DIRKS survey and assessment of records management systems
The four key tasks that comprise the DIRKS assessment of existing systems are:
Identify existing paper-based, electronic and hybrid business information systems within your education organisation
Analyse whether your education organisation's prioritised record keeping requirements are being met
Determine whether current systems have the capacity to meet them by measuring the gap between what you have and what you want
Prepare a report describing the strengths and weaknesses of existing information and records management practices. This can form the basis for stage four - the feasibility study and options review stage
This is a resource intensive activity so it emphasises the importance of agreeing in your project plan in stage two (link to start of stage 2) the scope of the project and the approach you are going to take to information gathering. If you are looking to implement a corporate EDRM solution and you want a full audit of your current records for FOI purposes and so you can cost any solutions to your current paper records management problems (offsite storage; central storage; microfilming; scanning etc) then you need to conduct a comprehensive audit. However if you are planning a phased implementation of an EDRM system you can phase the information gathering stage as well.
The DIRKS manual makes the point that in addition to your paper and electronic filing systems you should also audit your existing databases. There are several different methodologies available. It is extremely difficult to get staff to complete questionnaires in an academic environment. However, a three - pronged attack can prove successful. This comprises the questionnaires followed by workshops and face to face interviews.
It is crucial to have top level sponsorship for the project and to have a close network of records management contacts in each faculty and administrative unit. You send out the questionnaires and an invitation to the workshops to the contact points and ask them to pass them on to other records owners in their faculty/department and pass you on their names and contact details. The invitation should be signed by the vice chancellor or college head. The invitation provides a half page introduction to the records management and EDRM project and makes it clear it is a very high priority and that the cooperation of everyone is sought and expected.
The workshop should describe the status of the project, stress the vital role of the information gathering stage and then take staff through the process of completing the questionnaires and answer any queries they have. It should not take more than one hour with questions. Staff who could not attend one of several workshops would be sent a copy of the PowerPoint slides. All staff are informed that if they have not completed the questionnaires by an agreed date then an interview with the project team will be required to complete them interactively.
The questionnaires would gather volumetric data including for paper records - the approximate number of folders/ ring binders etc; the amount of shelf space occupied or cabinet space; the average number of pages per folder; the size range of documents, whether they contain colour information or greyscale. The current finding aids including how folders or ring binders etc are titled or numbered, whether there are any file lists kept, whether there are any other electronic finding aids including spreadsheets, Word file lists or databases etc. The number of paper documents added to the files and taken out of the files over a week, month, year and the overall rate of growth. The flow of documents into and out of the area. The level of retrievals made of the files, etc.
For electronic documents/e-mails, etc. - the approximate number of folders/ documents/ files; the amount of disk space occupied; the digital size range of documents/files; the formats of documents/files; the number added and deleted per week, month, year and the overall rate of growth - whether they are stored online, near line or offline. The directory and folder structures, whether there are any other electronic finding aids. The level of retrievals made of electronic documents/files.
In addition you would have gathered detailed volumetrics relating to current post handling procedures; facsimile input; e-mail input and output; post outwards and printing and copying volumes.
