ict4gov information architecture_recod_management

ENTERPRISE ARCHITECTURE

Framework and Tools for Strategic Design of ICT for Business

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RECORD MANAGEMENT SYSTEM

INFORMATION SYSTEMS FRAMEWORK & ARCHITECTURE

Agenda:Record Management Framework and Architecture

1. Define the scope of record management at the agency wide and local levels perspective

2. Define the business of record management to support the mandate of the agency.

3. Describe the record systems to enable the management of record through the use of technology.

4. Define the information and communications technology configuration to enable the operation of the record system.

RECORD

Information created, received, and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in the transaction of business.

-ISO 15389-1 Definition

RECORD CHARACTERISTICS• AUTHENTICITYThe record must be proven to be what it

purports to be, to have been created or sent by the person purported to have created or sent it, and to have been created or sent at the time purported.

Critical to authenticity of records is the implementation and documentation of policies and procedures to control the authorized creation, receipt, transmission, maintenance and disposition of records.

RECORD CHARACTERISTICS• RELIABILITYThe record is one whose contents can be

trusted as a full and accurate representation of the transactions, activities, or facts to which they attest and can be depended upon in the course of subsequent transactions, or activities.

Critical to record reliability is the time of creation or incident to relate the record.

RECORD CHARACTERISTICS• INTEGRITYThe record is complete and unaltered.

Critical to record integrity is the protection against unauthorized alteration. It involves policies and procedures that specifies valid addition and annotation after the record is created, and under what circumstances and who is authorized to allow annotation, addition or deletion in the received record.

RECORD CHARACTERISTICS• USEABILITYThe record is located, retrieved, presented

and interpreted.

Critical to record useability is connecting it to the business activity or transaction that produced the record. The link should carry the information to understand the transaction that created the record.

RECORD MANAGEMENT

Field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including the processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records.


OBJECTIVES OF RECORD MANAGEMENT

OBJECTIVE 1:To implement the documented organization,

functions, policies, decisions, procedures and transactions in the creation, maintenance, protection , usage and disposition of the agency records.

OBJECTIVES OF RECORD MANAGEMENTOBJECTIVE 2:To define and execute the controlling

procedures and organizational accountability to insure authenticity, reliability, integrity, and useability of agency records

OBJECTIVES OF RECORD MANAGEMENTOBJECTIVE 3:To establish and implement standards and

procedures to classify, index, file, store, secure, preserve, and dispose records

OBJECTIVES OF RECORD MANAGEMENTOBJECTIVE 4:To design and execute a record system that

exhibits the attributes of reliability, integrity, compliance, comprehensiveness, and systematic.

RECORD CLASSIFICATION

BUSINESS

UNITS

REQUESTRECORDS

REPORTRECORD

S

CONTRACT

RECORDS

TITLESRECORD

S

PERSONNEL

RECORDS

STUDENT

RECORD

OTHERRECORD

S

Name of Business Unit

Document Type

Document Type

Document Type

Document Type

Document Type

Document Type

Document Type

Differentiation of records based on the business activities of the organization.

RECORD BASIC ATTRIBUTESElements to identify and classify recordBUSINESS

CLASSIFICATION

DOCUMENTTYPE

DOCUMENTPURPOSE

DOCUMENTSOURCE

DOCUMENT CREATION

DATE

Reference Code

Reference Code

Reference Code

Reference Code

Data Format

ReferenceDescription

Reference Description




RECORD BASIC ATTRIBUTESElements to identify and classify record

DOCUMENTRECEIPT

DATE

DOCUMENTACTIONDATE

DOCUMENTRELEASE

DATE

DOCUMENTSIGNATORY

DOCUMENT STORE

IDENTIFIER

Date Format Data Format Date Format Text Format Alpha Numeric Code






RECORD BASIC ATTRIBUTESElements to identify and classify record

DOCUMENTANNOTATION

DOCUMENTSECURITY

LEVEL

DOCUMENTAUTHORIZED

USERS

DOCUMENTCHANGED

CONDITIONS

DOCUMENT DISPOSAL

CONDITIONS

Alpha NumericCode

Alpha NumberCode

Alpha NumericCode

Alpha Numeric Code

Alpha Numeric Code






RECORD PROCESSING ACTIVITIES

ROUTEFOR

BUSINESSACTION

RECEIVEFROM

RECORDSOURCE

RELEASETO

RECORDUSER

CREATE

RECORDBY

SOURCE

21 3 4

TASKSSTART

END

TASKSSTART

END

TASKSSTART

END

TASKSSTART

END

REGISTER

STOREMAINTA

INSECUREDISPOS

ERECOR

D

RECEIPT & ROUTING PROCESSES

AC

TO

R 1

AC

TO

R 2

AC

TO

R 3

START TASK

NEXTSEQUENCE

TASK

END TASK

DECISION

NEXT TASK RESULT

YES

NO

Process swim lane to draw the work flow in receiving and routingof submitted record or document.

RELEASE & ACCEPTANCE PROCESSES

AC

TO

R 1

AC

TO

R 2

AC

TO

R 3

START TASK

NEXTSEQUENCE

TASK

END TASK

DECISION

NEXT TASK RESULT

YES

NO

Process swim lane to draw the work flow in the release of original or duplicate copy of document or record to the accepting user.

RETRIEVAL & REPRODUCTION PROCESSES

AC

TO

R 1

AC

TO

R 2

AC

TO

R 3

START TASK

NEXTSEQUENCE

TASK

END TASK

DECISION

NEXT TASK RESULT

YES

NO

Process swim lane to draw the work flow in retrieving filed and stored documentfor reproduction or viewing.

STORING & MAINTENANCE PROCESSES

AC

TO

R 1

AC

TO

R 2

AC

TO

R 3

START TASK

NEXTSEQUENCE

TASK

END TASK

DECISION

NEXT TASK RESULT

YES

NO

Process swim lane to draw the work flow in keeping and maintaining the record ordocument in digital or non-digital storage.

CERTIFICATION, ACCREDITATION & VERIFICATION

AC

TO

R 1

AC

TO

R 2

AC

TO

R 3

START TASK

NEXTSEQUENCE

TASK

END TASK

DECISION

NEXT TASK RESULT

YES

NO

Process swim lane to draw the work flow in certifying, crediting, and verification ofrequested record or document for authenticity and availability.

RECEIVING FORM

The form layout and content to capture the acceptance of received document.

HEADER TITLEHeader SubtitleLOGO

REPORT FORM

The form layout and content to find and inform the status, condition, availability,and location of the record.


RELEASE FORM

The form layout and content to capture the release of the record to the user for authorized use.


RECORD SYSTEM

Information system which captures, manages, and provides access to records through time.


RECORD INFORMATION SYSTEM

BUSINESSINFORMATIONPROCESSINGSYSTEM

DOCUMENTCREATIONSYSTEM

TANGIBLEOR

DIGITAL RECORD

RECORDREGISTRYTRANSACTIONMAINTENANCESYSTEM

DIGITALRECORD

ARTIFACTSDATABASE

NONDIGITALRECORDSTORAGE

RECORD SOURCE

RECORD DOCUMENT

RECORD MANAGEMENT

RECORDUSERS