Future Publications on IT-021 Work Program. Presented by Judith Ellis

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1 Future Publications on IT-021 Work Program Presented by Judith Ellis

2 KEY DIRECTIONS FOR IT Performance Management Framework for Recordkeeping Records programs and standards that are used to determine compliance. 2. Recordkeeping as a Business Process If records are a by-product of business activities then embedding or integrating recordkeeping and document management processes into the business processes in which they participate should enable systematic, proactive business-centric and compliant recordkeeping to be achieved.

3 KEY DIRECTIONS FOR IT Recordkeeping for Small Business Publications directed to the needs of small business. It should embrace the what, when and how to essentials of recordkeeping in the form of guidance to non-specialists. It should help owner/managers of small businesses identify the areas of legal compliance, risk and operations where good records are not only essential but enhance the organisation s efficiency, and provide directions on what records to make and how to keep them 4. Recordkeeping as a Business Systems Strategies to undertake recordkeeping directly within a business system. Address techniques for: assessing the risks, benefits and suitability of adopting such a strategy; identifying transactions and records that occur within business systems; applying recordkeeping controls to records managed in the business systems, etc

4 WHERE NEXT? POTENTIAL ADOPTIONS YOUR INPUT ISO Management system for records Guidelines for implementation ISO Information and documentation Records management Part 1: General ISO Information and documentation Records management Part 2: Guidelines ISO TR Risk Assessment for records processes and systems ISO Digital records conversion and migration process

5 WHERE NEXT? NEW WORK - YOUR INPUT & IDEAS? IT-021 (Standards Australia & NZ) AS NZS X - Australian Recordkeeping Metadata Element Set AS NZS 4501 document control SA/NZS HB 116 Recordkeeping for Small Businesses & Organisations

6 HANDBOOK ON RECORDKEEPING FOR SMALL BUSINESSES & ORGANISATIONS JOINT PROJECT Purpose To provide small organisations and small business with information on how to establish good recordkeeping practices or systems to support their establishment, operations, and growth While small organisations are considered in the development of standards and technical reports, it is admitted that small businesses and organisations may struggle to apply the concepts to their operations Yet small organisations have the same need to make and keep records which are adequate to their purposes and accessible for as long they are needed

7 HANDBOOK ON RECORDKEEPING FOR SMALL BUSINESSES & ORGANISATIONS JOINT PROJECT Scope Establishment and regulatory issues To explain why and how records are used to establish the legal authority to trade and operate, and the reasons records are needed to provide an authority to establish, operate and trade. Recordkeeping and managing systems for records To explain the components of creating and organising systems to manage records, tailored to the issues and needs of small businesses and organisations.

8 HANDBOOK ON RECORDKEEPING FOR SMALL BUSINESSES & ORGANISATIONS JOINT PROJECT Scope Operational efficiencies To identify the efficiencies associated with systematic recordkeeping and how records are needed and used to support their operations Planning and Growth To explain how the information captured in recordkeeping systems can be used to plan and drive growth strategies and/or deliver customer and community services Checklists (to be determined) To assist small organisations, establish, plan and manage a recordkeeping system

9 ADOPTION OF ISO TR RISK ASSESSMENT FOR RECORDS PROCESSES & SYSTEMS Recordkeeping is itself a risk abatement measure but where do we deal with managing risk to the records? New international technical report covers this gap in our standards ISO TR sets out a structured and systematic method of identifying and evaluating risks in recordkeeping, to be incorporated into an organisation s overall risk management program. The new TR approved the adoption as a joint AS/NZ TR. It: Follows ISO methodology Follows structural analysis of MSRs Includes a checklist to assist identification of risks useable by non- records specialists The modifications are changes in terms. We hope the project will be approved in May this year.

10 YOUR IDEAS & INPUT Input to balloting and commenting process via your professional associations Ideas for new products (standards or guidelines) Ideas on how to make existing products more useful (understandable, scaleable, applicable)

11 ACKNOWLEDGEMENT ISO material quoted in this paper are extracts from the relevant cited standard, or based on it, and is reproduced with permission from SAI Global Ltd under Licence 1208 c030 and 1407-c120. The Standards can be purchased online at:

12 THANK YOU