ISO/TR 15489-2:2001
(Main)Information and documentation — Records management — Part 2: Guidelines
Information and documentation — Records management — Part 2: Guidelines
This part of ISO 15489 is an implementation guide to ISO 15489-1 for use by record management professionals and those charged with managing records in their organizations. It provides one methodology that will facilitate the implementation of ISO 15489-1 in all organizations that have a need to manage their records. It gives an overview of the processes and factors to consider in organizations wishing to comply with ISO 15489-1.
Information et documentation — << Records Management >> — Partie 2: Guide pratique
La présente partie de l'ISO 15489 est un guide de mise en oeuvre pour l'ISO 15489-1 à destination des professionnels du «Records management» et de ceux qui ont en charge la gestion des documents d'archives dans leurs organismes. Il fournit une méthodologie qui facilitera la mise en oeuvre de l'ISO 15489-1 dans tous les organismes qui ont besoin d'organiser et de gérer leurs documents d'archives. Il donne une vision générale des processus et des facteurs à prendre en considération dans les organismes qui souhaitent se conformer à l'ISO 15489-1.
Informatika in dokumentacija – Upravljanje zapisov – 2. del: Smernice
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TECHNICAL ISO/TR
REPORT 15489-2
First edition
2001-09-15
Information and documentation — Records
management —
Part 2:
Guidelines
Information et documentation — «Records management» —
Partie 2: Guide pratique
Reference number
ISO/TR 15489-2:2001(E)
©
ISO 2001
---------------------- Page: 1 ----------------------
ISO/TR 15489-2:2001(E)
PDF disclaimer
This PDF file may contain embedded typefaces. In accordance with Adobe's licensing policy, this file may be printed or viewed but shall not
be edited unless the typefaces which are embedded are licensed to and installed on the computer performing the editing. In downloading this
file, parties accept therein the responsibility of not infringing Adobe's licensing policy. The ISO Central Secretariat accepts no liability in this
area.
Adobe is a trademark of Adobe Systems Incorporated.
Details of the software products used to create this PDF file can be found in the General Info relative to the file; the PDF-creation parameters
were optimized for printing. Every care has been taken to ensure that the file is suitable for use by ISO member bodies. In the unlikely event
that a problem relating to it is found, please inform the Central Secretariat at the address given below.
© ISO 2001
All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any means, electronic
or mechanical, including photocopying and microfilm, without permission in writing from either ISO at the address below or ISO's member body
in the country of the requester.
ISO copyright office
Case postale 56 • CH-1211 Geneva 20
Tel. + 41 22 749 01 11
Fax + 41 22 749 09 47
E-mail copyright@iso.ch
Web www.iso.ch
Printed in Switzerland
ii © ISO 2001 – All rights reserved
---------------------- Page: 2 ----------------------
ISO/TR 15489-2:2001(E)
Contents
Foreword.v
Introduction.vi
1 Scope .1
2 Policies and responsibilities .1
2.1 Introduction.1
2.2 Records management policy statements.1
2.3 Responsibilities .1
2.3.1 Objectives of defining responsibilities and authorities.1
2.3.2 Authorities and responsibilities within the organization .2
3 Strategies, design and implementation.2
3.1 Introduction.2
3.2 Design and implementation of a records system .2
3.2.1 General.2
3.2.2 Step A: Preliminary investigation .3
3.2.3 Step B: Analysis of business activity.3
3.2.4 Step C: Identification of requirements for records .4
3.2.5 Step D: Assessment of existing systems .4
3.2.6 Step E: Identification of strategies for satisfying records requirements .5
3.2.7 Step F: Design of a records system .5
3.2.8 Step G: Implementation of a records system .6
3.2.9 Step H: Post-implementation review .7
4 Records processes and controls.7
4.1 Introduction.7
4.2 Instruments .8
4.2.1 Principal instruments.8
4.2.2 Business activity classification .8
4.2.3 Vocabulary .10
4.2.4 Records disposition authority.10
4.2.5 Security and access classification scheme.12
4.3 Records management processes .13
4.3.1 Introduction.13
4.3.2 Capture .14
4.3.3 Registration.15
4.3.4 Classification .16
4.3.5 Access and security classification .17
4.3.6 Identification of disposition status .17
4.3.7 Storage.18
4.3.8 Use and tracking.19
4.3.9 Implementation of disposition .20
5 Monitoring and auditing.22
5.1 General.22
5.2 Compliance auditing .22
5.3 Evidential weight .22
5.4 Performance monitoring.23
6 Training.23
6.1 Introduction.23
6.2 Training programme requirements.23
6.3 Personnel to be trained.23
6.4 Training for records management professionals.23
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ISO/TR 15489-2:2001(E)
6.4.1 General.23
6.4.2 Methods of training.24
6.5 Evaluation and review of training .24
Annex A Reference tables to compare ISO 15489-1 and its accompanying Guidelines ISO/TR 15489-2 .25
Annex B Comparison of ISO/TR 15489-2 Guidelines and ISO 15489-1.32
Bibliography .37
Index.38
iv © ISO 2001 – All rights reserved
---------------------- Page: 4 ----------------------
ISO/TR 15489-2:2001(E)
Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies (ISO
member bodies). The work of preparing International Standards is normally carried out through ISO technical
committees. Each member body interested in a subject for which a technical committee has been established has
the right to be represented on that committee. International organizations, governmental and non-governmental, in
liaison with ISO, also take part in the work. ISO collaborates closely with the International Electrotechnical
Commission (IEC) on all matters of electrotechnical standardization.
International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 3.
The main task of technical committees is to prepare International Standards. Draft International Standards adopted
by the technical committees are circulated to the member bodies for voting. Publication as an International
Standard requires approval by at least 75 % of the member bodies casting a vote.
In exceptional circumstances, when a technical committee has collected data of a different kind from that which is
normally published as an International Standard ("state of the art", for example), it may decide by a simple majority
vote of its participating members to publish a Technical Report. A Technical Report is entirely informative in nature
and does not have to be reviewed until the data it provides are considered to be no longer valid or useful.
Attention is drawn to the possibility that some of the elements of this part of ISO 15489 may be the subject of
patent rights. ISO shall not be held responsible for identifying any or all such patent rights.
ISO/TR 15489-2 was prepared by Technical Committee ISO/TC 46, Information and documentation, Subcommittee
SC 11, Archives/records management.
ISO/TR 15489 consists of the following parts, under the general title Information and documentation — Records
management:
Part 1: General
Part 2: Guidelines [Technical Report]
© ISO 2001 – All rights reserved v
---------------------- Page: 5 ----------------------
ISO/TR 15489-2:2001(E)
Introduction
This part of ISO 15489 provides guidelines that are supplementary to ISO 15489-1. Both ISO 15489-1 and this part
of ISO 15489 apply to records in any format or media, created or received by any public or private organization
during the course of its activities. Thus, in this part of ISO 15489, unless otherwise noted, systems may be
interpreted as paper/manual or electronic, and a document may be either paper, microform or electronic.
