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Part 1 - The keys to a successful handbook of directives
1.1 Definition and functions of a handbook
1.2
The qualities of a handbook
1.3 The standard contents of a handbook
1.4
Control over the handbook
The success of a handbook of directives and procedures hinges on the clarity and precision of the concepts and instructions that it contains and on the leeway that it leaves the user to adapt its recommendations to his own requirements, without negating the essence of the system or programme involved.
The strategies for developing and introducing a system or programme will be all the more successful if they are guaranteed and supported by a handbook that meets these criteria.
1.1 Definition and functions of a handbook
A handbook may be defined as a management tool designed to explain the essentials of a system or programme and to ensure its efficient and smooth implementation. A handbook will have achieved its purpose if an organization perceives it to be important for its management and its operations. A handbook must allow its users to carry out in full the tasks, actions and activities for which they are responsible, using the least resources possible, whether human, material, financial or informational.
The two main aims in preparing a handbook are to systematize and standardize the running of an organization, while also making it possible to solve recurrent technical problems.
Organizations and their component parts are made up of human beings who, by nature, perceive and react to specific situations and problems in different ways, according to circumstances. The concepts developed by systems managers and designers should, however, be understood and applied in the same way by all users throughout a system's life.
Different situations may also present similar technical problems, which must trigger the same response from which precise decisions and operations will flow. A handbook should provide a response to these situations and make it possible to deal with them through more or less automatic reactions. Failure to do so will lead to differing and variable responses to these recurrent questions or problems, which will lead in turn to a loss of efficiency and high costs for the organization.
1.2 The qualities of a handbook
The primary objective of a handbook is to enable the user to refer to it easily and efficiently. In general, the closer the author comes to achieving this objective, the more valuable the book.
The author can ensure that his work is well received by the readers by eliminating errors and achieving high standards of quality. It is not enough to write about or describe sound principles and correct procedures. They must also be put across clearly, using terms that the person who will apply them can readily understand.
It should not be forgotten that a handbook is not a novel or a book of art. The purpose of a handbook is simply to present a management tool which explains, as in an engineering model, the steps to follow. The author will therefore always do well to consider the user as a receiver and implementer of the principles stated.
The user is involved in a series of operations, whereas the author works at the conceptual level. is therefore important for the writer to describe the concept and operations clearly and precisely, as the reader is passive in front of that avalanche of data.
Obvious though it may seem at first glance, it is important always to delimit the subject dealt with in each of the sections, providing a number of definitions if necessary. Equally important is the arrangement of the ideas and principles and their expression in a language that is clear, concise and as simple as possible for the user. The user should not have to interpret the meaning of a sentence or the terms used. This would obviously lead to slackness in the immediate or future application of the instructions provided.
A direct style should be used and unnecessary periphrases should be avoided, as should philosophical considerations. The handbook does not present the user with a choice of theories and options. It must always be borne in mind that it is a document reflecting the way the organization works already or is to work in the future. In short, the style of a handbook should be that of a command and reference document. Humour and familiarity should therefore both be avoided. It is clearly preferable to adopt a direct and impersonal style - an approach which obviously encourages the application of rules without discussion.
The handbook, even when distributed and in use, remains the responsibility of its author, whether an organization or an individual. In preparing the handbook, the author should always bear in mind the need to make it user-friendly and easy to update.
Materially, the handbook should be sufficiently sturdy to withstand daily use without too much wear. In addition, some of the contents will need to be altered as circumstances and needs change. Loose sheets would therefore facilitate the updating of a page or section. On the other hand, the quality of the binding should be such that pages do not fall out.
The authors should pay some attention to the handbook's physical appearance as well. While the wrong type of layout or print could constitute an irritant, good presentation makes for easier reading of material which, it has to be admitted, is extremely dry.
1.3 The standard contents of a handbook
The structure itself of the handbook should basically reflect the above-mentioned principles.
The first item is the table of contents. It should be simple but detailed enough to guide the reader effectively through the different sections. The table of contents should be seen as a rough-and-ready search device to help solve the day-to-day problems confronting users. Depending on the size and complexity of the handbook, there should be an extra section containing an index of the subjects covered by the directives. Next comes a series of instructions listing the handbook's objectives together with the ministries and public bodies bound by the policies and directives set out subsequently. The principles and methods for checking, updating and distributing the handbook should also be included in this section. It should be supplemented by information about those in charge (name, title, function, address and telephone number, etc.). This is important to the success of a records management programme since it shows who has authority.
The directives and their related procedures, where appropriate, form the core of the handbook. Arranged by topic, they provide precise indications of the line to be followed in the implementation of each part of the programme.
It would also be relevant for the user to have, in an annex to the handbook, the text of the policies that form the basis of these directives.
The preparation of a handbook and the implementation of its principles are often the responsibility of different authorities. Users may be - and often are - tempted to circumvent some of the provisions of the directives, or to adapt them to their needs or environment. In order to prevent such a situation, it is necessary to clearly distinguish two levels of authority which alone are enticed to alter the contents and application of the handbook.
First of all there is the producer, i.e. the group or administrative body responsible for the handbook's planning, drafting and distribution and for checking the application of the principles, directives and procedures which make up the rules. This group or body has sole responsibility for the contents, printing and the modification of these regulations. This responsibility should be acknowledged and should be exclusive to that group or body. Proof of this authority should appear at the front of the handbook in the form of a notice, letter or directive from the higher authority.
The higher authority represents the second level of authority, which is the level at which approval is given. The top ranks of government (the Prime Minister, President, Deputy Minister, Vice-President or other delegated authority) are responsible for officially approving the proposed guidelines and rules. They are also responsible for authorizing the handbook's application in all the sectors and bodies coming under their jurisdiction.
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The preparation of a records management handbook is perfectly compatible with this model. Here we are planning a management tool which should enable the various departmental heads of ministries or government bodies to understand and implement the records management programme.
The government team in charge of the development and administration of the programme is responsible for the preparation of the handbook. It should therefore assimilate the principles set out above and supplement them with the various parameters relating to records management. More importantly, the team writing the handbook should constantly bear in mind the user, who will have to live' with these rules and directives.
As the context of records management varies from one government agency to the other, the programme envisaged should reflect the adjustments required in each case. Naturally the underlying concepts and principles do not change. However, at each stage of development, it is important to adapt the standard and specific content to each special situation.
One may be dealing with centralized or semi-autonomous organizations, with a concentration or a sharing of powers and responsibilities, depending on the government concerned. Whatever line of approach is chosen, it is important, indeed essential, to maintain the same way of proceeding and structure throughout the exercise. It could be very difficult, even dangerous, to change the rules in the middle of the game. Unless there are major incongruities, the original lines of approach should be followed throughout the development and implementation phase of the records management programme. In this way, it will be possible to preserve the unity of thought and action of the persons responsible for each stage of the programme. This unity will necessarily be present in the handbook of directives.