Achieving a just and secure society Records and Information Standards This presentation includes work of the ISO TC 171 SC3 JWG Joanna Baker, IIM Conference,

Achieving a just and secure societyAchieving a just and secure society

Records and Information Standards

This presentation includes work of the ISO TC 171 SC3 JWG

Joanna Baker, IIM Conference, Canberra 2007

Records & Information Standards


Standards development



Benefits of Standards• Protecting Australians• Supporting innovation• Boosting production and productivity• Making Australian businesses more competitive• Linking Australia to the world• Complementing regulation• Rewarding participants



Standards Development ProcessRequest for a Standard Project approved Formation of a Technical CommitteePreliminary draftCommittee draftDraft for public commentConsideration of commentDraft for postal ballotThe published StandardOpenness and transparency of processConsensusRevision of existing Standards



Cardinal PrinciplesOpen

Any affected or interested representative organization has the opportunity to participate.

BalancedThe committee shall be balanced and not dominated by any single interest category or organization.

Due ProcessAll valid objections shall have an attempt made towards achieving resolutions.

ConsensusMore than a majority but not necessarily unanimity.

Altruism and self interestStandardization allows individual expertise contribute to the wellbeing and competitive advantage of the nation and industry



Australian Standards Committee for Records & Document Management – IT-021The mission of IT-021 is to provide direction

and best practice guidance for the design and application of recordkeeping & document management practices, process and functions.



IT-021 PublicationsAS ISO 15489 - 2002 1& 2 Records management

AS ISO 15801-2006 Electronic imaging - Information stored electronically - Recommendations for trustworthiness and reliability

AS ISO 18492-2006 Long-term preservation of electronic document-based information

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 22310-2006 Information and documentation - Guidelines for standards drafters for stating records management requirements in standards

AS ISO 23081.1-2006 Information and documentation - Records management processes - Metadata for records - Principles

AS 5044.1 & 2 - 2002 AGLS Metadata element set - Reference description & Usage guide

AS 5090-2003 Work process analysis for recordkeeping



Draft Standards Due for Publication• DR 07194 CP

Electronic imaging - Forms design optimisation for electronic image management

• DR 07195 CPInformation and documentation - Records management processes - Metadata for records - Part 2: Conceptual and implementation issues



IT-021 Membership• Archives New Zealand • Attorney General's Department • Australian Society of Archivists • Chairs IT-021-Sub Committees • Chartered Secretaries Australia • Council of Australasian Archives and

Records Authorities • Department of Defence (Australia) • Department of Foreign Affairs and

Trade • Department of Immigration,

Multicultural and Indigenous Affairs (Federal)

• Health Information Management Association of Australia

• Independent Chairperson

• Institute for Information Management • Law Council of Australia • Monash University • NSW Department of Commerce • National Archives of Australia • National Library of Australia • Public Record Office Victoria • Queensland State Archives • Records Management Association of

Australasia • State Records New South Wales • The Institute of Internal Auditors -

Australia



IT-021 SubcommitteesIT-021-00-02 -- Revision of AS 15489-1 & 2 - Records Management standardsIT-021-04 -- Work Process AnalysisIT-021-05 -- ComplianceIT-021-07 -- Recordkeeping metadataIT-021-08 -- AGLSIT-021-09 -- Records Management ClassificationIT-021-10 -- Physical Storage Non Current RecordsIT-021-11 -- Integration of DigitisationIT-021-12 -- System MigrationIT-021-13 -- Micrographics - Electronic imaging



International StandardsISO TC 46 SC 11 – Archives/Records Management• Secretariat - Australia

Member Nations – 26 Participating Countries 12 Observer Countries

4 Working Groups

3 Joint Working Groups

Internal & External liaisons



SC11 PublicationsISO 15489-1:2001 Information and documentation --

Records management -- Part 1: General

ISO/TR 15489-2:2001 Information and documentation -- Records management -- Part 2: Guidelines

ISO 22310:2006 Information and documentation -- Guidelines for standards drafters for stating records management requirements in standards

ISO 23081-1:2006 Information and documentation -- Records management processes -- Metadata for records -- Part 1: Principles



IT-021 Current projects• Development of a compliance handbook to support implementation of AS ISO

15489.

• Development of a National recordkeeping metadata set consistent with ISO/TS 23081.

• Maintenance, review and revision of AS 5044 – AGLS Metadata Element Set including options for use in indicating W3C conformance

• Development of a Handbook on the construction of records classification tools that supports compliant recordkeeping systems developed in accordance with ISO 15489.

• Development of a storage standard for Non Current Records.

