Ica Adri Module 2 Presentation Kl Stephen Clarke


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Ica Adri Module 2 Presentation Kl Stephen Clarke

  1. 1. Guidelines and Functional Requirements for Electronic Records Management Systems Stephen Clarke, Acting Manager Government Recordkeeping Programme Archives New Zealand
  2. 2. ICA/ADRI Principles and Functional Requirements for Records in Electronic Office Environments project <ul><li>We identified the need for a single set of ‘standards’ for electronic records in the international archives and records community </li></ul><ul><li>The main driver is to communicate consistent messages to the global software market and the broader records management community </li></ul><ul><li>This project would be a resource for jurisdictions who have not yet developed their own national / state standards, or lack the resources do so </li></ul><ul><li>We need international agreement to achieve this </li></ul>
  3. 3. International consultation <ul><li>The modules were made available on both the ADRI and ICA websites </li></ul><ul><li>We asked our working group members (representing 11 nations) to raise the profile in their own jurisdictions and further afield </li></ul><ul><li>Exposure period from February to March 2008 </li></ul><ul><li>The NAA took the lead in collating the comments </li></ul>
  4. 4. Feedback on Exposure Drafts <ul><li>We received 15 sets of comments from 7 countries: </li></ul><ul><li>Australia </li></ul><ul><li>(Public Record Office Victoria, Docbanq, Barbara Reed, Tasmania Department of Treasury and Finance, Tower Software, Productiv Corporation, Royal Hobart Hospital, Queensland Government Chief Information Office) </li></ul><ul><li>Canada (Delegation to ISO TC46/SC11) </li></ul><ul><li>Denmark (National Archives) </li></ul><ul><li>Japan (Japanese Standards Association) </li></ul><ul><li>New Zealand (Archives New Zealand and CIO) </li></ul><ul><li>South Africa (Marcelle Blasl, National Archives SA) </li></ul><ul><li>United States (ARMA International) </li></ul><ul><li>France (UNCFACT Working Group/EIC) </li></ul>
  5. 5. Relationship with other standards <ul><li>It is not our intention to create a competing set of requirements at the granular level with other standards, e.g. MoReq2, DoD 5015.2, etc. and this is why the functional requirements for the modules are pitched at a high level outcomes approach </li></ul><ul><li>The working group has proposed the development of the Modules as an ISO Standard/Technical Report, through ISO TC 46/SC 11 </li></ul><ul><ul><li>A modular approach to development was proposed with Modules 1 & 2 fast tracked and Module 3 to go through the usual development process. </li></ul></ul>
  6. 6. Module 2: Guidelines and Functional Specifications for ERMS
  7. 7. Structure of module 2 <ul><li>The modules are into four main parts: </li></ul><ul><ul><li>• Part 1 : Introduction – explains the scope, purpose, audience and structure of the document </li></ul></ul><ul><ul><li>• Part 2 : Guidelines – provides an overview of the module’s conceptual basis and presents a high-level model. Describes key terms and concepts, and outlines the framework of Part 3: Functional requirements </li></ul></ul><ul><ul><li>• Part 3 : Functional requirements – provides a tabulation of the records management functional requirements and forms the records management functional requirements for system assessment or procurement </li></ul></ul><ul><ul><li>• Part 4 : Appendices – provides a glossary of key terms, additional readings and a sample checklist of requirements for reviewing an existing electronic records management system </li></ul></ul>
  8. 8. Purpose of Module 2 <ul><li>Module 2 articulates a set of functional requirements for electronic records management systems, it: </li></ul><ul><ul><li>Explains processes and requirements for identifying and managing records in electronic records management systems </li></ul></ul><ul><ul><li>Sets requirements for records management functionality to be included in a design specification when building, upgrading or purchasing electronic records management systems software </li></ul></ul><ul><ul><li>Informs records management functional requirements in the selection of commercially available electronic records management systems </li></ul></ul><ul><ul><li>Gives a basis for reviewing records management functionality or assessing compliance of existing electronic records management systems </li></ul></ul>
  9. 9. <ul><li>The requirements are grouped according to the clusters identified in the high-level model: </li></ul><ul><ul><li>Create </li></ul></ul><ul><ul><li>Maintain </li></ul></ul><ul><ul><li>Disseminate </li></ul></ul><ul><ul><li>Administer </li></ul></ul>Part 3: Functional Requirements
  10. 10. Aggregation levels: 3 basic levels of records aggregation
  11. 11. Three Obligation levels <ul><li>The keywords ‘must’, ‘should’ and ‘may’ that appear in the requirements in Part 3 indicate the relative importance of each requirement. These keywords are to be interpreted as follows: </li></ul><ul><ul><li>• Must – requirements that use ‘must’ are necessary an absolute requirement for compliance with the requirement. </li></ul></ul><ul><ul><li>• Should – requirements that use ‘should’ may be ignored if a valid reason exists, but the full implications of this must be understood and carefully considered before choosing a different course. </li></ul></ul><ul><ul><li>• May – requirements that use ‘may’ are truly optional and may be incorporated or omitted as appropriate. </li></ul></ul>
  12. 12. Obligation levels example
  13. 13. Appendix C: Self assessment tool
  14. 14. Online access to the modules <ul><li>1. Overview and Statement of Principles http://www.ica.org/en/node/38972 </li></ul><ul><li>2. Guidelines and Functional Requirements for Electronic Records Management Systems http://www.ica.org/en/node/38970 </li></ul><ul><li>3. Guidelines and Functional Requirements for Records in Business Systems </li></ul><ul><li> http://www.ica.org/fr/node/38968 </li></ul>
  15. 15. <ul><li>Questions? </li></ul>[email_address]