Standards for the RIM Profession

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Standards for the RIMProfession

• Diane K. Carlisle, CRM
• ARMA International
• Director, Professional Resources

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What well cover

• Standards development methods
• Standards with RIM relevance
• Brief description of the standards
• Compliance and assessment
• Where to find more

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What is a standard?

• A model method, material or practice
• Developed through consensus
• Created by experts in the field
• When followed, leads to results that are
• consistent
• predictable
• desirable

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Industry cooperation

• Pros
• balanced perspectives
• consensus process
• objectivity

• Cons
• slow development time
• voluntary compliance

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Government / legislative

• Pros
• faster development time
• best solutions for government needs
• compliance required

• Cons
• may not be applicable to private organizations

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Market dominance

• Pros
• fastest to market
• financial incentive for developers

• Cons
• subjective in nature
• may not be portable to other environments
• may be biased to developers views

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Standard, Tech Report or Guideline?

• What process is used?
• Balance
• Consensus
• Who sponsors the standard?
• Level of authority
• Emerging vs. mature subject areas

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Are standards mandatory?

• Role of ANSI ISO
• Recognize developers
• Monitor process
• Not compliance
• Distribute standards
• Some exceptions
• Legislation
• Market requirement

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The short tour -- RIM standards
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ISO 15489 What it covers

• Benefits of RIM
• Policy Statement
• Legal / regulatory requirements
• Responsibilities / accountability
• Authentic / reliable records
• Process and control requirements
• Monitoring / auditing programs

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Other ISO Standards

• ISO TC 46 / SC11 Records Management
• Metadata (ISO TS 23081 1)
• Access rules
• Evaluation / review of ISO 15489
• ISO 9000 Quality Assurance
• ISO 14000 Environmental
• ISO 17799 Information Security
• ISO TC 171 Document Imaging

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ARMA Standards

• Standards
• Glossary of RM Terms (ANSI/ARMA 10-1999)
• Establishing Alpha, Numeric Subject Filing
  Systems (ANSI/ARMA 12-2005)
• Vital Records Programs (ANSI/ARMA 5-2003)
• Requirements for Managing E-mail (ANSI/ARMA
  9-2005)
• Retention Management for Records Information
  (ANSI/ARMA 8-2005)

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ARMA Technical Reports

• Technical Reports
• Records Center Operations (ANSI/ARMA TR-01-2002)
• Framework for Integration of Electronic Document
  Management Systems and Electronic Records
  Management Systems (ANSI/AIIM/ARMA TR48-2004)

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ARMA Guidelines

• Guidelines for Physical Records Storage
  Assessment and RFP Checklists
• Free trial use / evaluation through June, 2005

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ARMA On-going Work

• Role of RM in Litigation Support
• Conversion/Migration Criteria
• Controlled Language in RIM
• Outsourcing the Management of Electronic Records
  Storage
• Review/comment other industry standards

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Microfilm / Imaging

• ANSI/AIIM Standards/Practices
• cores, spools, cartridges
• resolution test charts
• inspection / quality procedures
• workplace safety for processors
• ANSI/NISO
• Info on microfiche headers

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Microfilm, imaging cont.

• ISO 189112000
• Imaging materials -- Processed safety
  photographic films -- Storage practices
• ANSI/AIIM MS61-1996
• Application Programming Interface (API) for
  Scanners in Document Imaging Systems
• ANSI/AIIM TR15-1997
• Planning Considerations, Addressing Preparation
  of Documents for Image Capture

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Electronic Records

• DoD 5015.2
• PRO
• VERS
• MOREQ
• Electronic signatures
• CAN/CGSB-72.34 Electronic Records as Documentary
  Evidence

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Records Centers

• NFPA 232 -- Protection of Records
• NARA -- 36 CFR, Subchapter B, Part 1228, Subpart
  K
• ARMA Technical Report -- Records Center
  Operations
• NISO TR01-1995 Environmental Guidelines for
  storage of paper records

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Data Description

• EAD (Encoded Archival Description)
• lcweb.loc.gov/ead/ (December 2002)
• Metadata
• Dublin Core Metadata Set
• bridges.state.mn.us/bestprac/index.html
• www.niso.org/news/Metadata_simpler.pdf
• XML
• PDFA

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What about compliance?

• Self-assessment
• Lots of sources
• RIM e-Assessment (ARMA / NetDiligence)
• Outside perspective
• Internal Audit
• External Auditor
• Registration / Certification

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Test sections
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Example Test Section
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Summary Scorecard
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Sources for RIM standards

• ARMA International
• AIIM
• NFPA (National Fire Protection Assn)
• NISO (National Information Standards
  Organization)
• NIRMA
• ISO TC46
• ISO TC171

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Web Sites of Interest

• www.standardsmall.org (NSSN database)
• www.ansi.org
• www.iso.ch
• dublincore.org/
• vers.imagineering.com.au/
• www.archives.gov/records_management/index.html
• www.arma.org/standards
• www.arma.org/bookstore

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NSSN Database Search Options Document Number or
Partial Number Title Word Term(s) anywhere in
the recordCommittee Responsible Multiple
Database Search National/Regional
Standards US Standards in Development ISO/IE
C/ITU Approved Standards ISO/IEC
Development US DoD Approved Standards US
DoD Development Projects
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NSSN Sample Record Document Number ANSI/AIIM
MS23-1998 Title Microfilm of Documents,
Operational Procedures/Inspection Scope
Identifies and discusses the qualitative
characteristics of first-generation
silver-gelatin microforms and the methods to
attain, maintain, and measure levels of quality.
Publication Date 6/2/1998 Ansi Approved
Yes Date file last updated on NSSN 2/27/03
80831 AM SDO Approval Date Not
Available ANSI Approval Date 6/2/1998 Ordering/
Download Information Price Format Location US
Unknown PDF ANSI Electronic Standards Store
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Ways to get involved

• Task forces
• Public review/comment
• Review/evaluate standards
• Standards Development Committee
• Suggest new standards

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Questions?

• ARMA HQ
• dcarlisl_at_arma.org
• www.arma.org
• 888-298-6781