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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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The Records Requirements Elicitation Component

RREC - Business Process Level

The Business Process Level of the RREC was developed to support the identification of records management requirements associated with a given business process. It is also designed to identify records management requirements that are required by law, regulation, professional requirements, or organizational policy and practices at the sub-task level. These distinctions are important in terms of justifying requirements and determining which, if any, sub-tasks can be eliminated or modified.

This level of the RREC seeks information at the record component and business process levels. The records management requirements gathered at this level are focused on collecting information about the process itself, and the modifications to records at points in the process, in terms of how the record is modified (what is added, deleted, or changed) and the individuals who have authority to make the modifications.

The Business Process Level questions identify required information about time clocks associated with the process to ensure that information about start and end times associated with a given task are captured. They also identify other information or documents that may need to be accessed and consulted, but perhaps not integrated into the record, so that, at minimum, the system will allow for references to these sources. This section of the RREC also captures information about the types of documents that must be integrated into the record, as well as any proofs of authenticity, such as original signatures, notarizations, or electronic time stamps, that must be captured at the document or record component level.

The Business Process Level of the RREC also supports the identification of objects (another way to think about components of a record) that can later become the objects in an object-oriented database structure. This level also identifies the required meta data (information about the object including when it was modified and by whom) for each of the objects or components of a record.

Records Requirements Elicitation Component
Business Process Level
1. What is the transaction to be automated (from the perspective of the customer)?
2. What are the subtasks associated with the transaction?*
3. For each of the subtasks...
Basis for the answer
 
Legal
 
Regulatory
 
Best Practices
 
Agency policies & practices
 
A. What is the purpose of the sub- task? Is it intended to fulfill a legal, regulatory, or operational purpose?
 		    
  1. Are there any 'when' or 'how' requirements for the transaction? (i.e. time clocks or standard professional techniques)
 
 
 
 
 
 
 
 
 
B. What other documents or information must be accessed during the sub-task?
 
 
 
 
 
 
 
 
 
C. Is the record of the transaction created or modified?
 
 
 
 
 
 
 
 
 
  1. If yes, at what point in the transaction is the record created or modified?
 
 
 
 
 
 
 
 
 
  2. Who is authorized to change or modify the record?
 
 
 
 
 
 
 
 
 
  3. What is the content of the record or the component of the record created or added during the sub- task?
 
 
 
 
 
 
 
 
 
      a. Are there documents or information created by other systems that must be integrated into the record?
 		    
      b. Is there any information about the component of the record that must be collected and maintained?
 		    
      c. Are there any proofs of authenticity associated with the content created or modified during the sub-task?
 		    
*A sub-task starts a process and ends with a decision point or completes the transaction.

Steps Involved in Using the Business Process Level of the RREC

  1. Gather background information to identify records management issues. Interviews, surveys, and focus groups are useful for this step.
  2. Create a process model or diagram that represents the entire business process that is the focus of the analysis. This can be done in a group setting or one or a few people can draft the diagram for review by those who participate in the business process.
  3. Conduct a workshop or group decision conference with all staff involved in the process to accomplish the following:
    1. Develop consensus and common definitions around the process diagram representing the current business process.
    2. Identify sub-tasks or logical breaks in the process.
    3. For each of the sub-tasks, pose the questions in the Business Process Level of the RREC (careful transcription and organization of responses is critical).
    4. Determine, wherever possible, whether the records management requirement is based on a legal or regulatory requirement, professional or agency best practice, or policy.
    5. Identify areas where there exists uncertainty in the responses and identify individuals for follow-up.
    6. Based on the responses, begin to identify options for improving the business process.
  4. Translate the requirements into system specifications.
    Hints:
    1. Sub-tasks that result in no change in the record are likely to add no value to the process and may be candidates for modification, elimination, or movement to another part of the process.
    2. Minimizing the number of times that a record is passed back and forth between staff within a process can reduce total transaction time. Attempt to identify opportunities for consolidating task work within a pass.
    3. Records management requirements that are not based upon legal or regulatory requirements are candidates for modification or elimination. For each of the identified requirements, ask the questions: "Why is it done?" and "Does it need to be done?"