High Level Requirements for Office Automation in UK Supreme Court

Requirements for Delivery of Electronic Document & Records Management application for UK Supreme Court

Project Workstream:	Information Systems		Project (SRO):	Rowena Collins-Rice
Project Director:	Charles McCall		Information Systems Project Manager	Kevin Dalby
IS Workstream Manager - Infrastructure	Graham Mackenzie		IS Workstream Manager - Applications	Laura Bushell
Last Amended	30 July 2008		Version	V1.0
Project Code		A204
File location (TRIM)		Operational - Supreme Court Implementation Programme - Supreme Court Information Systems Project - Statement of requirements (OPR/063/010/30)

Document Control and Administration

Document History

Version Number	Version Date	Summary of Changes	Author
0.1	25/06/08	Working first draft	Graham Mackenzie
0.1	03/07/08	First draft - one amendment regarding branding received from Richard O'Brien	Graham Mackenzie
0.1	15/07/08	First draft - incorporate review comments Kevin Dalby and Strategy Architecture & Compliance	Graham Mackenzie
1.0	30/07/08	Draft approved by Project Board, subject to amendments to delete proposed logo, to add point regarding access to records and IRI compliant	Graham Mackenzie

Table of Contents

1 Purpose

Purpose

This document will:

Identify the requirements for delivery of an Electronic Document and Records Management (EDRM) application to support the corporate (non-case related) functions of the UK Supreme Court.

Background

The following outlines in narrative form information regarding requirements for the Information Systems workstream.

In relation to delivery of the IT solutions the basic parameters are that the solutions must be;

Scaleable - allow for future development and expansion
Reliable - be a robust, tested and dependable solution. Where possible using off the shelf and shareware solutions as opposed to bespoke applications.
Meet a business need - Be a solution that meets a defined business need in the most practical and appropriate way possible.
Secure - The MOJ security guidelines must be met and fully tested which includes updating the RMADS.

In order to determine the nature of the future solution the baseline deliverable must be based upon the current level of functionality enjoyed by the Law Lords within the House of Lords.

Deliverable/Scope

To provide the Supreme Court with an EDRM system that will support the corporate functionality of the court, and ensuring that all Records management and Freedom of Information guidelines are complied with.

Requirements

Conventions

This section describes the conventions and terms used within this document. The requirements are rated using the MoSCoW method where:

M= must be delivered by the solution
S= should be delivered by the solution
C= could be delivered by the solution
W= won't be delivered by the solution

Numbering

In order to present commonality across the workstream, all requirements will utilise the same numbering format. The following detail the agreed numbering system, EDRM application is number 1.2:

Logica - 1.2(EDRM).1(requirement)
Atos - 2.1(deliverable).1(requirement)
L!berata - 3.1(deliverable).1(requirement)

Functional requirements

Detailed below are the functional requirements that define the provision of the EDRM solution.

Requirement	Priority	Comment
The application must support the Supreme Court electronic records management policy for corporate records	M	See attached draft Records retention policy/schedule at Annex A and the proposed file plan Annex B
The application must allow users to save documents and electronic communication direct to the appropriate file location	M
The application must allow users to send documents via the agreed email application	M	The application must operate on Windows Vista Enterprise, and for compatibility reasons it may also operate on Windows XP
The application must allow users to search for documents or file locations in a number of formats	M	This will include file name; name of document creator, document content, date created, details of who currently working on document
The application must allow users to access those documents once a search has been completed	M	In accordance with the retention schedule, the Business will need to be able to access saved documentation via the application

Non-functional requirements

Requirement	Priority	Comment
The application must operate on Windows Vista Enterprise, and for compatibility reasons it must also operate on Windows XP	M	This is the preferred operating platform for the Supreme Court
The application must be IRI compliant	M
Any solution / application must comply with MoJ and HMG policy and guidance for Information Assurance and must be accredited before connected to the MoJ network.	M	A Risk Management and Accreditation Document Set (RMADS) will be required in compliance with HMG Infosec Standards (IS1 and IS2). MoJ's conformance with Codes of Connection (e.g. GSI) and with ISO 27001 must be supported
The solution must comply with the Departments obligations regarding Accessibility standards.	M	This includes the Worldwide Web Consortium (W3C); Web Accessibility Initiative (WAI); Disability Discrimination Act (DDA)
The supplier must provide details of how Disaster recovery will be delivered and the levels of service to be provided	M
The supplier must provide details of how business continuity will be delivered and the levels of service to be provided	M
The supplier must provide details of the indicative service and support costs for delivery of the solutions	M	This requirement must be read in conjunction with the DISC agreement
The supplier must provide details of the preferred approach towards service reporting	M	This should include details of format, frequency and the recipients.
The supplier must provide confirmation that the proposed implementation approach complies with the MOJ Release policy	M
The supplier must provide information upon their proposed testing regime for the installed solutions	M	This must cover Customer acceptance, integration testing, disaster recovery, service continuity, operational acceptance, performance testing, security testing and solution acceptance as detailed within the DISC agreement
The supplier must provide details of the training and support that will be provided as part of the implementation	M
The application must be configured so that only authorised users will be able to access the application	M
The application must be configured so that only authorised users may create, modify or delete data from the system commensurate with their role	M
The application must be configured so that all authorised users are assigned a role	M
The application must be configured so that all authorised users are assigned to zero or more cases	M
The application must be configured so that only authorised users may view information within the system commensurate with their role	M
The application must be configured so that an Audit trail is maintained to ensure that all access failures are logged, all system errors are logged, and all key actions logged (e.g. record creation, modification and deletion)	M
The application must be configured so that audit trail logs must be kept for 6 months online and 18 months offline	M
The application should provide a seamless interface with the current MoJ corporate records management application	S	This is to avoid difficulties arising with MoJ Records Management having to support more than one EDRM solution

