STANDARDISATION IN E-ARCHIVING. I N T E R N AT I O N A L S TA N D A R D S Alain Wahl

Transcription

1 STANDARDISATION IN E-ARCHIVING I N T E R N AT I O N A L S TA N D A R D S Alain Wahl 1

2 Internatinal Standards OBJECTIVES OF THIS PRESENTATION Understand the missins f the technical cmmittee ISO/TC 46/SC 11 Understand what a Management Systems fr Recrds (MSRs) are Understand the bjectives f the internatinal standards ISO 3030x Stimulate yur interest in technical standardisatin Encurage the use f standards 2

3 Internatinal Standards SUMMARY Intrductin ISO/TC 46 Infrmatin and dcumentatin ISO/TC 46/SC 11 Archives/recrds management ISO 3030x series Management Systems fr Recrds (MSRs) ISO 30300:2011 MSRs Fundamentals and vcabulary ISO 30301:2011 MSRs Requirements ISO 30302:2015 MSRs Guidelines fr implementatin Draft Internatinal Standards 3

4 Internatinal Standards SUMMARY Intrductin ISO/TC 46 Infrmatin and dcumentatin ISO/TC 46/SC 11 Archives/recrds management ISO 3030x series Management Systems fr Recrds (MSRs) ISO 30300:2011 MSRs Fundamentals and vcabulary ISO 30301:2011 MSRs Requirements ISO 30302:2015 MSRs Guidelines fr implementatin Draft Internatinal Standards 4

5 Internatinal Standards INTRODUCTION Electrnic dcuments Archives Recrds Electrnic dcuments are an essential part f everyday business, whether the surces are incming cmmunicatins r utput f rganisatins (Paperless ffice) As ne type f infrmatin surce, recrds are part f the intellectual capital, and therefre assets, f an rganizatin Recrds are evidence f business activity, and infrmatin assets Management system fr recrds: Defined rles and respnsibilities; Systematic prcesses; Measurement and evaluatin; Review and imprvement. 5

6 Internatinal Standards INTRODUCTION Infrmatin Security Challenges Cnfidentiality Wh has access t infrmatin? Integrity When and hw is it pssible t change the infrmatin? Availability D yu find the required infrmatin? D yu have back-ups? 6

7 Internatinal Standards INTRODUCTION The facts 15% f an rganizatin's revenues are spent creating, managing & distributing dcuments 60% f emplyee time is spent wrking with dcuments 85% f business dcuments are in paper frm The average dcument is printed 5x 90% f a business's infrmatin is in dcuments Mre facts: 7

8 Internatinal Standards SUMMARY Intrductin ISO/TC 46 Infrmatin and dcumentatin ISO/TC 46/SC 11 Archives/recrds management ISO 3030x series Management Systems fr Recrds (MSRs) ISO 30300:2011 MSRs Fundamentals and vcabulary ISO 30301:2011 MSRs Requirements ISO 30302:2015 MSRs Guidelines fr implementatin Draft Internatinal Standards 8

9 Internatinal Standards ISO/TC 46 INFORMATION AND DOCUMENTATION Secretariat: AFNOR Creatin date: 1947 Ttal number f published standards (number includes updates): 113 Number f published standards under the direct respnsibility f ISO/TC46 : 32 Participating cuntries: 36 Observing cuntries: 35 (including Luxemburg) 9

10 Internatinal Standards ISO/TC 46 INFORMATION AND DOCUMENTATION Scpe Standardizatin f practices relating t Libraries Dcumentatin and infrmatin centers Publishing Archives Recrds management Museum dcumentatin Indexing and abstracting services 10

11 Internatinal Standards ISO/TC 46 INFORMATION AND DOCUMENTATION Objectives Ensure cnsistency f the standards that address varius areas f infrmatin and dcumentatin, tgether with ther ISO standards Encurage the cntributin f all kinds f rganizatins dealing with infrmatin and dcumentatin. Imprve glbal representatin f standardizatin experts Finalize and publish standards required by the market in rder t fcus effrts in this area Encurage private and public sectr t use ISO standards 11

