Good Digital Records Don’t Just ‘Happen’

Embedding Digital Recordkeeping as an Organic Component of Business Processes and Systems

Adrian Cunningham, National Archives of Australia

The Current Situation

• Global market for software products that make and manage records • Good software is a prerequisite for good recordkeeping • ISO 15489 – Records Management • ISO 23081 – Metadata for Records • Various national/jurisdictional software requirements/specifications • Need for global harmonisation

Existing National Specifications

• US DoD 5015.2 Design Criteria Standard • European Union’s MoReq (Model Requirements) • Germany’s DOMEA Concept • Norway’s NOARK • UK National Archives’ Requirements • National Archives of Australia’s ERMS Specs • Archives New Zealand’s Systems Standard • Victoria’s VERS Standard

Project Modules

1. Overview document – principles, concepts 2. High level requirements for ERMS software 3. Guidelines and requirements for managing records in business systems

Guiding Principles (records)

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 required 4. Business information has to be able to be disposed of in a managed, systematic and auditable way

Guiding Principles (systems)

5. Systems for capturing and managing business information have to rely on standardised metadata as an active, dynamic and integral part of the recordkeeping process 6. Systems have to ensure interoperability across platforms and domains and over time 7. Systems should rely as far as possible on open standards and technological neutrality 8. Systems should have the capacity for bulk import and export using open formats

Guiding Principles (systems)

9.

Systems must maintain information securely 10. Most metadata should be system generated 11. Systems should support business information management as an organic part of the business process 12. It should be as easy as possible for users to create/capture records of business activity

Module 3 – Business Systems

• New territory – existing national specs only focus on eDRMS systems • Main audience: business systems developers • So, we tried to avoid records management jargon • Business systems are applications that automate structured business processes and/or facilitate transactions between an organisational unit and its customers. eg.: – an e-commerce system, – client relationship management system, – purpose-built or customised database, – human resources systems

Characteristics of Business Systems

• Hold dynamic data that is: – Frequently updated (timely) – Able to be transformed (manipulable) – Holds current data (non-redundant) • In comparison, records are: – Fixed at a point in time – Inviolate

The Challenge

• Traditional processes for paper records translate well to eDRMS, ie. management of correspondence-type records, such as emails, reports, policies, minutes, drafts, etc • Business systems do not as readily accommodate traditional recordkeeping processes • While the core function of an eDRMS is to manage documents and records, this function is at best ancillary in a business system

What is the Record in a Business System?

• Key component of the guideline: explaining how to determine what should constitute the record in a business system • Requires partnership of business owners, records staff and system administrators

Step 1: Analyse the work process Identification of requirements for evidence of business being conducted in the business system Identification of the information that forms the evidence Step 2: Identify linkages and dependencies Step 3: Devise strategies, based on options assessment Step 4: Implement

Key Recordkeeping Functionality

Creating Records in Context

· · · ·

Creating a fixed record Record metadata Management of aggregations Records classification tools

Managing and Maintaining Records

· · · ·

Metadata configuration Record duplication, reclassification, extraction and closure Reporting on records Online security processes

Supporting Import, Export and Interoperability

· ·

Import Export

· · · · · ·

Retaining and Disposing of Records

Compliance with disposition authorisation regimes Disposition application Review Destruction Disposition metadata Reporting on disposition activity

Future Directions

• Engaging software vendors • French, Chinese and Spanish translations • Fast-tracking modules as ISO standards – ISO 16175 (ballot, 2010) and possible modifications • ICA project to produce detailed scenario-based implementation guidance, case studies + training packages, 2010-2012 (China is a participant in this new project) • Links to the work of the USA Object Management Group • Mappings to MoReq2 and US DoD 5015.2

• International software testing regime + testing scripts?

• Interactive web-based self-assessment tool?

• Process mapping and data modelling?

Questions

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