Conducting Needs Assessments for New Recordkeeping Systems

by Geof Huth
Archives Technical Information Series # 64
2003

Summary

The State Archives encourages local governments and state agencies to conduct a needs assessment and feasibility study before implementing any large new recordkeeping system. A recordkeeping system can be any paper, electronic, micrographic or hybrid system designed to create, store, and manage records, such as an imaging system for land records in a county clerk’s office. The system is composed of hardware and software, as well as the people, data, policies, procedures and continuing support needed to keep it running.

A needs assessment is a detailed report that analyzes a records-related problem and determines the best solution to that problem. Its goal is to provide an analysis of a current recordkeeping system and the records series involved, identify problems, evaluate possible solutions, and recommend the best solution. A feasibility study is generally associated with a needs assessment and analyzes the ability of an organization to acquire, implement, and maintain a new technology. The study must look at the cost of acquiring the technology, but it must also consider the continuing cost of training, support, and upgrades.

A business process analysis (BPA) is closely related to a needs assessment. It examines and describes a work process in order to design an improved process that may or may not use technology. A BPA focuses on workflow and policy issues, and it is generally used when the root cause of a problem is unknown.

A needs assessment can ensure you the best use of your current resources and enable you to develop a new recordkeeping system to address the problems you wish to solve. It can help you make informed technology choices based on your documented needs and your ability to implement and maintain a technology. A needs assessment can also help you avoid costly mistakes, address records management issues directly when designing new systems, and provide information and analysis to help you write fundable grant applications.

There are a number of steps your organization should take when planning, conducting, and implementing the findings of a needs assessment. The first step is to examine and document the problem you hope to resolve. You will then need to determine if a BPA or a needs assessment will best suit your purposes. A BPA is a good choice if the problem you hope to solve stems from inefficient or outdated business processes, or you do not have a good sense of how to solve the problem, or if your organization has considered a technological solution before it has determined the root cause of the problem it is trying to solve. A needs assessment is a good choice if you have a good grasp of the cause of the problem, but are uncertain if the technology you are considering is appropriate, or if you have selected a technology to solve the problem but need more specific assistance to implement the technology, or if you are interested in a new technology, such as GIS.

After determining whether to conduct a BPA or a needs assessment, you will need to produce a request for proposals (RFP). An RFP is a formal document that outlines the particular services and products you are looking for and tells prospective vendors how to develop a formal response or bid. A good RFP will increase your chances of soliciting intelligent, reasoned bids that will be easy to compare.

Your next step is to decide who will conduct the needs assessment, in-house staff or a qualified consultant. Collect information on your current situation and research possible solutions. After determining possible solutions, identify which would best suit your situation and make the case for implementing that solution to the appropriate people in your organization. The final step is to implement your chosen solution. Develop a timeline, an implementation plan, and a hardware and software design for the new records system if not already in the needs assessment. Develop some general guidelines for maintaining the system. You can then begin to install the new system, train users, add data and maintain the system.