MIND MAPPING FUNCTIONS FOR MANAGING INFORMATION, RECORDS AND ARCHIVES 45th SIO Meeting, Bruxelles, 21 May 2019 MIND MAPPING FUNCTIONS FOR MANAGING INFORMATION, RECORDS AND ARCHIVES Stephen Haufek United Nations Giovanni Michetti Sapienza University of Rome In collaboration with Eng Sengsavang (UNESCO) Jens Boel (former UNESCO)

AGENDA Ontology Mind Map Survey 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

ONTOLOGY: THE SOURCES ARMA International. Generally Accepted Recordkeeping Principles. 2014 Society of American Archivists. Core Archival Functions. 2016 ISO 14641−1:2012 Electronic archiving—Part 1: Specifications concerning the design and the operation of an information system for electronic information preservation ISO 14721:2012 Space Data and Information Transfer Systems—Open Archival Information System (OAIS)—Reference Model ISO 15489−1:2016 Information and documentation—Records management—Part 1: Concepts and principles ISO/TR 15489−2:2001 Information and documentation—Records management—Part 2: Guidelines ISO/TR 15801:2017 Document management—Electronically stored information—Recommendations for trustworthiness and reliability ISO 16175−1:2010 Information and documentation—Principles and functional requirements for records in electronic office environments—Part 1: Overview and statement of principles ISO 16175−2:2011 Information and documentation—Principles and functional requirements for records in electronic office environments—Part 2: Guidelines and functional requirements for digital records management systems ISO 16175−3:2010 Information and documentation—Principles and functional requirements for records in electronic office environments—Part 3: Guidelines and functional requirements for records in business systems ISO 16363:2012 Space data and information transfer systems—Audit and certification of trustworthy digital repositories ISO 23081−1:2017 Information and documentation—Records management processes—Metadata for records—Part 1: Principles ISO 23081−2:2009 Information and documentation—Managing metadata for records—Metadata for records—Part 2: Conceptual and implementation issues ISO/TR 26122:2008 Information and documentation—Work process analysis for records ISO/IEC 27000:2016 Information technology—Security techniques—Information security management systems—Overview and vocabulary ISO/IEC 27001:2013 Information technology—Security techniques—Information security management systems—Requirements ISO/IEC 27002:2013 Information technology—Security techniques—Code of practice for information security controls ISO 30300:2011 Information and documentation—Management systems for records—Fundamentals and vocabulary ISO 30301:2011 Information and documentation—Management systems for records—Requirements ISO 30302:2015 Information and documentation—Management systems for records—Guidelines for implementation 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

ONTOLOGY: ANALIZING THE SOURCES ISO 15489-1 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

ONTOLOGY: ANALIZING THE SOURCES Information can be managed as record Record is evidence of business activity Record is information asset RM encompasses creating records RM encompasses capturing records RM encompasses protecting authenticity, reliability, … Metadata is data describing context, content and structure of records Metadata is data describing the management of records RM is supported by records systems Metadata is an essential component of record 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

ONTOLOGY: ANALIZING THE SOURCES Subject Predicate Object Record Is evidence of Business activity [A4] Is Information asset [A4] Information Can be managed as Record [A4] Records management Encompasses Creating records [to meet requirements for evidence] [A4] Capturing records [to meet requirements for evidence] [A4] Protecting authenticity, reliability, integrity and useability [A4] Is supported by Records systems [A4] Metadata Data describing context, content and structure of records [A4] Data describing the management of records [A4] Essential component of record [A4] 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

ONTOLOGY OF FUNCTIONAL ACTIVITIES FOR ARCHIVAL SYSTEMS 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

ONTOLOGY OF FUNCTIONAL ACTIVITIES FOR ARCHIVAL SYSTEMS A = ISO 15489-1 B = GARP C = ISO 23081-2 D = ISO 16175-1 E = CAF F = OAIS G = ISO 30300 H = ISO 30301 I = ISO 30302 J = ISO 16175-3 K = ISO 16175-2 L = ISO 15489-2 M = ISO 23081-1 N = ISO 16363 O = ISO 14641-1 P = ISO 26122 Q = ISO 15801 R = ISO 27000 S = ISO 27001 T = ISO 27002 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