Annex A - Draft Retention schedule

United Kingdom Supreme Court

Nos.	Description / File Plan Level These records are electronic unless item specified as paper	ACTION
1.	Finance
		Banking - BACS, Service Level Agreements, Debit /Credit Cards, Direct Debits, Service Monitoring & Cash Collection	Destroy 3 years after folder closed
		Corporate Governance	Review no later than 7 years after folders are closed. Retain or destroy.
		Payments	Destroy 7 years after folders are closed
		Management Accounting	Destroy 7 years after folders are closed
		Financial Accounting	Destroy 7 years after folders are closed
		Budgets	Destroy 7 years after folders are closed
		Strategy Planning, Policy & Development	Destroy 3 years after folder closed. This is in accordance with the Internal Assurance Division Schedule - MoJ.
		Finance papers, including annual bids, copies of claims, invoices and orders where received, monthly reports	PAPER Annual review Destroy 7 years after last paper date
		Annual Business plans, drafts, correspondence with the Department	PAPER Annual review Destroy 3 years after last paper date
		Long-term strategy	PAPER First review 5 years after folder closed according to last dated correspondence on file. Second review 25 years after the first dated correspondence on file. Files selected at 25 years are kept for permanent preservation at the Supreme Court
		Finance Communications	Destroy 7 years after should be folders only if these are electronic records folders are closed
		Guidance notes	Destroy 7 years after file closed
	2.	Personnel
		Recruitment	Destroy 1 year after date folder closed
		Pay	Review no later than 5 years after folder closed retain or destroy
		Staff Issues	Destroy 1 year after termination of employment
		Training	Destroy 6 years after training completed
		HR Policies & Guidance	Review no later than 5 years after folder closed retain or destroy
	3.	Accommodation
		Contracts	Destroy 7 years after contract ends
		Building Issues	Review no later than 25 years after folder closed retain or destroy
		Security	Review no later than 5 years after folder closed retain or destroy
		Information Technology	Review no later than 5 years after folder closed retain or destroy
		Local Safety	Review no later than 5 years after folder closed retain or destroy
		Asbestos	Destroy 40 Years after folder closed
		Leases	Destroy 16 years after expiry date
		Sustainable Development and Recycling	Review no later than 5 years after folder closed retain or destroy
	4.	Information services
		Records Management	Review no later than 5 years after folder closed retain or destroy
		Data Protection	Destroy 2 years after folder closed
		Freedom of Information	Destroy 2 years after date folder closed In respect of requests investigated by the Information Commissioner review 5 years after date folder closed
		General Correspondence	Destroy 2 years after date folder closed
	5.	Correspondence
		Statistics	Destroy 2 years after date folder closed
		Ministerial	Destroy 2 years after date folder closed
		Treat Officials (TO)	Destroy 2 years after date folder closed
		Submissions	Destroy 2 years after date folder closed
		Complaint letters	Destroy 2 years after last entry date
	6.	Press Office
		Press releases	Destroy 3 years after date folder closed
	7.	Paper
		Corporate - Management of the Supreme Court Office	First review 5 years after folder closed according to last dated correspondence on file. Second review 25 years after the first dated correspondence on file. Files selected at 25 years are kept for permanent preservation
8.	Local Management	Destroy 2 years after folder closed Except Finance destroy 7 years after folder closed
10.	Supreme Court President and Deputy President
		Private Notes and Notebooks (non-case related)	Monthly review Destroy 2 months after last entry
		Correspondence & FOI Jackets	Annual review Destroy 3 years after last entry
		Visits	Annual review Destroy 2 years after last entry
		Events Correspondence	Annual review Destroy 2 years after last entry
		Accepted Invitations	Annual review Destroy 1 year after last entry
		Declined Invitations	Annual review Destroy 1 year after last entry
		Copies of speeches and published articles	Annual review Destroy 1 year after last entry
	11.	Chief Executive
		Correspondence & FOI Jackets	Destroy 2 months after last entry
		Visits	Annual review Destroy 3 years after last entry
		Events Correspondence	Annual review Destroy 2 years after last entry
		Accepted Invitations	Annual review Destroy 2 years after last entry
		Declined Invitations	Annual review Destroy 1 year after last entry
		Copies of speeches and published articles	Annual review Destroy 1 year after last entry
	12.	Paper - Interactions with Parliamentary bodies
		House of Commons	First review 5 years after folder closed according to last dated correspondence on file. Second review 25 years after the first dated correspondence on file. Files selected at 25 years are kept for permanent preservation at the Supreme Court. Parliamentary Commissioners administration cases - to be preserved permanently at the Supreme court.