ISO 15489-1 specifies the elements of records management and defines the necessary results or outcomes to be
achieved. This part of ISO 15489 provides one methodology for implementation. However, it should be noted that
national standards and legislation and regulation may dictate other factors and requirements for legal compliance.
In addition to using this part of ISO 15489, those seeking to implement the standard should consult requirements
and guidance of national standards and legislation and regulation that apply in their jurisdictions. In addition, a
variety of professional societies and associations have resources available to assist in the implementation of
ISO 15489-1.
vi © ISO 2001 – All rights reserved
---------------------- Page: 6 ----------------------
TECHNICAL REPORT ISO/TR 15489-2:2001(E)
Information and documentation — Records management —
Part 2:
Guidelines
1 Scope
This part of ISO 15489 is an implementation guide to ISO 15489-1 for use by record management professionals
and those charged with managing records in their organizations. It provides one methodology that will facilitate the
implementation of ISO 15489-1 in all organizations that have a need to manage their records. It gives an overview
of the processes and factors to consider in organizations wishing to comply with ISO 15489-1.
2 Policies and responsibilities
2.1 Introduction
ISO 15489-1:2001, clause 6 sets out, in general terms, the need for organizations seeking to comply with it to have
a records management policy in place and to define and assign records-related responsibilities to individuals. This
part of ISO 15489 provides additional guidance on records management policies and expands on the types of
responsibilities to be defined and assigned.
2.2 Records management policy statements
Organizations should define and document policies for records management and should ensure that the policies
are implemented and maintained at all levels in the organization.
A records management policy statement is a statement of intentions. It sets out what the organization intends to do
and, sometimes, includes an outline of the programme and procedures that will achieve those intentions. However,
a policy statement on its own will not guarantee good records management: critical to its success are endorsement
and active and visible support by senior management and the allocation of the resources necessary for
implementation. An effective policy statement will, therefore, identify a senior member of staff with lead
responsibility for records management and for overseeing policy and programme implementation.
The policy statement should refer to other policies relating to information, for example, on information systems
policy, information security or asset management, but should not seek to duplicate them. It should be supported by
procedures and guidelines, planning and strategy statements, disposition authorities and other documents that
together make up the records management regime.
Support and endorsement of the policy by all employees should be encouraged at all times. It is particularly
important that the policy obliges all employees to create and maintain records that meet the legal, regulatory, fiscal,
operational, and archival/historical needs of the organization. Monitoring of compliance with the policy is also
important.
2.3 Responsibilities
2.3.1 Objectives of defining responsibilities and authorities
The overriding objective of defining responsibilities, authorities and inter-relationships is to establish and maintain a
records management regime that meets the needs of internal and external stakeholders.
© ISO 2001 – All rights reserved 1
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ISO/TR 15489-2:2001(E)
More specifically, the definition of responsibilities, authorities and inter-relationships should put in place standard
practices or business rules that:
a) require employees to create records according to the business needs and business processes that adequately
document the business activities in which they take part;
b) ensure that information and processing systems that support business activities create appropriate records as
part of supporting those activities;
c) ensure the transparency of record processes and the adequacy of records systems throughout the active life of
the records (records that are needed to perform current operations and that are subject to frequent use are
usually located near the user, if it is a physical record, or online via a computer system);
d) ensure that records are maintained, stored and preserved for the period of their usefulness to the organization
and, if appropriate, to external stakeholders such as archival institutions, researchers and auditors; and
e) ensure that records are disposed of only in accordance with a defined approval process.
2.3.2 Authorities and responsibilities within the organization
An organization should define the authorities and responsibilities of all employees involved in records
management. These are likely to include the following categories.
a) Senior management should be assigned the highest level of responsibility for ensuring a successful records
management programme. Senior management support is translated into the allocation of resources at a lower
level. It promotes compliance with records management procedures throughout the organization.
b) Records management professionals have primary responsibility for the implementation of ISO 15489-1. In
particular, they establish the overall records management policies, procedures, and standards for the
organization and implement the processes outlined in ISO 15489-1:2001, clause 4.
c) Managers of business units or organizational groupings are responsible for ensuring that their staff create and
keep records as an integral part of their work and in accordance with established policies, procedures and
standards. They provide the resources necessary for the management of records and liaise with records
management professionals on all aspects set out in ISO 15489-1:2001, clause 4.
d) Others in the organization have specific records-related duties. They include, in particular, staff responsible for
security, staff responsible for designing and implementing systems using information and communication
technologies, and staff responsible for compliance.
e) All staff create, receive and keep records as part of their daily work, and should do so in accordance with
established policies, procedure and standards. This includes disposing of records only in accordance with
authorized disposition instruments.
Where contractors carry out the organization’s records management programme, it is important to ensure that they
meet the standards laid down in the organization’s policies.
3 Strategies, design and implementation
3.1 Introduction
ISO 15489-1:2001, clause 8 describes the essential characteristics of records systems and provides a framework
for their implementation. This clause amplifies ISO 15489-1:2001, subclause 8.4 only. It provides some guidance
on designing and implementing systems for managing records.
3.2 Design and implementation of a records system
3.2.1 General
It should be noted that the steps in this process are expansions of the general descriptions provided in
ISO 15489-1:2001, subclause 8.4 and that Step A is linked to item a), Step B to item b) and so on.
2 © ISO 2001 – All rights reserved
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ISO/TR 15489-2:2001(E)
(Source: National Archives of Australia and State Records New South Wales.)
Figure 1 — Design and Implementation of Records Systems (DIRS)
3.2.2 Step A: Preliminary investigation
The purpose of Step A is to provide the organization with an understanding of the administrative, legal, business
and social contexts in which it operates so that it can identify the major factors that influence its need to create and
maintain records.
Step A will also provide a general appreciation of an organization’s strengths and weaknesses in managing its
records. It represents a sound basis for defining the scope of a records project and presenting a business case for
managerial support.
The preliminary investigation is needed to make effective decisions about an organization’s records systems. It will
help define records problems within an organization, and assess the feasibility and risks of various potential
responses.
Step A is an important precursor to the compilation of a business classification scheme and the development of
functions-based processes for deciding what records need to be captured and how long they should be retained. In
conjunction with the two subsequent steps, B and C, the preliminary investigation will also help assess the
organization’s responsibility for records and its compliance with external requirements to create and keep records.
It is also a useful basis for assessing existing systems.
3.2.3 Step B: Analysis of business activity
The purpose of this step is to develop a conceptual model of what an organization does and how it does it. It will
demonstrate how records relate to both the organization’s business and its business processes. It will contribute to
decisions in subsequent steps about the creation, capture, control, storage and disposition of records, and about
access to them. This is particularly important in an electronic business environment where adequate records will
not be captured and retained unless the system is properly designed. This step provides the tools to undertake and
document the business analysis in a systematic way and to make best use of its results.