ONTOLOGY OF FUNCTIONAL ACTIVITIES FOR ARCHIVAL SYSTEMS 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

Mind Map 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

INFORMATION, RECORDS, AND ARCHIVES MANAGEMENT: MIND MAP 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

Survey 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

QUESTIONNAIRE Integrated/Comprehensive Approaches to Information, Records & Archives Management The purpose of this survey is to assess how information, records and archives management are integrated within organisations. It has been developed specifically with information professionals from International Organisations (IOs) in mind (primarily records managers and archivists), although it may be completed by others. The intention of the survey is to gauge the extent to which key functions that are identified in international standards on information, records and archives management are actually present in IOs. Furthermore, the survey will allow us to assess the degree to which information, records and archives management functions are integrated with each other; whether there are tools, policies, and/or frameworks that support their integration; and which organisational units are responsible for specific functions. This information can, on the one hand, inform the development of future standards by identifying possible gaps in them, and on the other hand, inform the development of information, records and archives management capacity in IOs by identifying organisational gaps. The results of the survey will be used for scholarly purposes and may inform the development of a chapter within a publication on recordkeeping in IOs (forthcoming from Routledge in 2020). The functional areas identified in the survey are based on the Ontology of Functional Activities for Archival Systems, developed by Giovanni Michetti and Georg Gänser for InterPARES Trust. The survey should take about 20 minutes, depending on the level of description you wish to include in the text fields. Consent and Confidentiality Statement: Your participation in this survey is entirely voluntary. If you decide to participate, you may withdraw at any time. You will not be penalized if you decide not to participate or if you withdraw at any time. Your information will be kept confidential. The survey will not contain information that will personally identify you, and any use of the survey data will be anonymized. If you have questions about the research study, please contact: Stephen Haufek (haufek@un.org) and Giovanni Michetti (giovanni.michetti@uniroma1.it). 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

1. INTERNATIONAL ORGANIZATIONS If you are affiliated to an International Organization, please click on the following link: https://docs.google.com/forms/d/e/1FAIpQLSfrWieMOSmmtc7CVFA VFORZBfO-TdF-cs3z61KKW-amJ2TsdA/viewform Otherwise, click on the button below to proceed in the survey 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

2. INTEGRATED VS SPECIALIZED Please provide your view on the following statement: Information, records, and archives management should be considered as components of one integrated programme or system Is there an information governance framework that includes records and archives management in your organisation? Is there a system (or integrated systems) that manage the information lifecycle from creation through disposition, including the management of records and archives in accordance with best practice (e.g. application of retention schedules, access to records under organisational policy, arrangement and description of archives, digital preservation) in your organisation? Is accountability for information, records, and archives management integrated into one organisational unit – e.g. Archives and Records Management Section or under the Chief of Information and Communications Technology? Is the capacity for these functions within your organisation sufficient? Please share your views on the interrelationship between information management, records management, and archives management 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

3. COMPREHENSIVE Do you think that the functions depicted in the diagram address all the areas that need to be covered within a comprehensive information, records, and archives management ecosystem? If no, which further areas need to be addressed? On a scale from 1 to 10 to what extent is each function in the diagram addressed in your organisation? On a scale from 1 to 10 to what extent are these functions addressed by separate organisational units? On a scale from 1 to 10 to what extent does each function need to be improved within your organisation? 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

4. TOOLS Do you think that the tools for managing your organization’s data should be integrated in what could be described as a global content management ecosystem? If yes, please explain how far your organization has come towards achieving this objective If no, please explain why using specialized tools that are not integrated is preferable 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

5. STANDARDS Do international standards help you carry out your activities in the fields of information, records, and/or archives management? If yes, please identify which standard(s) you refer to and explain how they are useful from an operational and/or policy perspective. Do you think that an international, high-level standard, designing an integrated and comprehensive information, records and archives management system would be useful? If yes, please explain how in relation to your organization 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

6. EFFECTIVENESS On a scale from 1 to 10 how would you rate the effectiveness of your organization’s approach to information, records and archives management on the implementation of its mandate? Please describe how the improvement of any functional areas in the field of information, records and/or archives management, would increase the delivery of your organization’s mandate. 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

RESPONSES INTERNATIONAL ORGANIZATIONS 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

