Background:
The
DIRKS methodology was formally released by the Australian
government in March 2000. It was based on the Australian Standard
AS-390-1996. The ISO 15489 Records Management standard is for the
most part heavily based on the DIRKS methodology.
There are eight steps to the implementation process. They are listed
below with respective purposes and outputs.
Step 1: Preliminary
Investigation
Purpose:
To determine the major factors that influence creating and
maintaining records through understanding the organization's
administrative, legal, business, technical, and social contexts.
Reason:
To determine SWOTs in terms of Records Management, and appreciation
for the project scope.
Outputs:
* List of information sources for remainder of project;
* High level risk and impact analysis;
* Management report;
* Project plan;
Step 2: Analyze Business
Activity
Purpose:
To develop a conceptual plan of the functions and activities that go
on in the organization.
Reason:
To understand what the organization does, and how it does it. This
allows an appreciation of how records relate to the business process
and activities. The organization then can understand how records are
to be created, captured, valued, stored, and managed
Outputs:
* Business classification scheme
* Process maps
Other:
Step 2 provides the information necessary to develop a functional
thesaurus and disposition authority.
Step 3: Identify
Recordkeeping (RK) Requirements
Purpose:
To identify and document requirements to keep evidence of its'
activities (create, receive and keep records).
Reason:
Provides the rationale for the creation, maintenance and disposal of
records, the basis for designing systems that facilitate such
recordkeeping processes, and the benchmark for measuring the
performance of existing systems.
Outputs:
* Risk analysis
* Documented formal recordkeeping requirements - (paper and
electronic formats)
Step 4: Assessment of
Existing Systems
Purpose:
To assess existing recordkeeping and related IM systems ability to
capture and maintain records.
Reason:
To identify any gaps in the ability of the existing systems to
respond to recordkeeping requirements identified in step 3.
Outputs:
* Inventory of and report on the effectiveness of existing systems
* Recommendations for any changes, enhancements or improvements to
the existing systems
Step 5: Identify
Recordkeeping Strategies
Purpose:
Determine the most appropriate policies, procedures, standards,
tools, and tactics to meet its' recordkeeping requirements.
Reason:
To develop a planned, systematic approach to RK and RM. This will
provide the basis for the design or redesign of paper and electronic
records system.
Outputs:
* Model of the proposed recordkeeping system that maps needs to
requirements
* List of strategies (policies, procedures, tools...) that satisfy
RK needs
Step 6: Design of a Records
System
Purpose:
To convert the strategies and tactics (step 5) into a plan for RK
system that fulfills the requirements identified in step 3.
Reason:
This allows for remedying any deficiencies identified during the
assessment of existing systems (step 4).
Outputs:
* Project plan(s)
* System specs,
* Business rules,
* Detailed user requirements
* Training plans
* Communication plans
* File plans
* Integration plans
Step 7: Implementation of a
records system
Purpose:
Put in place the record system designed in step 7.
Outputs:
* Detailed project plan
* Training materials,
* Governance documents (policies, procedures, user guides...)
* Performance reports
Step 8: Post-Implementation
Reviews
Purpose:
Measure the effectiveness of the system(s) implemented.
Reason:
To provide basis for continuous improvement, and to identify any
changes in recordkeeping requirements due to internal or external
factors.
Outputs:
* Post-Implementation Review methodology
* Documented system performance
Other: Steps 3 to 8 are to be carried out on an ongoing basis
to ensure the system continues to meet the needs for recordkeeping.
John Purchase, May 2002
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