This section examines: the qualities recordkeeping systems should have, and; the types of operations they need to be able to perform.
This section examines the different issues you need to consider when embarking on a project to improve recordkeeping in your organisation.
This section introduces the DIRKS methodology and manual. It outlines the specific steps involved in the DIRKS methodology and explains where the methodology has come from. It also discusses the methodology's flexibility and how it can be implemented in a variety of ways.
It describes the range of projects you can undertake using the DIRKS methodology and explains means by which you can implement DIRKS in your organisation. It also discusses how DIRKS can be used to help your organisation comply with specific requirements issued under the State Records Act 1998.
You can use this manual to achieve a range of specific organisational outcomes. This section contains information on how the DIRKS methodology can be applied to achieve these specific goals. Select an option above or browse all guidance.
Before you start interviewing colleagues, you should have a good understanding of what your project is seeking to achieve, a good knowledge of your workplace and its operations, and a good idea of the outcomes you want to achieve through the interview process.
Use this form to consolidate information about the organisation gathered during the preliminary investigation (Step A of the DIRKS methodology).
This section examines: what the DIRKS methodology is; what recordkeeping is and how it should be achieved, and; what recordkeeping systems are and why you need them in your organisation.
This sample is: Department of Aged and Community Care - Business case for an improved records management program
It is important that you have a good understanding of what you want to achieve through your interviews prior to commencing.
This plan has been provided by the Australian Broadcasting Authority. The Australian Broadcasting Authority is a Commonwealth agency. In 2000 they completed Steps A-C of the DIRKS methodology and created a keyword thesaurus and retention and disposal authority.
It is important to identify the requirements that pertain to your business and to ensure that your business practices enable you to meet these requirements
Collect information from documentary sources and interviews; identify and document the role and purpose of the organisation, its structure, its legal, regulatory, business and political environment, critical factors and critical weaknesses associated with recordkeeping. [AS ISO 15489.1, Clause 8.4]
Collect information from documentary sources and through interviews; identify and document each business function, activity and transaction and establish a hierarchy of them, that is, a business classification system, and identify and document the flow of business processes and the transactions which comprise them. [AS ISO 15489.1, Clause 8.4]
Collect information from documentary sources and through interviews; identify the requirements for evidence of and information about each business function, activity and transaction which should be satisfied through records. The requirements can be derived from an analysis of the organisation's regulatory environment and the risk of not creating and maintaining the records. Determine how each requirement may be satisfied through records management processes, and articulate and document the requirements for records. Choose the appropriate records structure which best satisfies each business function, activity or transaction. [AS ISO 15489.1, Clause 8.4]
Identify and analyse existing recordkeeping systems and other information systems to measure their performance against the requirements for records. [AS ISO 15489.1, Clause 8.4]
Identify strategies for satisfying recordkeeping requirements, which may include adopting policies, procedures and practices, designing new systems, implementing systems in a way which satisfies a recordkeeping requirement, or adopting standards. Strategies may be applied to each recordkeeping requirement separately or in combination. Strategies should be selected on the basis of the degree of risk involved in failure to satisfy a requirement within the business function which the recordkeeping system is intended to support, the existing systems environment and the corporate culture in which the strategy should succeed. [AS ISO 15489.1, Clause 8.4]
Design a recordkeeping system which incorporates the strategies, processes and practices endorsed by AS ISO 15489; ensure that the system supports, and does not hinder, business processes; assess and, if necessary, redesign business processes and operational business and communication systems to incorporate recordkeeping. [AS ISO 15489.1, Clause 8.4]
Implementing a recordkeeping system should be undertaken systematically using project planning methodologies appropriate to the situation and with a view to integrating the operation of the recordkeeping systems with business processes and related systems. [AS ISO 15489.1, Clause 8.4]
Gather information about the performance of the records system as an integral and ongoing process. This may be undertaken by interviewing members of management and key employees, using the questionnaires, observing the system in operation, examining procedure manuals, training materials and other documentation, and carrying out random checks on the quality of records and control measures. Review and assess the performance of the system, initiate and monitor corrective action and establish a regime of continuous monitoring and regular evaluation. [AS ISO 15489.1, Clause 8.4]
Acknowledgement: This guidance was provided by Denis Comber, based on his experiences as Records Manager at NSW Police.
DIRKS Manual: The tools and tips take the form of case studies, examples, templates, reports and checklists. This advice is for guidance only - all recommendations provided can be adapted to suit particular projects or to help achieve specific outcomes.