An Introduction to DIRKS

1
An Introduction to DIRKS

• Presented by Hope Power and Tara Matsuzaki
• Australias Designing and Implementing
  Recordkeeping Systems

2
Shape of the Presentation

• Introduction
• History, Rationale Principles
• Methodology
• Example
• Strengths, Weaknesses Issues
• Conclusion Questions

3
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

4
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

5
Australian Agencies Leaders in the Information
Management Field

• Standards Australia
• In 1996, published the Australian Standard for
  Records Management (AS 4390)
• Worlds first national recordkeeping standard
• National Archives of Australia
• In 2000, published DIRKS
• Methodology for implementing AS 4390

6
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

7
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 distinct
  processes

National Archives of Australia
8
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

9
DIRKS Methodology The Eight-Step Process
Courtesy of the National Archives of Australia
10
DIRKS MethodologySteps A-C

• First three steps assess an organizations 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

11
DIRKS MethodologySteps 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

12
DIRKS MethodologySteps 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!

13
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 organisations current need and resources.

14
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

15
IP Australias Records Disposal Authority
http//www.naa.gov.au/recordkeeping/disposal/autho
rities/rda/IP_Australia_200468493.pdf
16
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 

17
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

18
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 worlds
  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 

19
DIRKS Strengths

• Meets the requirements of a successful RM program
  as described in this class
• Standardized
• Systematic
• Programmatic

20
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

21
DIRKS Strengths

• Electronic documents
• DIRKS is evolving to address records management
  needs in the electronic environment
• Areas of focus include
• Responsibility
• Tools
• Knowledge

22
Weaknesses of DIRKS

• Funding and support
• Perceived as inadequate by records managers
• Staff and senior management undervalue records
  management

23
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.