Statement of Knowledge for the Archives, Records and Information Management professions (working title) Contents Executive summary................................................................................................................ 2 Introduction ............................................................................................................................ 3 Broader context of the statement of knowledge ................................................................ 3 What do Archivists, and Records and Information Managers do? .................................... 4 What are their responsibilities? .......................................................................................... 5 The professional knowledge domains .................................................................................... 7 Underpinning knowledge domain of theory and principles ............................................... 7 Knowledge Domain 1: Purposes and characteristics of records and systems ................... 8 Knowledge Domain 2: Context ......................................................................................... 9 Knowledge Domain 3: Processes and practice ................................................................ 10 Conclusion ........................................................................................................................... 12 Appendix: Summary matrix of recordkeeping knowledge domains ................................... 15 Figures Figure 1: Place of the statement of knowledge within broader frameworks ............................. 4 Figure 2: Concept diagram of the interlocking knowledge domains ......................................... 7 Tables Table 1: Examples of professional knowledge about context ................................................... 9 Table 2: Examples of professional knowledge about processes and practice ......................... 10 Table 3: Stakeholder use of the Statement of Knowledge ....................................................... 12 Table 4: Resources for knowledge building and career development ..................................... 13 Exposure draft of 2 August 2012 1 Executive summary The statement of knowledge for the archives, and records and information management professions (referred to as statement of knowledge) identifies the specialist body of theory, and the standards, principles, ethics and practices that are required: by professional practitioners who have responsibilities for archives, records and information (content) in business; by communities; or by individuals or organisations who need to understand the value of sound information governance to support their goals and carry out their responsibilities. A statement of knowledge is a guiding document that helps define the responsibilities of a profession or discipline. A statement of knowledge codifies the body knowledge that distinguishes a profession and can promote understanding of the role undertaken by professionals within the industry and beyond to professions who engage with; and to the wider society. This statement of knowledge codifies the body of knowledge for the archives, and records and information profession. Executives and managers can use the statement in a variety of ways to develop archives and records and information management roles and frameworks. Reasons why specialist knowledge for this profession is codified include to: provide a baseline of knowledge and skills required to work in all information environments in the workplace and across the information community, build awareness beyond the profession to the wider community of the contribution of archives and records and their role in society, highlight how professionals can assist those who are custodians of archives, records and memories, including Indigenous knowledge paradigms, inform employers about archives, records and information management roles and responsibilities to meet legislative requirements, support development of governance and information management frameworks within organisations inform the design and review of educational programs, assessment and accreditation in supporting the membership of professional associations, help potential students and practitioners make decisions about education, vocational training, career options and compulsory professional development. This statement of knowledge has a diverse audience including practitioners at any stage of their career to guide knowledge development, to expand expertise and to advise others what is unique about the profession, students or practitioners from other disciplines considering a career in the field, employers seeking to develop corporate level governance, technology and information frameworks, build programs and projects, recruit professionals and identify skill needs community custodians to provide awareness of roles needed to care for archives, records and memories, tertiary institutions, educators and trainers requiring guidance for course development and accreditation from professional associations, career and employment advisors Exposure draft of 2 August 2012 2 Introduction The statement of knowledge is divided into several parts. 1. 2. 3. 