SIST-TP ISO/TR 15489-2:2005
(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
General Information
Related Packages
Standards Content (Sample)
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 2001
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
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
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
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]
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
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
...
SLOVENSKI STANDARD
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
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.
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 2001
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
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
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
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]
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,
...
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 2001
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© ISO 2001
Droits de reproduction réservés. Sauf prescription différente, aucune partie de cette publication ne peut être reproduite ni utilisée sous quelque
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ISO copyright office
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Fax. + 41 22 749 09 47
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Web www.iso.ch
Imprimé en Suisse
ii © ISO 2001 – Tous droits réservés
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
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
iv © ISO 2001 – Tous droits réservés
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]
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.
vi © ISO 2001 – Tous droits réservés
RAPPORT TECHNIQUE ISO/TR 15489-2:2001(F)
...
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