1. Victorian Electronic Records Strategy
Stage 2
Public Record Office Victoria
Initial Functional Specification Outline
11 June, 1998

2. Victorian Electronic Records Strategy: Stage 2 Initial Functional Specification Outline
1. Introduction
These functional specifications are initial descriptions of specifications that are derived from
the process maps and a developing understanding of electronic records archiving. We expect
that they will change as our understanding further develops. It is important also to note that
these specifications are fairly comprehensive in nature and we would not expect that all of
these specifications would need to be satisfied in all circumstances to achieve successful
electronic records archiving.
The requirements have been organised into:
• workflow requirements
• document management requirements
• records management requirements
• archival requirements
It is important to note that this specification lists only those functions needed to support
archiving, and not the many other purposes that documents and records have. It is also
important to note that many current systems will support requirements from more than one of
these categories, and that we are using these categories for explanatory purposes only.
2. Workflow Requirements
In order to capture electronic records, mechanisms are needed to enable relevant records to be
reliably obtained through the business processes. If the business process is supported by a
workflow system, this section lists the functions that the workflow system must support to
implement electronic records capture.
2.1 Encapsulation of Business Process
The workflow system encapsulates, implements, and possibly enforces the business
processes. This includes Record creation points etc.
2.2 Document Capture Interface
This provides a structured input mechanism for document capture.
2.3 Metadata Capture Interface
This provides a structured input mechanism for metadata capture.
2.4 Notification
Notifications may be generated when a new workflow is created or ends. Notifications may be
generated when documents change status, or if a document remains in a certain state for a
given period of time.
2.5 Record Creation Functionality
The workflow processes should automatically convert documents into records when required.
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3. Victorian Electronic Records Strategy: Stage 2 Initial Functional Specification Outline
2.6 Forms
The workflow system may need to replicate existing agency forms. Individual workflows may
use many different forms.
2.7 Authorisation
The workflow system should support secure authorisation mechanisms.
2.8 Universal Unique Object Numbering
Certain objects require identifiers that are unique across an agency, and effectively across all
Victoria Government. This would apply to both files and documents.
2.9 Document Tracking
Documents that are part of the workflow system need to be tracked. This may include
tracking individual documents, groups of documents, document versions etc.
2.10 Document Status Tracking
The status of documents within the workflow system needs to be tracked. Changes in
document status may trigger further workflow actions.
2.11 Automatic Metadata/Data Generation
Where possible, probably as part of metadata capture, required metadata should be
automatically generated. This may be done from the document, the creating application, other
document metadata, EDMS or from the RMS.
2.12 Metadata Control
This would be done using Thesauri and/or Pick List type functionality.
2.13 Document Linking/Association
The workflow system must support the ability to link or associate documents with other
documents or files.
2.14 Inclusion of Scanned Paper Documents
The workflow system must allow for storage of scanned paper documents, including relevant
metadata.
2.15 Inclusion of Office/Desktop Documents
The workflow system must allow for storage of electronic documents created by
office/desktop products, including relevant metadata.
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4. Victorian Electronic Records Strategy: Stage 2 Initial Functional Specification Outline
2.16 EDMS Integration Capabilities
The workflow system must be able to retrieve information (pick lists, metadata, documents
etc) from the EDMS system.
2.17 RMS Integration Capabilities
The workflow system must be able to retrieve information (pick lists, metadata, documents
etc) from the RMS system.
2.18 Retrieval of Records from the RMS
The workflow system may require access to records that have been stored in the RMS, and
not kept within the workflow system. The workflow system must be able to retrieve these
documents.
3. Document Management Requirements
3.1 Universal Unique Object Numbering
Certain objects require identifiers that are unique across an agency, and effectively across all
Victoria Government. This would apply to both files and documents.
3.2 Document Storage
Documents will need to be stored. Documents will be stored in their original format. It may
be necessary to store archival format as well.
3.3 Document Level Access Logs
The workflow system may need to log access by user to individual documents that are under
it's control.
3.4 Document Level Access Control
It should be possible to control access to a documents at several levels. To minimize
management overheads, it is necessary to control access to groups of documents (e.g. all
documents in a department), while to allow for exceptions it is necessary to be able to specify
access controls to individual documents.
