Information and documentation, Records management, Concepts and principles.pptx

Information and Documentation
ISO 15489
Concepts, principles and Guidelines
Libyan International Medical
University
Business Process Management

2
Technical Report ISO 15489-2-2001
International Standard ISO 15489-1-2016

3
• ISO stands for international organization for
standardization
• ISO was derived from a Greek word “isos” meaning “equal”.
• Include 63 countries established to formulate and foster
standardization.
• non-governmental international organization with a membership
of 168 national standards bodies.
Main Goals of ISO
1. Enhanced product quality;
2. Improved health, safety and environmental
protection;
3. Greater compatibility (goods and services);
4. Reduction in costs;
5. Increased distribution efficiency;
6. Ease of maintenance;
7. Simplification for improved usability.
www.iso.org
ISO brief history

4
ISO'S FIRST OFFICES
In 1949, ISO moves into offices in a small,
private house in Geneva, has 5 members of
staff.
ISO brief history

5
ISO'S FIRST STANDARD
In 1951, the first ISO standard ISO/R 1:1951
Standard reference temperature for industrial
length measurements, is published.
ISO brief history

6
THE ISO JOURNAL
In 1952, ISO has published monthly information
about its technical committees in New York.
ISO brief history

7
ISO AND DEVELOPING COUNTRIES
In 1960S , ISO works to include more developing
countries in its International Standardization work,
established DEVCO.
ISO brief history

8
ENVIRONMENT ON THE AGENDA
In 1971, ISO creates its first two technical
committees in the environmental field: Air quality
and Water quality, (Renewable Energy).
ISO brief history

9
AN INTERNATIONAL FOCUS
In 1970s, turning ISO into a truly international
organization, such as Japan and China
ISO brief history

10
ISO 9000 FAMILY
In 1987, ISO publishes its first Quality Management
Standard. .
ISO brief history

11
1. ISO 1 – ISO 1999
2. ISO 2000 – ISO 2999
3. ISO 3000 – ISO 4999
4. ISO 5000 – ISO 7999
5. ISO 8000 – ISO 9999
6. ISO 10000 – ISO 11999
7. ISO 12000 – ISO 13999
8. ISO 14000 – ISO 15999
9. ISO 16000 – ISO 17999
10. ISO 18000 – ISO 19999
11. ISO 20000 – ISO 21999
12. ISO 22000 – ISO 23999
13. ISO 24000 – ISO 25999
14. ISO 26000 – ISO 27999
15. ISO 28000 – ISO 29999
16. ISO 30000 – ISO 99999
ISO 1 – ISO 99999
ISO 15489
Information
and
documentation
– Records
management
 ISO 15489-1:2016 Part 1: Concepts and principles
 ISO/TR 15489-2:2001 Part 2: Guidelines

12
ISO 15489 benefits
Information & Documentation
ISO 15489 - Concepts, principles and Guidelines
Business Process Management - LIMU

ISO 15489 benefits
1) improved transparency and accountability;
2) effective policy formation;
3) informed decision-making;
4) management of business risks;
5) continuity in the event of disaster;
6) protection of rights and obligations of organizations and
individuals;
7) compliance with legislation and regulations;
8) reduction of costs;
9) preserving the memory of the institution or department;
10)support research and development activities.
13

STORAGE
AUTHENTICITY
OWNERSHIP
RETENTION & DISPOSITION
SECURITY
ORGANIZATION
14
Electronic records are
not widely different
from paper records.

WORD
PROCESSI
NG
PDF EMAILING
SPREADSHEE
TS
SCANNED
IMAGES
ELECTRONI
C
PUPLICATI
ON
CAD VIDEOS AUDIO
RECORDIN
G
GIS
DATABASE
S
DIGITAL
PHOTOGRA
PH
WEBSITES SOCIAL
MEDIA
PRESENTATION
S
15
TYPES OF DOCUMENTS

DESKTOPs LAPTOPS NETWORK
SERVERS
REMOVABL
E MEDIA
BACKUP
TAPES
TABLETS
SMART
PHONES
CLOUD
16
THEIR LOCATIONS

If a record is born
digital, it should die
digital
17

18
Records Lifecycle
Create &
Capture
Maintenance &
Use
Retention
&
Disposition

19
Records Lifecycle: creation and
capture
• Most records are created routinely as a result of work processes.
• Capturing records means keeping the records created or received so that
they will be there when needed.
Questions to consider:
• Where do we create the record?
• Is it born digital?
• How is it captured in a records
system
• Do we need to scan the record if
it’s a paper copy?

