Manual for the Design and Implementation of Recordkeeping Systems (dirks)

Manual for the Design and Implementation of Recordkeeping Systems (DIRKS) About the draft 'DIRKS' Manual  The DIRKS methodology is an 8-step methodology to be used for the design or redesign of systems that create, capture and maintain records.  This draft manual seeks to expand on the methodology and explain how it can be used to design and implement best practice systems to ensure organizational efficiency and accountability. 'Systems' examined in this manual include the software and hardware components, but also policies, procedures, recordkeeping tools and strategies, and people.The primary audiences for the manual are records managers, records management project teams and consultants responsible for designing recordkeeping systems or building recordkeeping functionality into existing systems. Note: Supplementary material for the manual such as forms and appendices are still being revised and therefore are unavailable at present.^ How to provide commentsThis draft of the manual will be available for comment until . We welcome feedback and comment from U.N offices and other interested parties. In particular, we would be grateful for tips, examples and case studies from practitioners with experience in implementing DIRKS or related IT projects.Comments may be provided in any format and may be of any size, from a few words to many pages. You may wish to annotate printed sections and send them to us, or just write a short e-mail. It's up to you.    Send your comments to: Tony Newton, ChiefArchives and Records CentreArchives and Records Management Section  United Nations Headquarters, New YorkTelephone: (212) 963 8685Facsimile: (212) 963 8686E-mail: newtont@un.orgAcknowledgementThis draft is based on an exposure draft released State Records Authority of New South Wales, Australia, in 2002, which was based on an earlier work developed by the State Records Authority of New South Wales, Australia and the National Archives of Australia. Permission to adapt their work is greatly appreciated.  ^ Introducing DIRKSRecordkeeping systemsCharacteristics and functionality of recordkeeping systemsThe DIRKS methodology and manualCommencing a DIRKS project Recordkeeping systems OverviewWhat is DIRKS?What is recordkeeping?What are recordkeeping systems?Many business information systems need to be recordkeeping systems Overview This section examines:what the DIRKS process is what recordkeeping is and how it should be achieved, and what recordkeeping systems are and why you need them in your organization.  What is DIRKS? DIRKS is an acronym that stands for 'designing and implementing recordkeeping systems'. DIRKS is about building more efficient and accountable business practices through the design and encouragement of good recordkeeping across an organization.   ^ The DIRKS methodology: is a means of building good recordkeeping into your organization, through the design and implementation of recordkeeping systems.  What is recordkeeping? Recordkeeping is the making and maintaining of complete, accurate, reliable evidence of business transactions.  Why is recordkeeping important? Good business requires good recordkeeping. In complex business environments and strict accountability structures, it is vital that the United Nations has the evidence and information they need to drive and support its business operations.  What are recordkeeping systems? Recordkeeping systems are business information systems capable of: capturing  maintaining and  providing access  to records over time. Recordkeeping do not just have to manage records - they can perform other business functions as well. Having the capacity to capture, maintain and provide access to records is however crucial.  Components of recordkeeping systems Recordkeeping systems are not simply software applications designed to manage records. They are organised collections of:  people policies procedures tools technology ongoing supporting education, and  maintenance.  In combination, these combinations enable United Nations’ business to be adequately documented. Benefits of recordkeeping systems Recordkeeping systems that are based on a sound understanding of the United Nations’ business environment, legal needs and organizational requirements provide substantial benefits.  Recordkeeping systems: support better performance of business activities and better decision making throughout the United Nations enable the United Nations to comply with legal and regulatory requirements protect the interests the United Nations and the rights of its employees, clients and the public provide protection and support in litigation, including the better management of risks associated with the existence or lack of evidence of organizational activity support consistency, continuity, efficiency and productivity in service delivery, program management and administration produce dynamic, valuable information that can be fed back into business processes to continually improve, automate and facilitate these processes avoid the retention and clutter of ephemeral records, or the loss or inadvertent destruction of significant records, and enable management of records as an asset and information resource, rather than a liability. [1] ^ Tip: Demonstrate tangible business benefits Using arguments that demonstrate tangible business benefits that can be obtained through better recordkeeping, may help to convince management and other staff about the importance of ensuring your office has the recordkeeping systems it needs to sustain its business activity. ^ Many business information systems need to be recordkeeping systems There are a huge number of business information systems within the United Nations. Many of these systems will be used for information purposes only and these types of systems should not be the focus of your DIRKS initiatives. Other business information systems, however, will be used to transact United Nations business. They will conduct significant transactions and your office will need a definitive record of these transactions. If your office needs to keep a record of its activities, it needs to ensure that the business systems that support these activities are capable of creating and keeping records.   ^ Tip: Business systems can function as recordkeeping systems  It is important to ensure that relevant business information systems are actually able to function as recordkeeping systems - systems that are capable of producing and maintaining the information your department/section requires to sustain its business activities.   In many UN offices, business information systems that conduct significant business are not able to perform as recordkeeping systems. They have been introduced on an ad hoc basis, or without consideration of recordkeeping issues, and as a consequence do not manage, preserve and make accessible evidence of business operations. Through not having recordkeeping systems, organizations can: place themselves at significant risk  incur unnecessary expenditure, and  deny themselves access to significant organizational information.  