© ISO 2001 – All rights reserved 3
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ISO/TR 15489-2:2001(E)
An analysis of business activity and processes will provide an understanding of the relationship between the
organization’s business and its records.
The products coming from this step may include
a) documentation describing the organization’s business and business processes,
b) a business classification scheme that shows the organization’s functions, activities and transactions in a
hierarchical relationship, and
c) a map of the organization’s business processes that shows the points at which records are produced or
received as products of business activity.
The analysis provides the basis for developing records management tools, which may include
a) a thesaurus of terms to control the language for titling and indexing records in a specific business context, and
b) a disposition authority that defines the retention periods and consequent disposition actions for records.
The analysis will also help in identifying and implementing appropriate metadata strategies and in formally
assigning responsibilities for keeping records.
3.2.4 Step C: Identification of requirements for records
The purpose of this step is to identify an organization’s requirements to create, receive and keep records of its
business activities, and to document the requirements in a structured and easily maintainable form. Keeping the
appropriate records facilitates the proper conduct of business. It ensures that individuals and organizations are
accountable for their actions in matters of law and administration. It also ensures that they are accountable to
business and related interest groups, internal and external, and sensitive to their needs and expectations.
These requirements for records are identified through a systematic analysis of business needs, legal and regulatory
obligations and any broader responsibilities to the community. An assessment of an organization’s exposure to risk,
if records are not created and kept, will also help identify requirements. The step also provides the rationale for the
creation, maintenance and disposition of records, the basis for designing systems that will capture and maintain
records, and the benchmark for measuring the performance of existing systems.
Some of the products that may emerge from the completion of this step include
a) a list of all sources containing records requirements relevant to the organization,
b) a list of the regulatory, business and any more general community requirements to keep records,
c) a risk assessment report endorsed by management, and
d) a formal document for management and staff that sets out the organization’s requirements to keep records.
3.2.5 Step D: Assessment of existing systems
The purpose of this step is to survey an organization’s existing systems for records and any other information
systems to measure the extent to which they capture and maintain records of business activities. The assessment
will help to reveal any gaps between an organization’s agreed requirements for records and the performance and
capabilities of its existing systems. This will provide the basis for developing new systems or redesigning existing
systems to meet the need for records that have been identified and agreed in previous steps.
Products from this step may include
a) an inventory of the organization’s existing business systems, and
b) a report outlining the extent to which they address the organization’s agreed requirements for records.
4 © ISO 2001 – All rights reserved
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ISO/TR 15489-2:2001(E)
3.2.6 Step E: Identification of strategies for satisfying records requirements
The purpose of this step is to determine the most appropriate policies, procedures, standards, tools and other
tactics that an organization should adopt to ensure that it makes and keeps the necessary records of its business
activity. The choice of strategies may take into account
a) the nature of an organization including its goals and history,
b) the type of business activities it carries out,
c) the way it conducts business activities,
d) its supporting technological environment,
e) the prevailing corporate culture, and
f) any external constraints.
Selection will also be influenced by the potential of each strategy to achieve its desired result and the risk to the
organization if the approach fails.
In some cases, archival authorities may help to develop record strategies.
Strategies might include
a) adopting policies and procedures,
b) developing standards,
c) designing new system components, or
d) implementing systems,
in a way that satisfies the identified requirements to keep and maintain records.
When this step is complete, there will be a planned, systematic and appropriate approach to the creation, capture,
maintenance, use and preservation of records that will provide the basis for the design or redesign of the records
system.
Products coming from this step are likely to include
a) a list of strategies that will satisfy the organization’s requirements for records while meeting its other business
needs,
b) a model that maps strategies to requirements, and
c) a report for senior management recommending an overall design strategy.
3.2.7 Step F: Design of a records system
This step involves converting the strategies and tactics selected in Step E into a plan for a records system that
fulfils the requirements identified and documented during Step C and remedies any organizational records
management deficiencies identified during Step D.
Step F, like the other steps in this methodology, adopts a broad definition of systems, encompassing people and
processes as well as tools and technology. Therefore, this step is likely to involve
a) designing changes to current systems, processes and practices,
b) adapting or integrating technological solutions, and
c) determining how best to incorporate these changes to improve the management of records across an
organization.
© ISO 2001 – All rights reserved 5
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ISO/TR 15489-2:2001(E)
It is sometimes difficult in practice to see where determining strategies for records systems ends (Step E) and
designing systems to incorporate those strategies begins (Step F). It is, however, useful to focus on strategies
separately to ensure that requirements to create and maintain records are feasible, consistent and properly
incorporated into the system design.
This ste
...
SLOVENSKI STANDARD
SIST-TP ISO/TR 15489-2:2005
01-november-2005
Informatika in dokumentacija – Upravljanje zapisov – 2. del: Smernice
Information and documentation -- Records management -- Part 2: Guidelines
Information et documentation -- << Records Management >> -- Partie 2: Guide pratique
Ta slovenski standard je istoveten z: ISO/TR 15489-2:2001
ICS:
01.140.20 Informacijske vede Information sciences
SIST-TP ISO/TR 15489-2:2005 en
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.
---------------------- Page: 1 ----------------------
SIST-TP ISO/TR 15489-2:2005
---------------------- Page: 2 ----------------------
SIST-TP ISO/TR 15489-2:2005
TECHNICAL ISO/TR
REPORT 15489-2
First edition
2001-09-15
Information and documentation — Records
management —
Part 2:
Guidelines
Information et documentation — «Records management» —
Partie 2: Guide pratique
Reference number
ISO/TR 15489-2:2001(E)
©
ISO 2001
---------------------- Page: 3 ----------------------
SIST-TP ISO/TR 15489-2:2005
ISO/TR 15489-2:2001(E)
PDF disclaimer
This PDF file may contain embedded typefaces. In accordance with Adobe's licensing policy, this file may be printed or viewed but shall not
be edited unless the typefaces which are embedded are licensed to and installed on the computer performing the editing. In downloading this
file, parties accept therein the responsibility of not infringing Adobe's licensing policy. The ISO Central Secretariat accepts no liability in this
area.
Adobe is a trademark of Adobe Systems Incorporated.
Details of the software products used to create this PDF file can be found in the General Info relative to the file; the PDF-creation parameters
were optimized for printing. Every care has been taken to ensure that the file is suitable for use by ISO member bodies. In the unlikely event
that a problem relating to it is found, please inform the Central Secretariat at the address given below.
© ISO 2001
All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any means, electronic
or mechanical, including photocopying and microfilm, without permission in writing from either ISO at the address below or ISO's member body
in the country of the requester.
