ISO TC46 SC11 Archives/Records Management IT/21 Records Management

1. David Moldrich Fuji Xerox Australia Pty Ltd. Professional Services Chair, Standards Australia Committee - IT/21 Chair, ISO TC46 SC11 Fellow, RMAA Member, ACS - PCP ISO TC46 SC11Archives/Records ManagementIT/21Records Management

2. Agenda • Why is Australia leading the RM push • Why AS ISO 15489 • It's applicability to business • What is the current state of RM Standards & what is in the RM Standards pipeline • ISO TC46 SC11 • IT/21 (Standards Australia) • ISO TC171 • PDF(A) • What will this mean to YOU - The Future

3. My Hard Drive…Your Repository…. Never lose sight of your final goal!!!

4. Why is Australia leading the RM push • Early adoptors of Quality Systems • Early “cultural” marriage between the functions of Archives and Records Management (Recordkeeping) • Life-cycle Vs. Continuum debate (and yet it goes on!!!) • Compliance difficult to achieve without incentives • Documentation - major cause of failure • Completeness and Accuracy of business records • Evidence of business practice (recordkeeping) • Needed to conduct business • Metadata - VERS, SARKMS, NAA, NRKMS and others • Keyword AAA

5. Recent examples of Recordkeeping in Business (or the good, the bad & the ugly of business) • British American Tobacco vs. Rolah McCabe • John Elliott (Waterwheel) • ICAC Royal Commission (in fact all Royal Commissions) • Children overboard affair • BHP OK Tedi • IRAQ (where are the records to prove WMD have been destroyed by IRAQ???) • HIH • Enron • OneTEL • ALL discovery and litigious processes

6. Why AS ISO 15489 • Voluntary Code of Practice • It provides guidance • It can be used to measure effectiveness • It specifies how organisations should implement a records management program • We did loose ground in adopting AS ISO 15489 over AS4390. However, it established a global approach to the profession

7. AS ISO 15489 – its applicability to business • Within Australia there has been strong support from: • Information Industry (eg. RMAA, ASA, ACA, etc.) • Company Secretaries • Institute of Charted Accountants • “Quality Organizations” • Auditor-General • Federal and State Governments • Regulatory Bodies • International support has come from: • ISO • ICA • ARMA • Most International National Member Bodies (BSI, ANSI, etc…..) • International Quality Accreditation bodies • Other RM National Orgs (NARA, UK-PRO, Canadian Archives, etc….)

8. AS ISO 15489 – its applicability to business • Organizations have begun to realise that the true ERP system is Information Management……. NOT Financials, CRM or HR • Effective and informed decision making • Protection of information and insurance policy • Improved client services • Impact on staff productivity and administrative overhead

9. Mission & Scope of SC11 (IT/21) Mission (DRAFT) The mission of TC46 SC11 is to provide direction and best practice guidance for the design and application of Records Management practices, processes and functions. Scope Current Standardization of principles for the creation and management of documents, records and archives as evidence of transactions and cover all media including digital multimedia and paper.

10. Mission & Scope of SC11 (IT/21) Proposed Standardization of practices relative to the management of documents, records and archives as evidence of transactions in organizations to ensure authoritative and reliable information and evidence of business activity. This includes establishing a managerial framework to ensure the efficient and systematic control of the processes of creation, capture, registration, classification, access, preservation and disposition of records in all formats. It also includes the specification of frameworks within which technical solutions should exist

11. ISO TC46 SC11 – State of Affairs • 18 Participating Countries • 8 Observer Countries • 32 participants in Rome • Meets twice per year (May & Nov) • Rome, Tokyo – 2003 • Denmark, Australia – 2004 • Ireland, Netherlands Antilles - 2005 • 4 Working Groups • Promotional Committee

12. Work Groups • SC11 WG1 – Records Management Metadata • Technical Report in 3 parts • Principles • Implementation Issues • Evaluation to ISO 15489 • SC11 WG2 - Records Management Relationships • Position Paper • Guide to using ISO 15489

