Relationship between ISO/TC 46/SC 11 Archives/records management and - - PowerPoint PPT Presentation

Presented by David Moldrich

Relationship between ISO/TC 46/SC 11 Archives/records management and IT-021 Records and Document Management Systems committees in standardisation

WHAT MAKES US DIFFERENT?

• “….accountability, or the capacity of the government to ensure that officials answer to

stakeholders on the disposal of their powers and duties, depends upon the existence of constitutional iinstruments which require that those in power are held accountable for their actions. These devices are underpinned by recorded information. Without the availability of reliable, verifiable and authentic records there can be no transparency, rules are not known, accountability cannot be ensured and uncertainties prevail. Increasingly, governments are being pressured by their societies to account for their actions through the records they generate and to ensure the protection of the rights of individual citizens through the proper collection, use, preservation and disposition of records.”

• The Management of Public Sector Records in Developing Countries, (A Proposal from ICA, the International Council
• n Archives, Paris, France), 1997 (proposal for UNDP funding for the Management of Public Sector Records Project)

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• Efficient and responsive government
• Organizational accountability
• Organizational compliance
• Trusted environments for doing business, especially in the digital world
• Access to information
• Preservation of collective memory

OUTCOMES - SOCIETAL

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Lots of industry standards

• ISO
• Standards Australia
• Individual jurisdictions (e.g. PROV & VERS, USA Dept Defence and DoD 5015-2)
• Collaborative projects (e.g. ADRI and ICA (& series of 3 principles & functional

requirements for records)

• The European Commission & DLM Forum (MoReq)
• Etc, etc, etc

See: Barbara Reed, Raising standards for recordkeeping, in Image & Data Manager, 08-10-10 Focus today – relationship between ISO/TC46/SC 11 & IT-021

STANDARDS EVERYWHERE!

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• Accepted specification or code of practice
• Basis for determining consistent, acceptable minimum levels of quality,

performance, safety & reliability

IN THIS CONTEXT STANDARDS ARE:

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• Establish a baseline – improve capability over time
• Simplicity – streamlines processes
• Consistency of understanding & practice
• Effectiveness, efficiency – avoid repeat work, store once – retrieve many

times, add value & re use

• Cost avoidance – e.g. storage
• Improve business outcomes – business objectives tied to performance

measurement

• Compliance – e.g. accountability, litigation protection
• Risk mitigation

WHY USE STANDARDS?

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STANDARDS FOOD CHAIN

ISO National Member Body

(e.g. Standards Aust)

National Member Body

(e.g. Standards NZ)

National Member Body

ISO committee 2 -w ay processes Cross-jurisdictional processes

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• Established - 1998
• Secretariat & Chair - Australia
• Active participants -110
• Members - 41 (P- 28, O-13)
• Liaison with 16 other ISO committees & 3 other international bodies
• Published products: 17
• Products under development: 4
• Active Working Groups – 7
• Joint Working Groups - 1

ISO TC 46/SC 11 BACKGROUND

MISSION Take a leading role in improving best practices in managing records by providing a framework as well as standards and guidance for the design and application

• f records practices and processes.

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Includes:

• Recordkeeping metadata
• Digital repositories and preservation of digital records
• Records on the Web
• Management and business perspectives
• eGovernment
• eBusiness
• Data as Records – or Records as Data

SC 11 SPECIALISATION

Scope: ‘…providing a managerial framework, as well as standards and guidance, for the design and application of records practices and processes to ensure authoritative and reliable information and evidence of business activity in organizations’ Records creation, management & use……. and into the future

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WG-01 - Records Management Metadata WG-07 - Digital Records Preservation WG-08 – Management systems for records – Fundamentals and vocabulary WG-10 – Implementation guidelines for digitization of records WG-13 – Revision of ISO 15489-1 and ISO TR 15489-2

SC11 WORKING GROUPS

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• ISO 30302 – Management system for records – Guidelines for

implementation

• ISO 15489 Parts 1 and other parts – Records management – revision
• Scoping – Records management in relation to Enterprise Architecture
• Scoping – Records in distributed and/or outsourced platforms and services

SC11 NEW PROJECTS

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• IT Security techniques
• Data management and interchange
• Space data and information transfer systems
• Quality management
• Document management applications
• Environmental management
• Risk management
• Conformity assessment
• Joint Technical Coordination Group on MSS
• ICA - International Council on Archives
• IRMT - International Records Management Trust
• InterPares - International Research on

