ISO15489 New Archival Standard, NSW Record Managers Forum, notes

Geoff Hinchcliffe, Sate Records New South Wales, Intro
Outlined there are currently around 400 archival sites across NSW and the vastness of area is also complicated by the diversity of temperatures. Forum will look at new standards for the sector and also to let everyone know about the New State Records website launched 21 June, 2016 with over 2000 pages. It also has a useful section for all organisation looking for help managing govt records.

David Roberts. 20 year anniversary (just about) of the AS4390 standard about to be replaced
Twenty five years ago there was no standard and archivists just produced disposal authorities. The 4930 standard changed this and was the first national standard produced anywhere in the world.

Types of Record keeping
1 Interoperability
2 Mandatory regulatory standard a) outcomes standards when there has been a failure and b} checklist standards objective auditing requirements
3 Codification

AS4930 really developed as a part of 3 as it was thought best practice should it reflect innovation or current working standards. 4390 was created to deal with innovations. In part implemented because in the 1980s there was a crisis of accountability but the lack of standards meant it was hard to measure anything against. Needed code of best practice.

AS4390 was cutting edge in its time

Part 1 Definitions  created an opportunity to clarify new thinking about new approaches to records and concepts and emphasised a transactional distinction between data documents, records and the record keeping.

Part 3 strategies set out requirements for full and accurate records. Designing a record keeping systems (Dirks, which everyone seems to acknowledge had its problems) but business analysis was really what dirks about. Traditionally the question was how do we manage all this stuff but dirks turned this upside down and asked how do we satisfy the requirements for recorded evidence. What records need to be generated in the first place.

Part 5  Appraisal … turned idea of disposal on its head instead AS4390 was based on business systems what do we need to capture and how long should they be kept.

Barbara Reed Chair Standards Australia IT21 local committee part of international network of record keeping standards.Australian and NZ standards have an AS/NZ prefix. This committee chooses which international standards will be brought into Australian environment.

Core ISO15489
Iso 30300
Iso 23081
Iso 16175

Risk assessment for records is a good useful international standard,  work process analysis, digitisation (from NZ) digitising before business rather than after the business is completed.

Hierarchy of standards
Top jurisdictional NSW
then Australian standards
then ISO standards

Different cultures have different approaches no set way of implementing across the globe. Feels they should be inspirational just above the bar of what can be done but this is not a consistent view across different countries.

ISO15489 new standard released 2016 

Foundation standard for use by records management practitioners and is also a statement of principles and operational control and processes .. new one has a new focus on digital material.

What’s different … emphasis on metadata and digital environment with out being format specific change in the definition of records and new emphasis on assets. More balance on process to say what can be done in range of environments and here are the controls you need … emphasis on access security and disposal … appraisal brought back in this standard (this is the analytic framework on which all these tools are based.)

ISO30300 management standards … higher level strategic organisational standards for good record keeping of entire organisation ie work and safety requirements
ISO23081 metadata standards …no digital record can exist without metadata … controversial as some what to take back to Dublin core … others want to include process some want to extend past just a profile of the record.

ISO16175 standards for functional requirements in electronic office environment. Still being reviewed to look particularly at better definitions for strategy

Annalisa Yeo,  Policy and Innovation ICT and Digital Government,

Focus on services to public and open data policy, improved performance management and provision of services. Final update Digital + 2016.

NSW Government ICT strategy’s final update outlines standards critical to the success of these. ROLE OF INFO FRAMEWORK CENTRAL TO REUSE OF DATA 3.9 define architectural layer and 3.10 standards for open data as (top of the list will be a data dictionary)

ICT Management FRAMEWORK ... most important to clarify it is aligned with ICT  strategy and provides guidelines and standards for government data across the NSW sector.

Built around 7 principles of data management
1 Govern
2 Collect
3 Organisation
4 Secure
5 Use
6 Share
7 Maintain

IM framework artefacts are linked to these principles. Standards are applied to these principles.

FIVE criteria for adoption of IM Framework standards
1 Aligned
2 Relevant to specific business need
3 Proven endorsed in principle
4 Aspirational incorporate working base line and continual improvement
5 Enterprise wide as well

NSW Metadata standards policy will be updated soon and requires agencies to publish metadata standards and baseline metadata standards applied and standard vocabularies applies.

Catherine Robinson Acting Manager NSW Government Record Keeping this talk was key in bringing together the other speakers outlines and makes it clear that the State records Act is the one that has to be adhered to when managing records.

1 Part 2 State Records Act sets out broad range of obligations .. to assist organisations understand how to implement codes of standards and obligations.

2 Very important design criteria means any organisation can implement to act and improve outcomes. THEY ARE MANDATORY and can be audited. 12 standards for practice from 2014 Act reviewed and reduced standards to just two and were all wrapped up into the standard on record management which was issued last year.

3 Also needs to adopt code of best practise to manage their practice.

These two standards and the adoption of best practice criteria are the minimum you need to apply to manage records in NSW.

They are designed to manage physical and digital records so new standards do have a focus on digital records. Standards build on previous foundation of standards.

How do these standards fit with the other standards outlined above. This group of 3 have been brought into this standard and harmonise with digital + strategy and hooking into other standards nationally and internationally. Always draws on these sources and referred to in standards issued under the state records act.

Ref: futureproof blog 

Geoff Barker, 2016


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