ISO copyright office
Case postale 56 • CH-1211 Geneva 20
Tel. + 41 22 749 01 11
Fax + 41 22 749 09 47
E-mail copyright@iso.ch
Web www.iso.ch
Printed in Switzerland
ii © ISO 2001 – All rights reserved
---------------------- Page: 4 ----------------------
SIST-TP ISO/TR 15489-2:2005
ISO/TR 15489-2:2001(E)
Contents
Foreword.v
Introduction.vi
1 Scope .1
2 Policies and responsibilities .1
2.1 Introduction.1
2.2 Records management policy statements.1
2.3 Responsibilities .1
2.3.1 Objectives of defining responsibilities and authorities.1
2.3.2 Authorities and responsibilities within the organization .2
3 Strategies, design and implementation.2
3.1 Introduction.2
3.2 Design and implementation of a records system .2
3.2.1 General.2
3.2.2 Step A: Preliminary investigation .3
3.2.3 Step B: Analysis of business activity.3
3.2.4 Step C: Identification of requirements for records .4
3.2.5 Step D: Assessment of existing systems .4
3.2.6 Step E: Identification of strategies for satisfying records requirements .5
3.2.7 Step F: Design of a records system .5
3.2.8 Step G: Implementation of a records system .6
3.2.9 Step H: Post-implementation review .7
4 Records processes and controls.7
4.1 Introduction.7
4.2 Instruments .8
4.2.1 Principal instruments.8
4.2.2 Business activity classification .8
4.2.3 Vocabulary .10
4.2.4 Records disposition authority.10
4.2.5 Security and access classification scheme.12
4.3 Records management processes .13
4.3.1 Introduction.13
4.3.2 Capture .14
4.3.3 Registration.15
4.3.4 Classification .16
4.3.5 Access and security classification .17
4.3.6 Identification of disposition status .17
4.3.7 Storage.18
4.3.8 Use and tracking.19
4.3.9 Implementation of disposition .20
5 Monitoring and auditing.22
5.1 General.22
5.2 Compliance auditing .22
5.3 Evidential weight .22
5.4 Performance monitoring.23
6 Training.23
6.1 Introduction.23
6.2 Training programme requirements.23
6.3 Personnel to be trained.23
6.4 Training for records management professionals.23
© ISO 2001 – All rights reserved iii
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SIST-TP ISO/TR 15489-2:2005
ISO/TR 15489-2:2001(E)
6.4.1 General.23
6.4.2 Methods of training.24
6.5 Evaluation and review of training .24
Annex A Reference tables to compare ISO 15489-1 and its accompanying Guidelines ISO/TR 15489-2 .25
Annex B Comparison of ISO/TR 15489-2 Guidelines and ISO 15489-1.32
Bibliography .37
Index.38
iv © ISO 2001 – All rights reserved
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SIST-TP ISO/TR 15489-2:2005
ISO/TR 15489-2:2001(E)
Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies (ISO
member bodies). The work of preparing International Standards is normally carried out through ISO technical
committees. Each member body interested in a subject for which a technical committee has been established has
the right to be represented on that committee. International organizations, governmental and non-governmental, in
liaison with ISO, also take part in the work. ISO collaborates closely with the International Electrotechnical
Commission (IEC) on all matters of electrotechnical standardization.
International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 3.
The main task of technical committees is to prepare International Standards. Draft International Standards adopted
by the technical committees are circulated to the member bodies for voting. Publication as an International
Standard requires approval by at least 75 % of the member bodies casting a vote.
In exceptional circumstances, when a technical committee has collected data of a different kind from that which is
normally published as an International Standard ("state of the art", for example), it may decide by a simple majority
vote of its participating members to publish a Technical Report. A Technical Report is entirely informative in nature
and does not have to be reviewed until the data it provides are considered to be no longer valid or useful.
Attention is drawn to the possibility that some of the elements of this part of ISO 15489 may be the subject of
patent rights. ISO shall not be held responsible for identifying any or all such patent rights.
ISO/TR 15489-2 was prepared by Technical Committee ISO/TC 46, Information and documentation, Subcommittee
SC 11, Archives/records management.
ISO/TR 15489 consists of the following parts, under the general title Information and documentation — Records
management:
Part 1: General
Part 2: Guidelines [Technical Report]
© ISO 2001 – All rights reserved v
---------------------- Page: 7 ----------------------
SIST-TP ISO/TR 15489-2:2005
ISO/TR 15489-2:2001(E)
Introduction
This part of ISO 15489 provides guidelines that are supplementary to ISO 15489-1. Both ISO 15489-1 and this part
of ISO 15489 apply to records in any format or media, created or received by any public or private organization
during the course of its activities. Thus, in this part of ISO 15489, unless otherwise noted, systems may be
interpreted as paper/manual or electronic, and a document may be either paper, microform or electronic.
ISO 15489-1 specifies the elements of records management and defines the necessary results or outcomes to be
achieved. This part of ISO 15489 provides one methodology for implementation. However, it should be noted that
national standards and legislation and regulation may dictate other factors and requirements for legal compliance.
In addition to using this part of ISO 15489, those seeking to implement the standard should consult requirements
and guidance of national standards and legislation and regulation that apply in their jurisdictions. In addition, a
variety of professional societies and associations have resources available to assist in the implementation of
ISO 15489-1.
vi © ISO 2001 – All rights reserved
---------------------- Page: 8 ----------------------
SIST-TP ISO/TR 15489-2:2005
TECHNICAL REPORT ISO/TR 15489-2:2001(E)
Information and documentation — Records management —
Part 2:
Guidelines
1 Scope
This part of ISO 15489 is an implementation guide to ISO 15489-1 for use by record management professionals
and those charged with managing records in their organizations. It provides one methodology that will facilitate the
implementation of ISO 15489-1 in all organizations that have a need to manage their records. It gives an overview
of the processes and factors to consider in organizations wishing to comply with ISO 15489-1.
2 Policies and responsibilities
2.1 Introduction
ISO 15489-1:2001, clause 6 sets out, in general terms, the need for organizations seeking to comply with it to have
a records management policy in place and to define and assign records-related responsibilities to individuals. This
part of ISO 15489 provides additional guidance on records management policies and expands on the types of
responsibilities to be defined and assigned.
2.2 Records management policy statements
Organizations should define and document policies for records management and should ensure that the policies
are implemented and maintained at all levels in the organization.
A records management policy statement is a statement of intentions. It sets out what the organization intends to do
and, sometimes, includes an outline of the programme and procedures that will achieve those intentions. However,
a policy statement on its own will not guarantee good records management: critical to its success are endorsement
and active and visible support by senior management and the allocation of the resources necessary for
implementation. An effective policy statement will, therefore, identify a senior member of staff with lead
responsibility for records management and for overseeing policy and programme implementation.
The policy statement should refer to other policies relating to information, for example, on information systems
policy, information security or asset management, but should not seek to duplicate them. It should be supported by
procedures and guidelines, planning and strategy statements, disposition authorities and other documents that
together make up the records management regime.
Support and endorsement of the policy by all employees should be encouraged at all times. It is particularly
important that the policy obliges all employees to create and maintain records that meet the legal, regulatory, fiscal,
operational, and archival/historical needs of the organization. Monitoring of compliance with the policy is also
important.
