting Storage Media for Long-Term Access to Digital Records.' Information Management Journal 33 (July 1999): 36-43.

National Archives of New Zealand. The National Archives of New Zealand Policy for the Management, Selection and Preservation of the Electronic Public Record. (Auckland, NZ: National Archives of New Zealand, February 1997). http://www.archives.govt.nz/statutory_regulatory/
er_policy/introduction_frame.html