4. This introduction which explains some key concepts and its sources. A description of the work undertaken by professional practitioners. A description of professional knowledge divided into four domains, including a summary matrix. A summary of resources for further reference. This statement of knowledge is a collaborative endeavour of the Australian Society of Archivists Inc. (ASA) and the Records and Information Management Professionals Australasia (RIM Professionals Australasia). The Statement was approved by the ASA Council in [insert date] and the RIM Professionals Australasia Board on [insert date]. It replaces the Statement of Knowledge for Recordkeeping Professionals approved in 2006. A review is scheduled for 2015. This statement of knowledge identifies the specialist body of theory, and the standards, principles, ethics and practices that are required by practitioners who have responsibilities for archives, records and information content in business or community environments. This specialist knowledge is based on records continuum concepts,1 which place records in multiple organisational and community contexts or dimensions, and allow practitioners to move between contexts, including different organisations and recordkeeping environments. Broader context of the statement of knowledge The statement of knowledge draws on a number of resources including AS ISO 15489 - 2002 Records Management2, BSB07 Business Services (Recordkeeping) Training Package,3 an archival unit of competency in the CUL11 Library, Information and Cultural Services Training Package4 and the Universal Declaration on Archives.5 The Statement of Knowledge also draws on the intent of protocols and treaties most relevant to Indigenous communities in the Australasian context.6 The statement of knowledge sits within broader community needs and expectations and frameworks of theory, ethics, research, practice and education, as illustrated in Figure 1 below. 1 Upward, F. (1996). ‘Structuring the Records Continuum Part One: Post-custodial Principles and Properties’. Archives and Manuscripts, 24, no. 2, pp.268 – 285. Upward, F. (1997). ‘Structuring the Records Continuum Part Two: Structuration Theory and Recordkeeping’. Archives and Manuscripts, 25, no. 1, pp.10 – 35. 2 Standards Australia (2002). AS ISO 15489 – 2002 Records Management. Sydney: Standards Australia. 3 Innovation and Business Skills Australia (IBSA) (2008). BSB07Business Services (Recordkeeping) Training Package. Melbourne: IBSA. The training package is also available at: http://training.gov.au/Training/Details/BSB07 4 Innovation and Business Skills Australia (IBSA). (2011). CUL11 Library, Information and Cultural Services Training Package. Melbourne: IBSA. The training package is also available at: http://training.gov.au/Training/Details/CUL11 5 International Council on Archives, Section on Professional Associations (2010). Universal Declaration on Archives. http://www.ica.org/6573/reference-documents/universal-declaration-on-archives.html 6 The Aboriginal and Torres Strait Islander Library and Information Resources Network. (2005). ATSILIRN protocols. http://www1.aiatsis.gov.au/atsilirn/protocols.atsilirn.asn.au/index6df0.html?option=com_content&task=blogc ategory&id=0&itemid=6; Treaty of Waitangi – Te Tiriti o Waitangi. Archives New Zealand website. http://www.archives.govt.nz/exhibitions/treaty. Exposure draft of 2 August 2012 3 Broader frameworks of a Statement of Knowledge Theory Business and society needs & expectations Ethics Association goals & mission Research Standards Learning theories Practice Statement of Knowledge Accreditation Learning pathways Professional development Tertiary qualifications Qualifications framework Vocational qualifications Figure 1: Place of the statement of knowledge within broader frameworks What do Archivists, and Records and Information Managers do? The roles, descriptions, and contexts in which archives, records and information management professionals engage are diverse, reflected by a wide range of labels or descriptors. These are constantly changing but are still founded on records continuum concepts. What is common to these roles is that the digital environment increasingly dominates the work, the skills and knowledge needed and how professionals interact with the wider society. The following examples of roles are indicative only: Archivist Archives Officer Information Manager Information Professional Knowledge Manager Records Officer Records and Information Manager Records Manager Archivists, and records and information managers have a primary role to consciously manage records in accordance with rules and standards from the moment the records are created or received until they no longer possess any on-going value, a concept described as recordkeeping: “[Recordkeeping is about] making and maintaining complete, accurate and reliable evidence of business transactions in the form of recorded information”.7 The concepts of records and archives and recorded information in postmodern thinking are not restricted to documentary evidence but come in many forms including: “orality, literature, art, artefacts, the built environment, landscape, dance, ceremonies and ritual”.8 7 Bettington, J. et al. (2008) Keeping Archives (3rd edn). Canberra: Australian Society of Archivists, p. 636. S. McKemmish, A. Gilliland-Swetland & E. Ketelar. (2005). ‘Communities of memory’: Pluralising archival research and education agendas. Archives and Manuscripts, 33/1, May, p. 153. 8 Exposure draft of 2 August 2012 4 What are their responsibilities? Archivists, and records and information managers support societies, communities and organisations as they try to make meaning out of decisions, actions and memories. Archivists, and records and information managers provide an essential bridge between the past, present and future dimensions in which records and their contexts belong. Responsibilities include the following: 1. Establish, manage and maintain recordkeeping frameworks that: enable accountability and governance; preserve memory and identity; and enable analysis and interpretation of information content for business and individual needs. 2. Establish, manage and maintain recordkeeping processes and systems that: capture, maintain and provide authentic, reliable, accessible and trusted records of community and business activities; and meet the needs and expectations of individuals, organisations and communities. 