The implementation of systems and records

1. The implementation of systems and records Learning objectives To be able to specify guidelines and timelines for implementing a system. To understand the importance of contingency planning. To learn about establishing effective training schedules and programs. To learn how data is transferred from one system to another without errors. To discover how to update systems and records. To learn about maintaining files in accordance with statutory requirements. To understand how integrity of a system can be ensured. To learn how to ensure that records comply with statutory requirements.

2. coding contingency plan data conversion data integrity direct changeover parallel running phased implementation pilot running total implementation key terms

3. System implementation • Timing of implementation should be in a period that is relatively quiet. • Various activities need to be considered:

4. System implementation • Implementation planning: • achieved by detailing each required step in the implementation process • can be done using software such as Microsoft Project • Gantt chart is established • Indicates responsibilities, completion dates and sequence of events

5. System implementation • Contingency planning: • part of implementation plan but regarded as an alternative if the need arises • established to deal with potential problems or delays • Site preparation: • advance preparation of site(s) for housing new systems

6. System implementation • Procurement and installation of equipment: • installation of mainframes and personal computers before any software is installed • Coding: • programs that contain instructions to be executed by the computer; usually developed by an organisation’s programmers

7. System implementation • Selecting and training personnel: • User training • for users of the system (e.g. clerical staff or supervisors) • Operations training • aimed at technical staff responsible for running and maintaining the system • Documentation of procedures: • describes objects, plans or events (e.g. procedures manual)

8. System conversion • Key issues to consider are: • Timing of conversion • Data conversion and integrity • Method of conversion

9. Implementation review • Once implemented, the system may have teething problems • A test period allows finetuning and system stabilisation. This might include: • Maintenance of the system’s operations (e.g. corrective maintenance) • Maintenance of user operations (e.g. help desks)

10. Post-implementation review • Normally takes place after the completion of the system’s implementation • Purposes of the review are: • to identify shortcomings of the design • to correct major defects • to influence the implementation project team to work effectively

11. Auditor involvement in implementation • Auditors are primarily interested in the accuracy of data processing and internal controls • They are also involved with conversion of the data from the old system to the new system