1. Introducing ICA-Requirements Module 3: Functional Requirements for Records in Business Systems
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2. 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

3. 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

4. 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

5. 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

6. 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

7. 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

8. 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

9. 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

10. 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

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

12. 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”

13. 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)

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

15. 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

16. 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

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

18. Tailoring ICA Requirements 1

19. Tailoring ICA Requirements 2

20. 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

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

22. 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

23. COMPLIANCY TESTING EXAMPLE 2

24. 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

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