12 Internatinal Standards ISO/TC 46 INFORMATION AND DOCUMENTATION Evlutin Prductin f electrnic dcuments and multimedia Pssibilities f digital infrmatin The traditinal references fr managing dcuments are n lnger up t date Pushing the market t react The exchange f infrmatin in electrnic frm Has becme widespread N lnger just a specialized area fr bksellers and archivists Cnceptin f standards fr the recrd management and electrnic archiving Becmes a requirement Emerged by the appearance f new infrmatin and cmmunicatin technlgies TC 46/SC 11 T prvide guidance in the field f recrd management 12

13 Internatinal Standards ISO/TC 46 INFORMATION AND DOCUMENTATION Subcmmittees ISO/TC 46/SC 4 Technical interperability Standardizatin f prtcls, schemes, etc., and related mdels and metadata fr prcesses used by infrmatin rganizatins and cntent prviders, including libraries, archives, museums, publishers, and ther cntent prducers ISO/TC 46/SC 8 Quality - Statistics and perfrmance evaluatin Standardizatin f practices relating t the cllectin f statistics and perfrmance indicatrs fr infrmatin rganizatins and cntent prviders, e.g., libraries, archives, museum, and publishers 13

14 Internatinal Standards ISO/TC 46 INFORMATION AND DOCUMENTATION Subcmmittees ISO/TC 46/SC 9 Identificatin and descriptin Standardizatin f infrmatin identifiers, descriptin and assciated metadata and mdels fr use in infrmatin rganizatins and the cntent industries ISO/TC 46/SC 10 Requirements fr dcument strage and cnditins fr preservatin Standardizatin f requirements fr strage and use f dcuments in libraries, archives and dcumentatin centers, as well as practices related t maintenance and imprvement f the cnditins f preservatin 14

15 Internatinal Standards SUMMARY Intrductin ISO/TC 46 Infrmatin and dcumentatin ISO/TC 46/SC 11 Archives/recrds management ISO 3030x series Management Systems fr Recrds (MSRs) ISO 30300:2011 MSRs Fundamentals and vcabulary ISO 30301:2011 MSRs Requirements ISO 30302:2015 MSRs Guidelines fr implementatin Draft Internatinal Standards 15

16 Internatinal Standards ISO/TC 46/SC 11 ARCHIVES/RECORDS MANAGEMENT Missin Leading rle in imprving Gd practices in managing recrds by prviding a framewrk Standards and guidance fr the design and applicatin f recrds practices and prcesses Cdifying gd practice in managing recrds int internatinally applicable management system What is a recrd? Recrd = infrmatin Nt all infrmatin is a recrd > infrmatin created, received and maintained as evidence and as an asset by an rganizatin r persn When des an rganizatin create recrds? > In pursuit f legal bligatins r in the transactin f business 16

17 Internatinal Standards ISO/TC 46/SC 11 ARCHIVES/RECORDS MANAGEMENT Standardizatin f principles fr the creatin and management f dcuments, recrds and archives as evidence f transactins and cvering all media including digital multimedia and paper Secretariat: Standards Australia Creatin date: 1998 Number f published ISO standards under the direct respnsibility f ISO/TC 46/SC 11 (number includes updates): 18 Participating cuntries: 28 (including Luxemburg) Observing cuntries: 16 17

18 Internatinal Standards ISO/TC 46/SC 11 ARCHIVES/RECORDS MANAGEMENT ISO/TC 46/SC 11/WG 1 Metadata ISO/TC 46/SC 11/WG 7 JWG n Digital recrds preservatin ISO/TC 46/SC 11/WG 8 Management systems fr recrds ISO/TC 46/SC 11/WG 10 Implementatin Guidelines fr the dispsitin f recrds ISO/TC 46/SC 11/WG 13 Revisin f ISO and ISO/TR ISO/TC 46/SC 11/WG 14 Recrds requirements in enterprise Architecture 18

19 Internatinal Standards SUMMARY Intrductin ISO/TC 46 Infrmatin and dcumentatin ISO/TC 46/SC 11 Archives/recrds management ISO 3030x series Management Systems fr Recrds (MSRs) ISO 30300:2011 MSRs Fundamentals and vcabulary ISO 30301:2011 MSRs Requirements ISO 30302:2015 MSRs Guidelines fr implementatin Draft Internatinal Standards 19

