ISO/TR 21946:2018
(Main)Information and documentation — Appraisal for managing records
Information and documentation — Appraisal for managing records
This document provides guidance on how to carry out appraisal for managing records. It describes some of the products and outcomes that can be delivered using the results of appraisal. As such, this document describes a practical application of the concept of appraisal outlined in ISO 15489-1. This document: a) lists some of the main purposes for appraisal; b) describes the importance of establishing scope for appraisal; c) explains how to analyse business functions and develop an understanding of their context; d) explains how to identify records requirements; e) describes the relationships between records requirements, business functions and work processes; f) explains how to use risk assessment for making decisions related to records; g) lists options for documenting the results of appraisal; h) describes possible uses for the results of appraisal; and i) explains the importance of monitoring and review of the execution of appraisal decisions. This document can be used by all organizations regardless of size, nature of their business activities, or the complexity of their functions and structure.
Information et documentation — Evaluation dans le cadre de la gestion des documents d'activité
Le présent document fournit des recommandations concernant la manière de réaliser une évaluation dans le cadre de la gestion des documents d'activité. Il décrit certains des produits et résultats qu'il est possible de mettre en œuvre dans le sillage de l'évaluation. Ainsi, le présent document décrit une application pratique du concept d'évaluation décrit dans l'ISO 15489‑1. Le présent document: a) établit une liste des principaux objectifs de l'évaluation; b) décrit l'importance de l'établissement du périmètre de l'évaluation; c) explique comment analyser les fonctions de chaque activité et comprendre leur contexte; d) explique comment identifier les exigences relatives aux documents d'activité; e) décrit les relations entre les exigences relatives aux documents d'activité, les fonctions et les processus de travail; f) explique comment utiliser l'appréciation des risques pour prendre des décisions liées aux documents d'activité; g) établit la liste des options de documentation des résultats de l'évaluation; h) décrit les utilisations possibles des résultats de l'évaluation; et i) explique l'importance de la surveillance et de la revue de la mise en pratique des décisions suite à l'évaluation. Le présent document peut être utilisé par tous les organismes, indépendamment de leur taille, de la nature de leurs activités ou de la complexité de leurs fonctions et de leur structure.
Informatika in dokumentacija - Ocenjevanje upravljanja zapisov
General Information
Standards Content (Sample)
SLOVENSKI STANDARD
01-februar-2021
Informatika in dokumentacija - Ocenjevanje upravljanja zapisov
Information and documentation -- Appraisal for managing records
Information et documentation -- Evaluation dans le cadre de (pour) la gestion des
documents d'activité
Ta slovenski standard je istoveten z: ISO/TR 21946:2018
ICS:
01.140.20 Informacijske vede Information sciences
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.
TECHNICAL ISO/TR
REPORT 21946
First edition
2018-11
Information and documentation —
Appraisal for managing records
Information et documentation — Evaluation dans le cadre de (pour)
la gestion des documents d'activité
Reference number
©
ISO 2018
© ISO 2018
All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may
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ii © ISO 2018 – All rights reserved
Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Appraisal process . 2
5 Information gathering and analysis . 3
5.1 General . 3
5.2 Determining the scope of appraisal . 4
5.3 Determining who to involve in the appraisal process . 4
5.4 Information gathering . 5
5.5 Analysis of the business context . 6
5.6 Analysis of the technological context . 6
5.7 Functional analysis . 7
5.8 Sequential analysis . 7
5.9 Identification of agents . 7
5.10 Identification of business critical areas . 8
5.11 Determining records requirements . 9
5.11.1 General. 9
5.11.2 Business needs for records . 9
5.11.3 Legal and regulatory requirements for records .10
5.11.4 Community or societal expectations for records .10
6 Assessment and implementation .11
6.1 General .11
6.2 Linking records requirements to business functions and work processes .11
6.3 Assessment and treatment of risks associated with the implementation of records
requirements .13
6.4 Documentation of the appraisal process .15
6.5 Using the results of the appraisal process .16
7 Monitoring .17
8 Review and corrective action .17
Bibliography .18
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.
