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Practical Tools for Electronic Records Management and Preservation

Abstract

Introduction

Electronic Records Management Goals

Functional Requirements to Ensure the Creation, Maintenance, and Preservation of Electronic Records

The Records Requirements Analysis and Implementation Tool

The Records Requirements Elicitation Component

Records Requirements Implementation Component (RRIC)

General Guidelines
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Functional Requirements to Ensure the Creation, Maintenance, and Preservation of Electronic Records

1. Records Capture

Records are created or captured and identified to support the business process and meet all recordkeeping requirements.

Justification: Organizations must capture or create records necessary to carry out a business process and to meet the specific recordkeeping requirements tied to that process. The capture and creation of electronic records requires that the system supporting the business process can capture or create records in the required form including required informational content and contextual elements (e.g., authorizations, date stamps). Records must also be identified when they are captured to ensure their accessibility, usefulness, and preservation.

  1. Create or capture a record for all defined business transactions at the appropriate point in the business transaction or information life-cycle.
  2. Import records related to business transactions created in other environments.
  3. Records comply with business process requirements as far as structure, content, and context of creation.
    1. Allow only authorized individuals to create or capture records at the appropriate point in the business transaction or information life-cycle.
  4. Identified-Unique identifier for each record.
    1. Minimal record identification data (meta data) is available for all records.
      1. Identity of record creator or source or owner (business unit).
      2. Date of receipt or creation.
      3. Level of security or restricted access.
      4. File classification.
      5. Indexing information such as subject or thesaurus terms.
      6. Records disposition information (may be linked to file classification).