3. Apply theory and practice through ethical behaviour, set down in codes of practice or conduct. 4. Engage in advocacy to promote awareness and understanding of the importance and value of information for business, personal and community purposes and to ensure this information is cared for and preserved. 5. Be sensitive to community concepts of recordkeeping including Indigenous concepts of knowledge that are not based on written or photographic documentary evidence, but might exist through storytelling, dance, art, textiles, digitisation of existing memories or social media. The fundamental knowledge needed to fulfil these responsibilities includes: the purposes and characteristics of records and recordkeeping systems the context in which recordkeeping occurs the legislation, standards and regulations that provide recordkeeping governance recordkeeping processes and practices Archivists, and records and information managers also need to have management and transferable skills that complement specialist knowledge, though these are not unique to these professions. Beginning practitioners may not commence their career with all these skills, but will build capability over time. An experienced or senior practitioner working in a specialist or leadership role would be expected to have these skills. An indicative range of skills is listed below, but they are not examined in detail in this statement.9 Business analysis and audit Communication and interpersonal skills Development of governance and information frameworks Digital literacy to manage and use multiple technologies Financial and budgetary management Human resource management 9 These references have more detail about management related skills and knowledge. ARMA International (2007). Records and information management core competencies. http://www.arma.org/competencies/document.cfm; Australian Public Service Commission (2004). The integrated leadership system. http://www.apsc.gov.au/ils/ils.pdf; IBSA (2008), BSB07 Business Services Training Package; Special Libraries Association. (2003). Competencies for Information Professionals of the 21st Century. http://www.sla.org/content/learn/members/competencies/index.cfm. Exposure draft of 2 August 2012 5 Information and statistical analysis, manipulation and dissemination Leadership and mentoring capabilities Project management Research methods Risk assessment Training and development For more formation about roles and responsibilities in these professions see Archival Profession and the Records and Information Management Profession Exposure draft of 2 August 2012 6 The professional knowledge domains The description of professional knowledge that follows is divided into knowledge domains, including a summary matrix. The conclusion highlights links to a range of resources for further information. The statement of knowledge is structured around integrated concepts of theory, principles, ethics and practice. Theory and principles explain the reasons for a course of action, ethics guide how practitioners approach that course of action and practice shows what the course of action could be. Through a structure of inter-related knowledge domains, this statement seeks to show the interaction of theory, principles, ethics and practice. The body of knowledge is presented in three knowledge domains with a core underpinning domain. Underpinning knowledge domain of theory and principles Knowledge domain 1: Records and recordkeeping systems Knowledge domain 2: Context Knowledge domain 3: Recordkeeping processes and practices The knowledge domains are interconnected so not fixed by clear boundaries. Figure 2 below illustrates how the four knowledge domains are integrated and how they exist through different time periods and in multiple contexts at the same time. Time Recordkeeping processes & practice Context Space Theory & Principles Space Records & Recordkeeping systems Time Figure 2: Concept diagram of the interlocking knowledge domains The knowledge domains are explored below and summarised in a matrix at Figure 3 (will be hyperlinked) are indicative of the rich body of knowledge that forms the basis of these professions. Underpinning knowledge domain of theory and principles This knowledge domain outlines the underpinning body of theory and principles. Today’s theories are embodied in AS ISO 1548910, but practitioners also need to know about theories that informed archives, records and systems in the past. Theory and principles are independent of how records are created and maintained over time, and are not tied to historical or current environments or 10 Standards Australia (2002). AS ISO 15489 – 2002. Exposure draft of 2 August 2012 7 technologies. This means that when learning about or working with records from different eras, it is essential to understand and respect the theories that would have informed the decisions and actions of the organisations and individuals at the time. It is not possible, or appropriate to replicate the full body of theory in this statement; rather, the full discourse can be found in the professional literature and in organisational and industry policies and procedures. Examples of underpinning theories most relevant to the Australasian context include: Records continuum theory Respect for original order Respect for provenance Appraisal theories Series system of arrangement and control Accession system of arrangement and control Theory underpins all decisions and actions undertaken by practitioners. How theory is implemented is guided by a range of principles, examples of which include: Knowledge and information management Collection and data management, custody, storage and preservation Professional ethics and codes of conduct Cross-cultural perspectives and sensitivities Local, national and international information policies, legislation