oSIST-TS ISO/DTS 7538:2024
(Main)Functional requirements for disposition of records
Functional requirements for disposition of records
The proposed Technical Specification provides organizations with guidance about how to manage processes related to the retention and disposition of records. In particular, it: • specifies assessment processes to determine retention and disposition requirements; • specifies responsibilities for records retention and disposition processes; • provides guidance on the key process areas against which record retention and disposition processes can be assessed; • provides guidance for those implementing retention and disposition processes; and • provides guidance on how to integrate the records’ retention and disposition processes into an organization’s operations.
Exigences fonctionnelles pour le sort final des documents d'activité
Funkcionalne zahteve za razporejanje zapisov
General Information
Standards Content (Sample)
Technical
Specification
ISO/TS 7538
First edition
Functional requirements for
2024-08
disposition of records
Exigences fonctionnelles pour le sort final des documents
d'activité
Reference number
© ISO 2024
All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may
be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on
the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address below
or ISO’s member body in the country of the requester.
ISO copyright office
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: +41 22 749 01 11
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
ii
Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Purpose and benefits . 2
5 Principles . 2
6 Disposition requirements . 3
6.1 General .3
6.2 Governance of disposition .3
6.2.1 General .3
6.2.2 Authorization of disposition .3
6.2.3 Reviewing and updating disposition authorities .4
6.3 Disposition policies .5
6.4 Disposition processes .5
6.4.1 General .5
6.4.2 Processes .5
6.4.3 Documenting disposition . . .6
6.4.4 Disposition actions .6
6.5 Exceptional circumstances and their implications for disposition .8
6.5.1 General .8
6.5.2 Disposition due to exceptional events.8
6.5.3 Disposition holds .8
7 Performance evaluation and improvement . 9
7.1 General .9
7.2 Monitoring, measurement, analysis and evaluation . .9
Annex A (informative) Disposition challenges . 10
Bibliography . 14
iii
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 document 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).
ISO draws attention to the possibility that the implementation of this document may involve the use of (a)
patent(s). ISO takes no position concerning the evidence, validity or applicability of any claimed patent
rights in respect thereof. As of the date of publication of this document, ISO had not received notice of (a)
patent(s) which may be required to implement this document. However, implementers are cautioned that
this may not represent the latest information, which may be obtained from the patent database available at
www.iso.org/patents. ISO shall not be held responsible for identifying any or all such patent rights.
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
Introduction
Disposition is an integral part of records management and allows organizations to reduce storage costs and
save unnecessary time and expense managing records that are no longer required. Proper disposition also
helps to ensure compliance, reduce risks, and preserve corporate and societal memory.
Disposition is the “range of records processes associated with implementing records retention, destruction
or transfer decisions which are documented in disposition authorities or other instruments”. Disposition
can be implemented:
a) on the receipt or creation of a record;
b) when the status of a record changes;
c) when records no longer have any administrative, legislative, historical, or cultural value; or
d) for long term preservation and archival purposes.
As set out in ISO 15489-1, taking a managed and documented approach to the disposition of records is
an important aspect of the efficient and accountable management of records, and is part of a structured
approach to records management.
Such an approach is normally considered during appraisal, subsequent retention schedule development, and
records systems design. In best practice, disposition is part of business activities, rather than an ad hoc
activity, and is done regularly according to records requirements.
Planning for, and having efficient and authorized systems and processes in place to guide disposition
supports accountability, efficiency, and good governance, while ensuring that records are controlled in an
appropriate manner for a range of purposes.
This document assumes that requirements related to the disposition of records are identified during
appraisal, as described in ISO/TR 21946.
Appraisal is the process of analysing and evaluating business functions and processes, business context,
and risk to determine records requirements. Results of the appraisal can be used in disposition decisions.
Appraisal decisions should be implemented through processes documented in disposition authorities or
other instruments.
This document is not intended to give guidance on how the appraisal process is designed, implemented, or
undertaken. Guidance on appraisal can be found in ISO/TR 21946.
Implementing a disposition authority involves carrying out the disposition actions identified through the
appraisal process. It is a process that includes:
— reviewing whether it is permitted for records to be disposed of;
— undertaking the disposition action;
— documenting that the disposition has taken place.
