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

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Tip: Schedule interviews effectively
Assessment of existing systems
Tip: Liaise with IT staff
Organizational Context Document
Tip: Use existing research

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Interviews

A complete analysis of your organizational context will not be possible only from documentary sources. One of the most effective ways to obtain information about how your department/section functions and the requirements it has to meet is through interviews or discussion groups with appropriate staff. Interviews, particularly with long-term staff, can be a way to validate aspects of your work or to gain information you cannot obtain from documentary sources. One major examination of business practices determined that, for their purposes, 'Interviews constitute, by far, the most important source of information'. [2]

If your project has an IT focus, talking with system administrators or IT managers may give you the concrete information you need to understand how business is currently conducted. Talking to staff that actually use business systems on a daily basis will give you a very hands on understanding of current systems and practices and their possible shortcomings.

You can also use interviews to help determine the list of sources you will examine in your preliminary assessment. Other people will have a range of ideas you can incorporate into your research plans. It may also be important to confirm with other staff that the sources you are using are current and of continuing relevance to your organization.

^ Tip: Schedule interviews effectively

You may want to obtain a large amount of information through interviews during the course of your DIRKS analysis. Given that the people you wish to interview are likely to have busy schedules, it could be beneficial to have one or two longer interviews, and discuss a number of points that may come out of your Step A, B and C research, rather than scheduling a large number of smaller meetings.

Assessments and surveys

If your DIRKS project is focused on developing a better business system or systems, you may want to include a survey or assessment of your current technical infrastructure in your preliminary assessment.

This assessment or survey should be very general and aim to give you a good understanding of your technical environment, its capacities and limitations. This form of assessment should be teamed with a series of interviews that will enable you to talk to IT and other staff about how business systems function in your department/section.

Step D: ^ Assessment of existing systems is concerned with undertaking a more detailed assessment of business systems, in order to identify whether they meet your recordkeeping requirements. If you go on to do Step D, you can use this early assessment to initiate your Step D work.

^ Tip: Liaise with IT staff

If your DIRKS project is likely to involve a significant technological component, it is important now to begin to liaise with IT staff and other management representatives about your ideas, if you have not already.

Redeveloping business applications requires significant organizational support and the commitment of individual managers. It is never too early to start fostering this commitment.

Still confused?

If you are really stuck and do not know where to begin your Step A analysis, you could:

start with the ^ Organizational Context Document, provided as part of the DIRKS Manual. This document asks a range of questions about your functional area and can be used to structure your research or give you an indication of some of the broad areas you may want to investigate in order to understand how your department/section operates.
start by reading your annual report. You'll find it a very rich source of information that will provide a useful overview of your department/office and its business functions. Check the library or website for a copy.

It is important not to get overwhelmed with your Step A research. Be aware that one or two key sources may provide you with the bulk of the information you need. For example, a General Assembly resolution or decision may provide an adequate summary of your business functions, your corporate plan will help you identify goals and strategies, while external standards governing the business area you are examining may provide you with the remainder of the contextual information you require.

^ Tip: Use existing research

Where possible, particularly if you are looking for a place to start, use existing research. If business process reviews, system reviews, audits or workflow analysis have been undertaken in all or in parts of the organization, make use of this documentation as it may provide you with much of the detail you need.

Making your DIRKS project feasible

Overview

Scaling back or extending your DIRKS project

Overview

After your initial investigations, your intended DIRKS project may seem either too overwhelming or may need to be extended to meet the range of needs you've identified. This section identifies how you can scale back or extend your project by using risk management or feasibility assessments.

Scaling back or extending your DIRKS project

Your Step A analysis could reveal that the project you wish to undertake is larger than anticipated and that the initial project brief can not be fulfilled with existing resources. Alternatively, your Step A overview may show that there is much to do, and your planned project should be extended. Two methods you can use to limit or expand the extent of your project are:

using risk management techniques, and
undertaking feasibility assessments.

Risk management

Risk management is a theme that runs through the DIRKS methodology. Its particular application in Step A relates to its value in focusing your analysis to those areas that pose a significant organizational risk.

For example, your preliminary investigation, intended as part of a major DIRKS project aiming to completely review how business is undertaken and documented in your department/section, may show that your focus is too broad in that it will require too many resources to complete. You can use risk assessment methodologies to identify the areas of your department/section that could pose a significant risk if poorly performed, and focus your reviewing efforts on these specific areas or functions. This can help either to scale back your assessment, but identifying what are business critical areas, or scale it upwards; by identifying the range of risks your department section faces through poor recordkeeping practices.

Feasibility assessments

Feasibility assessments involve determining the feasibility or viability of your intended project. They generally involve assessing your project to determine its:

operational need
financial value, and
technical practicality

Using these criteria will help you to determine whether your project is a realistic and viable option for your department/section.

Operational feasibility

To determine whether the scope of your intended project is operationally feasible, you should look at:

timetabling and scheduling issues to determine whether staff have time to commit to the project
corporate culture to identify whether the changes you wish to make will be adopted and adhered to by the United Nations
management support for improved recordkeeping, to determine whether adequate resources will be made available to help you achieve all your planned outcomes, and
potential improvements to the efficiency of current work / recordkeeping practices to determine whether improvements will be so significant that they will outweigh any other identified concerns.

Financial feasibility

To determine whether the scope of your intended project is financially feasible, you should look at:

the cost of having staff members taken away from other work to participate in the project
the cost of software purchase / upgrade that may result from the implementation of your planned changes
costs of litigation which could potentially be avoided if your recommendations are implemented
improvements in organizational efficiency that will potentially result from your system improvements, and
potentially improved levels of compliance with regulatory requirements

Technical feasibility

To determine whether the scope of your intended project is technically feasible, you should look at:

staff levels of technical expertise and whether all staff will be able to implement system changes you recommend, and
availability of technical infrastructure for development and maintenance of new systems

A proposal may be regarded as feasible if it meets a number of these operational, financial and technical criteria.

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