2.3 Responsibilities
2.3.1 Objectives of defining responsibilities and authorities
The overriding objective of defining responsibilities, authorities and inter-relationships is to establish and maintain a
records management regime that meets the needs of internal and external stakeholders.
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More specifically, the definition of responsibilities, authorities and inter-relationships should put in place standard
practices or business rules that:
a) require employees to create records according to the business needs and business processes that adequately
document the business activities in which they take part;
b) ensure that information and processing systems that support business activities create appropriate records as
part of supporting those activities;
c) ensure the transparency of record processes and the adequacy of records systems throughout the active life of
the records (records that are needed to perform current operations and that are subject to frequent use are
usually located near the user, if it is a physical record, or online via a computer system);
d) ensure that records are maintained, stored and preserved for the period of their usefulness to the organization
and, if appropriate, to external stakeholders such as archival institutions, researchers and auditors; and
e) ensure that records are disposed of only in accordance with a defined approval process.
2.3.2 Authorities and responsibilities within the organization
An organization should define the authorities and responsibilities of all employees involved in records
management. These are likely to include the following categories.
a) Senior management should be assigned the highest level of responsibility for ensuring a successful records
management programme. Senior management support is translated into the allocation of resources at a lower
level. It promotes compliance with records management procedures throughout the organization.
b) Records management professionals have primary responsibility for the implementation of ISO 15489-1. In
particular, they establish the overall records management policies, procedures, and standards for the
organization and implement the processes outlined in ISO 15489-1:2001, clause 4.
c) Managers of business units or organizational groupings are responsible for ensuring that their staff create and
keep records as an integral part of their work and in accordance with established policies, procedures and
standards. They provide the resources necessary for the management of records and liaise with records
management professionals on all aspects set out in ISO 15489-1:2001, clause 4.
d) Others in the organization have specific records-related duties. They include, in particular, staff responsible for
security, staff responsible for designing and implementing systems using information and communication
technologies, and staff responsible for compliance.
e) All staff create, receive and keep records as part of their daily work, and should do so in accordance with
established policies, procedure and standards. This includes disposing of records only in accordance with
authorized disposition instruments.
Where contractors carry out the organization’s records management programme, it is important to ensure that they
meet the standards laid down in the organization’s policies.
3 Strategies, design and implementation
3.1 Introduction
ISO 15489-1:2001, clause 8 describes the essential characteristics of records systems and provides a framework
for their implementation. This clause amplifies ISO 15489-1:2001, subclause 8.4 only. It provides some guidance
on designing and implementing systems for managing records.
3.2 Design and implementation of a records system
3.2.1 General
It should be noted that the steps in this process are expansions of the general descriptions provided in
ISO 15489-1:2001, subclause 8.4 and that Step A is linked to item a), Step B to item b) and so on.
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(Source: National Archives of Australia and State Records New South Wales.)
Figure 1 — Design and Implementation of Records Systems (DIRS)
3.2.2 Step A: Preliminary investigation
The purpose of Step A is to provide the organization with an understanding of the administrative, legal, business
and social contexts in which it operates so that it can identify the major factors that influence its need to create and
maintain records.
Step A will also provide a general appreciation of an organization’s strengths and weaknesses in managing its
records. It represents a sound basis for defining the scope of a records project and presenting a business case for
managerial support.
The preliminary investigation is needed to make effective decisions about an organization’s records systems. It will
help define records problems within an organization, and assess the feasibility and risks of various potential
responses.
Step A is an important precursor to the compilation of a business classification scheme and the development of
functions-based processes for deciding what records need to be captured and how long they should be retained. In
conjunction with the two subsequent steps, B and C, the preliminary investigation will also help assess the
organization’s responsibility for records and its compliance with external requirements to create and keep records.
It is also a useful basis for assessing existing systems.
3.2.3 Step B: Analysis of business activity
The purpose of this step is to develop a conceptual model of what an organization does and how it does it. It will
demonstrate how records relate to both the organization’s business and its business processes. It will contribute to
decisions in subsequent steps about the creation, capture, control, storage and disposition of records, and about
access to them. This is particularly important in an electronic business environment where adequate records will
not be captured and retained unless the system is properly designed. This step provides the tools to undertake and
document the business analysis in a systematic way and to make best use of its results.
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An analysis of business activity and processes will provide an understanding of the relationship between the
organization’s business and its records.
The products coming from this step may include
a) documentation describing the organization’s business and business processes,
b) a business classification scheme that shows the organization’s functions, activities and transactions in a
hierarchical relationship, and
c) a map of the organization’s business processes that shows the points at which records are produced or
received as products of business activity.
The analysis provides the basis for developing records management tools, which may include
a) a thesaurus of terms to control the language for titling and indexing records in a specific business context, and
b) a disposition authority that defines the retention periods and consequent disposition actions for records.
The analysis will also help in identifying and implementing appropriate metadata strategies and in formally
assigning responsibilities for keeping records.
3.2.4 Step C: Identification of requirements for records
The purpose of this step is to identify an organization’s requirements to create, receive and keep records of its
business activities, and to document the requirements in a structured and easily maintainable form. Keeping the
appropriate records facilitates the proper conduct of business. It ensures that individuals and organizations are
accountable for their actions in matters of law and administration. It also ensures that they are accountable to
business and related interest groups, internal and external, and sensitive to their needs and expectations.
These requirements for records are identified through a systematic analysis of business needs, legal and regulatory
obligations and any broader responsibilities to the community. An assessment of an organization’s exposure to risk,
if records are not created and kept, will also help identify requirements. The step also provides the rationale for the
creation, maintenance and disposition of records, the basis for designing systems that will capture and maintain
records, and the benchmark for measuring the performance of existing systems.
Some of the products that may emerge from the completion of this step include
a) a list of all sources containing records requirements relevant to the organization,
b) a list of the regulatory, business and any more general community requirements to keep records,
c) a risk assessment report endorsed by management, and
d) a formal document for management and staff that sets out the organization’s requirements to keep records.
3.2.5 Step D: Assessment of existing systems
The purpose of this step is to survey an organization’s existing systems for records and any other information
systems to measure the extent to which they capture and maintain records of business activities. The assessment
will help to reveal any gaps between an organization’s agreed requirements for records and the performance and
capabilities of its existing systems. This will provide the basis for developing new systems or redesigning existing
systems to meet the need for records that have been identified and agreed in previous steps.
Products from this step may include
a) an inventory of the organization’s existing business systems, and
b) a report outlining the extent to which they address the organization’s agreed requirements for records.
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3.2.6 Step E: Identification of strategies for satisfying records requirements
The purpose of this step is to determine the most appropriate policies, procedures, standards, tools and other
tactics that an organization should adopt to ensure that it makes and keeps the necessary records of its business
activity. The choice of strategies may take into account
a) the nature of an organization including its goals and history,
b) the type of business activities it carries out,
c) the way it conducts business activities,
d) its supporting technological environment,
e) the prevailing corporate culture, and
f) any external constraints.