Example: Systems often do not include recordkeeping The United Nations is increasingly doing business online. Many of the systems that are being developed include interfaces that allow clients to conduct business with UN electronically. Often recordkeeping is a neglected component of these systems. Systems are designed to allow easy access to UN services and to meet client needs, but frequently the recordkeeping requirements that should be incorporated into the systems are not accommodated.  As a result the systems may transact business, but they do not document or keep adequate records of this business.   The DIRKS methodology is a means of ensuring that business information systems are recordkeeping systems where appropriate or necessary. ^ Characteristics and functionality of recordkeeping systems Overview DIRKS builds recordkeeping systemsCharacteristics of recordkeeping systems  Functions that should be performed by recordkeeping systemsWhat these qualities provide Overview This section examines:the qualities recordkeeping systems should have, and the types of operations they need to be able to perform. ^ DIRKS builds recordkeeping systems The DIRKS methodology helps you to transform business information systems into recordkeeping systems that should be managing evidence of UN operations. To operate effectively, recordkeeping systems have to meet a defined set of characteristics. These characteristics are summarized here to provide an overview of the types of qualities your recordkeeping systems should possess. These characteristics are revisited in Step D: Assessment of existing systems and Step E: Design recordkeeping systems, the sections of the methodology where you focus on transforming relevant business information systems into recordkeeping systems.  ^ Characteristics of recordkeeping systems  Recordkeeping systems should possess the following characteristics, in order to produce and maintain authoritative records:  The characteristic of... Means that systems should... Reliability routinely capture all records  organise records appropriately  provide adequate information about the records within them  provide ready access to records and make records of system operation Integrity prevent unauthorised access, destruction, alteration or removal of records Compliance be managed in compliance with all requirements that apply to the business documented within them   Comprehensiveness manage all records resulting from the business activities that are documented or managed by the system   Authenticity store records in ways that mean they cannot be tampered with, deleted inappropriately or altered Accessibility allow records to be shared as information resources across a work space, business unit or organization [2] ^ Functions that should be performed by recordkeeping systems In addition to having these characteristics, recordkeeping systems must be capable of performing a range of standard recordkeeping functions.    ^ The function of... Means that systems should be capable of... Registration capturing records by assigning them unique identities and attributing brief descriptive information to them, such as a title and date Classification arranging records into categories based on the business activities they document, as a means of facilitating record control, retrieval, disposal and access Indexing establishing access points to facilitate record retrieval Access and security monitoring assigning and implementing rights or restrictions that protect records against unauthorized or inappropriate use or access Tracking monitoring record use to ensure no inappropriate use occurs and an auditable record of use is maintained Disposal utilizing retention schedules, linking disposal periods to records, triggering any required disposal actions, reviewing any history of use to confirm or amend disposal status and maintaining an auditable record of disposal (retention, destruction or transfer) actions Storage appropriately maintaining records in consideration of their form, use and value for as long as they are legally required Searching, retrieval and rendering making records available as corporate information resources identifying and presenting records in response to user search requests and, where appropriate, enabling records to be printed on request Reporting generating any reports deemed necessary by the organization ^ Additional requirements Recordkeeping systems should be capable of... This involves... Managing records in any form managing electronic records, scanned images, voice files, video clips, digital plans, databases, information from other applications etc.  managing electronic signatures and encrypted records, where appropriate Some systems may only be required to manage records in one format, while others will need to be capable of managing multiple formats Integration with electronic applications integration with applications used for transaction of business (office utilities, e-mail, websites, database applications, workflow, etc) [3] ^ What these qualities provide Developing systems that meet these criteria provides you with recordkeeping systems. These systems provide the structures and controls within which:accurate accountable and information-rich records are created and maintained. ^ The DIRKS methodology and manual Overview What is the DIRKS methodology?Where does DIRKS come from?Implementing the DIRKS methodology The DIRKS Manual Overview This section introduces the DIRKS methodology and the DIRKS 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 office. ^ What is the DIRKS methodology? The DIRKS methodology is a structured process for designing and implementing recordkeeping systems. DIRKS is not new. It is based on traditional system design methodologies, but has been adapted to meet recordkeeping objectives. DIRKS provides a structure for many of the traditional operations the United Nations has always conducted. It is not a new and daunting approach - it is a methodology based on traditional principles that is designed to help you achieve meaningful and applicable outcomes.   The DIRKS methodology:Provides a comprehensive approach to system design that will help develop systems with adequate recordkeeping functionality that are specific to and that meet your particular business needs. ^ Steps in the DIRKS methodology DIRKS is comprised of eight steps:  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 ^ Summary of the steps in the DIRKS methodology The following table provides a summary of the activities involved in each step of the DIRKS methodology. In... You... Step A: Preliminary investigation collect information in order to identify the legal and structural characteristics of your department/section obtain an understanding of the factors that influence need to create and maintain records in your section establish an awareness of your organization's business activities, technological infrastructure, major stakeholders and recordkeeping risks   Step B: Analysis of business activity   identify and document your organization's  business functions activities and  transactions  determine how, when and where these are performed   Step C: Identification of