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IV. Managing the Risks of Moving to Electronic Records

Design the system to create or capture a record for each business transaction that complies with identified requirements.


Organizations make or receive records necessary to carry out a business process and to meet the specific record keeping requirements tied to that process. The proper maintenance of those electronic records requires that the system supporting the business process can capture or create records in the required form including content, structure and contextual elements. Records must also be identified to ensure their accessibility, usefulness and preservation.

Records should be created or received for all defined business transactions in the business process. For example, when someone applies for a professional license, a record is created when the application is filled out, when it is paid for, and when it is issued or denied. Every business process will have a point (or points) at which a record is created and must be retained.

Some business transactions require records to be imported from other environments. In order to issue the professional license in the above example, other records will be required. It is necessary to import records such as a valid driver’s license, a certificate of graduation, letters of recommendation, as well as other material. This could be done electronically wherever possible, using portable copies.

Each record should comply with the legal and business process requirements as far as content, structure and context discussed in the previous section.