The procedures used to develop this document and those intended for its further maintenance are
described in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for the
different types of ISO documents should be noted. This document was drafted in accordance with the
editorial rules of the ISO/IEC Directives, Part 2 (see www .iso .org/directives).
Attention is drawn to the possibility that some of the elements of this document may be the subject of
patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of
any patent rights identified during the development of the document will be in the Introduction and/or
on the ISO list of patent declarations received (see www .iso .org/patents).
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and
expressions related to conformity assessment, as well as information about ISO's adherence to the
World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see www .iso
.org/iso/foreword .html.
This document was prepared by Technical Committee ISO/TC 46, Information and documentation,
Subcommittee SC 11, Archives/records management.
Any feedback or questions on this document should be directed to the user’s national standards body. A
complete listing of these bodies can be found at www .iso .org/members .html.
iv © ISO 2018 – All rights reserved
Introduction
Appraisal for managing records is the recurrent process of evaluating business activities to determine
which records need to be created and captured as well as how and how long the records need to be
kept. It combines an understanding of business activities and their contexts with
— the identification of business needs, regulatory requirements and societal expectations relating to
records, and
— the assessment of opportunities and risks associated with the creation and management records.
Regular, systematic appraisal for managing records has a range of benefits, including:
— compliance with legal/regulatory requirements for records;
— satisfaction of business needs in managing records, and providing for timely disposition of records;
— identification of requirements for continuing retention of records as archives;
— implementation of measures to protect and manage records according to their level of criticality for
the organization and/or their retention requirements;
— improvement of organizational efficiency through proper use of resources;
— the effective management of risk related to records;
— greater accountability for decisions about the creation, capture and management of records.
In some records and archives management traditions, appraisal for managing records is solely used as
an instrument to identify retention requirements for records or to create a disposition authority. The
concept of appraisal as described in ISO 15489-1 is, however, meant to be used in a broader way. It can
be used to identify different types of requirements related to creating, capturing and managing records
over time and to implement them in ways that are suited to changing contexts. In this way, appraisal
can support accountability and more efficient business.
The results of appraisal can be used in the development of policies, systems and processes, as well as to
develop a range of records controls. These controls include metadata schemas, business classification
schemes, access and permissions rules and disposition authorities. In some jurisdictions, appraisal for
managing records, or parts of it, can be required by law or regulation as a precursor to the development
of such tools.
Appraisal is a strategic and proactive approach to the creation, capture and management of records,
rather than a reactive one.
Appraisal is accountable and consultative, and, in certain cases, should be conducted in partnership
with stakeholders with interests in the creation, capture and management of particular classes of
records.
The advice on appraisal for managing records in this document can be used if an organization is
implementing a management system for records (MSR) following ISO 30301. In the management
system standards approach, appraisal can help to meet requirements related to the “Context of the
organization” and “Operational planning”.
TECHNICAL REPORT ISO/TR 21946:2018(E)
Information and documentation — Appraisal for
managing records
1 Scope
This document provides guidance on how to carry out appraisal for managing records. It describes
some of the products and outcomes that can be delivered using the results of appraisal. As such, this
document describes a practical application of the concept of appraisal outlined in ISO 15489-1.
This document:
a) lists some of the main purposes for appraisal;
b) describes the importance of establishing scope for appraisal;
c) explains how to analyse business functions and develop an understanding of their context;
d) explains how to identify records requirements;
e) describes the relationships between records requirements, business functions and work processes;
f) explains how to use risk assessment for making decisions related to records;
g) lists options for documenting the results of appraisal;
h) describes possible uses for the results of appraisal; and
i) explains the importance of monitoring and review of the execution of appraisal decisions.
This document can be used by all organizations regardless of size, nature of their business activities, or
the complexity of their functions and structure.
2 Normative references
The following documents are referred to in the text in such a way that some or all of their content
constitutes requirements of this document. For dated references, only the edition cited applies. For
undated references, t
...
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