A records system should be responsive to changing business needs but any changes in the system should not have an impact on the characteristics of the records in the system.  Similarly, when records are transferred from one records system to another, the transfer should be carried out in a way that does not adversely affect the characteristics of a record.

A records system should be reliable, have integrity, be compliant, comprehensive and systematic.

Implementation strategies for compliant records systems

1. Design a records system
2. Document the records system
3. Train record practitioners and other personnel
4. Convert records to new records systems, formats and controls
5. Set standards and measure compliance and performance against them
6. Determine retention periods and making decisions about records which have continuing value, in keeping with the regulatory environment

Design and implementation methodology

In order to design and implement sustainable record systems, a design and implementation methodology is essential.  The tasks below may be undertaken in different stages, partially or gradually, in accordance with organizational needs, formal compliance requirements and changes to the organizational and records management environment.

Preliminary investigation. Collect information from documentary sources and through interviews; identify and document the role and purpose of the organization, its structure, its legal, regulatory, business and political environment, critical factors and critical weaknesses associated with records management.

Analysis of business activity. Collect information from documentary sources and through interviews; identify and document each business function, activity and transaction and establish a hierarchy of them, that is, a business classification system, and identify and document the flow of business processes and the transactions which comprise them.

Identification of requirements for records. Collect information from documentary sources and through interviews; identify the requirements for evidence of and information about each business function, activity and transaction which should be satisfied through records. The requirements can be derived from an analysis of the organization’s regulatory environment and the risk of not creating and maintaining the records.

Determine how each requirement may be satisfied through records management processes, and articulate and document the requirements for records. Choose the appropriate records structure which best satisfies each business function, activity or transaction.

 Assessment of existing systems. Identify and analyse existing records systems and other information systems to measure their performance against the requirements for records.

Identification of strategies for satisfying records requirements. Identify strategies for satisfying records requirements, which may include adopting policies, standards, procedures and practices, designing new systems and implementing systems in a way which satisfies a requirement for records. Strategies may be applied to each records requirement separately or in combination. Strategies should be selected on the basis of the degree of risk involved through failure to satisfy a requirement, either within the business function which the records system is intended to support, the existing systems environment or the corporate culture in which the strategy should succeed.

Design of a records system. Design a records system which incorporates the strategies, processes and practices described in ISO 15489; ensure that the records system supports, and does not hinder business processes; assess and, if necessary, redesign business processes and operational business and communication systems to incorporate records management.

Implementation of a records system. Implementing a records system should be undertaken systematically using project planning and methodologies appropriate to the situation and with a view to integrating the operation of records systems with business processes and related systems.

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 questionnaires, observing the system in operation, examining procedures 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.

Converting records to new records systems, formats and controls

When discontinuing an existing records system, no further records should be added to the system but the records must be accessible.  Records should be removed from the system in accordance with set retention and disposition guidelines and conversion and migration strategies.  In time, the ‘old’ system will phase out.  The process of change must be documented to maintain the authenticity, reliability, useability and integrity of the records.