20
Records Lifecycle: maintenance
and use
1. Classification
2. Indexing
3. Access controls
4. Storage and media selection
5. Auditing and reporting
• How do we organize my records?
• Can they be searched easily?
• Do they right people have access to them?
• Do we need to have access to records
offline?
• How to we maintain versions?

21
Records Lifecycle: retention and
disposition
• Records should be managed according to their value to the
organization
• Records should be retained according to a records program
• Records should be disposed of at the end of the lifecycle
• Documents that are not records must still be managed
appropriately.
• How long should we keep the record?
• What do we do with the record when
it meets its retention period?
• What are the destruction processes?
• How do we prepare records for
archiving?

What is ISO 15489-1?
“It defines the concepts and principles from
which approaches to the creation, capture and
management of records are developed.”
a) records, metadata for records and records systems;
b) policies, assigned responsibilities, monitoring and training supporting the
effective management of records;
c) recurrent analysis of business context and the identification of records
requirements;
d) records controls;
e) processes for creating, capturing and managing records.
22

Records
Business Activity
Functions Activities Transactions
Work
Processes
Information
Assets
What does record contains?
23

24
What is Document?
“Recorded information or object which can be
treated as a unit.” - ISO 15489-1, 2016
What is Record?
“information created, received and maintained
as evidence and as an asset by an organization
or person, in pursuit of legal obligations or
in the transaction of business.” - ISO 15489-1,
2016
• The term “record” does not always translate
well.
• Organizations often develop their own
definition of record.
‫المراجع‬
:
•
"
‫الوثائق‬ ‫إدارة‬ ‫مجال‬ ‫في‬ ‫الدولية‬ ‫المعايير‬
‫عمليات‬ ‫إجراء‬ ‫في‬ ‫منها‬ ‫واإلفادة‬ ‫والرقمنة‬
‫الوثائقية‬ ‫لألرصدة‬ ‫الرقمي‬ ‫التحول‬
"
,
‫يناير‬
2021
,
‫والوثائق‬ ‫للمكتبات‬ ‫العلمية‬ ‫المجلة‬
‫والمعلومات‬
.
•
‫كتاب‬
Glossary of Archival And Records Terminology
-
Richard Pearce-Moses
,
January 2005
‫المحرر‬
(
Document
)
‫يحمل‬ ‫مادي‬ ‫وسيط‬
‫أو‬ ‫رسمية‬ ‫طبيعة‬ ‫له‬ ‫ومعلومات‬ ‫بيانات‬
‫المحرر‬ ‫يمثل‬ ‫حيث‬ ‫بعد؛‬ ‫يوثق‬ ‫لم‬ ‫قانونية‬
‫نحو‬ ‫تخطو‬ ‫وهي‬ ‫اإلنشاء‬ ‫طور‬ ‫في‬ ‫الوثيقة‬
‫يمكن‬ ‫وبانتهائها‬ ،‫إجراءاتها‬ ‫استكمال‬
‫بإرادة‬ ‫مثبت‬ ‫كدليل‬ ‫عليها‬ ‫االعتماد‬
‫تصبح‬ ‫وعندئذ‬ ‫المنشئ‬
‫وثيقة‬
(
record
)
.
‫مصطلح‬
"
‫مستند‬
"
‫لكلمة‬ ‫كترجمة‬
Document
‫في‬ ‫مستند‬ ‫كلمة‬ ‫ألن‬ ،‫دقيقة‬ ‫غير‬ ‫لكنها‬
‫وتعني‬ ‫وثيقة‬ ‫كلمة‬ ‫مرادفات‬ ‫من‬ ‫العربية‬
‫االعتماد‬
(
‫االستناد‬
)
‫إثبات‬ ‫كأدلة‬ ‫عليها‬
‫عملية‬ ‫باكتمال‬ ‫إال‬ ‫يتحقق‬ ‫ال‬ ‫ما‬ ‫وهو‬
‫للمحرر‬ ‫التوثيق‬
.
‫الوثيقة‬
(
Record
)
‫التي‬ ‫المحررات‬ ‫هي‬
‫إجراءات‬ ‫باكتمال‬ ‫إنشائها‬ ‫مرحلة‬ ‫انتهت‬
‫بها‬ ‫يعتد‬ ‫قانونية‬ ‫وثيقة‬ ‫وصارت‬ ‫توثيقها‬
‫إليها‬ ‫للرجوع‬ ‫حفظها‬ ‫يتم‬ ‫إثبات‬ ‫كأدلة‬
‫مصطلح‬ ‫يطلق‬ ُ
‫و‬ ‫مستقبال‬
"
Record
"
‫على‬
‫الجهة‬ ‫سيطرة‬ ‫تحت‬ ‫تزال‬ ‫ال‬ ‫التي‬ ‫الوثائق‬
‫لها‬ ‫المنشئة‬ ‫اإلدارية‬
.

