Functional Specification for Integrated Document and Records Management Solutions
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FUNCTIONAL SPECIFICATION FOR INTEGRATED DOCUMENT AND RECORDS MANAGEMENT SOLUTIONS APRIL 2004 National Archives and Records Service of South Africa Department of Arts and Culture draft National Archives and Records Service of South Africa Private Bag X236 PRETORIA 0001 Version 1, April 2004 The information contained in this publication was, with the kind permission of the UK National Archives, for the most part derived from their Functional Requirements for Electronic Records Management Systems {http://www.pro.gov.uk/recordsmanagement/erecords/2002reqs/} The information contained in this publication may be re-used provided that proper acknowledgement is given to the specific publication and to the National Archives and Records Service of South Africa. draft CONTENT 1. INTRODUCTION...................................................................................................... 1 2. KEY TERMINOLOGY .............................................................................................. 3 3. FUNCTIONAL REQUIREMENTS........................................................................ 11 A CORE REQUIREMENTS............................................................................................. 11 A1: DOCUMENT MANAGEMENT ................................................................................................. 11 A2: RECORDS MANAGEMENT ..................................................................................................... 14 A3: RECORD CAPTURE, DECLARATION AND MANAGEMENT............................................. 21 A4: SEARCH, DISPLAY AND PRESENTATION........................................................................... 29 A5: RETENTION AND DISPOSAL.................................................................................................. 32 A6: ACCESS CONTROL................................................................................................................... 43 A7: HYBRID AND PHYSICAL FOLDER MANAGEMENT .......................................................... 49 A8: IMAGING AND SCANNING..................................................................................................... 53 A9: AUDIT......................................................................................................................................... 53 A10: REPORTING ............................................................................................................................. 55 A11: USABILITY .............................................................................................................................. 56 A12: DESIGN AND PERFORMANCE............................................................................................. 58 A13: COMPLIANCE WITH OTHER STANDARDS ....................................................................... 61 B: OPTIONAL MODULES ................................................................................................... 61 B1: AUTHENTICATION AND ENCRYPTION............................................................................... 62 B2: FAX INTEGRATION.................................................................................................................. 64 4. REFERENCE DOCUMENTS ................................................................................ 64 draft 1 1. INTRODUCTION The National Archives and Records Service endorses the SANS (ISO) 15489 Records Management Standard as the required standard for records management and, in terms of its statutory mandate as set out in sections 13(2)(b)(ii) and (iii) of the National Archives and Records Service of South Africa Act, 1996, requires governmental bodies to put the necessary infrastructure, policies, strategies, procedures and systems in place to ensure that records in all formats are managed in an integrated manner. To this end the National Archives and Records Service requires a governmental body that wishes to implement electronic systems, to implement and maintain Integrated Document/Records Management Systems (IDRMS), which have built-in records management functionality. The National Archives and Records Service defines an Integrated Document/Records Management System (IDRMS) as a solution consisting of document management, records management, file/document tracking, integrated imaging and scanning, integrated workflow/routing and integrated search and retrieval functionality. The National Archives furthermore requires governmental bodies to implement and maintain approved file plans against which records in all formats can be classified at creation. The attached functional specification for an Integrated Document and Records Management Solution was mainly derived from the UK National Archives’ Functional Requirements for Electronic Records Management Systems. Information from the US DoD 5015.2 Design Criteria Standard for Electronic Records Management Software Applications and the European Commission’s Model requirements for the management of electronic records were used where applicable. Due to the nature of the National Archives and Records Service’s requirements the specifications could not be adopted verbatim. Where necessary the specific requirements were adapted to suit the South African archival legislative framework. Flowing from the National Archives and Record’s Service’s requirements, basic document management functionality and file and document tracking functionality are considered core to the successful implementation of an IDRMS. The integrated imaging and scanning and integrated routing functionality are specified only in so far as they have an impact on the records management functionality and/or the usability of the solution. Issues relating to interoperability, integration, security and the systems design and technical architecture fall outside the scope of this specification. These issues should be addressed and clarified by the client offices as part of their normal tender processes. The long term purpose of the specification is to provide a means of evaluating and certifying integrated document/records management functionality of a solution against the records management functionality required by the National Archives and Records Service in terms of its statutory mandate. However, until the necessary structures, processes and procedures are in place to do product draft 2 certification against this specification the NARS’s requirement that a solution has proven records management functionality is still applicable. Products that are certified against UK National Archives’ Functional Requirements for Electronic Records Management Systems and/or the US DoD 5015.2 Design Criteria Standard for Electronic Records Management Software Applications would for the time being be considered to possess the necessary proven records management functionality. This specification could in the meantime be used by the NARS’s client offices as a comprehensive specification that should be used in tender specifications; by software developers with a means to measure their product’s compliance to the NARS’s requirements, even if the products are US DoD and/or PRO certified, especially in those instances where the NARS’s requirements differ from those of the UK National Archives and the US DoD. (E.g. A2.6, A2.27, A2.28, A3.1, A5.48). In this document: MUST means that the requirement is an absolute mandatory requirement. MUST NOT means that the requirement is absolutely prohibited. SHOULD means that if the requirement cannot be fulfilled out-of-the-box, some other means of fulfilling the requirement should be devised, e.g. by customization or by integrating with another product that can fulfill the functionality. MAY means that the requirement is optional. In the text a requirement that is mandatory is indicated with a (M), (HD) means a requirement is highly desirable and should preferably be provided and (D) means a requirement is desirable and that it would be beneficial if it is provided. draft 3 2. KEY TERMINOLOGY Act The National Archives and Records Service of South Africa Act (Act No. 43 of 1996 as amended). Archive a) A feature of document management systems, in which infrequently accessed documents are moved to off-line or near-line storage; or b) A copy of data on disks, CD-ROM, magnetic tapes, etc., for long term storage and later access; or c) The building in which archival records are stored; or d) A group of records belonging to a specific office e) Creating a backup copy of computer files, especially for long-term storage. Audit trail An electronic means of auditing the interactions with records within an electronic system so that any activity in the system can be documented as it occurs for identifying unauthorized actions in relation to the records, e.g. modification, deletion, or addition. Authorized user The Records Manager or the System Administrator or another user who was mandated by a policy to take certain actions against records in an Integrated Document and Records Management System. Custodian A person having responsibility for a particular set of records at a particular time, typically a case officer. Declaration The process of defining that a document and some of its metadata elements are frozen as it formally passes into corporate control and is thereby declared as a record. Destruction The process of eliminating records beyond any possible reconstruction. Disposal This is the action taken when a body transfers archival records to an archives repository or records centre and destroys/deletes non-archival