Disposition actions are usually undertaken on a regular and routine basis. However, some disposition actions
can require a one-off or ad hoc process. For example, when a record is sold to a third party for commercial
purposes or when an organizational function is transferred to another agency. In these circumstances, the
implementation of disposition is appropriate to the disposition action and risk management considerations.
This document also supports organizations in implementing disposition by design, which involves analysing
disposition requirements and implementing measures at early stages of the design and development of
products, processes, systems or services that involve handling records.
v
Technical Specification ISO/TS 7538:2024(en)
Functional requirements for disposition of records
1 Scope
This document identifies the purpose and benefits of disposition and provides organizations with guidance
about how to manage disposition-related processes. In particular, it:
— specifies responsibilities for records disposition processes;
— provides guidance on the key areas against which records disposition processes can be assessed;
— provides requirements and guidance for those implementing disposition processes; and
— provides guidance on how to integrate records disposition processes into an organization’s operations.
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,
the latest edition of the referenced document (including any amendments) applies.
ISO 15489-1, Information and documentation — Records management — Part 1: Concepts and principles
ISO 18128, Information and documentation — Records risks — Risk assessment for records management
ISO 16175-1:2020, Information and documentation — Processes and functional requirements for software for
managing records — Part 1: Functional requirements and associated guidance for any applications that manage
digital records
ISO 30300, Information and documentation — Records management — Core concepts and vocabulary
ISO 31000, Risk management — Guidelines
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO 30300 and the following apply.
ISO and IEC maintain terminological databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at https:// www .electropedia .org/
3.1
disposition action
action taken to dispose of a record in response to the applicable disposition authority
Note 1 to entry: individual entry in the disposition authority usually includes a disposition actio
...
SLOVENSKI STANDARD
01-oktober-2024
Funkcionalne zahteve za razporejanje zapisov
Functional requirements for disposition of records
Exigences fonctionnelles pour le sort final des documents d'activité
Ta slovenski standard je istoveten z: ISO/TS 7538
ICS:
01.140.20 Informacijske vede Information sciences
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.
FINAL DRAFT
Technical
Specification
ISO/DTS 7538
ISO/TC 46/SC 11
Functional requirements for
Secretariat: SA
disposition of records
Voting begins on:
2024-05-21
Voting terminates on:
2024-07-16
RECIPIENTS OF THIS DRAFT ARE INVITED TO SUBMIT,
WITH THEIR COMMENTS, NOTIFICATION OF ANY
RELEVANT PATENT RIGHTS OF WHICH THEY ARE AWARE
AND TO PROVIDE SUPPOR TING DOCUMENTATION.
IN ADDITION TO THEIR EVALUATION AS
BEING ACCEPTABLE FOR INDUSTRIAL, TECHNO
LOGICAL, COMMERCIAL AND USER PURPOSES, DRAFT
INTERNATIONAL STANDARDS MAY ON OCCASION HAVE
TO BE CONSIDERED IN THE LIGHT OF THEIR POTENTIAL
TO BECOME STAN DARDS TO WHICH REFERENCE MAY BE
MADE IN NATIONAL REGULATIONS.
Reference number
ISO/DTS 7538:2024(en) © ISO 2024
FINAL DRAFT
ISO/DTS 7538:2024(en)
Technical
Specification
ISO/DTS 7538
ISO/TC 46/SC 11
Functional requirements for
Secretariat: SA
disposition of records
Voting begins on:
Voting terminates on:
RECIPIENTS OF THIS DRAFT ARE INVITED TO SUBMIT,
WITH THEIR COMMENTS, NOTIFICATION OF ANY
RELEVANT PATENT RIGHTS OF WHICH THEY ARE AWARE
AND TO PROVIDE SUPPOR TING DOCUMENTATION.
© ISO 2024
IN ADDITION TO THEIR EVALUATION AS
All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may
BEING ACCEPTABLE FOR INDUSTRIAL, TECHNO
LOGICAL, COMMERCIAL AND USER PURPOSES, DRAFT
be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on
INTERNATIONAL STANDARDS MAY ON OCCASION HAVE
the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address below
TO BE CONSIDERED IN THE LIGHT OF THEIR POTENTIAL
or ISO’s member body in the country of the requester.