recordkeeping requirements  examine legal, business and other sources to identify the requirements for evidence and information (called ‘recordkeeping requirements’) for your business   Step D: Assessment of existing systems assess the systems currently used to perform business operations in your organization identify where these systems are not meeting your recordkeeping requirements    Step E: Identification of strategies for recordkeeping   determine strategies to enable your systems to meet recordkeeping requirements choose strategies that fit with the culture and environment of your organization   Step F: Design of a recordkeeping system   design recordkeeping systems that incorporate your chosen strategies Step G: Implementation of a recordkeeping system ensure that all components of the new / redesigned systems function according to your requirements educate staff about new systems roll out technology convert legacy data manage change   Step H: Post implementation review gather information on the effectiveness of the recordkeeping system survey or interview staff about the system rectify any problems identified   Where does DIRKS come from? The DIRKS methodology is outlined in ISO 15489.1, ^ Information and documentation - Records management. It was originally detailed in the earlier national standard, Australian Standard, AS 4390-1996, Records Management.    Implementing the DIRKS methodology Flexibility of DIRKS The DIRKS methodology is intended to be both scalable and flexible. In its implementation, DIRKS can be whatever you want it to be. Implementing the DIRKS methodology can be a multi-million dollar exercise, or it can involve a quiet afternoon's worth of reflection. DIRKS can also be used to fulfill a wide variety of business objectives.For any DIRKS project, the methodology does not need to be done in a linear way, if this is not the most effective use of your time and resources.    ^ Example: Non linear approaches Although the steps are called A, B, C etc, you may choose to start with Step B: Analysis of business activity move on to Step C: Identification of recordkeeping requirements and then jump to Step F: Design of recordkeeping systems.   Depending on the nature of your project, it can also make more sense to work through some of the steps concurrently, rather than thinking of them as self contained, fixed points in a process.   ^ Example: Some steps contribute to others You may complete a lot of your Step C: Identification of recordkeeping requirements research during the course of your work on Step A: Preliminary investigation and Step B: Analysis of business activity.  You may find that DIRKS can be used to support a range of other business outcomes in department/section, in addition to the projects outlined above.  DIRKS and ARMS Requirements The UN Archives and Records Management Section (ARMS) has not made the DIRKS process a mandatory requirement in the United Nations. It is rather a tool that can help you improve recordkeeping in your organization. This is an outcome that can contribute significantly to business efficiency and accountability. In all, a wide range of business benefits can be obtained by implementing the DIRKS process. Skills and knowledge that will obtained by undertaking the DIRKS process DIRKS can be a challenging process, but its results can be incredibly rewarding, organizationally and personally.  Depending on the nature of your DIRKS project, people working through DIRKS will gain an excellent understanding of the business of your department/section, both in terms of its requirements and how it is conducted. They will gain experience in broad stakeholder consultation, become adept at listening to and responding to user requirements and will have concrete experience of change management. They will also have an excellent understanding of records management requirements and how these should be implemented to best meet organizational needs.  Case studies and examples in the DIRKS Manual The DIRKS Manual has tried to incorporate a range of case studies and examples that illustrate how DIRKS can be applied in different ways to meet different objectives. Some of these are part of the text and some are provided on the Case studies page.This manual provides a range of guidance about ways to follow the methodology. This advice is for guidance only - all recommendations provided can be adapted to suit particular projects or to help achieve specific outcomes.A number of the case studies and tips provided are based on real life DIRKS implementations that have taken place internationally. A number of the organizations that have provided these case studies have been identified by name, while others remain unidentified at the request of the contributing organization. Other examples provided within the manual are fictitious, created to illustrate a particular point, or represent amalgamations of different stories. Commencing a DIRKS project  Overview Measure riskDetermine the scope of your project Obtain senior management supportPlan for what you want to achieve Establish a project teamImplement change management strategies Overview This section examines the different issues you need to consider when embarking on a project to improve recordkeeping in your department/section. It identifies:methods by which you can scope your project and determine what is attainable the importance of senior management support and means of attaining this the need for project planning the people you may need in a DIRKS project team, and the importance of change management.  Measure risk Measuring the risks faced by your department/section as a result of poor recordkeeping is a useful way to commence your DIRKS project. Risk management is a theme that runs through the DIRKS Manual. ^ Risk management is 'the culture, processes and structures that are directed towards the effective management of potential opportunities and adverse effects'. [4]DIRKS projects can be targeted and employed in your department/section based on the results of a risk assessment. For example, undertaking risk assessments may help your department/section to realize that recordkeeping is crucial to areas of your business that are subject to high degrees of risk and litigation. Other areas may have minimal amounts of risk associated with recordkeeping. You could therefore commence your DIRKS work in the areas that are subject to high degrees of risk and build good recordkeeping systems that will help you to manage and minimize this risk.   ^ Tip: All UN systems do not have to be assessed using DIRKS Remember that not all business systems or processes in the United Nations may need to be subject to the DIRKS process. Choosing which business areas to target with your DIRKS analysis should be a risk-based decision.    If you are measuring risk to help you determine where the DIRKS methodology can best be applied in your department/section, use the results of your assessment for a variety of purposes. For example, if you believe your department/section faces significant risks as a result of its current recordkeeping practices, your risks assessment results may make persuasive arguments for senior management and convince them to give support to your project.