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

Transcription

1 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

2 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)

3 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

4 STANDARDS EVERYWHERE! Lots of industry standards ISO Standards Australia Individual jurisdictions (e.g. PROV & VERS, USA Dept Defence and DoD ) 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, Focus today relationship between ISO/TC46/SC 11 & IT-021

5 IN THIS CONTEXT STANDARDS ARE: Accepted specification or code of practice Basis for determining consistent, acceptable minimum levels of quality, performance, safety & reliability

6 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

7 STANDARDS FOOD CHAIN 2-way processes Cross-jurisdictional processes ISO ISO committee National Member Body (e.g. Standards Aust) National Member Body (e.g. Standards NZ) National Member Body

8 ISO TC 46/SC 11 BACKGROUND Established 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.

9 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

10 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 and ISO TR

11 SC11 NEW PROJECTS ISO Management system for records Guidelines for implementation ISO 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

12 SC11 LIAISONS ISO committees & other organisations 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

13 SC11 PUBLICATIONS - EXAMPLES ISO :2001 Information and documentation - Records management - Part 1: General (AS 4390) ISO TR :2001 Information and documentation - Records management - Part 2: Guidelines (AS 4390) ISO :2006 Information and documentation - Records management processes - Metadata for records - Part 1: Principles ISO :2007 Information and documentation - Records management processes - Metadata for records - Part 2: Conceptual & Implementation issues ISO TR :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)

14 SC11 PUBLICATIONS MORE EXAMPLES ISO :2010 Information and documentation -- Principles and functional requirements for records in electronic office environments -- Part 1: Overview and statement of principles (ICA) ISO :2011 Part 2: Guidelines and functional requirements for records in electronic office environments (ICA) ISO :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

15 USE OF ISO PRODUCTS VARIOUS OUTCOMES Improving decision making Reducing maintenance Eliminating redundancy Consolidating assessments Establishing consistency Optimizing processes and resources (adapted from Xiaomi An, 2009)

16 ISO (2001) A SUCCESS STORY Origin??? - AS4390 Used by >50 countries Translated to >15 languages Within the top of ISO sales

17 STANDARDS AUSTRALIA PROCESS * Leadership * Advocacy * Standards development & integration * International participation 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

18 IT-021 SUB COMMITTEES (IT , IT-021-2, IT AS 4390) (IT Work process analysis) (IT Compliance), now Management Systems for Records IT Recordkeeping metadata IT AGLS IT (Records management classification), now Recordkeeping for Small Businesses and Organisations (IT Physical Storage Non Current Records) (IT Integration of Digitisation) (IT System Migration) IT Document Control IT Micrographics - Electronic imaging IT Revision of AS ISO & 2 IT Risk assessment for records

19 PUBLICATIONS FROM IT-021 & ENDORSED BY IT-021 Examples from IT-021: AS AGLS Metadata element set - Reference description AS AGLS Metadata element set - Usage guide AS Work process analysis for recordkeeping Examples endorsed by IT-021: AS ISO Records management AS ISO Records management AS ISO Document management - Electronic document file format for long-term preservation - Use of PDF 1.4 (PDF/A-1) AS ISO , 2006 Information and documentation - Records management processes - Metadata for records the suite of 3 standards

20 WHERE NEXT? Last session Your input and ideas welcome

21 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:

22 THANK YOU