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

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Tip: Give staff assistance to change and evolve
Information and documentation - Records management

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Highlight support, feedback and review mechanisms

You should establish support, feedback and review mechanisms such as:

user or interest groups
help desk support
contact people to respond to enquiries and comments
evaluation forms for systems and training, and/or
other methods of ongoing monitoring.

When you are implementing Step G it is a good time to ensure staff are fully aware of these mechanisms. Information received can assist you in making changes to the system and/or the ways you are approaching implementation. Relevant feedback should be acted on as soon as it is viable and can also contribute to the post implementation review in Step H.

Managing ongoing implementation

It is important to realize that implementation is not a one-off process. Certainly there will be a point where the system goes 'live' and staff will require the training, and/or policies and procedures and support to ensure the transition is a straightforward one. This will be the main thrust of your implementation, and the main expense.

However, staff may change and even existing staff need to be regularly reminded of responsibilities and methods. Therefore you should budget for, and ensure the implementation of:

mechanisms to monitor staff usage of the system and to detect problems (see Step H: Post implementation review for further information)
regular refresher courses or briefings, which can focus on their responsibilities and the whole system or particular aspects that may be problematic, and
training or advice for new staff members on their responsibilities and the system itself.

^ Tip: Give staff assistance to change and evolve

Remember the adage from Charles Darwin 'It is not the strongest of the species that survives, nor the most intelligent, it is the one that is most adaptable to change.' Any assistance you can give to help staff to adapt to the changes facing them in the short and the long term can help you in achieving success with your project.

Documenting Step G

Document implementation plans

Changes to implementation

Report on implementation

Document implementation plans

You may have planned for implementation as part of your broader project planning or in earlier steps of DIRKS. You should also document the timetables and implementation plans developed for Step G showing:

what implementation methods will be used for the rollout of systems and strategies
when implementation will happen, and
ongoing implementation required.

Changes to implementation

Once you have started implementing you should also note any changes made to plans.

Example: Where to document changes

Changes might be documented in:

versions of the plans and reports on implementation, or
minutes of project team meetings.

The implementation process may also have highlighted the need for changes to documentation such as training notes and procedures and policy. These changes should be noted and consideration given to changes.

Report on implementation

It is a valuable exercise to prepare a report at the end of the implementation process. This report could outline:

areas or staff targeted in the implementation
methods implemented
changes made to implementation planning, such as timetables or budgets, and the reasons why
changes made to documentation from Step F, such as training notes or procedures
issues or problems identified
action required, and
future implementation needs.

Such documentation can be valuable for accountability and auditing purposes and can be a case study for future implementation projects.[2] Major issues with the implementation process, along with recommendations for future action, should be highlighted in a report to management.

[Drafting note: ARMS would like to include a model/example of a report on implementation. If anyone has examples they consider suitable, and is willing to share, they would be greatly appreciated].

Footnotes

[1] For an overview of methods see W Martin, C Brown, D DeHayes, J Hoffer and W Perkins, Managing Information Technology: What Managers Need to Know, Prentice Hall, Upper Saddle River, New Jersey, 1999, pp.403-404.

[2] Implementation issues are canvassed in Sauer, C, Why Information Systems Fail: A Case Study Approach, Alfred Waller Ltd, Henley-on-Thames, 1993.

Step H - Post implementation review

Gather information about the performance of the records system as an integral and ongoing process. This may be undertaken by interviewing members of management and key employees, using the questionnaires, observing the system in operation, examining procedure manuals, training materials and other documentation, and carrying out random checks on the quality of records and control measures. Review and assess the performance of the system, initiate and monitor corrective action and establish a regime of continuous monitoring and regular evaluation.

ISO 15489.1, ^ Information and documentation - Records management, Clause 8.4

Content and scope of Step H

Planning for ongoing monitoring

Planning the post implementation review

Conducting the review or ongoing monitoring

Taking corrective action

Continuous review and monitoring

Documenting Step H

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