13. Work Groups • SC11 WG3 - Implementation of Access rules in Records Management • Exploring the issues • System layer • Organizational layer • Cross Domain layer • SC11 WG4 – Self Assessment Guide for ISO 15489 • Checklist • Associated Guidance

14. IT/21 (Standards Australia) – State of Affairs • 35 Participating Organizations • Many liaisons • IT/19 • MB/4 • Govt Orgs (NAA, PRO’s, etc.) • Meets four – five times per year • 6 Sub - Committees • 100+ participants including sub-committees • Funding Committee

15. Sub-Committees • IT21 SC4 – Work Process Analysis • DR 02387 – In final stages of Publishing. Due for release in July. • Work Process Analysis enables a precise mapping of work processes in relation to the organization's functions, its systems and rules. It may be extended to describe the derivation of the organizational procedures and rules from the socio-legal context in which the organization is located. • Work Process Analysis for recordkeeping is specific – it describes and analyses what happens in a specific activity in a specific business context. • IT21 SC5 – Compliance • Development of a Compliance Standard to support implementation of AS ISO 15489 - DRAFT will be available soon • Auditor-General has already used AS ISO 15489 to audit recordkeeping activities and report has been presented to Federal Parliament • IT 21 SC6 – New Zealand • Don’t tell Anyone!!!!

16. Sub-Committees • IT21 SC7 – Recordkeeping Metadata • Provides watching brief and input to work in SC11 via head of Australian Delegation • IT21 SC8 – AGLS Metadata • AS 5044 • The Standard is intended for use by any organization or individual creating or managing information sources or services that are locatable via the Internet. In particular, it is intended for information about resources and services on the World Wide Web. • IT21 SC9 – Records Management Classification • To produce a Technical Paper on the construction of records classification tools that support compliant recordkeeping systems developed in accordance with ISO 15489: Records Management. This Technical Paper is to provide a preliminary step towards the possible development of an Australian standard for records classification tools required to support recordkeeping systems.

17. ECM ERP CRM KM DM EDM Portal IM EDRM Workflow Browser Based 2 Tier 3 Tier CDM ODMA, DCOM, FTP, IIS,….. Metadata Dublin Core VERS NRKMS AGLS Publishing Groupware ERM Natural Language Concept Management Inter, Intra, Extra, UltraNET & HumongousNET…… PDF, TIFF, JPEG, MPEG, Clothes Peg, AVI,……. You Name IT, we must have IT The Future – We need a system that has……

18. The Future – RM & DM Business Information Systems Records Management Office Automation Document Management User Image Technology(Including Micrographics) Communications Library Resources

19. User What’s under the hood Document Management The Users Perspective Metadata Workflow IT Applications IT Infrastructure BIS Lib OA RM /DM Comms Image The Future – RM & DM

20. Business Applications Evidence “full & accurate” Recordkeeping & Document Management Workflow (business rules and procedures) Business Regulatory Environment Metadata Standards & Schemas IT Applications Organizational & IT Infrastructure The Future – RM cooperates with the Business

21. Documents Information EEE Framework HR Systems Records Workflow Business Policies & Procedures The Future – RM & KM???? EEE framework deals with the collection of skills and “know how” of individuals. EEE = Entry Expert Exit Knowledge Management (Enablement)

22. Issues on the Horizon • Security of records • Audits and Auditing • Risk • Access • Management issues will change our Records Management roles but not the function…….. "The most important, and indeed the truly unique contribution of management in the 20th century was the fifty-fold increase in the productivity of the Manual Worker in manufacturing. The most important contribution management needs to make in the 21st century is similarly to increase the productivity of Knowledge Work and the Knowledge Worker“ Professor Peter Drucker

23. My Hard Drive…Your Repository…. Never lose sight of your final goal!!!

24. David Moldrich Fuji Xerox Australia Pty Ltd. Professional Services Chair, Standards Australia Committee - IT/21 Chair, ISO TC46 SC11 Fellow, RMAA Member, ACS - PCP ISO TC46 SC11Archives/Records ManagementIT/21Records Management