^ Determine the scope of your project Determine what it is that your DIRKS project needs to achieve. This objective will determine the scope of your project and the extent of the research you will need to undertake.Are you seeking to build recordkeeping into an existing business information system? Do you want to build recordkeeping into a new business information system? Do you want to obtain disposal coverage for department/section? Knowing what you want to achieve will help you to decide whether you have to do research into:all areas of your department/section's operations a range of specific business activities, or one discrete area of business.  Example: Proceed according to your scope If you want to improve or develop a specific system, you will need to analyze the business performed by this system and the requirements that come from this business. Your research is likely to be focused on one specific area. If you want to develop an section-wide tool such as a retention and disposal authority, your assessment may need to cover your whole department/section to ensure that records generated by all areas of your operations are covered. ^ Obtain senior management support A key component of successfully undertaking a DIRKS project is having senior management support for your initiative. This support will help to provide you with the staffing and financial resources you will need for your project and will also help you to obtain broader interest in and support for your project across the department/office. It can, however, be difficult to convince senior management to allocate time to the consideration of records management issues, let alone fund the development of a new recordkeeping system.  If you are having difficulty communicating the importance of your recordkeeping project to your organization, you may choose to compile documentation which: demonstrates the interrelationship between recordkeeping and other strategic or politically important projects your organization is undertaking.  ^ Tip: Highlight interrelationships with other initiativesMany IT, e-commerce, digitization and knowledge or privacy management initiatives need to consider recordkeeping within their scope in order to be effective. Highlighting this, and the risks that may be faced if recordkeeping issues are not addressed may be useful for obtaining support. promotes the organizational efficiencies, in terms of staff time and financial benefits, that can be achieved through the implementation of a coordinated and effective recordkeeping system.  ^ Tip: Promote organizational efficienciesEfficient information retrieval, better availability of information to support business operations, appropriate and timely record destruction are key examples of improved efficiencies that you could highlight.    ^ Tip: Develop a business case Step A: Preliminary investigation discusses the development of business cases as a means of obtaining appropriate funding for your project. Developing a business case to promote your project even before it begins may be a useful means of ensuring you have adequate financial and organizational support.  ^ Plan for what you want to achieve Determine the specific objectives of your DIRKS project. Planning what you want to achieve will give you a model to follow during the course of your DIRKS project. Your planning documentation will change throughout your project, but it is important to establish and refine as you progress through. Planning documentation can also be a means of selling your project to staff and management. Planning documentation can be in any form, depending on the requirements of your department/section or the nature of your project.  ^ Example: Management plan The Australian Broadcasting Authority, before it started its DIRKS project drafted planning documentation to identify exactly what it wanted to achieve. This was done as a means of gaining organizational support for the project. The officer coordinating this project said: I found that I wanted to impress upon the organization at the start what they could realistically expect from me in 6 months. I also wanted to start winning a support base of my own within the organization and have a guide for prioritising my work. So I decided to do both a Management Plan and a Project Plan right at the start. The Management Plan fulfilled the role of a business case in some ways. It gave the background of the project, described the methodology and detailed the aims, resources and milestones of the project as I envisaged them at that stage. I circulated it to senior management as a bit of a sales pitch and made a presentation to them based on its contents. I reported against the project plan on a weekly basis, and against the management plan at the end of each DIRKS step. I did not stick to my plans entirely – in light of experience a number of things had to be revised and renegotiated. For example, I got involved in a number of other records-related issues the organization was facing. However, it did give me a really good guide to ensure that I stayed on track and met deadlines. It did fulfil my other aim too, of exactly defining my role so people couldn’t expect unrealistic things of me. The Management Plan from the Australian Broadcasting Authority is available as part of the ^ Case studies to support DIRKS, available via the ARMS Intranet site. If you use any part of this plan please acknowledge the Australian Broadcasting Authority as the source.   ^ Establish a project team The nature of your DIRKS project, and the organizational resources that can be committed to it, will determine the number of people who will be involved in the project team. Ideally DIRKS projects should be undertaken by recordkeeping and information management professionals with significant input from a range of other staff, whose make-up will depend on the size and nature of your organization. ^ Use of internal staff or consultants It should be decided before you begin your DIRKS project whether your project team will be comprised of: internal staff  consultants to the United Nations, or a combination of the above.  Anyone who undertakes DIRKS projects will require a good knowledge of how the United Nations functions and the business it undertakes. United Nations staff may already have much of this information or know where to access it. If consultants are undertaking a DIRKS project on your behalf, you will need to provide them with adequate background material to ensure they are able to quickly obtain an understanding of how your organization operates and the requirements it is subject to. ^ Use of IT staff If your project will require the development of technological solutions for recordkeeping, it is important at the outset to include IT staff, system and network analysts and/or data administrators in your project team. You may have these staff internally or your department/office or you may choose to employ IT consultants to build the technical component of your recordkeeping system. It is important that there is good communication between you and the IT staff working on your DIRKS project. The better the understanding between you, the better the systems that you will develop.   ^ Tip: Be realistic with people Let people who are part of your project team know what they are in for. Be honest about the situation and the work you will require them to do. Make sure they're aware too of the benefits your project will bring to them directly in their specific role and the benefits it will bring to the United Nations as a whole.  IT staff may be able to help you to better understand the technical issues or concerns you come across in the course of your system assessments. IT staff may also be able to suggest useful technical solutions to problems you identify.  In return, you will be able to provide some valuable advice to IT staff during the course of your work together. Records and IT areas are working to resolve many similar issues and joint work is therefore of significant benefit to both parties.    ^ Tip: Develop initial training for the people you have chosen as part of your DIRKS team Provide members of your team, be they internal or contract staff, with a good understanding of your project and its desired outcomes. Try to tailor the training you develop to the concerns and understandings of the people you will be working with on this project. For example, if you believe that your DIRKS project will involve detailed technical redesign of systems, tailor your consultation specifically to your IT staff, to try to ensure that you all share an understanding of the project and its desired outcomes from the start.  ^ Use of legal and auditing staff Internal legal and audit staff have a significant understanding of the legal and best practice requirements that affect your department/section. Establishing liaisons with these staff and including them on your project team could facilitate your analysis of legal and best practice requirements. It will also help to ensure that legal and best practice requirements are built into any recordkeeping systems you develop as part of your DIRKS project. Legal and audit staff may also be able to promote your project and its benefits to other staff of the UN. As part of their brief to help ensure the appropriate transaction of organizational business, audit staff are frequently concerned with system specific issues, such as policy, procedures, back-up processes and data security. You may find that legal and audit staff share many of your concerns and may be key staff who can help you achieve the goals you have set. Legal and audit staff may also be interested in any reports you generate and recommendations you make.    Tip: Remember the importance of communication Try to include a number of people on your project team who have good communication skills and are able to sell your project.  ^ Use business experts The participation of business area experts and system users is vital to the design process, to ensure you develop a system that is useful and useable. Be sure to include relevant business area experts in your project team.  ^ Tip: Follow guidance on establishing business partnerships One of the products of an Indiana University project to evaluate the recordkeeping capacities of its business information systems is a paper by Philip Bantin, 'Strategies for developing partnerships in the management of electronic records'. It discusses how partnerships can and should be made with a range of stakeholders, including audit and IT staff. [5] ^ Implement change management strategies You need to consider change management before your DIRKS project begins. If you are planning a large and complex project, you will need to encourage staff involvement. This involvement will provide you with the information you need to undertake your work and will also make users more accepting of the outcomes and products you deliver.   ^ Tip: Use existing guidance to plan your change management strategies The Office of Information Technology, New South Wales, Australia, has published a Change Management Guideline which provides useful guidance about planning for change management.  Remember to encourage change management throughout your DIRKS project, not just at its beginning and end. There are a number of ways you can encourage change management in your organization. ^ Use champions Using 'champions' can help you to help promote your DIRKS project and its objectives in the workplace. A champion is a person who can explain and promote your project to colleagues and who can assist you by providing advice and other forms of guidance. Champions could include: senior managers with broad responsibilities for the areas in which your work is taking place  IT managers, or  other staff with influence in the areas in which you are operating.  ^ Use committees Establishing a committee within your department/section to help guide your DIRKS project and provide ongoing feedback and promotion can be useful. There may also exist committee structures that you can leverage for this purpose. If you have hired consultants to undertake your DIRKS project, you could arrange regular committee meetings at which the consultants can report upon their progress and obtain feedback from a range of staff. Another option is to form an information management committee.   Information management committee: Objectives a forum for: progressing and gaining consensus for your DIRKS project promoting an understanding of the technical and other detailed issues associated with the project maintaining an awareness of  related developments in the UN. obtaining knowledge of organizational requirements and practices Membership comprised of key representatives from your department/section who have an interest in improving information resources business unit managers in areas affected by your DIRKS project senior managers, if possible, to assist with decision making and resource allocation Meetings should meet regularly (say every four to six weeks) to provide you with the advice and guidance you need ^ Consult regularly with system users User involvement in your DIRKS project increases the likelihood that the system you develop will be successfully implemented. Users should therefore be consulted throughout about their requirements and asked to test solutions developed as an ongoing part of your system development work.   ^ Example: Ways of communicating with users One organization needed to develop a new recordkeeping system to support the needs of a broad business area. They did the following as means to inform staff of the changes they wished to make and to encourage feedback: established a user group comprised of representatives from each business unit to feed ideas from other staff into the development and implementation process for their new system created an information management steering committee which included senior management and staff with a vested interest in the project such as IT staff held briefing sessions for general staff at the commencement of the project  held monthly updates for general staff and more detailed talks for particular groups  provided continuously updated information material on the intranet, and  issued monthly e-mail bulletins. ^ Build your work on prior experiences Talk to people both within your organization and beyond it who have undertaken similar projects. See what knowledge and experiences you can use or draw from. Ask people to summarize some of the lessons they have learned in the course of project development and implementation. Even very simple comments or reflections may provide you with useful guidance for your project.  ^ Example: Build on experiences 'Lessons learnt along the way include the desirability of securing support from all technical staff, a willingness to experiment, knowing that perfection may not be achieved immediately, and a leap of faith in the future of...technology.' [6]  Building on prior knowledge will save you from 'reinventing the wheel' and may help foster relationships that will be of mutual benefit throughout your DIRKS project. Talking to people about previous experiences may also guide you towards a range of documentation or other resources that will be of benefit to your project. It will also help you to avoid mistakes that others may have made before you. ^ Undertake pre-DIRKS training for your staff to initiate change management Irrespective of whether your DIRKS project is led by internal staff or consultants, it will require the involvement and commitment of a large number of people. It is important at the outset to explain the objectives of your DIRKS project to these people, as a means of outlining what the project means and what it will require of them. Explaining your project and its goals clearly and early will help people to understand its objectives and will encourage them to be more willing to commit their time and expertise to it when you: ask to interview them  require them to review some documentation  ask them to be part of a focus group, or  present them with a brand new system.  Early involvement of a range of staff will help to initiate the process of change management in your department/section.    ^ Tip: Communicate widely Try to talk to as many staff as you can about your project. The more people who are aware of it at the outset, the better. More information will be available to you and people will be more willing to participate if they already know about your project and its benefits. You will also save a lot of time and effort during the course of your project if you do not have to constantly repeat your project brief and a statement of its benefits each time you want to seek the advice of someone new. You can tell people about your project: in newsletters  at staff meetings  via an email circular or  in special meetings you convene to tell people about your project and the types of contributions you would like them to make.   ^ Be aware that you may upset some people Depending on the scale and type of your DIRKS project, be aware that when you are developing your project team and consulting people about your project, you may be seen as 'treading on toes' or as interfering in another manager's business domain. You may also be seen as pushing the boundaries of records management, and invading another staff member's turf. You may find that you need to convince managers why you can or should examine and redesign 'their' work processes or 'their' systems. Records management cuts across your department/office and so proposed changes to it, particularly radical ones, can inspire this reaction. To try and avoid such confrontations:talk openly and work collaboratively with people  obtain senior management support for your project, as this will help to convince others of its value  repeat your message and your goals and work with people, rather than against them in order to initiate the types of changes you desire use a range of other change management techniques to encourage support for your project and to enable the best organizational outcome. Footnotes [1] This list is derived in part from Standards Australia, Australian Standard AS 4390-1996, ^ Records Management, Part 2: Responsibilities, Foreword, p.3.  [2] Many of these requirements are derived from ISO 15489, Records Management - Part 1: General, Clause 8.2.  [3] This range of functions and additional requirements is drawn from recordkeeping best practice and Functional Requirements for Electronic Recordkeeping, Department of Public Works and Services Request for Tender No ITS 2323 for the Supply of Records and Information Management Systems (March 2001), accessible in the short term through the Department of Public Works and Services website at www.dpws.nsw.gov.au and the European Commission’s Model Requirements for the Management of Electronic Records, March 2001, accessible via the IDA (Interchange of Data Between Administrators) website at http://www.cornwell.co.uk/moreq    [4] Australian Standard AS/NZS 4360-1999, ^ Risk Management. [5] Philip Bantin, Indiana University Electronic Records Project, Phase II, 2000-2002, Strategies for the Development of Partnerships in the Management of Electronic Records. Accessed via the Indiana University website on 14 February 2003 at: www.indiana.edu/~libarch/ER/nhprcfinalpart.doc [6] Carmel McInerny, 'Implementation of Encoded Archival Description at the Australian War Memorial: A Case Study', ^ Archives and Manuscripts, Volume 30 Number 2, November 2002, 72.  Step A - Preliminary investigation Collect information from documentary sources and interviews; identify and document the role and purpose of the organization, its structure, its legal, regulatory, business and political environment, critical factors and critical weaknesses associated with recordkeeping. ISO 15489.1, ^ Information and documentation - Records management, Clause 8.4 Content and scope of Step AFocus of Step A assessmentSources for Step AMaking your DIRKS project feasibleDocumenting your Step A research Content and scope of Step A OverviewAim of Step ASummary of Step AUndertaking Step AWhy should you do Step A?Relationship to other steps Overview This section is an introduction to Step A: Preliminary investigation. It: outlines the aim of Step A, and what it can help you to achieve summarises the major elements of Step A explains why it is important to undertake Step A for particular DIRKS projects indicates how Step A is scalable and when it is necessary to complete, and  shows how Step A relates to the other steps in the DIRKS methodology. Aim of Step A Step A of the methodology is all about context. It involves gaining an understanding of the organization's role and operations and an awareness of how recordkeeping is conducted. Summary of Step A This part of the methodology is designed to help you to understand: how recordkeeping fits within your department/section  how recordkeeping interrelates with other business areas  business needs you have to consider in your DIRKS project your recordkeeping strengths and weaknesses  concerns or barriers to improving recordkeeping  the regulatory or other requirements you may need to accommodate, and  the requirements of stakeholder and other broad interest groups For your project to be successful, you will need to consider all these different factors and build them into your project planning.  