Principles and Functional Requirements for Records in Electronic Office Environments

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1 Principles and Functional Requirements for Records in Electronic Office Environments Background Between 2006 and 2008, a multinational project run by the International Council on Archives produced a suite of products that can be seen as providing the opportunity for a breakthrough in electronic recordkeeping. These products were launched at the ICA Congress in Kuala Lumpur in 2008 under the collective title, Principles and Functional Requirements for Records in Electronic Office Environments (ICA-Req). There are three modules: Module 1: Overview and Statement of Principles; Module 2: Guidelines and Functional Requirements for Records for Electronic Records Management Systems; and Module 3: Guidelines and Functional Requirements for Records in Business Systems. The functional requirements set out in ICA-Req are based on the minimum requirements for records functionality defined in the Australian and International standards for records management, AS/ISO They also draw on preliminary specifications for recordkeeping functionality developed by the National Archives and published as an exposure draft in They provide internationally agreed principles and functional requirements for software used to create digital information in office environments The three modules were adopted by the International Standards Organization (ISO), with some modification, as ISO (parts 1 to 3). Modules 1 and 3 were published in December 2010, Module 2 in April ISO has been endorsed by the National Archives for use in the Australian government. MODULE 1 Principles and functional requirements for records in electronic office environments: Overview and statement of principles Module 1 is described as an overview and statement of principles. It sets out key messages about record keeping software in non-technical language. The expectation is that it will be read in conjunction with whichever other module is being used. So, for example, those using Module 2 for electronic records management systems will also read Module 1 and similarly those using Module 3 for business systems will use that in conjunction with Module 1. Module 1 sets out twelve principles, four relating to records and eight relating to systems.

2 These principles should guide the development of any system that is designed to make and manage records. They apply both to business systems with records functionality and also to systems where records management is the principal component of the system (Electronic Document and Records Management (EDRMS), and Electronic Records Management (ERM) systems). The four records principles are: 1. Electronic business information has to be actively managed and maintained as evidence of business activity. 2. Business information has to be linked to its business context by metadata. 3. Business information has to be kept and remain accessible for as long as it is required. 4. Business information has to be able to be disposed of in a managed, systematic, and auditable way. The eight systems principles are: 1. Systems for capturing and managing business information have to rely on standardized metadata as an active, dynamic, and integral part of the record-keeping process. 2. Systems have to ensure interoperability across platforms and domains, and over time. 3. Systems should rely as much as possible on open standards and technological neutrality. 4. Systems should have the capacity for bulk import and export, using open formats. 5. Systems must maintain information securely. 6. Most metadata should be system-generated. 7. Systems should support business information management as an organic part of the business process. 8. It should be as easy as possible for users to create/capture records of business activity. These twelve principles are the basic building blocks. Users will need to provide more detailed specifications when they are tendering, procuring or developing a system, but those specifications should map back to at least one of the twelve principles.

3 Module 2 Principles and Functional Requirements for records in electronic office environments Guidelines and Functional requirements for digital records management systems There is a plethora of jurisdiction-specific EDRMS software specifications. The United States Department of Defense Design Criteria Standard DoD and the European Community s MoReq are just two examples of many in existence. One of the initial aims of the ICA-Req project was to produce a global statement of requirements for EDRMS-type software products that could be used by vendors and developers who were otherwise faced with a range of different specifications. The ICA project achieved this global harmonization with Module 2 s high level statement of requirements and implementation guidance for EDRMS-type systems. The records management systems covered in Module 2 are those where records management is the principal or one of the main components of a system. Module 2 provides a set of functional requirements for these systems. Essentially, Module 2 has been based on past experience and existing publications, with the primary audience being staff responsible for designing, reviewing and/or implementing digital records management systems in their organisation. In short, the requirements of Module 2 are intended to: Help identify and manage records in a digital records management system Outline records management functionality that should be included in design specifications when building, upgrading or buying digital records management system software Inform records management functional requirements in the selection of commercially available digital records management system; and Review the functionality of, or assess the compliance of an existing digital records management system. Module 3 - Guidelines and Functional Requirements for Records in Business Systems: Guidelines and Functional Requirement for records in business systems The business systems covered in module 3 are those digital systems that create or manage information about specific types of business activities such as ecommerce, clientrelationship management, finance and human resources. These systems are transaction based with frequent updates and up till now, they have rarely been explicitly designed with recordkeeping in mind. We all use business systems to automate business activities and transactions, and often these systems serve as the only record of such activities and transactions. In many cases however, business systems are not designed and built with this in mind, leaving the organisation exposed to risk and potentially unable to meet business, legislative and community expectations.

4 The aim of Module 3 is to help organizations incorporate records management functionality as a native feature of business systems so that records management can become a seamless part of the business process. Specifically, Module 3 will allow organisations to: Understand the processes involved in identifying and managing records in business systems Develop functional requirements for records in design specifications when building, upgrading or purchasing business systems Assess records management capability when considering customised or commercial off-the-shelf business system software; and Review the records management functionality of business systems to assess compliance. An important audience for Module 3 will be ICT professionals who are responsible for the designing, reviewing and/or implementing of business systems in organisations. However, records professionals will also find this Module useful. For example, it provides detailed practical advice for developing agency-specific record requirements for business systems software and it is these agency requirements that will identify how to configure systems software functionality to suit business needs. The ICA project team have tried very hard to avoid using record-keeping jargon, so that language would resonate with the target audience. Future Directions of ICA-Req As previously mentioned, the three modules have now been adopted by the International Standards Organization (ISO), with some modification, as ISO (parts 1 to 3). The ICA is also funding a follow-up multinational, co-operative project to develop implementation guidance and training material for ICA-Req. This is to be launched at the ICA Congress in Brisbane, Australia in August Products being developed include Advocacy material for senior managers and business owners An e-readiness tool for organisations considering the adoption of digital records management Digital records management case studies Scenario-based implementation of Module 3 Detailed implementation guidance for Module 3 Summary implementation guidance Detailed guidance on higher level implementation issues Training material for Modules 2 and 3

5 Conclusion ICA-Req will provide software developers with the confidence they need to design and build systems that incorporate records management functionality. For organisations, ICA-Req will provide a basis for comparing and evaluating systems for purchase and for procurement proposals. It will also be useful for developing design specifications for in-house products and as a checklist to review the records management capability of existing software. Module 3 is significant because it signals a shift in focus from adding on records management functionality to incorporating it as a native feature of business systems. Records creation, capture, and management will occur without users having to actively intervene. By enabling recordkeeping to become an integral part of business process it has potential to streamline and thereby improve the way we all go about our business.