20 Internatinal Standards ISO 3030X MANAGEMENT SYSTEMS FOR RECORDS ISO 30300:2011 Management systems fr recrds Fundamentals and vcabulary ISO 30301:2011 Management systems fr recrds Requirements ISO 30302:2015 Management systems fr recrds Guidelines fr implementatin Technically based n ISO Recrds Management Mainly deals with peratinal and technical aspects f recrd management Nt replaced by the ISO 3030x series, but cmplemented Principles in the implementatin f ISO 3030x necessarily t be taken int accunt and applied Fcus f standardizatin is put n the rganizatin ( management system ) Shw hw recrds management is cntrlled and mnitred 20

21 Internatinal Standards ISO 3030X MANAGEMENT SYSTEMS FOR RECORDS 21

22 Internatinal Standards SUMMARY Intrductin ISO/TC 46 Infrmatin and dcumentatin ISO/TC 46/SC 11 Archives/recrds management ISO 3030x series Management Systems fr Recrds (MSRs) ISO 30300:2011 MSRs Fundamentals and vcabulary ISO 30301:2011 MSRs Requirements ISO 30302:2015 MSRs Guidelines fr implementatin Draft Internatinal Standards 22

23 Internatinal Standards ISO 30300:2011 FUNDAMENTALS OF MSR 1. Scpe Establish, implement, maintain and imprve a MSR t supprt its business Assure itself f cnfrmity with its stated recrds plicy Demnstrate cnfrmity with this Internatinal Standard Undertaking a self-assessment and self-declaratin, r Seeking cnfirmatin by a party external t the rganizatin, r Seeking certificatin f its MSR by an external party 23

24 Internatinal Standards ISO 30300:2011 FUNDAMENTALS OF MSR 2.1 Relatin between the MSR and the management system Establish plicy, bjectives and directives framewrk Establish prcesses and cntrls Establish implementatin and mnitring Manage recrds f management system 24

25 Internatinal Standards ISO 30300:2011 FUNDAMENTALS OF MSR 2.2 Cntext f the rganizatin An rganizatin can use all r any element f the standards n MSR accrding t its business cntext and requirements, which include: Size and cmplexity f the rganizatin Level f business risk f having inadequate recrds cntrls Drive fr internal imprvement t satisfy stakehlder demand Specific stakehlder demands r expectatins 25

26 Internatinal Standards ISO 30300:2011 FUNDAMENTALS OF MSR 2.3 Need fr a MSR Purpse Cnduct business and deliver services efficiently; Meet legislative, regulatry and accuntability requirements; Optimize the decisin-making, peratinal cnsistency and cntinuity; Facilitate the effective peratin f an rganizatin in the event f a disaster; Prvide prtectin and supprt in litigatin, including the management f risks assciated with the existence f, r lack f evidence f rganizatinal activity; Supprt research and develpment activities; Supprt the prmtinal activities f the rganizatin; Maintain crprate r cllective memry and supprt scial respnsibility 26

27 Internatinal Standards ISO 30300:2011 FUNDAMENTALS OF MSR 2.3 Need fr a MSR Reliable, authentic and useable recrds Creatin and cntrl f recrds which are Reliable; Authentic; Have integrity; Are useable. 2.3 Need fr a MSR Establishment f recrds system Recrd system t capture and cntrl recrds which are reliable, secure, cmpliant, cmprehensive and systematic 27

28 Internatinal Standards ISO 30300:2011 FUNDAMENTALS OF MSR 2.4 Principle f a MSR General Custmer and ther stakehlder fcus Leadership and accuntability Evidence-based decisin making Invlvement f peple Prcess apprach System apprach t management Cntinual imprvement 28

29 Internatinal Standards ISO 30300:2011 FUNDAMENTALS OF MSR 2.5 Prcess apprach t a MSR 29

30 Internatinal Standards ISO 30300:2011 FUNDAMENTALS OF MSR 2.6 Rle f tp management Plicy directin cmes frm tp management in rder t : Achieve cnsistency f peratin thrughut the rganizatin; Mandate emplyee adptin f the requirements f a MSR; Ensure that business prcesses are transparent and cmprehensible; Assure that recrds are being prperly managed 30