3.5 Document Integrity Assurance
The workflow system must be able to provide protection for the integrity of documents and
metadata that it holds in storage.
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5. Victorian Electronic Records Strategy: Stage 2 Initial Functional Specification Outline
4. Records Management Requirements
4.1 Universal Unique Object Numbering
Certain objects require identifiers that are unique across and agency, and effectively across all
Victoria Government. Within this part of the system, this would apply to Files and Records.
4.2 File Creation
Ability to create files.
4.3 Record Storage
This includes storage of the native/original document, and the document metadata.
4.4 Record Access Logs
As for documents.
4.5 Record Access Control
As for documents.
4.6 Automatic Metadata/Data Generation
As for documents.
4.7 Record Linking/Association
As for documents.
4.8 Management of Thesauri, Pick Lists, Agency Record
Identification System, Universal Unique Object Numbering
etc
All this data should be managed. This information may need to be transformed into finding
aids.
4.9 Discovery Facilities
Records should be searched or browsed by record/file metadata, record content, and links.
4.10 Conversion of Records into Standard Format Electronic
Records
Conversion of documents and metadata into Long Term Storage Format.
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6. Victorian Electronic Records Strategy: Stage 2 Initial Functional Specification Outline
4.11 Reliability and Redundancy
System reliability and redundancy should be guaranteed using techniques such as RAID5,
Transactional Database functionality, Backup, UPS, Clustering, Online spares.
5. Archival Requirements
5.1 Archiving
Records and files must be converted to a format suitable for long term storage. The Archive
System must indicate when it has taken responsibility for the preservation of a file or record
(so that the RMS or EDMS can remove its copy of the file or record). If the file or record has
not been written to Long Term Storage Media when responsibility is accepted, the Archive
System must manage the file or record so that it cannot be lost.
5.2 Universal Unique Object Numbering
Certain objects require identifiers that are unique across and agency, and effectively across all
Victoria Government. This would apply to Files and eRecords.
5.3 Storage on Long Term Storage Media
Within the Repository, electronic records must be written onto Long Term Storage Media.
5.4 Finding Aids
The Archival System must support the creation, storage, and use of finding aids. Finding Aids
describe the functions of agencies and the organisation of records within the agencies. Finding
Aids include information about the records (e.g. thesaurus, pick lists, data dictionaries).
5.5 Disposal
The Archival System must support the creation, storage, and use of disposal schedules. The
schedules will apply to files in the archive.
5.6 Access Control
The Archival System must support access control on objects within the archive. This includes
files, records, finding aid, disposal schedules, and the access control lists themselves. All
accesses to files and records must be logged.
5.7 Electronic Record Storage in Repository
The system must be able to queue electronic documents in a secure way before they are
written to the Long Term Storage Media. This may also include caching of documents for
quick retrieval.
5.8 Electronic Record Linking/Association
As for documents.
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7. Victorian Electronic Records Strategy: Stage 2 Initial Functional Specification Outline
5.9 Electronic Record Integrity Assurance
The system must be able to provide proof (to some degree of confidence) that the record has
not been altered since it was archived.
5.10 Electronic Record Accountability
The system must be able to provide proof (to some degree of confidence) who created the
record and when it was created.
5.11 Refresh of Long Term Storage Media
This is the facility to copy archived records to new media. This protects against media decay,
and allows the transfer of records to new technology. In many types of media (e.g. CDs) this
is also the only way to physically destroy disposed records (i.e. records that have been
sentenced).
5.12 Explore Finding Aids
Provide the ability to use finding aid to access records and files.
5.13 Rendering
A document held in a record stored in long term format needs to be extracted and rendered as
an image.
5.14 Disposal
Records need to be disposed of in accordance with sentencing information. This could be
fully automatic or support manual sentencing.
5.15 Recovery
Archival processes should be recoverable just from the long term storage media without the
need for any other system to be saved.
5.16 Record Transfer
Custody of records must be capable of being transferred from the repository where they were
created to other repositories (e.g. from an agency repository to the PROV repository, or from
an agency repository to an off site record storage location). The system must track transferred
records.
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