25
Characteristics of Records
A record can be
trusted as a full and
accurate
representation of
activities or facts
A record is proven to
be what it purports
to be
A record is complete
and unaltered
A record can be
located, retrieved,
presented and
interpreted
Reliabili
ty
Authentic
ity
Integrity
Usability

26
The Importance Of Records
• Most of today’s records start out in
electronic form:
o Documents
o Spreadsheets
o Images
o Emails
• Growing awareness of records management
• Failures of governance
• Increasing government requirements for
retention and disposition.

27
What is records management?
“field of management responsible for the efficient and systematic
control of the creation, receipt, maintenance, use and disposition
of records, including processes for capturing and maintaining
evidence of and information about business activities and
transactions in the form of records.” - ISO 15489-1, 2016
What is records system?
“information system which captures, manages and provides access to
records over time.” - ISO 15489-1, 2016

28
Drivers Of Records Management
• Laws
• Regulations
• Policies
• Standards
• Good
practice
• Records are
vulnerable to loss
• Organizations tend
to fail if they
lose records
• E-storage may
speed recovery
from a disaster.
• Accessing records
quickly
• Saving space
• Reducing handling
costs
• Not losing records
• Sharing records
• Finding records easily
• Getting the complete
picture
• High evidential weight
• Faster information
retrieval
• 24/7 availability
• Disaster recovery and
backups

What is access?
“right, opportunity, means of finding, using or retrieving
information.” - ISO 15489-1, 2016
What is activity?
“major task performed by a business entity as part of a function.” -
ISO 15489-1, 2016
What is agent?
“individual, workgroup or organization responsible for, or involved
in, record creation, capture and/or records management processes.” -
ISO 15489-1, 2016
29

What is business classification scheme?
“tool for linking records to the context of their creation.” - ISO
15489-1, 2016
30
What is classification?
“systematic identification and/or arrangement of business activities
and/or records into categories according to logically structured
conventions, methods, and procedural rules.” - ISO 15489-1, 2016
What is conversion?
“process of changing records from one format to another.” - ISO
15489-1, 2016

31
What is destruction?
“process of eliminating or deleting a record, beyond any possible
reconstruction.” - ISO 15489-1, 2016

32
What is evidence?
“documentation of a transaction.” - ISO 15489-1, 2016
What is function?
“group of activities that fulfils the major responsibilities for
achieving the strategic goals of a business entity.” - ISO 15489-1,
2016

33
What is metadata?
“structured or semi-structured information, which enables the creation,
management, and use of records through time and within and across domains.” -
ISO 15489-1, 2016

34
Types of metadata?
Descriptive
(information)
• title, author, and
subject matter of the
document.
• helps users locate and
identify documents.
Administrative
(privacy & security)
• contains information
about the copyright,
permissions,
restrictions, license
agreements.
• identify who can
access a document
Structural
(information)
• useful in warehousing
and machine learning.
Business
(organization-specific
details)
• what
what a piece of information
means
• how
how the organization uses
it.
Social
(user interactions
surrounding)
• chat logs, user notes,
comments,
bookmarks, etc

35
What is schema?
“process of moving records from one hardware or software
configuration to another without changing the format.” - ISO 15489-1,
2016
What is work process?
“one or more sequences of actions required to produce an outcome
that complies with governing rules.” - ISO 15489-1, 2016

36
What is migration?
“logical plan showing the relationships between metadata elements,
normally through establishing rules for the use and management of
metadata specifically as regards the semantics, the syntax and the
optionality )obligation level( of values.” - ISO 15489-1, 2016
What is transaction?
“smallest unit of a work process consisting of an exchange between
two or more participants or systems.” - ISO 15489-1, 2016

37
Records systems
Records systems comprise a number of elements that are combined so
that identified records requirements can be met within a given
business environment.
a) apply records controls.
b) carry out processes for creating, capturing and managing
records.
c) support the creation and maintenance of logical relationships
between records content and metadata for records.

