Introducing ICA-Requirements Module 3: Functional Requirements for Records in Business Systems <PRESENTER> <ROLE> <DATE> <LOCATION>

SESSIONS WHAT ARE ICA REQUIREMENTS? WHAT DOES MODULE 3 AIM TO ACHIEVE? WHAT IS A BUSINESS SYSTEM? WHO WILL BENEFIT FROM MODULE 3? PRACTICAL USE OF ICA REQUIREMENTS 1 & 2 IMPLEMENTATION GUIDELINES PRACTICAL USE AND COMPLIANCE AUDIT IMPLEMENTATION GUIDELINES

International standard applicable in all jurisdictions 1. WHAT ARE ICA REQUIREMENTS? ICA sponsored project: Principles and Functional Requirements for Records in Electronic Office Environments International standard applicable in all jurisdictions Three modules

OTHER FUNCTIONAL SPECIFICATIONS MoReq2010®: owned by the DLM Forum Foundation, sponsored by European Commission, de facto European standard. Purpose: “describe the minimum functionality for a MoReq2010 ® compliant records system” ERM Software Applications Design Criteria Standard: mandatory for suppliers to US DoD. Purpose: “define the basic requirements … that must be met by RM application products” Requirements for ERM Systems: developed by TNA to support procurement by UK Government Departments, no longer used

HOW ARE ICA REQUIREMENTS DIFFERENT It is international, i.e. non-jurisdictional It addresses all electronic records created and maintained by an organisation in any business system, not just those in EDRM systems

ICA REQUIREMENTS MODULES Overview and Statement of Principles Guidelines and Functional Requirements for Electronic Records Management Systems Guidelines and Functional Requirements for Records in Business Systems Available for ICA members to download at http://www.ica.org/10616/standards/icareq.html

2. WHAT DOES MODULE 3 AIM TO ACHIEVE? Addresses RM gap caused by use of business systems Helps to ensure evidence, i.e. records created in BS identified & managed Provides key RM requirements with levels of obligation

WHAT MODULE 3 IS NOT IT DOES NOT.... cover other system requirements – it is concerned with RM requirements only specifically address long-term preservation of digital records

MODULE 3 SPECIFICS Provides guidance and methodology on: identifying and managing records in business systems developing recordkeeping functional requirements for business system software evaluating recordkeeping functionality of proposed business system software auditing recordkeeping functionality of existing systems

3. WHAT IS A BUSINESS SYSTEM? An IT system that: creates and/or manages data about an organisation’s activities holds dynamic data – constantly updated holds data that can be manipulated, e.g. to produce reports holds current data

EXAMPLES OF A BUSINESS SYSTEM E-commerce systems Client-relationship management systems Purpose-built or customised databases Finance or human resources systems

FUNCTIONAL REQUIREMENTS FOR RECORDS Operations that enable a business system to meet the recordkeeping needs of the organisation Graded according to necessity for fulfilling the recordkeeping needs ICA-Req has three grades: “must”, “should” and “may”

ICA REQUIREMENT COMPLIANCE Functional specification includes: all “must” graded requirements identified as necessary (68 in total) all “should” graded requirements unless valid reason not to (30 in total) Only those graded “may” are optional (27)

FOUR KEY AREAS Creating records in context Managing and maintaining records Supporting import, export and interoperability Retaining and disposing of records

4. WHO WILL BENEFIT FROM MODULE 3? Primary audience staff responsible for procuring, designing, implementing BS Secondary audiences recordkeeping professionals advising or assisting in these processes vendors of BS

MODULE 3 WORKBOOK FOR ARCHIVISTS AND RECORDS MANAGERS Help archivists and records managers to: understand the ICT issues communicate with IT staff and system vendors learn how to develop functional specifications advocate records management to stakeholders manage records management input

5. PRACTICAL USE OF ICA REQUIREMENTS 1 & 2 Develop a compliant functional specification

Tailoring ICA Requirements 1

Tailoring ICA Requirements 2

6. IMPLEMENTATION GUIDELINES Good understanding of RM principles Assist colleagues to understand functional requirements Explain need for compliant recordkeeping requirements Advocate role of records manager in specification process Identify specific benefits of compliance

7. PRACTICAL USE AND COMPLIANCE Develop a compliancy audit tool for records in business systems

Tailored Requirement Obligation level Compliancy test COMPLIANCY TESTING EXAMPLE 1 Tailored Requirement Obligation level Compliancy test Ensure that electronic records created or received by the BS can be captured and stored along with associated metadata, regardless of format and technical characteristics and specifically as .doc, .xls, .html and .dwg Must Run a test for each of the formats AND/OR Ask staff who use the system whether the formats specified are successfully captured Check that all necessary metadata is present

COMPLIANCY TESTING EXAMPLE 2

8. AUDIT IMPLEMENTATION GUIDELINES Identify the best person/s to interview about the performance of the system Be clear about the purpose of the audit Explain business reasons for audit Draft audit questions Develop audit tests

Developed by the International Council on Archives CONTACT ica@ica.org WEBSITE ww.ica.org