Selection will also be influenced by the potential of each strategy to achieve its desired result and the risk to the
organization if the approach fails.
In some cases, archival authorities may help to develop record strategies.
Strategies might include
a) adopting policies and procedures,
b) developing standards,
c) designing new system components, or
d) implementing systems,
in a way that satisfies the identified requirements to keep and maintain records.
When this step is complete, there will be a planned, systematic and appropriate approach to the creation, capture,
maintenance, use and preservation of records that will provide the basis for the design or redesign of the records
system.
Products coming from this step are likely to include
a) a list of strategies that will satisfy the organization’s requirements for records while meeting its other business
needs,
b) a model that maps strategies to requirements, and
c) a report for senior management recommending an overall design strategy.
3.2.7 Step F: Design of a records system
This step involves converting the strategies and tactics selected in Step E into a plan for a records system that
fulfils the requirements identified and documented during Step C and remed
...
RAPPORT ISO/TR
TECHNIQUE 15489-2
Première édition
2001-09-15
Information et documentation — «Records
management» —
Partie 2:
Guide pratique
Information and documentation — Records management —
Part 2: Guidelines
Numéro de référence
ISO/TR 15489-2:2001(F)
©
ISO 2001
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ISO/TR 15489-2:2001(F)
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ISO/TR 15489-2:2001(F)
Sommaire Page
Avant-propos .v
Introduction.vi
1 Domaine d'application.1
2 Politiques et responsabilités.1
2.1 Introduction.1
2.2 Déclaration d’une politique de «Records management» .1
2.3 Responsabilités.2
2.3.1 Objectifs en matière de responsabilité et d’autorité.2
2.3.2 Autorité et responsabilité au sein de l’organisme .2
3 Stratégie, conception et mise en œuvre .3
3.1 Introduction.3
3.2 Conception et mise en œuvre d’un système d’archivage.3
3.2.1 Généralités.3
3.2.2 Étape A: Enquête préliminaire.4
3.2.3 Étape B: Analyse des activités.4
3.2.4 Étape C: Identification des exigences archivistiques.4
3.2.5 Étape D: Évaluation des systèmes existants .5
3.2.6 Étape E: Identification de la stratégie pour la satisfaction des exigences archivistiques .5
3.2.7 Étape F: Conception d’un système d’archivage .6
3.2.8 Étape G: Mise en œuvre d’un système d’archivage .7
3.2.9 Étape H: Contrôle a posteriori.7
4 Méthodes d’archivage et contrôles .8
4.1 Introduction.8
4.2 Instruments de travail .8
4.2.1 Principaux instruments de travail.8
4.2.2 Plan de classement des activités.9
4.2.3 Vocabulaire.11
4.2.4 Référentiel de conservation.11
4.2.5 Sécurité, droits d’accès, classification .13
4.3 Processus de «Records management».14
4.3.1 Introduction.14
4.3.2 Intégration des documents.15
4.3.3 Enregistrement.16
4.3.4 Classement.17
4.3.5 Classification pour l’accès et la sécurité .19
4.3.6 Identification du sort final.19
4.3.7 Stockage.19
4.3.8 Utilisation et traçabilité .21
4.3.9 Application du sort final.22
5 Contrôle et audit .24
5.1 Généralités.24
5.2 Audit de conformité.24
5.3 Force probante du système.24
5.4 Mesure de la performance .25
6 Formation.25
6.1 Introduction.25
6.2 Exigences d’un programme de formation.25
6.3 Personnel à former.25
6.4 Formation pour les professionnels du «Records management» .26
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ISO/TR 15489-2:2001(F)
6.4.1 Généralités.26
6.4.2 Méthodes de formation .26
6.5 Évaluation et révision de la formation.26
Annexe A Tableaux de concordance entre l’ISO 15489-1 et l’ISO/TR 15489-2 (guide pratique
d’accompagnement).27
Annexe B Comparaison entre le guide pratique ISO/TR 15489-2 et l’ISO 15489-1 .34
Bibliographie .39
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ISO/TR 15489-2:2001(F)
Avant-propos
L'ISO (Organisation internationale de normalisation) est une fédération mondiale d'organismes nationaux de
normalisation (comités membres de l'ISO). L'élaboration des Normes internationales est en général confiée aux
comités techniques de l'ISO. Chaque comité membre intéressé par une étude a le droit de faire partie du comité
technique créé à cet effet. Les organisations internationales, gouvernementales et non gouvernementales, en
liaison avec l'ISO participent également aux travaux. L'ISO collabore étroitement avec la Commission
électrotechnique internationale (CEI) en ce qui concerne la normalisation électrotechnique.
Les Normes internationales sont rédigées conformément aux règles données dans les Directives ISO/CEI,
Partie 3.
La tâche principale des comités techniques est d'élaborer les Normes internationales. Les projets de Normes
internationales adoptés par les comités techniques sont soumis aux comités membres pour vote. Leur publication
comme Normes internationales requiert l'approbation de 75 % au moins des comités membres votants.
Exceptionnellement, lorsqu'un comité technique a réuni des données de nature différente de celles qui sont
normalement publiées comme Normes internationales (ceci pouvant comprendre des informations sur l'état de la
technique par exemple), il peut décider, à la majorité simple de ses membres, de publier un Rapport technique.
Les Rapports techniques sont de nature purement informative et ne doivent pas nécessairement être révisés avant
que les données fournies ne soient plus jugées valables ou utiles.
L'attention est appelée sur le fait que certains des éléments de la présente partie de l'ISO 15489 peuvent faire
l'objet de droits de propriété intellectuelle ou de droits analogues. L'ISO ne saurait être tenue pour responsable de
ne pas avoir identifié de tels droits de propriété et averti de leur existence.
L'ISO/TR 15489-2 a été élaboré par le comité technique ISO/TC 46, Information et documentation, sous-comité
SC 11, Gestion des archives courantes et intermédiaires.
L'ISO 15489 comprend les parties suivantes, présentées sous le titre général Information et documentation —
«Records management»:
Partie 1: Principes directeurs
Partie 2: Guide pratique [Rapport technique]
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ISO/TR 15489-2:2001(F)
Introduction
La présente partie de l'ISO 15489 est complémentaire de l’ISO 15489-1. L’ISO 15489-1 et la présente partie de
l'ISO 15489 s’appliquent l’une et l’autre à tous les documents d’archives, quels que soient leurs formats ou leurs
supports, créés ou reçus par tout organisme public ou privé dans l’exercice de ses activités. Par conséquent, dans
la présente partie de l'ISO 15489 et sauf mention particulière, les systèmes peuvent être interprétés comme
manuel (papier) ou électronique, et un document peut être soit papier, soit une microforme, soit électronique.
