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

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

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) Reproduced with permission from SAI Global Ltd under Licence 1407-c120

OUTCOMES - SOCIETAL  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 Reproduced with permission from SAI Global Ltd under Licence 1407-c120

STANDARDS EVERYWHERE! 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 Reproduced with permission from SAI Global Ltd under Licence 1407-c120

IN THIS CONTEXT STANDARDS ARE:  Accepted specification or code of practice  Basis for determining consistent, acceptable minimum levels of quality, performance, safety & reliability Reproduced with permission from SAI Global Ltd under Licence 1407-c120

WHY USE STANDARDS?  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 Reproduced with permission from SAI Global Ltd under Licence 1407-c120

STANDARDS FOOD CHAIN 2 -w ay processes Cross-jurisdictional processes ISO ISO committee National National National Member Body Member Body Member Body (e.g. Standards Aust) (e.g. Standards NZ) Reproduced with permission from SAI Global Ltd under Licence 1407-c120

ISO TC 46/SC 11 BACKGROUND  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 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. Reproduced with permission from SAI Global Ltd under Licence 1407-c120

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’ 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 Records creation, management & use……. and into the future Reproduced with permission from SAI Global Ltd under Licence 1407-c120

SC11 WORKING GROUPS 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 Reproduced with permission from SAI Global Ltd under Licence 1407-c120

SC11 NEW PROJECTS  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 Reproduced with permission from SAI Global Ltd under Licence 1407-c120

SC11 LIAISONS  IT Security techniques ISO committees  Data management and interchange & other  Space data and information transfer systems organisations  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 Reproduced with permission from SAI Global Ltd under Licence 1407-c120

SC11 – PUBLICATIONS - EXAMPLES 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) Reproduced with permission from SAI Global Ltd under Licence 1407-c120

SC11 – PUBLICATIONS – MORE EXAMPLES 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 Reproduced with permission from SAI Global Ltd under Licence 1407-c120

USE OF ISO PRODUCTS – VARIOUS OUTCOMES Improving decision making Reducing Eliminating maintenance redundancy Consolidating Establishing assessments consistency Optimizing processes and resources (adapted from Xiaomi An, 2009) Reproduced with permission from SAI Global Ltd under Licence 1407-c120

ISO 15489 (2001) – A SUCCESS STORY Origin ??? - AS4390 Used by >50 countries Translated to >15 languages Within the top of ISO sales Reproduced with permission from SAI Global Ltd under Licence 1407-c120

STANDARDS AUSTRALIA PROCESS Standards Australia - independent, not-for-profit, * Leadership peak standards writing body * Advocacy Technical committees, e.g. IT-021 Records and Document Management Systems , & its sub * Standards committees development & integration IT-021 established in 1992 * International Joint committee with Standards NZ from 2006 participation 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 Reproduced with permission from SAI Global Ltd under Licence 1407-c120