Undertaking Step A Step A can be quite flexible in its implementation. It can be done as: an independent scoping or exploratory exercise to determine the feasibility or boundaries of your proposed project, or as the first point in your project to develop a recordkeeping system and/or recordkeeping tools. ^ Tip: Scale your research to your project requirements The amount of research you undertake in this step will depend on the nature of your project, your level of corporate knowledge and the availability and currency of pre-existing reports on relevant facets of the organization. External consultants unfamiliar with the United Nations are likely to draw heavily on source material during the analysis phase while you may tend to rely more on your own knowledge. Why should you do Step A? It is good idea to complete Step A for any DIRKS project you undertake. It is the information discovery and scoping step of methodology that provides the context that can help you to understand:  how your project should be structured  the factors it must consider in order to be successful  the strategies that will be most effective in the organization the staff, technology and other resources you can draw upon, and the business and legal realities and constraints you need to be aware of. The processes outlined in Step A are particularly important if you are going to develop a business classification scheme and a retention and disposal schedule for your department/section. Much of the information you will need for the development of these tools will be identified in the Step A analysis.  You do not need to do Step A if you have a good idea of:your department/section's structure and the business activities it performs the regulatory environment and other requirements to which your department/section is subject your department/section's technical infrastructure and corporate culture, and the risks that the United Nations' business environment is subject to. ^ Relationship to other steps As stated, Step A, Preliminary investigation, is a useful step to undertake as an introductory component of all DIRKS projects. In addition, you can do much of the research required within other steps as part of your Step A investigations. For example you can:gather and assess information to assist with Step B: Analysis of business activity pinpoint recordkeeping requirements to assist with Step C: Identification of recordkeeping requirements, and identify systems currently used to conduct business in your department/section, to assist with Step D: Assessment of existing systems.  Tip: DIRKS can be tailored to meet your needsDIRKS can be a very flexible process. It can be tailored to meet the specific needs of your department/section and implemented in ways that suit the business practices and operations. ^ Focus of Step A assessment OverviewKnow the scope of your projectExamine your business environmentExamine your corporate cultureExamine your stakeholders and their requirementsExamine your technical infrastructure Overview This section identifies the particular areas you should examine in your Step A assessment. It highlights the importance of examining your:business environment corporate culture stakeholders, and technology to obtain a good understanding of your department/section and how it operates. ^ Know the scope of your project When undertaking Step A, it is useful to know the scope of your DIRKS project as this will help to give focus and structure to your Step A analysis. For example, if you are doing a DIRKS project that is focused on improving recordkeeping in one specific area of business, your Step A analysis will only be concerned with assessing and understanding this area of business. Alternatively, if you are doing a broad DIRKS project that requires knowledge of all your department/section's business operations, such as the development of a whole of department/section retention and disposal schedule, your Step A analysis will need to provide you with a good understanding of the broad business environment. ^ Examine your business environment Irrespective of the type of DIRKS project you are undertaking, in Step A you need to examine your business environment. This will enable you to understand the factors that influence your organization's need to create and maintain records to support and sustain its business activities.To understand your business environment you can examine:The role and structure of your department/section, or the relevant section of the organization the organizational or workgroup structure the business functions and activities performed by your department/section (these will be examined and defined more closely in Step B) how it performs this business why it performs this business Legal and best practice requirementsthe regulations that govern or affect the operations of the organization the business, social and ethical standards the community expects the United Nations to meet Stakeholder influencesthe internal and external stakeholders whose interests your department/section must take into account Case historieslitigation or legal disputes the organization has been subject to the business, social and ethical standards the community expects the United Nations to meet Recordkeeping practicehow recordkeeping is undertaken critical factors affecting recordkeeping (this could include audits, court cases, new administrative requirements to keep records, introduction of new ways of doing business) critical weaknesses associated with recordkeeping (including business inefficiencies or losses brought about by poor recordkeeping) Relationship to other United Nations officesidentify whether other agencies report to your department/section determine whether your department/section oversights the performance or operations of other offices Example: A DIRKS project focused on a specific area of business If your DIRKS project is focused on improving how a specific business activity is performed, your Step A analysis could focus on: what regulations affect this activity?  how is the business currently transacted?  what are current recordkeeping practices and how are these helping or hindering business objectives?  what systems are staff using? is this area of business subject to significant risk? These and a range of other issues may be important to identify in order to give you the context and understanding you need to progress with your project. ^ The case of shared or decentralized business In assessing your business environment, you may identify, or need to consider, whether your business shares any of its business functions with other offices or if it conducts its activities in a decentralized way. In devolved decentralized business structures, the same business function can be shared between a number of sections or be undertaken in a variety of business locations. These types of arrangements should be noted in your preliminary analysis as they will affect the strategies you choose to improve recordkeeping in the latter steps of the methodology.   ^ Tip: Focus on business activities If you want to improve business practices in one specific business unit, it is important to keep your focus on the business activities performed by this unit. Business functions frequently cross across sections or organizational structures. If you keep your focus on the work this unit is doing, the activities it performs and the systems it uses, you will ensure that you consider all relevant areas in your assessment.   ^ Defining the scope of your organization Depending on the nature of your DIRKS project, it may be necessary in your preliminary investigation to determine the functional and administrative boundaries of your department/section. These boundaries can sometimes be hard to determine, particularly if your office carries out secretariat activities for and maintains records of advisory councils, committees or boards. Although these councils, committees or boards can be closely linked to your department/section and may have other staff members carrying out tasks for them, they may need to be regarded as separate bodies for recordkeeping purposes. Depending on the nature of your project, you may therefore have to exclude these separate sections from your Step A analysis. ^ Examine your corporate culture The UN corporate culture is the set of values, attitudes and beliefs that are shared by the members of the United Nations. It emerges from long-established practices, procedures, structures and systems. Corporate cultures could be described as: hierarchical, meaning that it is tightly structured and well defined laissez-faire, meaning that it is unstructured and autonomous regimented, meaning that it is strictly controlled, or democratic, meaning that everyone has their say and more freedom is allowed in processes. The United Nations may have one defining corporate culture, but different sections of the organization may have their own distinct cultures. It is important to identify what your corporate culture is, as it may be affecting your recordkeeping practices and could influence your choice of strategies later in your DIRKS project.   ^ Tip: Corporate culture can affect technological aspects of your projectThe United Nations has strong corporate views about technology. There may be support for it; resistance to it or existing technology may be ignored completely. Be aware of your corporate attitudes towards technology as they may have an impact on any DIRKS project you undertake that has a technical dimension to it. ^ Examine your stakeholders and their requirements Stakeholders are 'those people and organizations who may affect, be affected by or perceive themselves to be affected by a decision or activity'.[1] Internal stakeholders may include business units and employees of the United Nations. External stakeholders include clients, customers, public lobby groups, business partners, NGOs, regulators and those regulated by the organization. It is necessary to consider the needs of internal and external stakeholders in your project. Depending on the nature of your project, in Step A it may be necessary to get an overview of your stakeholders and their requirements, if you feel that these will have a significant impact on your project and its outcomes. ^ Examine your technical infrastructure If a key objective of your DIRKS project is to develop or implement new technical components of organizational systems, or if you think this may end up being a key focus, it is useful to get an overview of the technology and standards the United Nations uses in your Step A assessment. At this stage you may want to ascertain:what range of systems are used, or used to transact the specific area of business you are examining whether your department/section has a strong commitment to electronic service delivery and e-business the functionality provided by your website and intranet networking capacities within the organization and those that exist between your department/section and others (such as agencies performing similar functions or other offices in yours) software used in the business area you are assessing the extent to which e-mail is used to transact business broad data management practices disaster management strategies, or compatibilities between office applications or systems. ^ Sources for Step A OverviewDocumentary sourcesInterviewsAssessments and surveysStill confused? Overview This section identifies the range of sources you can use in your Step A research.  Documentary sources A number of key sources can provide a good starting point to help you understand your business environment, corporate culture, stakeholders and technical infrastructure.   ^ Tip: Look for sources immediately relevant to your project Try to use sources that are immediately relevant to your intended project.  For example, if a key objective of your project is to develop a business classification scheme, or a retention schedule for your department/section, examine:  superseded classification schemes previous retention schedules and  risk assessment activities,  all of which could have immediate bearing on your project.  ^ Internal sources Sources generated by your department/section which may be useful include:annual reports organizational charts strategic plans (eg corporate plans, business plans and related planning documents) policies and procedures your existing records publications targeting the interests of particular stakeholders, and media releases regarding the establishment and operations of your department/section. Many of these sources may be accessible online through your internet or intranet facilities.   ^ Tip: Use of vision, mission and value statements Vision, mission and value statements may also provide useful information for analyzing corporate culture. They will help you identify the organizational goals and strategies that your project will need to fulfill.   Some of these sources can supply you with a very large amount of information about your department/section.   Example: Annual reports  Depending on the nature of your project, annual reports can be very rich sources, providing information on a department/office's:current structure and business activities mission statement defining the boundaries of the department/section corporate objectives that define broad functional areas and descriptions of major programs and their budgets enabling decisions, resolutions, or administrative instructions which the organization, or your department/section administers external (to your department/section) requirements, such as reporting arrangements statistics relating to business activities powers and functions as required under the United Nations Charteran organizational chart structure, as represented by an organizational chart, and information management and technology requirements and plans. ^ External sources There are many different types of external sources that will provide important contextual information. Some of the more important sources are: reports and guidelines issued by audit, complaints-handling or other investigative bodies, and standards, codes of practice and protocols that are relevant to your department/section's business.   Interviews A complete analysis of your organizational context will not be possible only from documentary sources. One of