Information Management Standards and Guidelines

International Standards and Guidelines

AS ISO 15489.1 - Information and documentation—Records Management— Part 1: General This part of ISO 15489 provides guidance on managing records of originating organizations, public or private, for internal and external clients.

AS ISO 15489.2 - Information and documentation—Records Management— Part 2: Guidelines This part of ISO 15489 is an implementation guide to ISO 15489.1 for use by record management professionals and those charged with managing records in their organizations. It provides one methodology that will facilitate the implementation of ISO 15489.1 in all organizations that have a need to manage their records. It gives an overview of the processes and factors to consider in organizations wishing to comply with ISO 15489.1.

AS ISO 23081.1 - Information and documentation — Records management processes — Metadata for records - Part 1: Principles This is a guide to understanding, implementing and using metadata within the framework of ISO 15489. Please Note: The 'AS' prefix indicates that these Internal Standards are also considered to be Australian Standards.

ISO/TS 23081-2 Information and documentation -- Records management processes -- Metadata for records -- Part 2: Conceptual and implementation issues - This Standard establishes a framework for defining metadata elements consistent with the principles and implementation considerations outlined in ISO 23081-1:2006.

ISO 14721 - Space data and information transfer systems - Open archival information system - Reference model This standard specifies a reference model for an open archival information system (OAIS) with the purpose of establishing a system for archiving information, both digitalized and physical, with an organizational scheme composed of people who accept the responsibility to preserve information and make it available to a designated community.

 ISO 2788 - Documentation - Guidelines for the establishment and development of monolingual thesauri This Standard makes recommendations to ensure consistent practice within a single indexing agency, or between different agencies (for example members of a network). These recommendations relate to monolingual thesauri, without reference to the special requirements of multilingual thesauri.  

ISO 5964 - Documentation - Guidelines for the establishment and development of multilingual thesauri This Standard should be used in conjunction with ISO 2788, and regarded as an extension of the scope of the monolingual guidelines. The majority of procedures and recommendations contained in ISO 2788 are equally valid for a multilingual thesaurus. This applies particularly to general procedures, for example, the forms of terms, the basic thesaural relationships, and management operations such a evaluation and maintenance. Distinction is made between preferred terms and non-preferred terms.

ISO/DTR 13028 - Information and Documentation- Implementation guidelines for digitization of records This Standard is in development

ISO/TR 26122 - Information and Documentation - Work process analysis for records This Standard provides guidance on work process analysis from the perspective of the creation, capture and control of records. It identifies two types of analyses, namely functional analysis (decomposition of functions into processes), and sequential analysis (investigation of the flow of transactions).

ISO/DIS 30300 - Information and Documentation - Management system for records - Fundamentals and vocabulary This Standard is in development

ISO/DIS 30301 - Information and Documentation - Management system for records - Requirements This Standard is in development

ISO/FDIS 16175-1 Information and Documentation - Principles and functional requirements for records in electronic office environments -- Part 1: Overview and statement of principles This Standard is in development

 ISO/FDIS 16175-2 - Information and Documentation - Principles and functional requirements for records in electronic office environments -- Part 2: Guidelines and functional requirements for records in business systems This Standard is in development

ISO/FDIS 16175-3 Information and Documentation - Principles and functional requirements for records in electronic office environments -- Part 3: Guidelines and functional requirements for records in business systems This Standard is in development

ISO 14721 - Space data and information transfer systems - Open archival information system -- Reference model This Standard provides guidance to establish a system for archiving information, both digitalized and physical, with an organizational scheme composed of people who accept the responsibility to preserve information and make it available to a designated community.

ISO/DIS 30301 - Information and Documentation - Management system for records - Requirements This Standard is in development

ISO/TR 18492 - Long-term preservation of electronic document-based information This Standard provides practical methodological guidance for the long-term preservation and retrieval of authentic electronic document-based information, when the retention period exceeds the expected life of the technology (hardware and software) used to create and maintain the information.

 

Dublin Core Metadata Initiative The Dublin Core metadata element set is a standard for cross-domain information resource description. Here an information resource is defined to be "anything that has identity". http://dublincore.org/documents/dces/

US Food and Drug Administration (FDA) - Title 21 Code of Federal Regulations (21 CFR Part 11) Electronic Records; Electronic Signatures The FDA has issued regulations that provide criteria for acceptance by FDA, under certain circumstances, of electronic records, electronic signatures, and handwritten signatures executed to electronic records as equivalent to paper records and handwritten signatures executed on paper. These regulations, which apply to all FDA program areas, are intended to permit the widest possible use of electronic technology, compatible with FDA's responsibility to promote and protect public health. The use of electronic records as well as their submission to FDA is voluntary. Elsewhere in this issue of the Federal Register, FDA is publishing a document providing information concerning submissions that the agency is prepared to accept electronically. http://www.fda.gov/ora/compliance_ref/part11/

