Recordkeeping at the Business End

Developing and Implementing Globally Harmonised Software Specifications for

Records in Business 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 Sponsor 1 - ICA

• Electronic Records and Automation Priority Area

• http://www.ica.org/

Project Sponsor 2 - ADRI• National Archives of Australia• Archives New Zealand• Public Record Office Victoria• State Records New South Wales• ACT Territory Records • Archives Office of Tasmania • Northern Territory Archives Service• Queensland State Archives• State Records South Australia• State Records Office Western Australia

ADRI Vision All governments in Australia and New

Zealand implement a uniform approach to making, keeping and using digital records to ensure accountability and the long-term protection of vital cultural heritage.– This uniformity leads to efficiency, economy

and interoperability across participating communities.

– http://www.adri.gov.au/

Project Team Members (1)

• National Archives of Australia• Archives New Zealand• US National Archives and Records

Administration• Bundesarchiv, Germany• The National Archives (UK)• National Archives of South Africa

Project Team Members (2)

• National Archives of Malaysia

• National Archives of the Netherlands

• Cayman Islands National Archives

• Queensland State Archives

• National Archives of Sweden

• Archives Directorate of France

Project Modules

1. Overview document – principles, concepts

2. High level requirements for ERMS software

3. Guidelines and requirements for managing records in business systems

Project Timeline

• 1st meeting, Edinburgh, Sept 2006• 2nd meeting, Canberra, Sept 2007• Exposure drafts for comment and peer

review – early 2008• 3rd meeting, Koblenz, April 2008• Launched at ICA Kuala Lumpur Congress,

July 2008

Project Stakeholders

• ICA/ADRI members and branches

• Software vendors/industry groups

• Governments

• Private sector

• International Standards Organization

• International Records Management Trust

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

Implementation Issues

Good software is only one component of successful electronic business information management in organisations:

• Other components include: Policy frameworks; Business process analysis; Project management; Change management; Risk management; Sustainability; Capability development; Quality management; Configuration management; & Corporate culture

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 2: Identify linkages and dependencies

Step 1: Analyse the work process

Step 3: Devise strategies, based on options assessment

Step 4: Implement

Identification of the information that

forms the evidence

Identification of requirements for

evidence of business being conducted in

the business system

Where Should Records be Kept?

• Records generated in business systems can either be kept and managed within the native business system, if the system has adequate recordkeeping functionality; or

• They can be captured out of the native business system into a separate eDRMS

• Providing they are managed properly, an organisation’s records can be kept in multiple systems

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/ADRI project to produce detailed scenario-based

implementation guidance + training packages, 2010-2012• Links to the work of the Object Management Group• International software testing regime + testing scripts?• Interactive web-based self-assessment tool?• Process mapping and data modelling?• Mappings to MoReq2 and US DoD 5015.2

Questions

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