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

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Identification of strategies for recordkeeping
Example: Policy and procedure could have helped avoid Jamaican banking collapse
Tip: Use policy to encourage your organization to adopt best practice standards
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Content and scope of Step E


Overview

Aim of Step E

Summary of Step E

Why should you do Step E?

Relationship to other steps

Overview


This section is an introduction to Step E: ^ Identification of strategies for recordkeeping. It: 
  • outlines the aim of Step E, and what it can help you to achieve
  • summarizes the major elements of Step E
  • explains why it is important to undertake Step E for particular DIRKS projects, and
  • shows how Step E relates to the other steps in the DIRKS methodology.

Aim of Step E


Step E is the point in the DIRKS methodology when you identify strategies to transform your business systems into recordkeeping systems. 

By applying the range of tactics it outlines, you will specify the changes necessary to:
  • meet the recordkeeping requirements identified in Step C and
  • redesign the systems assessed in Step D so that they are fully able to meet your recordkeeping needs.

Tip: Focus of Step E

Step E is about determining the right approach to your system design or redesign. In Step E you choose a mix of strategies to apply to meet your identified recordkeeping requirements. In Step F you commence the actual process of system design and develop means by which you can actually implement the strategies you have chosen.  

Summary of Step E


The international standard ISO 15489 recommends four strategies that can be used to improve recordkeeping in your organization: 
  • policy
  • design
  • implementation, and
  • standards.

A mix of strategies should generally be selected. The choice should be based on knowledge of how your department/section functions (see Step A: Preliminary investigation) and the specific recordkeeping gaps (identified in Step D: Assessment of existing systems) you are trying to remedy. 

The standard also provides you with scope to devise your own strategies for meeting recordkeeping requirements. 

Step E is focused on making improvements to all components of a system in order to meet recordkeeping requirements. The recommended tactics may be applied separately or in combination, to help you meet your recordkeeping requirements. Implementing these strategies will help you to ensure your department/section has the recordkeeping systems necessary to sustain its business activity. You can select from between them to determine the most effective combination of strategies that will enable you to meet your range of business needs. 

Why should you do Step E?


In Step E you brainstorm ideas and solutions for the problems that have been hampering your recordkeeping. 

You will transform a number of these ideas into tangible recordkeeping improvements in Step F: Design recordkeeping systems.

Relationship to other steps

Step D


Step E has a close relationship with Step D. In Step D you assess business information systems and determine if they are a liability because they do not meet recordkeeping requirements. In Step E, you should take this assessment as the starting point to begin to identify how to rectify these problems. As a result of their close relationship, Steps D and E - identification of problems and determination of solutions - will often be undertaken in parallel. 

Step F


If the objective of your DIRKS project is to develop or redevelop systems for recordkeeping, undertaking Step E will provide you with a clear outline of the directions you want your system design to take and a good understanding of the problems you need it to address. Step E will also help you to ensure that the system you develop in Step F is comprehensive and adequately addresses all the issues identified in your Step D analysis. Again, Steps E and F can be undertaken in parallel, so that you can actually build solutions as you develop your strategies. 

Policy strategy


Overview

What is the policy strategy?

When should the policy strategy be used?

Examples of the policy strategy

Compliance issues

Overview


This section examines what the policy strategy is and explains how it can be used to help you meet your recordkeeping requirements. It provides a number of examples of uses of the policy strategy. 

What is the policy strategy?


The policy strategy involves using policy or other forms of organizational rules as a means to meet recordkeeping requirements. Employing the policy strategy involves developing:
  • policies
  • procedures
  • practices
  • guidelines 
  • business rules, or
  • other instruments, to specify what recordkeeping is, how it should be undertaken and the specific rules that apply to your recordkeeping system. 

Establishing these rules is a means to educate staff about recordkeeping, make them aware of their recordkeeping responsibilities and ensure that they meet these responsibilities in their day-to-day activities. Clearly specifying these rules and responsibilities is a means of enabling your department/section to meet its recordkeeping requirements. 

^ Example: Policy and procedure could have helped avoid Jamaican banking collapse

In an investigation following a major banking collapse in Jamaica it was determined that: 'Lack of clear corporate definitions of ‘records’ led to confusion in the organization and meant consistent documentation was not made and managed.' As a result, the institution did not have the records it needed to identify its precarious position and save itself from collapse. Having a clear policy and procedural framework in place can help to avoid such problems. [1]

 

Policy requirements can be broad statements that specify general records management rules for your department/section, to ensure staff are aware of these rules and their responsibilities. Alternatively, if you are aware that a specific area of your business is a concern, you can use the policy strategy to target a specific issue, such as e-mail management, or target a specific business area, such as complaints management. 

 

^ Tip: Use policy to encourage your organization to adopt best practice standards

If you have decided that, based on your assessments, adoption of best practice standards such as the international records management standard ISO 15489 would help your organization to better meet its recordkeeping requirements, use the policy strategy to make this happen. 

Issue a policy which explains what the records management benchmarks for your organization are - for example, ISO 15489 - and develop procedures that will enable people to meet this benchmark in their daily practices.