An Introduction to DIRKS* Presented by Hope Power and Tara Matsuzaki * Australia’s Designing and Implementing Recordkeeping Systems Shape of the Presentation 1. Introduction 2. History, Rationale & Principles 3. Methodology 4. Example 5. Strengths, Weaknesses & Issues 6. Conclusion & Questions What Is DIRKS? An eight-step process that agencies can use to improve their recordkeeping practices Developed by the National Archives of Australia in cooperation with the State Records Authority of New South Wales Why DIRKS? In recent years, the “spread of electronic systems has exacerbated the drift towards ad hoc or substandard recordkeeping practices.” National Archives of Australia, Designing and Implementing Recordkeeping Systems (DIRKS): A Strategic Approach to Managing Business Information Australian Agencies: Leaders in the Information Management Field Standards Australia In 1996, published the Australian Standard for Records Management (AS 4390) World’s first national recordkeeping standard National Archives of Australia In 2000, published DIRKS Methodology for implementing AS 4390 AS 4390 and DIRKS: The International Impact International Organization for Standardization (ISO) In 2001, published the International Standard on Records Management (ISO 15489) Part 1: General based on AS 4390 Part 2: Guidelines based on DIRKS The Records Continuum Model This model encompasses the “whole extent of a records existence” Standards Australia, AS 4390 Records management and archival practice are understood as continuous rather than National Archives of Australia distinct processes DIRKS Methodology: An Overview Practical Best practice implementation manual Comprehensive Includes all records in all formats User-based Identifies specific business needs and legal requirements Flexible Eight-step process can be applied at different levels DIRKS Methodology: The Eight- Step Process Courtesy of the National Archives of Australia DIRKS Methodology: Steps A-C First three steps assess an organization’s unique recordkeeping context and needs Step A: Preliminary Investigation Step B: Analysis of Business Activity Step C: Identification of Records Requirements Desired outcomes include a resource guide, project plan, business classification scheme, records inventory, and risk and feasibility study DIRKS Methodology: Steps D and E Next two steps assess possible areas and methods of improvement Step D: Assessment of Existing Systems Step E: Strategies for Recordkeeping Desired outcomes include reports that identify the strengths and weaknesses of the current system and recommend necessary changes DIRKS Methodology: Steps F-H Final three steps design, implement, and review changes Step F: Design of a Recordkeeping System Step G: Implementation of a Recordkeeping System Step H: Post-Implementation Review The desired outcome is a new and improved records management system! Sample DIRKS applications: Develop a business case for recordkeeping Assess adherence to recordkeeping obligations Implement a functions-based records disposal authority The scale of the project should be determined by the organisation’s current need and resources. DIRKS in Action Case Study: Intellectual Property Australia One of the 1st pilot agencies to embark on a DIRKS “journey” Achieved comprehensive functions-based disposal coverage in Feb. 2004 Continues to adopt new DIRKS initiatives to manage electronic records IP Australia’s Records Disposal Authority http://www.naa.gov.au/recordkeeping/disposal/authorities/rda/IP_Australia_200468493.pdf DIRKS Strengths “DIRKS is a process. DIRKS is a series of steps one takes to check under all the rocks, cover all the bases, and challenge your thinking”. John Purchase, Records Manager DIRKS Strengths Australia is a world leader in devising infrastructural tools to ensure the quality of [DIRKS] recordkeeping and practices. Legislation Software development Metadata standards DIRKS Strengths Compliant with best practices AS 4390-1996 ISO 1589-2002 adopted in Australia as AS ISO 1589-2002 “…a condensation of the records world’s experience and expertise. It reveals that although the world may use a variety of methods, there is an agreed “best way” to undertake the principles of good recordkeeping.” Michael Steemson DIRKS Strengths Meets the requirements of a successful RM program as described in this class: Standardized Systematic Programmatic DIRKS Strengths Training and support Extensive support documentation that explains DIRKS and provides plenty of “how to” suggestions The National Archives of Australia and Australian state agencies offer multiple training opportunities DIRKS Strengths Electronic documents DIRKS is evolving to address records management needs in the electronic environment Areas of focus include: Responsibility Tools Knowledge Weaknesses of DIRKS Funding and support Perceived as inadequate by records managers Staff and senior management undervalue records management Weaknesses of DIRKS Training and motivation Both records managers and creators are displeased with the limited training opportunities. Records managers found motivating staff to maintain DIRKS programs difficult.