Do you know about ISO TC46/SC11?

As you may know, NARA is a regular contributor in the development of records management standards.  One of the standards groups that NARA actively participates with is the International Standards Organization (ISO) and specifically TC46/SC11 (archives and records management).

TC46/SC11 is an ISO subcommittee comprised of representatives from over 20 member nations, which voluntarily develop international standards and technical reports pertaining to archives and records management.  SC11 members are records management and archives professionals working in government, academia, and industry.  SC11 meets biannually and works throughout the year to develop new standards and reports. They are the developer of well known records management standards such as ISO 15489 and ISO 23081.  NARA participates as part of a US delegation that includes representatives from ARMA International and private industry.

SC11 is continually developing new records management standards and technical reports. Current topics include management systems, metadata, digital migration, digital preservation and risk assessment.

Below is a list of some SC11 standards and reports that are under development and likely to be published in 2011.  Please note that the majority of the TC46/ SC11 standards and reports are not freely available, but many can be purchased through ISO, the American National Standards Institute (ANSI) and ARMA International.

• ISO/PDTR 23081-3 – Managing Metadata for Records – Part 3: Self-assessment method: Developed by SC11’s Working Group 1, this technical report provides records and IT professionals with a self-assessment method to evaluate the current state of metadata capture and management in or across their organization, and provides direction on how to prioritize and schedule work to improve on the current state. This report aligns with ISO 23081-1 and ISO 23081-2. Annexed to this technical report is a software tool (spreadsheet) that supports the self-assessment method.

• Digital Records Preservation – Where to Start Guide. Developed by SC11’s Working Group 7, this document provides guidance related to developing a preservation plan. This guide relies on the concepts set out in ISO 15489-Part 1 and ISO 15489-Part 2 and is recommended be applied in conjunction with that standard.

• Management system for records. Developed by SC11’s Working Group 8 and Working Group 9, these two standards are the first part of a SC11 initiative to develop a series of management system standards for records (MSR). The MSR standards are high level, aimed at the controls and processes for managing the organization and establishing the strategic framework for good records management. The target audience for the MSR is primarily senior management, IT, and records management professionals.

The first two standards in the MSR will be:

1. ISO/DIS 30300 Management system for records – Fundamentals and vocabulary Developed by Working Group 8, this standard covers topics such as key principles behind the MSR, fundamentals and principles of the MSR, and terms/definitions related to records management and the MSR.
2. ISO/DIS 30301 Management system for records – Requirements Developed by Working Group 9, this standard sets out the requirements that must be met by an MSR.  This includes sections on leadership, management, operations, planning, and improvement.

SC11 also has developed a FAQ that answers some basic questions about the two draft MSR standards including background, audience, the relationship with ISO 15489, potential benefits, etc.

• ISO/CD 13008 – Digital Records Conversion and Migration Process: Developed by SC11’s Working Group 12, this standard will provide guidance in understanding records management requirements, the organizational and business framework for conducting the conversion and migration process, technology planning issues, and monitoring/controls for the process. It identifies the steps, components, and particular methodologies for the conversion of records from one format to another, and migration of records from one hardware or software configuration to another-covering such topics as workflow, testing, version control, and validation. This standard is derived from ARMA International’s The Digital Records Conversion Process: Program Planning, Requirements, Procedures (ANSI/ARMA 16-2007), March 2007.

If your organization is interested in the development of ISO standards and TC46/SC11, please contact the National Information Standards Organization (NISO) for information regarding membership fees and eligibility.

For more information about NARA’s participation in ISO TC 46/SC11, please contact Don Rosen.