Good Digital Records Don

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Good Digital Records Dont Just Happen

• Embedding Digital Recordkeeping as an Organic
  Component of Business Processes and Systems
• Adrian Cunningham, National Archives of Australia

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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

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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

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Project Modules

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

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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

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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

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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

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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

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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

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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

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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

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Key Recordkeeping Functionality
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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?

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Questions

• ????