Developing Systems for the Future

(SYSTEMS ANALYSIS)

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  identifying organisational information need(s)
  
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  analysing organisational need systems analysis includes: sources of data, outputs, internal and external constraints, controls and control points, interviews, questionnaires, observation, systems documentation, document findings.
  
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  conducting benefits analysis
  
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  conducting preliminary feasibility study
  

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  stakeholders don’t understand that the system will create, maintain and use records
  
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  essential records policies and management practices are not reflective of organisation needs
  
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  lack of proven methodologies that incorporating record keeping into the development of information systems
  

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  inventory and analyse existing systems to define the current situation and identify objectives to be met
  
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  identify records schedules relevant to the function that will be supported by the system
  
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  identify relevant legislation and organisational best practice that requires the existence of records
  

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  defining system requirements. This includes analysing: stability of the environment, complexity of the environment, user experience, analyst experience.
  
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  developing a framework for studying decision making
  
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  documenting user requirements
  

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  electronic records functionality is not identified as part of systems design – there is little understanding that the need for records exceeds the life of the system
  
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  little recognition is given to the need for records to support legal and evidentiary needs
  

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  identify and define record-keeping requirements as found in relevant legislation, regulations, etc (refer to records schedules). There will be requirements for creating records at the business process level, records maintenance and accessibility requirements at the record level and systems reliability requirements at the system level.
  
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  define data and document standards that will support migration
  

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  designing the system (ie modelling)
  
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  specifying software/hardware requirements
  
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  specifying audit, control and security requirements
  
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  designing the system’s architecture
  
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  refining design specification
  
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  integrating and testing software
  
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  integrating and testing the system within the organisational framework
  
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  identifying critical issues
  

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  record-keeping requirements are not integrated into the conceptual design of systems
  
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  systems designers do not realise the need to integrate diverse documentation into records
  
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  shortcuts often lead to the loss of context
  

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  review/evaluate applicability and understandability of record-keeping requirements
  
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  include long-term preservation issues in testing
  

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  selecting application software (‘off-the-shelf’, modifiable or tailored)
  
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  selecting a vendor
  
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  selecting hardware
  
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  issuing requests for proposals/requests for information
  
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  financing systems acquisition
  
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  analysing financial alternatives
  

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  hardware vendors and commercial software manufacturers are not generally aware of the need for structural and contextual information in order to keep records electronically
  
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  When analysing financial implications, loss of records is not considered
  

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  ensure that record-keeping requirements are factored into the proposals/requests for information that are sent to vendors
  
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  encourage the use of agreed internationally recognised information technology standards
  

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  evaluating design alternatives
  
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  preparing design specifications including: communications configurations, storage medium and structure, input mode and frequency, output mode and frequency, processing operations
  
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  preparing conceptual systems design report
  
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  designing layouts
  
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  developing and writing programmes developing computer procedures
  
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  designing controls
  
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  developing the logical and physical model
  
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  designing document and systems flow charts
  
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  designing data flow diagram
  
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  developing work measurement & analysis
  
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  developing prototype
  

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  record-keeping requirements are not included in the design of systems
  
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  often the document and systems flow charts and the data flow diagram do not have the necessary long-term view that a record-keeping perspective adds
  
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  record-keeping controls are not factored into the controls of the system, as are audit and security controls
  

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  ensure that systems designers understand what exactly the record-keeping requirements are and why they are necessary. Describe the relationship between record keeping, auditing and security controls.
  

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  installing the system
  
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  testing the system
  
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  training users to use the system
  
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  writing systems documentation
  

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  opportunities are often missed to train users to name and store records appropriately when implementing a new system
  
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  important data and/or records may be lost when legacy systems are imported into new systems
  

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  develop computer desktop management guidelines for creating, naming, storing, etc records on the new system
  
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  ensure that IT staff are aware of the problems of importing records and/or data into new systems; discuss migration options; sample imported data and/or records to check whether they have been converted successfully
  

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  running and maintaining system (routine)
  
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  trouble-shooting problems as they arise
  
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  repairing and maintaining as needed
  
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  upgrading when necessary
  
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  practicing/testing disaster plan
  
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  backing-up system
  
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  training employees who join the organisation after the system has been implemented
  

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  important data and/or records may be lost when systems are upgraded
  
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  the long-term preservation needs of electronic records are often not considered when deciding how best to back-up systems
  
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  most organisations do not create a culture of record keeping that is passed on to new employees
  

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  ensure that IT staff are aware of the potential risks to records as a result of upgrading systems so that realistic precautions can be considered
  
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  make sure that back-ups are done in accordance with standards agreed with the national archives/national records centre
  
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  educate all new employees to use the computer desktop management guidelines
  

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  carrying out a post-implementation review and analysis of the system
  

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  there is little understanding of the nature and extent of planning required to include records management functionality in new information systems
  
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  organisations are not aware of the cost implications for adding record-keeping controls after the system is put in place
  

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  measure the systems performance against the record-keeping requirements identified
  
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  monitor corrective actions