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 on 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-way processesCross-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 of 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 processesto 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 organisations

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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 countriesTranslated to >15 languagesWithin 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

THANK YOU