38
a) conformance with the characteristics of records systems
b) interoperability to support interaction with other systems and a flexible
approach to the use of records controls;
c) ease of records use and reuse;
d) readiness for technological or business change, such as system upgrades
or administrative restructuring;
e) Readiness for business interruptions and business continuity in the event
of unexpected disruptions.
The design and implementation of records systems

39
Characteristics Of Records Systems
Reliable
Compliant
Secure
Systematic
Comprehensive

40
Policies and responsibilities
Design and implementation of a records
system
Records processes and controls
Monitoring and auditing
Training
PART 2

41
Policies and Responsibilities
Policies
•should be derived from business
objectives;
•supported by business rules,
procedures and guidelines,
planning and strategy statements.
•should include a statement about
scope;
•should define legislation,
regulations and standards;
•should be authorized an
appropriate decision-making
level;
•should be frequently reviewed to
ensure they reflect current
business needs.
Responsibilities
•should be designated to all
personnel who create and use
records as part of their work.
•may be assigned by law;
•ensure that records are
maintained, stored and preserved
for the period of their
usefulness to the organization;
•ensure that records are disposed
of only in accordance with a
defined approval process.

42
Policies and Responsibilities
Responsibility categories of all employees within organization:
Senior
Management
•the highest
level of
responsibilit
y for
ensuring a
successful
records
management
programme.
•promotes
compliance
with records
management
procedures.
Records
Management
Professional
•primary role
for
implementation
of ISO 15489-
1.
•establish the
overall
records
management
policies,
procedures,
and standards.
Managers
/
organizational
groupings
•ensuring that
their staff
create and keep
records as an
integral part
of their work.
•provide the
resources
necessary for
the management
of records and
liaise with
records
management
professionals
Others
•responsible
for security,
compliance,
designing and
implementing
using
technologies.
Staff
•create,
receive and
keep records
as part of
their daily
work

43
Step A
Conduct
preliminar
y
investigat
ion
Step B
Analyze
business
activity
Step C
Identify
requirement
s for
records
Step D
Assess
existing
system
Step E
Identify
strategies
to satisfy
requirement
s
Poli
cy
Standard Implementation
Design
Step F
Desing
records
system
Step H
Conduct
post
implementat
ion review
Step G
Implement
records
system
Primary
feedback
Design and Implementation of Records Systems
(DIRS)

44
(DIRS)
Step A
Conduct
preliminary
investigati
on
Step B
Analyze
business
activity
Step C
Identify
requiremen
ts for
records
Step D
Assess
existing
system
Step E
Identify
strategies
to satisfy
requirement
s
Poli
cy
Design
Step F
Desing
records
system
Step H
Conduct
post
implementat
ion review
Step G
Implement
records
system
Primary
feedback
provide administrative
understanding and legal to
create and

45
(DIRS)
Step A
Conduct
preliminar
y
investigat
ion
Step B
Analyze
business
activity
Step C
Identify
requiremen
ts for
records
Step D
Assess
existing
system
Step E
Identify
strategies
to satisfy
requirement
s
Poli
cy
Design
Step F
Desing
records
system
Step H
Conduct
post
implementat
ion review
Step G
Implement
records
system
Primary
feedback
The products coming from step B may include:
a) documentation: organization’s business and
processes.
b) business classification scheme: organization’s
functions, activities and transactions in a
hierarchical relationship.
The analysis provides records management tools, may
include:
a) thesaurus of terms to control the language for
titling and indexing records in a specific business
context.
b) disposition authority defines the retention
periods and consequent disposition actions for
records.

46
(DIRS)
Step A
Conduct
preliminar
y
investigat
ion
Step B
Analyze
business
activity
Step C
Identify
requiremen
ts for
records
Step D
Assess
existing
system
Step E
Identify
strategies
to satisfy
requirement
s
Poli
cy
Design
Step F
Desing
records
system
Step H
Conduct
post
implementat
ion review
Step G
Implement
records
system
Primary
feedback
a) document the requirements in a structured
and easily maintainable form.
b) Keep appropriate records facilitates the
proper conduct of business.
c) ensure that individuals and organizations
are accountable for their actions in matters
of law and administration.

47
(DIRS)
Step A
Conduct
preliminar
y
investigat
ion
Step B
Analyze
business
activity
Step C
Identify
requiremen
ts for
records
Step D
Assess
existing
system
Step E
Identify
strategies
to satisfy
requirement
s
Poli
cy
Design
Step F
Desing
records
system
Step H
Conduct
post
implementat
ion review
Step G
Implement
records
system
Primary
feedback
Products from this step may
include:
a) an inventory of the
organization’s existing business
systems.
b) a report outlining address the
organization’s agreed
requirements for records.

