DIRKS: putting ISO 15489 to work: any records manager using ISO 15489 to develop a new program or evaluate an existing one should become familiar with the DIRKS implementation process.

International standards are fast becoming a staple of records management programs and practices around the world. These standards make extensive knowledge and expertise available from seasoned records professionals for the benefit of the records management community.

ISO 15489-1 Information and Documentation--Records Management--Part h General became the world's records management standard in 2001 and has been accepted as a model by many sectors. In the United States, for example, the National Archives and Records Administration has affirmed the standard. It also has been adopted by the National Archives in the United Kingdom.

There is an implementation document for ISO 15489: ISO/TR 15489-2 Information and Documentation--Records Management--Part 2: Guidelines. Any records manager using ISO 15489--either in developing a new program or evaluating an existing one--should become familiar with the related implementation process known as DIRKS (Developing and Implementing a Recordkeeping System).

Developing DIRKS

DIRKS: A Strategic Approach to Managing Business Information, also known as the DIRKS Manual, is a methodology developed in Australia for designing records management systems.

The DIRKS methodology was developed and tested throughout the 1990s as part of a project undertaken by Australian recordkeeping authorities and professionals to re-conceptualize records and recordkeeping. Other parts of this project included

* The development of the world's first best-practice recordkeeping standard, AS 4390, which became the basis for ISO 15489

* The defining of records as being primarily concerned with providing key evidence of business activity

* Drafting and implementing new recordkeeping programs and legislation

This project recognized how important quality recordkeeping would be in an increasingly digital world and was an attempt to rebrand and reposition recordkeeping in modern organizations. As Kate Cumming, formerly of the National Archives of Australia (NAA), stated in a presentation, "Records are not a by-product or adjunct to business operations; they are a key evidence of, and information about, business practice. Their appropriate management should be a fundamental business concern."

In 2000, the NAA, in collaboration with the State Records Authority of NSW, produced DIRKS as an online manual. It was to be an important part of a program meant to encourage good recordkeeping in federal Australian public-sector agencies. It is clear today, however, that DIRKS has value for the private sector as well.

In fact, DIRKS has its origins in business systems analysis methodologies that for years have been used in the information management disciplines. By following its step-by-step approach, organizations should be able to recognize and develop business systems to manage evidence (records) of business activity. Organizations should also be able to produce a series of key recordkeeping tools, such as:

* A business classification scheme that presents a hierarchical scheme of the organization's functions, the activities carried out to support those functions, and the transactions that occurred while performing those activities. It is, in fact, evidence of those transactions (e.g., letters, e-mails, receipts) that creates records.

* A metadata scheme

* A disposal scheme to enable the systematic disposal of records when it had been determined that they no longer supported the organization's business

* Security and access classification schemes

Perhaps the important thing to note is that if such a comprehensive methodology were implemented and tested effectively across a national jurisdiction, it would likely become a powerful adjunct to the original project of rebranding and repositioning recordkeeping in most organizations.

This methodology for managing business information consists of eight principal steps, as outlined in the DIRKS Manual summary. The methodology is flexible and can be commenced at any step, depending on what the records management program needs to achieve. According to DIRKS, records managers need to

* Understand the business, regulatory, and social context in which they operate (Step A)

* Identify their need to create, control, retrieve, and dispose of records (that is, their recordkeeping requirements) through an analysis of their business activities and environmental factors (Steps B &C)

* Assess the extent to which existing organizational strategies (such as policies, procedures, and practices) satisfy their recordkeeping requirements (Step D)

* Redesign existing strategies or design new strategies to address unmet or poorly satisfied requirements (Steps E & F)

* Implement, maintain, and review these strategies

Getting Started with DIRKS

Steps A to C are of most interest to organizations. Before beginning the DIRKS implementation, companies should:

* Prepare a business case to address the needs of the DIRKS program as well as the expected costs and benefits. Implementing the standard cannot be undertaken during the normal, day-to-day operations of a records management business unit, and extra resources will be required. The business case must be thoroughly researched and the resource issues addressed realistically.

* When approval has been granted, gain the support of the organization's executive or management. Address the executive meeting or conduct a briefing session for managers and extol the benefits of having an organization that complies with ISO 15489. Describe the DIRKS process and establish what assistance and support is required from managers and staff.

* Identify key personnel who possess the corporate knowledge and will be able to coherently describe the operational activities and processes. They will need to be consulted in data collection interviews.

Step A: The Preliminary Investigation

The purpose of Step A is to investigate, document, and understand the essence of the organization (i.e., its structure, its business and operations, the regulatory, social, and political environments within which it operates, and major factors affecting recordkeeping practices). This step is relatively straightforward and involves activities such as researching the agency's website, annual reports, and consultations with managers. The scope of the project may include a variety of internal stakeholders. The following also must be identified:

* The organization's administrative context, including history and organization structure: MI business areas and boards, authorities, and sub-agencies are ascertained to decide which will be included in the project scope.

* The relevant legal and regulatory framework(s): The legislation and standards will be analyzed in subsequent steps to establish functions and activities and develop recordkeeping requirements.

* The business context, including external stakeholders

* The corporate culture

* Compliance and risk management programs

* Recordkeeping practices and technological capabilities

Step A can be documented on a template or Word document and submitted to management for review and approval. The time period for compiling Step A depends on the size and complexity of the organization, but allowing 1 to 3 months is reasonable.

This preliminary investigation results in defining the project's scope, identifying the regulatory framework, and gaining a comprehensive understanding of the agency being established.

Step B: Business Activity Analysis

Step B is more complex and involves a functional analysis of the organization. The process requires consultation with personnel from the agency's various business units to identify what they do and how they do it. It consists of:

* Collecting information from documentary sources and consultations

* Analyzing the work performed by the organization

* Identifying each business function, activity, and transaction(s) arising from those activities

* Developing a business classification scheme based on the business functions, activities, and transactions

* Validating the findings with senior management

At the commencement of Step B, an awareness program should be undertaken throughout the organization. Inform personnel (via newsletters, e-mails, and fact sheets) about ISO 15489, the DIRKS process, the recordkeeping tools that will be produced, and how the tools will improve the organization's records management function. Ascertain how the records management program will improve day-to-day work and promote the benefits during the awareness campaign.

The DIRKS project manager must be prepared for data collection interviews. Research should be undertaken on the actions the business area performs, obvious functions and activities identified, and questions prepared regarding issues where further clarification may be needed.

Various methods can be used for the data collection and consultation process. These vary from one-on-one consultations to workshops attended by 10-20 people from the one business area. Based on the concept that it is easier to react to something on paper, for some projects, draft statements of functions and activities may be created before conducting consultations. For others, the functions and activities will be developed during consultations. The important aspect of this step is personal contact with the stakeholders, explaining the DIRKS process and gaining support for it and its future phases.