31 Internatinal Standards ISO 30300:2011 FUNDAMENTALS OF MSR A2.7 Relatinships with ther management systems Integratin f MSR int an rganizatin s verall management systems aims t: Optimize prcesses by integrating recrds prcesses with ther activities; Supprt evidence-based decisin making; Prmte cnsistency between management systems; Meet and imprve evidence f meeting cmpliance requirements. 31

32 Internatinal Standards ISO 30300:2011 FUNDAMENTALS OF MSR 3 Terms and definitins 3.1 Terms relating t recrds Dcumentatin Cllectin f dcuments describing peratins, instructins, decisins, prcedures and business rules related t a given functin, prcess r transactin Evidence Dcumentatin f a transactin Recrd(s) Infrmatin created, received and maintained as evidence and as an asset by an rganizatin r persn, in pursuit f legal bligatins r in the transactin f business. 32

33 Internatinal Standards ISO 30300:2011 FUNDAMENTALS OF MSR 3 Terms and definitins 3.2 Terms relating t management Nncnfrmity Nn-fulfilment f a requirement Organizatin Persn r grup f peple that has its wn functins with respnsibilities, authrities and relatinships t achieve its bjectives Recrds plicy Overall intentins and directin f an rganizatin in relatin t management systems fr recrds, frmally expressed by tp management Tp management Persn r grup f peple wh directs and cntrls an rganizatin at the highest level 33

34 Internatinal Standards ISO 30300:2011 FUNDAMENTALS OF MSR 3 Terms and definitins 3.3 Terms relating t recrds management prcesses Access Right, pprtunity, means f finding, using, r retrieving infrmatin Classificatin Systematic identificatin and arrangement f business activities r recrds int categries accrding t lgically structured cnventins, methds, and prcedural rules Cnversin Prcess f changing recrds frm ne frmat t anther Destructin Prcess f eliminating r deleting a recrd, beynd any recnstructin Preservatin Prcesses and peratins invlved in ensuring the maintenance f recrds ver time. 34

35 Internatinal Standards ISO 30300:2011 FUNDAMENTALS OF MSR 3 Terms and definitins 3.4 Terms relating t MSR Management system Set f interrelated r interacting elements f an rganizatin t establish plicies and bjectives, and prcesses t achieve thse bjectives Management system fr recrds Management system t direct and cntrl an rganizatin with regard t recrds Recrds management Field f management respnsible fr the efficient and systematic cntrl f the creatin, receipt, maintenance, use and dispsitin f recrds, including prcesses fr capturing and maintaining evidence f and infrmatin abut business activities and transactins in the frm f recrds Recrds system Infrmatin system which captures, manages and prvides access t recrds ver time. 35

36 Internatinal Standards SUMMARY Intrductin ISO/TC 46 Infrmatin and dcumentatin ISO/TC 46/SC 11 Archives/recrds management ISO 3030x series Management Systems fr Recrds (MSRs) ISO 30300:2011 MSRs Fundamentals and vcabulary ISO 30301:2011 MSRs Requirements ISO 30302:2015 MSRs Guidelines fr implementatin Draft Internatinal Standards 36

37 Internatinal Standards ISO 30301:2011 MSR REQUIREMENTS 1 Scpe 2 Nrmative references ISO 30300, Management systems fr recrds Fundamentals and vcabulary 3 Terms and definitins Terms and definitins given in ISO apply 37

38 Internatinal Standards ISO 30301:2011 MSR REQUIREMENTS 4 Cntext f the rganizatin 4.1 Understanding f the rganizatin and its cntext Scial, legal and financial aspects f the rganizatin Key indicatrs f the rganizatin Relatins with stakehlders 4.2 Business, legal and ther requirements Legal requirements Cntractual requirements Treaties 38

39 Internatinal Standards ISO 30301:2011 MSR REQUIREMENTS 4.3 Defining the scpe f the MSR Definitin and dcumentatin f the scpe Whle f the rganizatin r Specific functins f the rganizatin Scpe fr externalized activities 39