and standards Current and emerging technologies and information paradigms Economic and financial climate Customer and wider society needs and expectations Business and information continuity, governance and risk Knowledge Domain 1: Purposes and characteristics of records and systems This knowledge domain is about understanding records and the systems in which they are created and maintained; why they are created, the information they contain and how evidence is represented in the records. The system could be historical, manual, or digital and exist in the past, present and future. Individuals, governments, business and community sectors have different concepts of evidence, memory and information assets and these differences need to be identified, quantified and respected. Purpose and characteristics of records The primary purpose of records is to provide evidence of transactions between organisations and individuals. Records, also referred to as information assets, underpin individual and organisational accountability and memory. Records that capture evidence are products of a variety of contexts and exist in multiple formats which change over time as media and technology evolves. Records are contingent on the business activities that they document and the purposes which they serve. Records can be distinguished from other information resources: through authenticity, reliability, integrity and useability. Records are also managed in context through time and space. Records are not restricted to written forms and may be entirely digital or physical, be artefacts, dance, oral histories, stories, music, art or textiles, or a combination. Purpose and characteristics of recordkeeping and information systems Systems are increasingly being developed in digital forms in all sectors of government, business and the community, though many legacy or superseded systems and hybrid systems (combinations of Exposure draft of 2 August 2012 8 technologies) are maintained. Information can also be captured into multiple systems through copying or digitisation projects. Systems are enablers of process and practice through: their mechanisms for ensuring the characteristics of records are maintained capturing and maintaining metadata that relates to records over time managing aggregations of information and different contexts enabling accessibility of records to meet business and user requirements, and community expectations Systems are must be designed to capture, manage and preserve records. Characteristics include accessibility, reliability and integrity, being compliant and comprehensive. Systems can be standalone or recordkeeping functionality can be imbedded into business applications or communitybased ways of keeping information, which may be digital, physical, memory-based or a combination (hybrid). Knowledge about systems is supported by an understanding of: methodologies that support the design, implementation and evaluation of systems information system architecture and organisation structures system analysis, administration and migration information retrieval, restructuring, manipulation and presentation different contexts and aggregations in which records are created, managed and used the purpose and application of metadata schemas and taxonomies underpinning theory and practice Knowledge Domain 2: Context This knowledge domain is about the broader environment that influences the creation and maintenance of records, memory and evidence, in the past, present and into the future. Context includes: ethical consideration of community perspectives about records, information and memory; legislative and regulatory mandates; governance frameworks; the business environment; cultural sensitivities; and records and information principles and standards. Table 1 highlights the elements of context that make up this knowledge. Table 1: Examples of professional knowledge about context Topic Context about organisations, communities and individuals Example of the broader context of records and archives Governance frameworks expectations, needs and rights of individuals, organisations, and communities community-based interpretations of ownership of information and memory, and of the custodians, such as community elders or leaders culture and language of individuals, organisations or communities; and different perspectives of evidence characteristics of the jurisdictions or communities in which recordkeeping activities occur organisational goals and strategies legislative and regulatory frameworks local, national and international standards information risk assessment and management Exposure draft of 2 August 2012 9 Information management frameworks business and community continuity information flow, interoperability and reuse business and social exchange of information strategic, tactical and financial planning of information management objectives digital continuity plans and strategies access to information, security and privacy information quality, accountability and performance assessment user services, needs, behaviours and education new and emerging technologies research agenda to challenge or test theory and practice and contribute to the body of knowledge skills and knowledge base Knowledge Domain 3: Processes and practice This domain is about how recordkeeping theory, principles, frameworks and standards may be implemented in business or community environments. The processes and practices highlighted below are not dependent on whether or not the information that forms the archive, record, or memory is digital or physical. The full body of knowledge about process and practice is embedded in the professional literature, in standards and in organisational documents produced by Australasian and international archives and records institutions and associations. The range and extent of