Standards Development

Scope

This document provides principles and outlines considerations for applying AI to records controls, records processes, as well as records and archives systems.

Note: This document is applicable to artificial intelligence for records management in all types of organizations.

Purpose

The purpose of the proposed deliverable is to provide organizations with principles and considerations for managing records to support AI and using AI to support records management in conformity with legal, regulatory, technical requirements, and standards.

Justification in alignment with the ISO/TC46/SC11 Strategic Framework Decision Tree Has a legitimate community need been established? Yes, Records Management and AI Working Group was established by SC11 in Berlin, supported by resolution and supported by WG22 (ISO/TC 46/SC 11 N 2270, 2024-05-23). While the current ISO /TC 46/SC11 standards enables records management in any types of organization and in all the environments, it does not provide guidance on how to implement records management processes and records controls relating to AI including records management for AI and AI for records management.

Does the proposed work demonstrate how to meet the need? Yes, the product will be based on a use cases study report of ISO/PWI TS 25280 Records management and AI - Principles and Considerations, which has collected 9 use cases from 5 countries (Australia, China, Netherland, New Zealand, US, WG22 N308) and the technical report of International Virtual Seminar on Standards Collaboration on Records Management and AI, and the principles and considerations agreed by 16 speakers via presentation and panel discussions, representing ISO/TC46/AHG4, ISO/TC46/SC11, ISO/TC46/SC11/WG22, ISO/IEC JTC1/SC42/WG2&WG3, CEN/JTC21, ITU-T SG 13, SG20, FG-AINN & CG, AI Committee of IEEE, AMAS Group of ISO, IEC, ITU-T Collaboration Initiatives, ALEIE of EU project (WG22 N323). The proposed work will help fill gaps in improving systems and strategies for the creation, management, and access to records as evidence of transactions and business and memory of organizations associated with AI; assisting organizations to embed the management of records by design into AI-based and AI -driven business processes and systems; and supporting the governance and accountability for managing records in AI systems, to enhance performance of model training and quality of data, a new role for innovation, traceability, metadata consistence, reuse of trustworthy data and trustworthiness of AI system; ensuring records control approaches such as identification scheme, classification schememetadata scheme, description rule, access and permission rule, disposition authority are designed into AI systems; ensuring record processes are embedded into AI-augmented workflow and AI-enhanced processes to enable information management compliance, credibility, security, accountabilitycontrollabilityauditability; to ensure AI value alignment and risk assessment for records management is considered while using AI for records management and AI-driven decision making so that AI system are both reliable and ethically sound.

Has the need been adequately addressed in ISO? No, there is no considerations of records management for AI and AI for records management in alignment with records management principles, records processes, records controls and risk assessment for records management for multiple stakeholders in interest in records or documented information associated with AI in ISO standards published or under development.

Is it appropriate to address the need in ISO? Yes, ISO/IEC JTC1/SC42 has addressed documented information (records) considerations in ISO/IEC 23894:2023, ISO/IEC 5338:2023, ISO/IEC 42001: 2023, ISO/IEC TS 12791:2024, ISO/IEC TS 8200:2024, ISO/IEC 5259-3:2024; ISO/IEC 5259-4:2024, ISO/IEC 5259-5:2025, ISO ISO/IEC FDIS 42005, ISO/IEC FDIS 42006, ISO/IEC AWI 42007, ISO/IEC CD 24970, etc. However, there are few considerations about records classification and indexing, migrating and converting records and disposition processes of records processes in the standards and no adequate considerations about records controls including metadata schema for records, business classification schemes, access and permission rules and disposition authorities in alignment with ISO 30301 that needs records management expertise to develop the product effectively and align it to related and supporting products.

Does it align to strategic priorities? The topic being addressed helps organizations assess how their records management activities meet their governance framework associated with AI e.g. AI-assisted, AI-enhanced, AI-enriched, AI-driven business and AI regulatory obligations and requirements, and hence improve their trustworthiness, accountability, transparency, performance, efficiency and effectiveness of business and services associated with AI.

Is there capacity in SC11? Yes, Xiaomi An is designated as convenor of SC11/WG22 on Records Management And AI, as Project Leader of PWI TS 25280 Records management and AI - Principles and Considerations and as liaison from SC11 to ISO/IEC JTC1/SC42, she is also chair of WG1 on Terminology and Gap Analysis of the ITU-T FG-AINN Focus Group on AI Native for Telecommunications and Networks. 49 Experts from 17 countriesAustralia, Canadia, China, France, Germany, Japan, Italy, Korea, New Zealand, Norway, Russian, South Africa, Spain, the Netherlands, Turkish, UK, and UShave been registered in WG22. An outline has been produced, 9 use cases have been collected from five countries and a use case study report about the PWI TS25280 has been produced (WG22 N308), a technical report of an international virtual seminar on standards collaboration on records management and AI is created (WG22 N323).

Is it appropriate to partner? ISO/TC46/ SC11 has built a liaison relationship with the ISO/IEC JTC1/SC42 and ISO/IEC JTC1/SC42 has also built up liaison relationships wIth ISO/TC46/SC11. ISO/TC 171/SC 2 has built a liaison relationships with SC11/WG22.

In the ISO/TC46/SC11 N2342 (2025-05-22) SC11 resolution (05/May/2025), “ISO/TC 46/SC 11 resolves to register ISO/PWI TS 25280 Records management and AI – Principles and considerations as 2 parts at stage 20.00 and requests the project leader to send the NP documentation (Form 4’s + initial draffs) to the SC 11 secretariat for NP balloting by end June 2025)

• Part 1: Records management in artificial intelligence enabled environments

• Part 2: Application of artificial intelligence capabilities for records management