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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 - System Level

Records Requirements Elicitation Component
System Level
 
How will the system accommodate the required integration of records from other systems?
 
What other systems might these records be migrated to?
 
What is your system's migration plan?
 
For each of the technologies being used to support the business process:
  •      What are the meta data requirements?
  •      What are the industry standards?
  •      What are the jurisdictional standards?
 

The System Level of the RREC is more directly related to technology than the other levels. As shown in the figure above, the questions at this level are focused on how a system will support the integration of the information and documents (record components) identified at the Business Process and Record Levels. In other words, the Business Process Level questions facilitate the identification of what information and documents must be integrated into a record, the Record Level focuses on how the record and its components will be maintained and accessed over time, and the System Level focuses on how, from a technical standpoint, an information system will accommodate the integration of, and ongoing access to, record components. This section also poses questions about future system migrations, by focusing on the types of hardware and software platforms that the system may be migrated to over time. These questions prompt the user to consider the feasibility of alternative migration plans which may have an effect on current technology choices.

The System Level questions also identify meta data, industry standards, and jurisdictional requirements associated with specific technology choices. For example, technologies such as digital imaging, GIS, and EDI may require different types of meta data and may require that certain standards are met within a given state or nation, or these standards may be tied to commonly accepted industry standards. Additionally, industry, organizational, or professional standards for system administration, back- up, and disaster recovery are identified through this level of the RREC.

Steps Involved in the Use of the System Level of the RREC:

  1. For each of the document or record component types, identify how the system will support its integration into the record. In those cases where the record component cannot be included in the record directly, develop an indexing and storage strategy to identify the component and its location outside of the record.
  2. Identify other systems that the records may be exported or migrated to over time.
  3. Develop a migration plan that includes consideration of each of the identified document or record component types.
  4. In conjunction with the use of the RRIC, described below, identify the required meta data, industry, or jurisdictional (state, local, federal) policies, procedures, and standards that must be accommodated by the system.
  5. Translate these requirements into system specifications.