TO BECOME STAN DARDS TO WHICH REFERENCE MAY BE
MADE IN NATIONAL REGULATIONS.
ISO copyright office
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: +41 22 749 01 11
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland Reference number
ISO/DTS 7538:2024(en) © ISO 2024
ii
ISO/DTS 7538:2024(en)
Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Purpose and benefits . 2
5 Principles . 2
6 Disposition requirements . 3
6.1 General .3
6.2 Governance of disposition .3
6.2.1 General .3
6.2.2 Authorization of disposition .3
6.3 Reviewing and updating disposition authorities .4
6.3.1 Policies .4
6.3.2 Disposition policies .5
6.4 Disposition processes .5
6.4.1 General .5
6.4.2 Processes .5
6.4.3 Documenting disposition . . .6
6.4.4 Disposition actions .6
6.5 Exceptional circumstances and their implications for disposition .8
6.5.1 General .8
6.5.2 Disposition due to exceptional events.8
6.5.3 Disposition holds .8
7 Performance evaluation and improvement . 9
7.1 General .9
7.2 Monitoring, measurement, analysis and evaluation . .9
Annex A (informative) Disposition challenges . 10
Bibliography . 14
iii
ISO/DTS 7538:2024(en)
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 document 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).
ISO draws attention to the possibility that the implementation of this document may involve the use of (a)
patent(s). ISO takes no position concerning the evidence, validity or applicability of any claimed patent
rights in respect thereof. As of the date of publication of this document, ISO had not received notice of (a)
patent(s) which may be required to implement this document. However, implementers are cautioned that
this may not represent the latest information, which may be obtained from the patent database available at
www.iso.org/patents. ISO shall not be held responsible for identifying any or all such patent rights.
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/DTS 7538:2024(en)
Introduction
Disposition is an integral part of records management and allows organizations to reduce storage costs and
save unnecessary time and expense managing records that are no longer required. Proper disposition also
helps to ensure compliance, reduce risks, and preserve corporate and societal memory.
Disposition is the “range of records processes associated with implementing records retention, destruction
or transfer decisions which are documented in disposition authorities or other instruments”. Disposition
can be implemented:
a) on the receipt or creation of a record;
b) when the status of a record changes;
c) when records no longer have any administrative, legislative, historical, or cultural value; or
d) for long term preservation and archival purposes.
As set out in ISO 15489-1, taking a managed and documented approach to the disposition of records is
an important aspect of the efficient and accountable management of records, and is part of a structured
approach to records management.
Such an approach is normally considered during appraisal, subsequent retention schedule development, and
records systems design. In best practice, disposition is part of business activities, rather than an ad hoc
activity, and is done regularly according to records requirements.
Planning for, and having efficient and authorized systems and processes in place to guide disposition
supports accountability, efficiency, and good governance, while ensuring that records are controlled in an
appropriate manner for a range of purposes.
This document assumes that requirements related to the disposition of records are identified during
appraisal, as described in ISO/TR 21946.
Appraisal is the process of analysing and evaluating business functions and processes, business context,
and risk to determine records requirements. Results of the appraisal can be used in disposition decisions.
Appraisal decisions should be implemented through processes documented in disposition authorities or
other instruments.
This document is not intended to give guidance on how the appraisal processes is designed, implemented, or
undertaken. Guidance on appraisal can be found in ISO/TR 21946.
Implementing a disposition authority involves carrying out the disposition actions identified through the
appraisal process. It is a process that includes:
— reviewing whether it is permitted for records to be disposed of;
— undertaking the disposition action;
— documenting that the disposition has taken place.
Disposition actions are usually undertaken on a regular and routine basis. However, some disposition actions
can require a one-off or ad hoc process. For example, when a record is sold to a third party for commercial
purposes or when an organizational function is transferred to another agency. In these circumstances, the
implementation of disposition is appropriate to the disposition action and risk management considerations.
This document also supports organizations in implementing disposition by design, which involves analysing
disposition requirements and implementing measures at early stages of the design and development of
products, processes, systems or services that involve handling records.
...
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