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

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Step H: Post implementation review
Risk analysis in DIRKS
Example: Information from other steps can assist

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Content and scope of Step H

Overview

Aims of Step H

Summary of Step H

Why should you do Step H?

How is Step H scalable?

Relationship to other steps

Overview

This section is an introduction to ^ Step H: Post implementation review. It:

outlines the aim of Step H
summarizes the major elements of Step H
explains why it is important to undertake Step H for particular DIRKS projects
indicates how Step H is scalable, and
shows how Step H relates to the other steps in the DIRKS methodology.

Aims of Step H

The aims of step H are to:

measure the effectiveness of the recordkeeping system or system components, after they have been implemented
identify and take corrective action where it is required
evaluate the efficiency and appropriateness of the system development process and implementation, and
establish and implement an ongoing monitoring regime for the duration of the system.

Summary of Step H

Step H involves the planning and implementation of both:

set reviews of the system and development process, and
ongoing monitoring regimes.

Planning involves deciding:

what is required for ongoing monitoring
how and who will perform ongoing maintenance
when post implementation reviews should be conducted
the scope of reviews
what criteria should be used in reviews for evaluation
how projects will be evaluated and by whom.

Measurement techniques for reviews or monitoring can include:

interviewing management, staff and other stakeholders
conducting surveys
examining documentation developed during the earlier phases of the systems development project, and
observing and randomly checking operations.

Ongoing changes to systems or tools should be documented when they are made. The findings from reviews should be documented in a manner that can be used for comparative purposes in the future. Needs for corrective action highlighted in ongoing monitoring or a review should be prioritized and acted on.

Why should you do Step H?

Your DIRKS project has involved an investment of resources, in terms of time, money, staff and goodwill. It is important to demonstrate to management and other stakeholders with a vested interest in organizational accountability that:

the developmental process has been conducted efficiently, and
the recordkeeping system has the capacity to deliver its stated benefits in the short and long term.

A post-implementation review can provide such assurance.

In addition, by completing the initial post-implementation review and developing ongoing monitoring strategies you will:

help guarantee a continuing return on the organization's investment by maintaining the recordkeeping system to optimal levels of performance throughout the system's lifecycle
have objective proof that your organization is creating and managing appropriate evidence of its business activities in accordance with operational, accountability and community expectations
minimize your organization's exposure to risk through system failure, and
over time, anticipate significant changes in recordkeeping requirements and organizational needs that necessitate a new developmental cycle.

Tip: If you fail to plan you plan to fail

If in the rush to implement a new system your organization fails to realize the importance of planning for ongoing monitoring, measuring system effectiveness and the effectiveness of the development process, you can jeopardize the entire endeavor. Faults may go undetected or untreated and system users may become increasingly disgruntled. The project may ultimately fail as a result. In addition, lessons learnt and knowledge gained as part of the implementation may not be available to future projects. Strategies for review and ongoing monitoring are therefore essential.

How is Step H scalable?

The scale of the ongoing monitoring will depend on the scope of your initial project and what kinds of faults or problems are detected.

In terms of reviewing, you can choose to conduct a full review of all components of the system (people, processes, tools, technology) that you have implemented or you may decide to review elements of the project independently. The scale can be according to the needs, resources and priorities of your organization.

Depending on the complexity of the system and the level of resources available, it may be appropriate to conduct risk assessments to determine the scope and emphasis of the post-implementation review. See ^ Risk analysis in DIRKS and the Recordkeeping risk analysis guidelines for more information.

Relationship to other steps

Step H is an important step to all DIRKS projects.

^ Example: Information from other steps can assist

if you have analyzed your recordkeeping requirements and organizational constraints (Step C-E) you can assess the system to see if it meets these, or
if you have completed Steps F: Design of a recordkeeping system and Step G: Implementation of a recordkeeping system you can examine the efficiency and appropriateness of systems design and implementation in Step H.

Some aspects of step H, such as putting plans in place for future monitoring, can also be conducted concurrently with Step G.

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