1. 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)

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

3. 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)

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

5. 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)

6. 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)

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

8. ONTOLOGY OF FUNCTIONAL ACTIVITIES FOR ARCHIVAL SYSTEMS
A = ISO B = GARP C = ISO D = ISO E = CAF F = OAIS G = ISO H = ISO I = ISO J = ISO K = ISO L = ISO
M = ISO N = ISO O = ISO P = ISO Q = ISO R = ISO S = ISO T = ISO 27002
45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

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

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

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

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

13. 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 and Giovanni Michetti
45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

14. 1. INTERNATIONAL ORGANIZATIONS
If you are affiliated to an International Organization, please click on the following link:
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)

15. 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)

16. 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)

17. 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)

18. 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)

19. 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)

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

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

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

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

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

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

26. 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)

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

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

29. [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)

30. [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)

31. [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)

32. [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)

33. [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)

34. [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)

35. [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)

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

37. [IOs]
TOOLS
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38. [IOs]
TOOLS
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39. [IOs]
STANDARDS
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40. [IOs]
STANDARDS
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41. [IOs]
STANDARDS
45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

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

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

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

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

47. INTEGRATED VS SPECIALIZED
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48. INTEGRATED VS SPECIALIZED
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49. INTEGRATED VS SPECIALIZED
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50. INTEGRATED VS SPECIALIZED
45th SIO Meeting, Bruxelles, 21 may 2019 (Haufek & Michetti)

51. 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)

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

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

54. 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)

55. 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)

56. 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)

57. 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)

58. 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)

59. 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)

60. 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)

61. TOOLS
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62. TOOLS
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63. TOOLS
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64. STANDARDS
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65. STANDARDS
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66. STANDARDS
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67. STANDARDS
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68. EFFECTIVENESS
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69. EFFECTIVENESS
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70. Thank you! 