Permanent Authentic Records in Electronic Systems

SC11 LIAISONS

ISO committees & other

• rganisations

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ISO 15489-1:2001 Information and documentation - Records management - Part 1: General (AS 4390) ISO TR 15489-2:2001 Information and documentation - Records management - Part 2: Guidelines (AS 4390) ISO 23081-1:2006 Information and documentation - Records management processes - Metadata for records - Part 1: Principles ISO 23081-2:2007 Information and documentation - Records management processes - Metadata for records - Part 2: Conceptual & Implementation issues ISO TR 23081-3:2011 Information and documentation management processes – Metadata for records – Part 3: Assessment of Records management metadata sets ISO TR 26122:2008 Information and documentation - Work process analysis for records (AS 5090) ISO TR 13028:2010 Information and documentation - Implementation guidelines for digitization of records (NZ)

SC11 – PUBLICATIONS - EXAMPLES

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ISO 16175-1:2010 Information and documentation -- Principles and functional requirements for records in electronic office environments -- Part 1: Overview and statement of principles (ICA) ISO 16175-2:2011 Part 2: Guidelines and functional requirements for records in electronic office environments (ICA) ISO 16175-3:2010 Part 3: Guidelines and functional requirements for records in business systems (ICA) ISO 30300:2011 Information and documentation -- Management systems for records -- Fundamentals and vocabulary ISO 30301:2011 Information and documentation -- Management systems for records -- Requirements ISO 13008:2012 Information and documentation -- Digital records conversion and migration process ISO TR 17068:2012 Information and documentation – Trusted third party repository for digital records (Korea) ISO TR 18128: 2014 Information and documentation – Risk assessment for records process and systems

SC11 – PUBLICATIONS – MORE EXAMPLES

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Improving decision making Eliminating redundancy Establishing consistency Optimizing processes and resources Consolidating assessments Reducing maintenance

(adapted from Xiaomi An, 2009)

USE OF ISO PRODUCTS – VARIOUS OUTCOMES

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Used by >50 countries Translated to >15 languages Within the top of ISO sales

ISO 15489 (2001) – A SUCCESS STORY Origin ???

• AS4390

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Standards Australia - independent, not-for-profit, peak standards writing body Technical committees, e.g. IT-021 Records and Document Management Systems, & its sub committees IT-021 established in 1992 Joint committee with Standards NZ from 2006 Representation from government, private sector, archives/records authorities, professional associations, universities, etc Mission: To identify and codify best practice and promote innovation in Recordkeeping and Document Management

STANDARDS AUSTRALIA PROCESS

* Leadership * Advocacy * Standards development & integration * International participation

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• (IT-021-01, IT-021-2, IT-021-3 – AS 4390)
• (IT-021-04 - Work process analysis)
• (IT-021-05 – Compliance), now Management Systems for Records
• IT-021-07 - Recordkeeping metadata
• IT-021-08 - AGLS
• IT-021-09 – (Records management classification), now Recordkeeping for Small

Businesses and Organisations

• (IT-021-10 - Physical Storage Non Current Records)
• (IT -021-11 - Integration of Digitisation)
• (IT-021-12 - System Migration)
• IT-021-14 – Document Control
• IT-021-13 - Micrographics - Electronic imaging
• IT-21-00-01 - Revision of AS ISO 15489 - 1 & 2
• IT-021-00-03 – Risk assessment for records

IT-021 SUB COMMITTEES

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Examples from IT-021:

• AS 5044.1 - 2002 AGLS Metadata element set - Reference description
• AS 5044.2 - 2002 AGLS Metadata element set - Usage guide
• AS 5090 - 2003 Work process analysis for recordkeeping

Examples endorsed by IT-021:

• AS ISO 15489.1 - 2002 Records management
• AS ISO 15489.2 - 2002 Records management
• AS ISO 19005.1-2006 Document management - Electronic document file

format for long-term preservation - Use of PDF 1.4 (PDF/A-1)

• AS ISO 23081.1-3, 2006 Information and documentation - Records

management processes - Metadata for records – the suite of 3 standards

PUBLICATIONS FROM IT-021 & ENDORSED BY IT-021

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Last session Your input and ideas welcome

WHERE NEXT?

ACKNOWLEDGEMENT

ISO material quoted in this paper are extracts from the relevant cited standard, or based on it, and is reproduced with permission from SAI Global Ltd under Licence 1208‐c030 and 1407-c120. The Standards can be purchased online at: http://www.saiglobal.com

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