40 Internatinal Standards ISO 30301:2011 MSR REQUIREMENTS 5 Leadership 5.1 Management cmmitment Ensuring the MSR is cmpatible with the strategic directin f the rganizatin, Integrating the MSR requirements int the rganizatin's business prcesses, Prviding the resurces t establish, implement, maintain and cntinually imprve the MSR, Cmmunicating the imprtance f an effective MSR and cnfrming t the MSR requirements, Ensuring that the MSR achieves its intended utcmes, and Directing and supprting cntinual imprvement. 40

41 Internatinal Standards ISO 30301:2011 MSR REQUIREMENTS 5.2 Plicy a) Be apprpriate t the purpse f the rganizatin, b) Prvide the framewrk fr setting recrds bjectives, c) Include a cmmitment t satisfy applicable requirements, d) Include a cmmitment t cntinual imprvement f the MSR, e) Be cmmunicated within the rganizatin, and f) Be available t interested parties, as apprpriate. 41

42 Internatinal Standards ISO 30301:2011 MSR REQUIREMENTS 5.3 Organizatinal rles, respnsibilities and authrities Management respnsibilities a) Respnsible fr ensuring that the MSR is established, implemented and maintained in accrdance with the requirements f ISO 30301:2011, b) Prmtin f awareness f the MSR thrughut the rganizatin, and c) Rles and respnsibilities defined in the MSR are prperly assigned and that the persnnel perfrming these rles are cmpetent t perfrm them. Operatinal respnsibilities a) Implementing the MSR at the peratinal level, b) Reprting t the tp management n the effectiveness f the MSR fr review, including recmmendatins fr imprvement. 42

43 Internatinal Standards ISO 30301:2011 MSR REQUIREMENTS 6 Planning 6.1 Actins t address risks and pprtunities Determine the risks and pprtunities that need t be addressed in rder t a) Assure the MSR can achieve its intended utcme(s), b) Prevent undesired effects, and c) Realize pprtunities fr imprvement. 6.2 Recrds bjectives and plans t achieve them Tp management shall ensure a) That recrds bjectives are established and b) Cmmunicated fr relevant functins and levels within the rganizatin 43

44 Internatinal Standards ISO 30301:2011 MSR REQUIREMENTS 7 Supprt 7.1 Resurces a) Assigning respnsibility t persnnel cmpetent t perfrm the rles assigned in the MSR, b) Peridic review f the cmpetencies and training f thse persnnel, and c) Maintenance and sustainability f resurces and technical infrastructure. 44

45 Internatinal Standards ISO 30301:2011 MSR REQUIREMENTS 7.2 Cmpetence a) Determine the necessary cmpetence f persn(s) ding wrk under its cntrl that affects the perfrmance f its recrds prcesses and systems, b) Ensure these persns are cmpetent n the basis f apprpriate educatin, training, and experience, c) Where applicable, take actins t acquire the necessary cmpetence and evaluate the effectiveness f the actins taken, and d) Retain apprpriate dcumented infrmatin as evidence f cmpetence. 45

46 Internatinal Standards ISO 30301:2011 MSR REQUIREMENTS 7.3 Awareness and training The rganizatin shall ensure that its persnnel are aware f a) The relevance and imprtance f their individual activities and hw they cntribute t the achievement f the MSR bjectives, b) The imprtance f cnfrmity with the MSR plicy and prcedures and with the requirements f the management system, c) The significant MSR issues and related actual r ptential impacts assciated with their wrk and the benefits f imprved persnal perfrmance, d) Their rles and respnsibilities in achieving cnfrmity with the requirements f the MSR, and e) The ptential cnsequences f departure frm specified prcedures. 46

47 Internatinal Standards ISO 30301:2011 MSR REQUIREMENTS 7.4 Cmmunicatin The rganizatin shall establish, implement, dcument and maintain prcedures fr internal cmmunicatin abut the MSR and its recrds plicy and bjectives. 7.5 Dcumentatin a) The rganizatin shall dcument its MSR, including authrized statements f: b) The scpe f the MSR; c) The plicy and bjectives; d) The relatinships between the MSR and the ther management systems; e) Dcumented prcedures as required by this Internatinal Standard; f) Dcumentatin determined by the rganizatin t be necessary t ensure the effective planning, peratin and cntrl f its prcesses. 47