knowledge practitioners need will vary over time, as they take on different roles and on the context in which they are undertaking these roles. Table 2 highlights several broad areas of process and practice. Table 2: Examples of professional knowledge about processes and practice Topic Documenting context Example of practice and process documenting community and business contexts over time as legislative and regulatory mandates, governance, roles and responsibilities change advocating the important of good records and information governance to organisations and the wider society Connecting information management frameworks to the wider roles and responsibilities of the organisation or context, past, present and future respecting cultural sensitivities about the different perspectives of the nature, ownership and role of records Identifying requirements and processes undertaking research and business process analysis to identify functional requirements in community, or business systems developing a corporate thesaurus to support planning of frameworks, systems and processes Exposure draft of 2 August 2012 10 Appraisal and assessment of significance Classification and description User services, advocacy and outreach Preservation and management over time designing, implementing and evaluating systems and tools for use in manual and/or digital environments identifying enabling technologies that are appropriate for processes being defined and the system being implemented analysing functions or business areas of organisations appraising the value and significance of records and information assessing how long to retain records and information implementing authorised decisions made about the use and retention of records and information identifying vital records and information as part of business continuity plans and programs identifying business functions, activities and transactions facilitating or undertaking the manual or automated capture and registration of records into systems and application of security controls if needed arranging and describing records that respects the context in which they were created and used facilitating maintenance of persistent links between records and other entities through application of manual or automated metadata and taxonomies providing user services, reference and outreach programs to support accessibility to records and information in multiple environments undertaking advocacy for the industry and professions through publications, media releases, website activities, submissions, and engaging with professional associations supporting community custodians and elders, especially, Indigenous, minority and marginalised groups to preserve cultural identity and heritage managing records and information over time in accordance with organisational policies, and as new theories, principles, practice and technologies emerge. preserving records in built, community-based, virtual, or trusted digital repositories; for as long as they are required implementing digital continuity programs developing and implementing vital records and disaster management plans managing access to and security of information, and complying with privacy guidelines Knowledge about process and practice is supported by an understanding of: Exposure draft of 2 August 2012 11 different cultural perspectives of characteristics and uses, custody and ownership of records business and systems analysis relationships between requirements, processes and enabling technologies appraisal and assessment of significance of functions and records metadata schemas and taxonomies arrangement and description storage and preservation information retrieval accessibility through reference and user services Conclusion The purpose of this Statement is to codify the kinds of knowledge about which practitioners working across the archives, records and information management professions need to be aware, taking into consideration the organisations in which they are employed, the communities with which they engage, their roles and career stages. The professional knowledge of practitioners, however, is not fixed but grows and adapts through education, continuing professional development and experience. In addition to codifying professional knowledge across the archives, records and information management professions, the Statement can be used for a wide range of purposes. Table 3 highlights how different stakeholder groups can use the Statement. Table 3: Stakeholder use of the Statement of Knowledge Stakeholder group Organisations How stakeholders can use the Statement of Knowledge Educators Practitioners Students Community organisations developing information management frameworks assess workforce development needs through mapping skills and knowledge of employees to the statement develop in-house professional development programs or individual learning and development plans identify skills and knowledge needed for recruitment or project teams use as a reference when developing or reviewing course content map course content to Statement when seeking course accreditation identify areas of content to build knowledge and skills map out a personal professional development plan – eg is more theory needed or more practice? help awareness of kind of knowledge required to work in the industry help decide areas of specialisation provide awareness of what is involved in being custodians of archives, records and memories and the kind of expertise they can draw upon in preserving their identity and heritage The Statement of Knowledge is not a stand-alone document but is linked to a range of resources that can also assist practitioners, students, educators, organisations and communities in building professional knowledge and understanding the information-related professions. Table 4 includes a selection of