L’ISO 15489-1 précise les composantes du «Records management» et définit les résultats à atteindre pour y
satisfaire. La présente partie de l'ISO 15489 fournit une méthodologie pour la mise en œuvre de la norme. Quoi
qu’il en soit, il est recommandé de noter que les normes nationales, la législation et la réglementation peuvent
imposer d’autres critères et d’autres exigences légales.
En complément à l’utilisation de la présente partie de l'ISO 15489, il est recommandé aux personnes désireuses de
mettre en œuvre la norme, de se reporter aux exigences et recommandations des normes nationales, de la
législation et de la réglementation qui leur sont applicables. En outre, il existe différentes organisations ou
associations professionnelles à même d’aider à la mise en œuvre de l’ISO 15489-1.
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RAPPORT TECHNIQUE ISO/TR 15489-2:2001(F)
Information et documentation — «Records management» —
Partie 2:
Guide pratique
1 Domaine d'application
La présente partie de l'ISO 15489 est un guide de mise en œuvre pour l’ISO 15489-1 à destination des
professionnels du «Records management» et de ceux qui ont en charge la gestion des documents d’archives dans
leurs organismes. Il fournit une méthodologie qui facilitera la mise en œuvre de l’ISO 15489-1 dans tous les
organismes qui ont besoin d’organiser et de gérer leurs documents d’archives. Il donne une vision générale des
processus et des facteurs à prendre en considération dans les organismes qui souhaitent se conformer à
l’ISO 15489-1.
2 Politiques et responsabilités
2.1 Introduction
L’article 6 de l’ISO 15489-1:2001 expose en termes généraux le besoin, pour les organismes qui souhaitent se
conformer à la norme, de se doter d’une politique de «Records management» et de définir et d’attribuer à chacun
des responsabilités en matière d’archivage. La présente partie de l'ISO 15489 fournit des indications
supplémentaires en matière de politique de «Records management» et développe les types de responsabilité qui
peuvent être définis et attribués.
2.2 Déclaration d’une politique de «Records management»
Il est recommandé que les organismes définissent et documentent des politiques de «Records management» et
s’assurent que ces politiques sont mises en œuvre et suivies à tous les niveaux de l’organisme.
Une déclaration de politique de «Records management» est une déclaration d’intentions. Elle expose les grandes
lignes de ce que l’organisme entend faire et, quelquefois, elle inclut le sommaire du programme d’action et des
procédures qui seront mises en place pour concrétiser ces intentions. Il va de soi qu’une déclaration de ce type ne
peut garantir à elle seule un bon «Records management»: son succès dépend de l’engagement et de l’appui
effectif et visible de la direction de l’organisme et de l’attribution des ressources nécessaires à sa mise en œuvre.
C’est pourquoi, une déclaration de politique générale efficace désignera un cadre de direction comme responsable
du «Records management», de la surveillance de la mise en œuvre de la politique et du programme.
Il est recommandé que cette déclaration de politique se réfère aux autres politiques relatives à l’information, par
exemple à la politique de systèmes d’information, à la sécurité de l’information ou à la gestion d’actifs mais sans
chercher à les reproduire. Il convient qu’elle soit confortée par des procédures et des guides, un planning et un
plan stratégique, la référence à des autorités compétentes en matière de sort final, et tout autre document
permettant d’asseoir un système de «Records management».
Il est recommandé d’encourager en permanence l’adhésion et l’appui de tout le personnel à cette politique. Il est
particulièrement important que cette déclaration oblige tout le personnel à créer et à conserver des documents
d’archives qui satisfassent aux besoins légaux, réglementaires, fiscaux opérationnels et historiques de l’organisme.
Il est important d’assurer un contrôle de conformité avec la politique définie.
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2.3 Responsabilités
2.3.1 Objectifs en matière de responsabilité et d’autorité
L’objectif primordial de la définition des responsabilités, des autorités de référence et de leurs relations est de
mettre en place et de maintenir un système de «Records management» qui réponde aux besoins des utilisateurs
internes et externes.
Plus précisément, il est recommandé que la définition des responsabilités, des autorités de référence et de leurs
relations instaure des pratiques normalisées et des règles de travail propres à
a) exiger du personnel la création de documents qui répondent aux besoins et aux procédures de l’organisme et
qui, de ce fait, documentent correctement les activités dont ils relèvent;
b) assurer que les systèmes d’information et les processus de travail produisent des documents appropriés qui
constituent bien le support de ces activités;
c) assurer la transparence des processus archivistiques et la validité du système d’archivage tout au long de la
vie active des documents (les documents nécessaires à la conduite des tâches courantes et qui sont sujets à
de fréquentes consultations sont habituellement situés près de l’utilisateur, s’il s’agit de documents physiques,
ou en ligne via un système informatique);
d) assurer la maintenance, le stockage et la conservation des documents pendant la durée de leur utilité pour
l’organisme et, le cas échéant, pour des utilisateurs externes tels que: archives historiques, chercheurs,
contrôleurs; et
e) assurer que les documents ne sont supprimés qu’en accord avec un processus défini et approuvé.
2.3.2 Autorité et responsabilité au sein de l’organisme
Il convient qu’un organisme définisse les responsabilités de tous les membres du personnel impliqués dans le
«Records management». Elles sont susceptibles d’inclure les catégories suivantes.
a) Il est recommandé que la direction se voie attribuer le plus haut niveau de responsabilité pour garantir le
succès du programme de «Records management». Le soutien de la direction se traduit par l’attribution de
ressources jusqu’au niveau le plus bas. Il incite à se conformer aux procédures de «Records management»
dans tout l’organisme.
b) Les professionnels du «Records management» sont responsables au premier chef de la mise en œuvre de
l’ISO 15489-1. Ce sont eux en particulier qui établissent les politiques générales de «Records management»,
les procédures et les normes pour l’organisation et la mise en œuvre des processus présentés à l’article 4 de
l’ISO 15489-1:2001.
c) Les cadres des unités opérationnelles et des services ont la responsabilité de s’assurer que leurs équipes
créent et gardent les documents comme une part intégrante de leur travail et en accord avec les politiques, les
procédures et les normes en vigueur. Ils fournissent les ressources nécessaires à l’organisation et à la gestion
des documents d’archives et sont en relation avec les professionnels du «Records management» pour tous
les points évoqués dans l’article 4 de l’ISO 15489-1:2001.
d) D’autres personnes dans l’organisme assurent des tâches liées à l’archivage. Il s’agit notamment des équipes
responsables de la sécurité, des équipes responsables de la conception et la mise en œuvre des systèmes
informatiques et des équipes responsables de la qualité.
e) Tout le personnel crée, reçoit et conserve des documents comme part de son travail quotidien: il est
recommandé qu’il le fasse en accord avec les procédures et normes en vigueur. Cela inclut l’interdiction de
détruire ou de disposer des documents sans autorisation.
Lorsque des organismes confient leur programme de «Records management» à des sous-traitants, il est important
de s’assurer que ces derniers observent les normes énoncées dans les politiques de l’organisme.