International Specifications UK National Archives - Requirements for Electronic Records Management Systems (2002) (Req-ERMS) The National Archives has published two sets of functional requirements to promote the development of the electronic records management software market (original in 1999 and revised in 2002), and has been running a program to evaluate products against the 2002 requirements. This program is now drawing to a close and The National Archives is no longer accepting applications for testing. www.nationalarchives.gov.uk/electronicrecords/function.htm

UK National Archives - List of Approved ERMS The following systems have demonstrated, in the testing conducted by The National Archives, the capability to meet the revised functional requirements for electronic records management systems in UK government (produced in 2002).   www.nationalarchives.gov.uk/electronicrecords/reqs2002/approved.htm

European Commission - Model Requirements for the Management of Electronic Records (March 2001) (MoReq) The MoReq Specification is a model specification of requirements for Electronic Records Management Systems (ERMS) and was produced by Cornwell Management Consultants at the request of the European Commission. www.europa.eu.int/idabc/en/document/2631/5585 www.cornwell.co.uk/edrm/moreq.asp

US Department of Defense - DoD 5015.2-STD - Design Criteria Standard for Electronic Records Management Software Applications (2002) This Standard is issued under the authority of DoD and provides implementing and procedural guidance on the management of records in the Department of Defense. This Standard sets forth mandatory baseline functional requirements for Records Management Application (RMA) software used by DoD Components in the implementation of their records management programs; defines required system interfaces and search criteria to be supported by the RMAs; and describes the minimum records management requirements that must be met, based on current National Archives and Records Administration (NARA) regulations. http://jitc.fhu.disa.mil/recmgt/p50152stdapr07.pdf  

ISO Technical Committee 46 Sub-Committee 11 (TC 46 SC11) - Archives/Records Management Mission The mission of TC46 SC11 is to provide direction and best practice guidance for the design and application of Records Management practices, process and functions. Scope Standardization of practices relative to the management of records of all 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 records in all formats and defining functional requirements within which technical solutions should be developed.

  • 25 Participating Countries (increase of 23% since last reporting period)
  • 14 Observer Countries (increase of 17% since last reporting period)
  • 112 “registered” active members (increase of 25% since last report)
  • 100’s of active members via industry associations
  • 48 participants in France (1-4 Nov 2005)
  • Meets twice per year (May & Nov)
  • Rome, Tokyo – 2003
  • Denmark, Australia – 2004
  • Ireland, France - 2005
  • United Kingdom, China – 2006
  • Spain, South Africa - 2007
  • 7 Working Groups
  • 3 Joint Working Groups
  • Promotional Committee
  • ISO 15489 has now been translated into many languages (e.g. Mandarin, Spanish, English, French, German, Portuguese, Italian, Japanese, Russian, some African languages & Indian dialects, etc.)
State of Affairs
  • Secretariat: 
    Australia (SAI)
  • Members:
    100+ active experts (25 - P members, 14 -O-members, active liaisons) from 39 countries.
  • Internal Liaisons:
    • ISO/TC 10 Technical product documentation
    • ISO/TC 42 Photography 
    • ISO/TC 154 Processes, data elements and documents in commerce, industry and administration
    • ISO/TC 171/SC 2 Application issues
    • ISO/TC 171/SC 3 General issues
    • ISO/TC 176 Quality management and quality assurance
    • ISO/IEC JTC 1/SC32 Data management and interchange
  • External Liaisons:
    • ICA - Archives International Council on Archives
    • IFLA International Federation of Library Associations and Institutions
    • IRMT International Records Management Trust
    • WBGA World Bank Group Archives
    • InterPares Project

Work Groups (WG)

  • WG1 – Records Management Metadata
    • Technical Report in 3 parts
    • Principles – ISO 23081.1 (Issued)
    • Implementation issues
    • Assessment of Records Management metadata sets
  • WG2 - Records Management Relationships
    • Guidelines for stating records management in standards - ISO/FDIS 22310
  • WG3 - Implementation of Access rules in Records Management
    • Exploring the issues
    • System layer
    • Organizational layer
    • Cross Domain layer
  • WG4 – Self Assessment Guide for ISO 15489 (On Hold)
    • Checklist
    • Associated Guidance
  • WG5 – Revision of ISO 15489 series
    • Global Web-based survey - completed 2004
    • Will influence & set direction for WG4
    • Not just a revision
  • WG6 – Work Process analysis for recordkeeping
    • Adoption of Australian Standards AS 5090:2003
  • WG7 – Digital records preservation (Joint WG with TC 171 SC 2)
    • Requirements for long-term preservation of electronic records

Joint Working Groups (WG)

  • TC171 SC2 WG 5
    • Joint TC171 SC2 - TC42 - TC46 SC11 - TC130
    • Application issues -PDF(A)
  • TC171 SC2 WG6
    • Joint TC171 SC2 - TC46 SC11
    • Application issues - Metadata (for scanned images)
  • TC171 SC3 WG2
    • Joint TC171 SC2 - TC 171 SC3 - TC46 SC11 
    • Review of imaging and archiving standards
Promotional Committee
  • Promotional Work
    • Developing and delivering education
    • Marketing
    • Industry conventions, conferences, etc.