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

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Содержание Assess factors that will support or inhibit use The organization's corporate culture The department/section's systems and technological environment Example: If one strategy has proven to be unsuccessful, try a mixture of strategies The United Nations geographic spread Cost, risk and other factors

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Assess factors that will support or inhibit use

Be sure you choose strategies that will work in your department/section and that will enable you to address and resolve the gaps or issues you have identified. 

To do this, make sure you consider:

• the corporate culture
  
• the systems and technological environment
  
• the geographic spread, and
  
• risks and implications. 
  

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The organization's corporate culture

Choose strategies that will work with and be accepted by your organizational culture and business practices. 

 

Examples: Aligning strategies to organizational culture an organization that displays a culture in which recordkeeping is taken seriously and staff understand their recordkeeping responsibilities is likely to embrace policy and implementation strategies an organization that is enthusiastic about information technology may be particularly receptive to design solutions involving the capture and maintenance of electronic records an organization with a high degree of risk sensitivity, an aversion to change, and fear of losing control over its records may willingly adopt design and standards strategies that enable it to meet its recordkeeping requirements. a corporate culture where people do not worry or do not care about recordkeeping may need to be coupled with strong policy and design strategies. Lack of a strong policy framework was a significant factor in the Jamaican banking collapse: Where documentation was poor it was the cultural predilection not to document coupled with an organizational absence of accountability for the making of records that led to failures to account. [5]

 

Step A: Preliminary investigation provides more information that you can use to determine the type of corporate culture or cultures that operate in your organization, and the importance of considering corporate culture in the course of your DIRKS activities.  
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The department/section's systems and technological environment

Consider your systems and realistically assess what is possible in relation to them. Make sure you also assess financial or personnel issues that may support or inhibit your ability to utilize certain strategies.

 

^ Example: If one strategy has proven to be unsuccessful, try a mixture of strategies  If an assessment of your existing systems (Step D) demonstrates poor compliance with a corporate policy that states that employees should capture electronic messages as records, continued reliance upon the policy strategy alone would be futile. Instead, the policy strategy should be supported by design or implementation strategies to ensure that recordkeeping occurs and that it takes place with minimal user effort.

 

As another example, your technology may have the capacity to enable you to link existing document management applications and the thesaurus and disposal modules of records management software to assist with the classification and sentencing of text-based electronic records, but this capacity has not been adopted. You could therefore use the design strategy to make sure recordkeeping requirements that specify mandatory disposal requirements are met. 
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The United Nations geographic spread

Many U.N. departments/offices are comprised of a range of offices that can be located in the one city, across the state or country or be located across a range of international environments. Using your knowledge of the organization, or research you conducted in Step A, you need to consider geographic spread when considering strategies to employ in your systems. 

Depending on the geography you could ask:

• can common software and procedures be deployed across all offices? 
  
• is it possible or financially feasible to establish network connections that enable all offices to utilize one cross-organizational system?
  
• can standard retention rules apply across all offices?
  
• can the one range of strategies be applied across the geographical spread or do separate decisions need to be made for specific offices?
  

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Cost, risk and other factors

Other factors affecting your choice of tactics can include:

• the costs, in terms of money, human resources and time, incurred by each proposed strategy
  
• the tangible and intangible benefits to the organization offered by each proposed strategy
  
• the risks to which the organization will be exposed if it adopts particular strategies, and
  
• the amount of user support and training that will be required to support the strategies you have selected.
  

The appropriate mix of strategies likely to work best should:

• score well across the criteria judged by your department/section to be the most important, and
  
• pose little risk, or an 'acceptable' level of risk, to the organization in terms of cost, commitment of resources, interruption to core business, and level of organizational change required.