INTEGRATED VS SPECIALIZED [IOs] INTEGRATED VS SPECIALIZED 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

INTEGRATED VS SPECIALIZED [IOs] INTEGRATED VS SPECIALIZED 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

INTEGRATED VS SPECIALIZED [IOs] INTEGRATED VS SPECIALIZED 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

INTEGRATED VS SPECIALIZED [IOs] INTEGRATED VS SPECIALIZED 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

INTEGRATED VS SPECIALIZED [IOs] INTEGRATED VS SPECIALIZED 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

INTEGRATED VS SPECIALIZED [IOs] INTEGRATED VS SPECIALIZED Please share your views on the interrelationship between information management, records management, and archives management: An overall view and integration of data, information and records / archives management should be beneficial Integration is crucial within the digital records world RM&A functions under one team, library and knowledge management functions under separate teams They should be under one single umbrella This interrelation is absolutely needed due to the shift from paper to digital and the integrated management of digital information throughout its entire lifecycle Information management is a whole that encompasses both document management and communication and other information services as IT, in which the RMA is a subgroup managing what is essential to the organization to hold in a sustainable and controlled way Very interrelated, but difficult to practically bring together It all should be integrated and functions/works as one IM is a very broad umbrella covering RM and Archives, as well as many other responsibilities and activities such as library collections management, data management, document management, etc. 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

[IOs] COMPREHENSIVE 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

[IOs] COMPREHENSIVE 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

[IOs] COMPREHENSIVE On a scale from 1 to 10 to what extent is each function in the diagram addressed in your organisation? 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

[IOs] COMPREHENSIVE On a scale from 1 to 10 to what extent is each function in the diagram addressed in your organisation? 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

[IOs] COMPREHENSIVE On a scale from 1 to 10 to what extent is each function in the diagram addressed in your organisation? 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

[IOs] COMPREHENSIVE On a scale from 1 to 10 to what extent are the functions addressed by separate organisational units? 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

[IOs] COMPREHENSIVE On a scale from 1 to 10 to what extent does each function need to be improved within your organisation? 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

[IOs] COMPREHENSIVE On a scale from 1 to 10 to what extent does each function need to be improved within your organisation? 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

[IOs] COMPREHENSIVE On a scale from 1 to 10 to what extent does each function need to be improved within your organisation? 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

[IOs] TOOLS 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

[IOs] TOOLS 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

[IOs] TOOLS 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

[IOs] STANDARDS 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

[IOs] STANDARDS 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

[IOs] STANDARDS 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

[IOs] STANDARDS 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

[IOs] EFFECTIVENESS 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

[IOs] EFFECTIVENESS 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

RESPONSES GENERAL 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

INTEGRATED VS SPECIALIZED 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

INTEGRATED VS SPECIALIZED 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

INTEGRATED VS SPECIALIZED 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

INTEGRATED VS SPECIALIZED 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

INTEGRATED VS SPECIALIZED 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

INTEGRATED VS SPECIALIZED Please share your views on the interrelationship between information management, records management, and archives management: Silo Sometimes information and records management are not adequately interrelated. On the other hand digital preservation has been integrated into the ERMS. They are intrinsically linked and should be thought of as such to streamline management processes essential to have all three at one table and if possible as common decision makers I think that records management is over. Information governance is really the framework to work under and archives are a key part of that. None work effectively, efficiently, or productively without the input from the others I believe to have a comprehensive RIM and Archives programmes the two domains need to work together. I believe these disciplines should be handled in a smooth flow, with clear hand-offs from one to the other. There is much waste within an organization if such an overall approach is not happening on a daily basis. The waste affects not just those engaged in information, management records management and archive management, but can have negative effects on the company's legal needs, marketing communications, accounting, morale and culture. Some of the issues we are facing is linked to accountability amongst the producers of information 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

COMPREHENSIVE 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

COMPREHENSIVE 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

COMPREHENSIVE On a scale from 1 to 10 to what extent is each function in the diagram addressed in your organisation? 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

COMPREHENSIVE On a scale from 1 to 10 to what extent is each function in the diagram addressed in your organisation? 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

COMPREHENSIVE On a scale from 1 to 10 to what extent is each function in the diagram addressed in your organisation? 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

COMPREHENSIVE On a scale from 1 to 10 to what extent are the functions addressed by separate organisational units? 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

COMPREHENSIVE On a scale from 1 to 10 to what extent does each function need to be improved within your organisation? 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

COMPREHENSIVE On a scale from 1 to 10 to what extent does each function need to be improved within your organisation? 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

COMPREHENSIVE On a scale from 1 to 10 to what extent does each function need to be improved within your organisation? 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

TOOLS 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

TOOLS 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

TOOLS 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

STANDARDS 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

STANDARDS 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

STANDARDS 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

STANDARDS 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

EFFECTIVENESS 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

EFFECTIVENESS 45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

Thank you!  haufek@un.org giovanni.michetti@uniroma1.it