• Development of guidance on undertaking a digitisation, imaging or scanning project

• Development of guidelines that address the issues and requirements involved in maintaining the authenticity and integrity of digital records over time.



SC11 Current projects• Development of recordkeeping metadata framework

standards.

• The revision of ISO 15489 parts 1 and 2.

• Adoption of AS 5090 Australian Work Process Analysis for Recordkeeping

• a Joint Working Group on Digital records preservation

• Liaison with Document Management Standards committees



Relationships between standards• Developed in different domains

• Overlap

• Differing terminology

• Still useful!



THE AIIM ECM Framework

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Enterprise Content Management (ECM) is the technologies used to capture, manage, store, preserve, and deliver content and

documents related to organizational processes. ECMtools and strategies allow the management of an organization’s

unstructured information, wherever that information exists.AIIM, 2006



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AS ISO 15489: Records Management

ISO/IEC 27000: Information Security

Draft TR 40: EDMS Selection and Implementation

ISO 14105: Human and organizational issues for successful Electronic Image Management (EIM) implementation



Generating, capturing, preparing & processing analogue & digital information

• AS ISO 23081: Metadata

• AS ISO 12029: Forms design for Imaging

• ISO/TR 15801: Information stored electronically -- Recommendations for trustworthiness and reliability

• ISO/IEC 26300 : Information technology -- Open Document Format for Office Applications (OpenDocument) v1.0

• Archives NZ Digitisation Standard

• Many microfilm standardsThe objective of all "Capture" components is the provision of

information to the "Manage" components for further processing or archiving.

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Management, processing & use of information• ISO 14105: Human and organisational aspects

• ISO/TR 15801: Information stored electronically -- Recommendations for trustworthiness and reliability

• AS ISO 23081: Metadata

• ISO 5963: Methods for examining documents, determining their subjects, and selecting indexing terms

• AS 5090: Work process analysis for recordkeeping

Today, "Manage" components are offered individually or integrated as suites. In many cases they already include the "Store" components.

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Temporary storage of information

• ISO/TS 12033: Guidance for selection of document image compression methods

• ISO/TR 12037: Recommendations for the expungement of information recorded on write-once optical media

• ISO 11799: Document storage requirements for archive and library materials

"Store" components are used for the temporary storage of information which it is not required or desired to archive. Even if it uses media that are suitable for long-term archiving, "Store" is still separate from "Preserve."

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Present information from the ‘Manage’, ‘Store’ & ‘Preserve’ components

• AS ISO 23801 : Metadata• AS ISO 19005 : PDF/A• ISO/IEC 15444 : JPEG 2000 image coding

system• XML• Paper

The task of the various "Deliver" components is to provide information to users in the best way for the given application, while controlling its use as far as possible.

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Long-term, safe storage. Conversion, migration and long term storage media

• AS ISO 19005: Electronic document file format for long-term preservation -- Use of PDF 1.4 (PDF/A-1)

• AS 4003 : Permanent paper • AS ISO 18492 : Long-term preservation of

electronic document-based information • ISO 14721 Space data and information transfer

systems -- Open archival information system -- Reference model

Standards for interfaces, meta data, data structures and object formats are important to secure the availability of information.

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FutureManagement System Standard family for Records and Document Management Standards

Interoperable ECMScope: Responsible for creating an international standard composed of SOA / web services by which enterprise content management related systems, portals and enterprise applications can interoperate enabling content (unstructured and semi structured data) to be exchanged, integrated and managed securely between systems.

iECM (Interoperable Enterprise Content Management) Consortium, organized by AIIM (Association for Information and Image Management)



Thank you

References:

AIIM. (2005). What is ECM?. Retrieved, 26/7/07 from: http://www.aiim.org/about-ecm.asp

International Organization for Standardization. (2006). Overview of the ISO system. Retrieved, 26/7/07 from: http://www.iso.ch/iso/en/aboutiso/introduction/index.html

Standards Australia. (n.d.). What is a Standard? Retrieved, 26/7/07 from: http://www.standards.org.au/cat.asp?catid=2

Standards Australia. (n.d.). Development Phases. Retrieved, 26/7/07 from: http://www.standards.org.au/cat.asp?catid=7

Standards Australia. (n.d.). IT-021 Records Management Systems Member Working Area. Retrieved, 26/7/07 from: https://committees.standards.org.au/USER/LOGIN/

Wikipedia (2007). Enterprise content management. Retrieved, 26/7/07 from: http://en.wikipedia.org/wiki/Enterprise_content_management

Documents

Achieving a just and secure society Records and Information Standards This presentation includes work of the ISO TC 171 SC3 JWG Joanna Baker, IIM Conference,