resources. Exposure draft of 2 August 2012 12 Table 4: Resources for knowledge building and career development Resource Statement of Knowledge for Recordkeeping Professionals Where to find the resource (hyperlinks will be ‘plain English’) Australian Society of Archivists. (2012). Statement of Knowledge for Recordkeeping Professionals. http://www.archivists.org.au/page/Learning_and_Publications/ASA_ Learning/Educational_Standards/ RIM Professionals Australasia. (2012). Statement of Knowledge for Recordkeeping Professionals http://www.rimpa.com.au/professionaldevelopment/statement-of-knowledge/ A framework to assist practitioners to build their knowledge, and skills, and identify career pathways: “Tasks, competencies and salaries for recordkeeping professionals” Australian Society of Archivists. (2010). Tasks, Competencies & Salaries for Recordkeeping Professionals (TCSRP). http://www.archivists.org.au/icms_docs/111929_Tasks_Competenci es__Salaries_for_Recordkeeping_Professionals.pdf Courses that have been accredited using the Statement of Knowledge Australian Society of Archivists. (2012). Accredited courses. http://www.archivists.org.au/page/Learning_and_Publications/ASA_ Learning/Accredited_Courses/ Career information about the archival profession RIM Professionals Australasia. (2012). Courses recognised by the Records and Information Management Professionals Australasia. http://www.rimpa.com.au/professional-development/coursesavailable/ Australian Society of Archivists. (2012). Archival profession http://www.archivists.org.au/page/About/The_Archival_Profession/ RIM Professionals Australasia. (2010). Tasks, Competencies & Salaries for Recordkeeping Professionals (TCSRP). http://www.rimpa.com.au/professional-development/tcsrp/ Career information for the records and information management industry Job Outlook prospects for Records Managers, Archivists and Curators RIM Professionals Australasia. (2012). Records and Information Management Careers. http://careers.rimpa.com.au/ Workforce development strategy for Archivists and records and information management Advice on interacting with Indigenous communities and on dealing with materials with Indigenous content Innovation and Business Skills Australia. (2012). . http://www.ibsa.org.au/news-and-projects/current-projects/glarmwds.aspx Job Outlook Australia. (2011). Job Outlook for Archivists, Curators and Records Managers http://joboutlook.gov.au/Pages/occupation.aspx?search=alpha&cod e=2242 The Aboriginal and Torres Strait Islander Library and Information Resources Network. (2005). ATSILIRN protocols. http://www1.aiatsis.gov.au/atsilirn/protocols.atsilirn.asn.au/index6d f0.html?option=com_content&task=blogcategory&id=0&itemid=6 Treaty of Waitangi – Te Tiriti o Waitangi. Archives New Zealand website. http://www.archives.govt.nz/exhibitions/treaty Exposure draft of 2 August 2012 13 Glossary of archives, records and information terms Queensland State Archives. (2010). Glossary of archival and recordkeeping terms http://www.archives.qld.gov.au/Recordkeeping/GRKDownloads/Doc uments/GlossaryOfArchivalRKTerms.pdf Archives New Zealand. (2007). Glossary of terms http://archives.govt.nz/advice/continuum-resource-kit/glossary # Add ICA one when completed Exposure draft of 2 August 2012 14 Appendix: Summary matrix of recordkeeping knowledge domains Knowledge Domain Knowledge Domain Knowledge Domain Purposes & characteristics of records & systems Environmental & recordkeeping context Recordkeeping processes & practices Records are: Context could include: - the basis of individual and organisational accountability & memory - reliable, authentic, useable & reliable - evidence of business activity between individuals and organisations - created and maintained in multiple formats - purpose, needs & expectations of individuals, organisations & society - business mandate and ownership - organisational policies, legislation & standards - access, security and privacy guidelines - political, economic and financial climate - information quality and performance assessment - culture and language - developing research agendas to test theory and practice - developing an appropriate skills and knowledge base Process and practice could include: - documenting organisational or individual context - undertaking research and analysis to identify functional, business & systems requirements - developing a corporate thesaurus to support information needs - undertaking appraisal & assessment of significance Systems: - identifying vital records - are based on to support business information continuity architecture principles - capturing, classifying and - reflect business describing (manual or processes automated) - capture, manage, - providing user and preserve & make customer services, and accessible reference - are compliant - undertaking advocacy - governed by access & and outreach activities security rules - managing records over - use metadata and time, including applying taxonomy schemas relevant technologies to secure, store, preserve, migrate and dispose Underpinning Knowledge Domain: Recordkeeping theories & principles Theory and principles could include: SPACE/ DIMENSION TIME PAST PRESENT FUTURE Summary matrix of Recordkeeping Knowledge Domains - records continuum theory, appraisal theories, systems of intellectual and physical control, respect for provenance and original order - knowledge and information management, & technological frameworks - collection and data management, custody, storage and preservation - professional ethics and codes of conduct - cross cultural perspectives and sensitivities, customer and wider society needs and expectations - local, national and international information policies, legislation & standards - business and information continuity, governance and risk DEPTH OF KNOWLEDGE Exposure draft of 2 August 2012 15