48 Internatinal Standards ISO 30301:2011 MSR REQUIREMENTS 8 Operatin 8.1 Operatinal planning and cntrl The rganizatin shall determine, plan, implement and cntrl thse prcesses needed t address the risks and pprtunities 8.2 Design f recrds prcesses T establish the MSR, the rganizatin shall design the recrds prcesses: a) Analyse wrk prcesses in rder t determine the requirements fr recrds creatin and cntrl in relatin t cntinuing peratins b) Assess the risks that might be incurred thrugh failure t cntrl authentic, reliable and useable recrds f the rganizatin's business prcesses c) Specify the prcesses fr creating and cntrlling recrds and hw they are t be perfrmed in systems, and chse the technlgical tls t be used. 48

49 Internatinal Standards ISO 30301:2011 MSR REQUIREMENTS 8.3 Implementing f recrds systems a) Implement the recrds prcesses in recrds systems t meet the recrds bjectives; b) Establish regular mnitring f the perfrmance f the recrds systems against business requirements and recrds bjectives. 49

50 Internatinal Standards ISO 30301:2011 MSR REQUIREMENTS 9 Perfrmance evaluatin 9.1 Mnitring, measurement, analysis and evaluatin Evlutin f the management system Perfrmance f the management system Custmer satisfactin 9.2 Internal system audit Cnfrmity assessment f the MSR 50

51 Internatinal Standards ISO 30301:2011 MSR REQUIREMENTS 9.3 Management review The management review shall cnsider: a) The status f actins frm previus management reviews; b) Changes in external and internal issues that are relevant t the MSR; c) Infrmatin n the perfrmance f recrds prcesses and systems, including trends in 1) Nncnfrmities and crrective actins, 2) Mnitring and measurement evaluatin results, and 3) Audit results; d) Opprtunities fr cntinual imprvement. 51

52 Internatinal Standards ISO 30301:2011 MSR REQUIREMENTS 10 Imprvement 10.1 Nncnfrmity cntrl and crrective actins Identify nncnfrmities, React t the nncnfrmities Cntinual imprvement The rganizatin shall cntinually imprve the effectiveness f the MSR thrugh The use f the recrds plicy and recrds bjectives, Audit results and analysis f data, Crrective and preventive actins and Management evaluatin. 52

53 Internatinal Standards SUMMARY Intrductin ISO/TC 46 Infrmatin and dcumentatin ISO/TC 46/SC 11 Archives/recrds management ISO 3030x series Management Systems fr Recrds (MSRs) ISO 30300:2011 MSRs Fundamentals and vcabulary ISO 30301:2011 MSRs Requirements ISO 30302:2015 MSRs Guidelines fr implementatin Draft Internatinal Standards 53

54 Internatinal Standards ISO MSR GUIDELINES FOR IMPLEMENTATION Intrductin First editin: Structure f ISO 30301:2011 Prvide practical guidance On hw t implement a MSR within an rganizatin Describing the activities t be undertaken t meet the requirements f ISO Hw t dcument thse activities Fr every clause : Objective f the clause Expected utcme 54

55 Internatinal Standards ISO MSR GUIDELINES FOR IMPLEMENTATION Cntent Fr each clause f ISO this Internatinal Standard prvides: One r mre activities necessary t meet the requirements f ISO activities can be dne sequentially, and sme will need t be dne simultaneusly using the same cntextual analysis, Inputs t the activities these are the starting pints, and can be utputs frm previus activities, Outputs describing the results r deliverables n cmpletin f the activities. 55

56 Internatinal Standards ISO MSR GUIDELINES FOR IMPLEMENTATION Clause 4 Hw t perfrm the analysis needed t implement a MSR Frm this analysis the scpe f the MSR is defined, and The relatinship between implementing a MSR and ther management systems is identified. 56

57 Internatinal Standards ISO MSR GUIDELINES FOR IMPLEMENTATION Clause 5 Hw t gain the cmmitment f tp management. The cmmitment is expressed in A recrds plicy The assignment f respnsibilities Planning the implementatin f the MSR and Adpting recrds bjectives. 57