		House of Lords	First review 5 years after folder closed according to last dated correspondence on file. Second review 25 years after the first dated correspondence on file. Files selected at 25 years are kept for permanent preservation at the Supreme Court
		Scottish Parliament	First review 5 years after folder closed according to last dated correspondence on file. Second review 25 years after the first dated correspondence on file. Files selected at 25 years are kept for permanent preservation at the Supreme Court.
		Northern Ireland Assembly	First review 5 years after folder closed according to last dated correspondence on file. Second review 25 years after the first dated correspondence on file. Files selected at 25 years are kept for permanent preservation at the Supreme Court.
		Welsh Assembly	First review 5 years after folder closed according to last dated correspondence on file. Second review 25 years after the first dated correspondence on file. Files selected at 25 years are kept for permanent preservation at the Supreme Court.
		Parliamentary Questions	Annual review Destroy after 2 years and only then if no recorded file movement has occurred on the file during the preceding 12 months. If the latter applies, then retain until the next annual review.
	13	Appointment Judicial Assistants
		Application for Judicial assistants, notes on assessment meetings, records of decisions, letters of appointment and refusal	Annual review Destroy 3 years after last paper date
	14	Judicial Deployment
		Swearing in of newly appointed Supreme Court Justices (e.g. warrant and oath)	Annual review Destroy 1 year after last paper date Where relevant some of these papers will be placed on their personal file (e.g. warrant and oath)
		Judicial International relations	Annual review Destroy 3 years after last paper date except finance papers - destroy 7 years after last paper date
	15	Judicial HR
		Personal files	Annual review Destroy 10 years after retirement, resignation or death. Files of special interest are preserved. Files selected for preservation are Stored in the Supreme Court Where there has been no contact for 5 years from a non-appointed applicant reviewer must consider age of applicant, use of file and likelihood of an appointment before deciding on destruction.
		Judicial Conduct and discipline Investigation & Conclusions	Review no later than 5 years after folder closed - retain or destroy
	16	Policy Files
		General policy issues	First review 5 years after folder closed according to last dated correspondence on file. Second review 25 years after the first dated correspondence on file. Files selected at 25 years are kept for permanent preservation at the Supreme Court
	17	Committees and meetings etc.
		Papers, agendas and minutes for meetings between Supreme Court President and Chief Executive	First review 5 years after folder closed according to last dated correspondence on file. Second review 25 years after the first dated correspondence on file. Files selected at 25 years are kept for permanent preservation at the Supreme Court
		Papers, agendas and minutes for plenary meetings	First review 5 years after folder closed according to last dated correspondence on file. Second review 25 years after the first dated correspondence on file. Files selected at 25 years are kept for permanent preservation at the Supreme Court
		Papers, agendas and minutes for other ad hoc meetings	First review 5 years after folder closed according to last dated correspondence on file. Second review 25 years after the first dated correspondence on file. Files selected at 25 years are kept for permanent preservation at the Supreme Court

The MoJ Departmental Record Officer in consultation with the Chief Executive of the UK Supreme Court have drawn up this schedule

Please retain for future reference.

Date of Issue: April 2009

Annex B - indicative file plan

Outlined below is the proposed draft file plan for the EDRM system.

Level 1	Level 2
Corporate	Performance Management Spending Review Internal Audit Legal Economics and Statistics Communications Memorandum of Understanding Contracts Procurement and Management Security Health & safety Fire Safety
Finance	Project and Service Management Corporate Governance Management Accounting Financial Accounting Strategy, Planning and Development Guidance
Human Resources	Learning and Development Publications Policies and Procedures Strategy, Planning and Development
Local Management
Interaction with Parliament	Parliamentary Questions Early Day Motions Prime Minister's Questions Public Accounts Committee (PAC) Lords Constitution Select Committee Standards and Privileges Select Committee Justice Committee (JC) Scottish Parliament Welsh Assembly Northern Ireland Assembly
Practice
Judicial Users
Administrative Users

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