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Recordkeeping at the Business End Developing and Implementing Globally Harmonised Software Specifications for Records in Business Systems Adrian Cunningham,

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Presentation on theme: "Recordkeeping at the Business End Developing and Implementing Globally Harmonised Software Specifications for Records in Business Systems Adrian Cunningham,"— Presentation transcript:

1 Recordkeeping at the Business End Developing and Implementing Globally Harmonised Software Specifications for Records in Business Systems Adrian Cunningham, National Archives of Australia


3 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

4 Existing National Specifications US DoD 5015.2 Design Criteria Standard European Unions MoReq (Model Requirements) Germanys DOMEA Concept Norways NOARK UK National Archives Requirements National Archives of Australias ERMS Specs Archives New Zealands Systems Standard Victorias VERS Standard

5 Project Sponsor 1 - ICA Electronic Records and Automation Priority Area

6 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

7 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. –

8 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

9 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

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

11 Project Timeline 1 st meeting, Edinburgh, Sept 2006 2 nd meeting, Canberra, Sept 2007 Exposure drafts for comment and peer review – early 2008 3 rd meeting, Koblenz, April 2008 Launched at ICA Kuala Lumpur Congress, July 2008

12 Project Stakeholders ICA/ADRI members and branches Software vendors/industry groups Governments Private sector International Standards Organization International Records Management Trust

13 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

14 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

15 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

16 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

17 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

18 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

19 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

20 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

21 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

22 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 organisations records can be kept in multiple systems

23 Key Recordkeeping Functionality

24 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

25 Questions ????

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