58 Internatinal Standards ISO MSR GUIDELINES FOR IMPLEMENTATION Clause 6 & 7 The planning (clause 6) is infrmed by High-level risk assessment, the cntextual analysis (4), and The resurces available (7). Clause 7 utlines the supprt needed fr the MSR, such as Resurces, Cmpetence, Training and cmmunicatin, and Dcumentatin. 58

59 Internatinal Standards ISO MSR GUIDELINES FOR IMPLEMENTATION Clause 8 Defining r reviewing and planning the recrds prcesses t be implemented. It draws n the recrds requirements and scpe (4), and Is based n the recrds plicy (5.2), The risk assessment (6) and Resurces (7) t meet the recrds bjectives (6.2) in the planned implementatin. Explains what recrds prcesses and systems need t be implemented fr a MSR. Fr undertaking the detailed design, review and implementatin f recrds prcesses and systems, recrds prfessinal(s) draw n the standards and technical reprts n recrds management issued by ISO/TC 46/SC

60 Internatinal Standards ISO MSR GUIDELINES FOR IMPLEMENTATION Clause 9 & 10 Perfrmance evaluatin and Imprvement against the Planning, Objectives and Requirements f ISO

61 Internatinal Standards SUMMARY Intrductin ISO/TC 46 Infrmatin and dcumentatin ISO/TC 46/SC 11 Archives/recrds management ISO 3030x series Management Systems fr Recrds (MSRs) ISO 30300:2011 MSRs Fundamentals and vcabulary ISO 30301:2011 MSRs Requirements ISO 30302:2015 MSRs Guidelines fr implementatin Draft Internatinal Standards 61

62 Internatinal Standards DRAFT INTERNATIONAL STANDARDS Fur majr stages PROPOSITION Fllwing an identified need, ne party intrduces a prject STUDY & PREPARATION A technical cmmittee prepares the study and presents the standards prject Average duratin : 3 years PUBLIC INQUIRY & APPROBATION The standards prject underges public inquiry then it is presented fr validatin PUBLICATION The valid standard is then published 62

63 Internatinal Standards DRAFT INTERNATIONAL STANDARDS The varius stages (ISO prcedure fr standardizatin design (CEN prcedure is identical) Stade préliminaire (00) Stade publicatin (60) Stade prpsitin (10) Stade apprbatin (50) Stade préparatire (20) Stade enquête (40) Stade cmité (30) 63

64 Internatinal Standards DRAFT INTERNATIONAL STANDARDS Details Stage Name f prject Operatin Apprbatin 00 Preliminary stage Preliminary Wrk Item (PWI) Inscriptin f a Preliminary Wrk Item n the agenda f a TC/SC Majrity f (P) members Average duratin 10 - Prpsal stage 20 - Draft stage 30 Cmmittee stage New Prpsal (NP) Submissin f vting prpsal t the members f the TC/SC cncerned - Majrity f simple (P) members - > 5 (P) members participants Wrking Draft (WD) Establishment f a wrking grup - Cmmittee Draft (CD) Diffusin f the prject fr cmments and vtes amng the (P) members f the TC/SC Agreement n cnsensus Defined by a wrking grup 40 Inquiry stage Draft Internatinal Standard (DIS) Distributin f the standards prject (DIS) t all cmmittees in ISO fr vtes and cmments - 2/3 f (P) members du TC/SC 5 mnths 50 Apprbatin stage Final Draft Internatinal Standard (FDIS) Distributin f the final draft (FDIS) t all cmmittee members f ISO fr final vte by YES r NO - Negative Vtes < 1/4 f ttal vtes 2 mnths 60 - Publicatin stage Internatinal Standard (IS) The internatinal standard is published - 64

65 Internatinal Standards DRAFT INTERNATIONAL STANDARDS Peridical review f the standards Publicatin f the standard (Stage 60) 3 years Review f the standard by all cmmittees f the ISO (Stage 90) Cnfirmatin Revisin Annulatins Then, all standards are reviewed every 5 years by all cmmittees f the ISO 65

66 Internatinal Standards DRAFT INTERNATIONAL STANDARDS 66

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