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ISO/TR 15489-2:2001(F)
3 Stratégie, conception et mise en œuvre
3.1 Introduction
L’article 8 de l’ISO 15489-1:2001 décrit les caractéristiques essentielles d’un système d’archivage et fournit un
cadre à leur mise en œuvre. La présente section du guide pratique développe seulement le paragraphe 8.4 de
l’ISO 15489-1:2001. Il fournit des conseils pour la conception et la mise en œuvre d’un système d’organisation des
documents.
3.2 Conception et mise en œuvre d’un système d’archivage
3.2.1 Généralités
Il convient de noter que les étapes de ce processus sont des développements des descriptions générales fournies
en 8.4 de l’ISO 15489-1:2001, et que l’étape A est liée à l’alinéa a), l’étape B à l’alinéa b), et ainsi de suite.
(Source: National Archives of Australia and State Records New South Wales.)
Figure 1 — Conception et mise en œuvre d’un système d’archivage
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ISO/TR 15489-2:2001(F)
3.2.2 Étape A: Enquête préliminaire
Le but de cette étape est de fournir à l’organisme une bonne compréhension des contextes administratif, légal,
économique et social, de sorte qu’il lui soit facile d’identifier les facteurs majeurs qui influent sur ses besoins de
création et de conservation de documents.
Cette étape fournira également une appréciation générale des points forts et des points faibles de l’organisme
dans l’organisation et la gestion de ses documents d’archives. Elle constitue une base pour définir le domaine
d’application d’un projet de «Records management» et pour constituer un dossier de travail à l’attention de la
direction.
L’enquête préliminaire est nécessaire pour prendre des décisions efficaces en matière de système d’archivage
d’un organisme. Elle aidera à cerner les problèmes d’archivage au sein d’un organisme et à évaluer la faisabilité et
les risques des différentes solutions possibles.
Cette étape est un préalable important à la constitution d’un plan de classement des activités et au développement
de processus opérationnels en vue de la sélection des documents à archiver et de la définition de leur durée de
conservation. En lien avec les deux étapes suivantes B et C, l’enquête préliminaire aidera également à évaluer la
responsabilité de l’organisme vis-à-vis des documents et son degré de conformité avec les exigences externes de
création et de conservation des archives. Elle constituera aussi une base pour l’évaluation des systèmes existants.
3.2.3 Étape B: Analyse des activités
La finalité de cette étape est de développer un modèle conceptuel de ce que fait un organisme et de comment il le
fait. Elle montrera comment les documents se rattachent à la fois aux activités de l’organisme et à ses méthodes
de travail. Elle contribuera aux décisions des étapes ultérieures concernant la création, l’archivage, le contrôle, le
stockage, le sort final des documents ainsi que l’accès à ces documents. Cela est particulièrement important dans
un environnement électronique où les documents ne seront pas archivés ni conservés si le système ne l’a pas
spécifiquement prévu. Cette étape fournit les outils pour entreprendre et documenter une analyse des activités
d’une façon systématique et faire le meilleur usage de ses résultats.
Une analyse des activités et des méthodes de travail permettra une bonne compréhension des relations entre les
activités de l’organisme et ses documents d’archives.
Cette étape peut donner lieu aux résultats suivants:
a) une documentation descriptive des activités de l’organisme et des méthodes de travail,
b) un plan de classement des activités qui présente les relations hiérarchiques entre les fonctions, les actions et
les opérations au sein de l’organisme, et
c) une cartographie des méthodes de travail qui montre à quels moments du processus les documents sont
créés ou reçus en tant que produits d’une activité.
L’analyse constitue une base pour le développement d’outils de «Records management», qui peuvent inclure
a) un thésaurus des termes à utiliser pour la désignation et l’indexation des documents dans un contexte
d’activité donné, et
b) un référentiel des délais de conservation des différents documents et de leur sort final à l’issue de ces délais.
L’analyse facilite également l’identification et la mise en œuvre de stratégies appropriées en matière de
métadonnées et l’attribution formelle des responsabilités en matière de conservation des archives.
3.2.4 Étape C: Identification des exigences archivistiques
La finalité de cette étape est d’identifier les besoins d’un organisme en matière de création, réception et
conservation d’archives et de documenter ces exigences d’une manière structurée et facile à gérer. La
conservation des documents pertinents facilite la conduite des affaires. Elle garantit que les individus et les
organismes sont les uns et les autres comptables de leurs actes au plan légal et administratif. Elle garantit
également qu’ils sont responsables vis-à-vis de leurs partenaires et d’autres groupes d’intérêts, internes et
externes, et qu’ils sont sensibles à leurs besoins et à leurs attentes.
4 © ISO 2001 – Tous droits réservés
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ISO/TR 15489-2:2001(F)
Ces exigences archivistiques sont identifiées par le biais d’une analyse systématique des besoins économiques,
des contraintes légales et réglementaires et, plus largement, de toutes les responsabilités vis-à-vis de la société.
Une évaluation des risques auxquels s’expose l’organisme si les documents ne sont pas créés et conservés aidera
également à identifier ces exigences. Cette étape fournit également un argumentaire pour la création, la
conservation et le sort final des documents, une base pour la conception des systèmes qui archiveront et
conserveront les documents, et un repère pour mesurer la performance des systèmes existants.
Les résultats qui peuvent découler de l’accomplissement de cette étape sont notamment
a) une liste de toutes les sources comportant des exigences archivistiques applicables à l’organisme,
b) une liste des exigences réglementaires, économiques ou autres en matière de conservation de documents,
c) un rapport d’évaluation des risques validé par la direction,
d) une note interne à l’usage des cadres et du personnel qui présente les exigences de l’organisme en matière
de conservation de documents.
3.2.5 Étape D: Évaluation des systèmes existants
La finalité de cette étape est d’analyser les systèmes documentaires existants dans l’organisme ainsi que tous les
autres systèmes d’information, afin de voir dans quelle mesure ils archivent et conservent les documents
procédant des activités de l’organisme. L’étude aidera à mettre en évidence les décalages entre les exigences
archivistiques validées par un organisme et les fonctionnalités et performances des systèmes existant dans cet
organisme. Ceci fournira la base du développement de nouveaux systèmes ou de la révision des systèmes
existants afin de satisfaire aux besoins identifiés et validés au cours des étapes précédentes.
Les résultats de cette étape peuvent être
a) un inventaire des systèmes fonctionnels existants de l’organisme, et
b) un rapport soulignant dans quelle mesure les systèmes existants répondent aux exigences archivistiques de
l’organisme.
3.2.6 Étape E: Identification de la stratégie pour la satisfaction des exigences archivistiques
Le but de cette étape est de déterminer la politique, les pratiques, les normes, les outils et autres mesures les plus
appropriées qu’il est recommandé à un organisme d’adopter, pour garantir qu’il crée et conserve les documents
nécessaires à son activité. Le choix d’une stratégie peut prendre en compte
a) la nature de l’organisme, y comp
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