3232ndnd Session of SIO Session of SIO ThessalonikiThessaloniki

Milovan Misic Milovan Misic Tuesday, September 26, 2006

Standards for digital archives and electronic records management

Standards and requirementsStandards and requirements

Applicable standardsApplicable standards Why and WhoWhy and Who When and HowWhen and How

Not all need standards?Not all need standards? RecommendationRecommendation Q & AQ & A

So WHY do we need standards?So WHY do we need standards?

ISO 15489ISO 15489 ISO 15489 was developed in response to a consensus among participating member countries to

standardise international best practice in records management, using the Australian Standard AS 4390 as its starting point. ISO 15489 comes in two sections, Part 1 covers the general principles, Part 2 is an implementation guide, containing a methodology and overview of processes as well as a bibliography.

The main sections of the Standard are: Part 1: General

• 1. Scope of the Standard • 2. Normative references • 3. Terms and definitions • 4. Benefits of records management • 5. Regulatory environment • 6. Policy and responsibilities • 7. Records management requirements (including principles of records management programme and characteristics

of a record) • 8. Design and implementation of a records system • 9. Records management processes and controls (including classification, vocabulary control access etc.) • 10. Monitoring and auditing • 11. Training

Part 2: Guidelines • 1. Scope of the Standard • 2. Policies and responsibilities • 3. Strategies, design and implementation • 4. Records processes and controls • 5. Monitoring and auditing • 6. Training

Setting up an ERMSSetting up an ERMS

1. Set policies at top level 2. Identify requirements thoroughly 3. Include non-RM requirements 4. Remember non-functional

requirements 5. Identify metadata fields and rules

early 6. Analyse access rules 7. Customise specification for your

environment

List of standardsList of standards Standards

BS 4783 Storage, transportation and maintenance of media for use in data processing and information storage (in several parts)

BS 7978 Bundles for the Perpetual Preservation of electronic documents and associated objects ISO 639 Codes for the representation of names of languages ISO 3166 Codes for the representation of names of countries ISO 8601 Data elements and interchange formats – Information interchange – Representation of

dates and times ISO 8859 Information technology – 8-bit single-byte coded graphic character sets ISO 9075 Information technology – database languages – SQL ISO 10646 Information technology – Universal Multiple-Octet Coded Character Set ISO 23950 Information retrieval – application service definition and protocol specification

2 Other Guidelines

90/270/EEC European Commission “Display Screen Equipment Directive” BSI DISC PD 0008 Code of Practice for the Legal Admissibility and Evidential Weight of Information

Stored Electronically BSI DISC PD2000-1:1998 A Definition of Year 2000 Conformity Requirements (available from

http://www.bsi.global.com)

List of guidelinesList of guidelines Accessibility Guidelines SPRITE-S2 initiative ACCENT – Accessibility in ICT

Procurement (http://www.statskontoret.se/accenteng.htm) W3C Web Content Accessibility Guidelines (http://www.w3.org/TR/WAI-WEBCONTENT)

Microsoft Official Guidelines for User Interface Developers and Designers Chapter 15, Special Design Considerations, Accessibility (http://msdn.microsoft.com/library/books/winguide/ch15c.htm) 4 Long Term Preservation Guidelines InterPARES project (http://www.interpares.org)

Preserving Access to Digital Information (PADI) project National Library of Australia (http://www.nla.gov.au/padi/) UK Public Record Office Management, Appraisal and Preservation of Electronic Records Guidelines, see particularly volume 2 chapter 5 (http://www.pro.gov.uk/recordsmanagement/eros/guidelines/default.htm)

Reference Model for an Open Archival Information System (OAIS) draft intended to become an ISO standard, (available at time of writing at http://www.ccsds.org/documents/pdf/CCSDS-650.0-R-1.pdf)

Which standard to followWhich standard to follow

Dublin Core Metadata Set Pittsburgh Metadata ICA Guide for Managing DLM Forum Guide ISAD(G) UBC-MAS Project ISO 15489 R/DIM BSI PD 0008 US DoD 5015.2

Which standard to followWhich standard to follow

Dublin Core Metadata Set Pittsburgh Metadata ICA Guide for Managing DLM Forum Guide ISAD(G) UBC-MAS Project ISO 15489 R/DIM BSI PD 0008 US DoD 5015.2

PDF / APDF / A

Towards ISO certificationTowards ISO certification• Open standard (such as TIFF)Open standard (such as TIFF)• ISO certification phasesISO certification phases• De facto standardDe facto standard

ISO 9001ISO 9001 ISO 15489ISO 15489

PDF/A ISO 19005-2PDF/A ISO 19005-2

PDF / A statusPDF / A status How are ISO standards developed?How are ISO standards developed? ISO standards are developed according to the following principles: ISO standards are developed according to the following principles: ConsensusConsensus

The views of all interests are taken into account: manufacturers, The views of all interests are taken into account: manufacturers, vendors and users, consumer groups, testing laboratories, vendors and users, consumer groups, testing laboratories, governments, engineering professions and research organizations. governments, engineering professions and research organizations.

Industry-wideIndustry-wideGlobal solutions to satisfy industries and customers worldwide. Global solutions to satisfy industries and customers worldwide.

VoluntaryVoluntaryInternational standardization is market-driven and therefore based International standardization is market-driven and therefore based on voluntary involvement of all interests in the market-place. on voluntary involvement of all interests in the market-place.

ISO phasesISO phases

International Standards are developed by International Standards are developed by ISO technical committees (TC) and ISO technical committees (TC) and subcommittees (SC) by a six step process: subcommittees (SC) by a six step process:

Stage 1: Proposal stage Stage 1: Proposal stage Stage 2: Preparatory stage Stage 2: Preparatory stage Stage 3: Committee stage Stage 3: Committee stage Stage 4: Enquiry stage Stage 4: Enquiry stage Stage 5: Approval stage Stage 5: Approval stage Stage 6: Publication stage Stage 6: Publication stage

Thank youThank youQ & AQ & A

milovan.misic@wipo.intmilovan.misic@wipo.int