48
(DIRS)
Step A
Conduct
preliminar
y
investigat
ion
Step B
Analyze
business
activity
Step C
Identify
requiremen
ts for
records
Step D
Assess
existing
system
Step E
Identify
strategies
to satisfy
requiremen
ts
Poli
cy
Design
Step F
Desing
records
system
Step H
Conduct
post
implementat
ion review
Step G
Implement
records
system
Primary
feedback
Strategies selection
a) nature of an organization
including its goals and history;
b) type of business activities;
c) its supporting technological
environment;
d) prevailing corporate culture;
e) external constraints.
Strategies content
a) adopting policies and procedures
b) developing Standards
c) designing new system
d) implementing systems
Outcome
1. list of strategies that will
satisfy the organization’s
requirements for records;
2. model that maps strategies to
requirements;
3. report for senior management
recommending an overall design
strategy.

49
Step A
Conduct
preliminar
y
investigat
ion
Step B
Analyze
business
activity
Step C
Identify
requiremen
ts for
records
Step D
Assess
existing
system
Step E
Identify
strategies
to satisfy
requirement
s
Poli
cy
Design
Step F
Desing
records
system
Step H
Conduct
post
implementat
ion review
Step G
Implement
records
system
Primary
feedback
content
a) designing changes to current
processes.
b) integrating technological
solutions.
Outcome
1. design project plans: tasks,
responsibilities and timelines;
2. Documentation: changes to
requirements;
3. design descriptions;
4. system business rules;
5. system specifications;
6. Diagrams: architectures and
components;
7. Models: processes, data flows and
data entities;
8. Plans: integration with existing
systems and processes;
9. initial training and testing
plans
10.system implementation plan.
(DIRS)

50
Step A
Conduct
preliminar
y
investigat
ion
Step B
Analyze
business
activity
Step C
Identify
requiremen
ts for
records
Step D
Assess
existing
system
Step E
Identify
strategies
to satisfy
requirement
s
Poli
cy
Design
Step F
Desing
records
system
Step H
Conduct
post
implementat
ion review
Step G
Implement
records
system
Primary
feedback
a) detailed project plan outlining of
strategies selected;
b) documented policies, procedures
and standards;
c) training materials;
d) documentation of the conversion
process and ongoing migration
procedures;
e) documentation required for
“quality systems”;
f) performance reports;
g) report(s) to management.
(DIRS)

51
Step A
Conduct
preliminar
y
investigat
ion
Step B
Analyze
business
activity
Step C
Identify
requiremen
ts for
records
Step D
Assess
existing
system
Step E
Identify
strategies
to satisfy
requirement
s
Poli
cy
Design
Step F
Desing
records
system
Step H
Conduct
post
implementa
tion
review
Step G
Implement
records
system
Primary
feedback
a) Analyzing: whether records have
been created and organized
according to the necessities of
the business activities.
b) Interviewing: management, staff
and other stakeholders.
c) conducting surveys.
d) Observing: randomly checking
operations..
(DIRS)

52
Records Processes &
Controls

1 Instruments
1.1Principal
1.2classification
1.3Vocabulary
1.4disposition authority
1.5Security
2 Records Management Processes
2.1Capture
2.2Registration
2.3Classification
2.4Access and security
classification
2.5Identification of disposition
status
2.6Storage
2.7Use and tracking
2.8Implementation of disposition
The principal instruments are:
a) a classification scheme: that is based on business
activities;
b) a records disposition authority;
c) a security: access classification scheme.
Records-management-specific tools
1. a thesaurus of preferred terms;
2. a glossary of terms or other vocabulary controls
3. a regulatory framework analysis;
4. a business risk analysis;
5. an organizational delegations authority;
6. a register of employees and system user permissions.
53
Records Processes & Controls

“Systematic identification and arrangement of business
activities and or records into categories according to
logically structured conventions methods and procedural
rules represented in a classification system”. - ISO 15489 -
2 - 2001
54
1 Instruments
1.1Principal
1.2classification
1.3Vocabulary
1.5Security
2.1Capture
2.2Registration
2.3Classification
classification
status
2.6Storage
2.7Use and tracking
2.8 Implementation of
disposition

List of authorized headings:
a) derived from terms;
b) allows control of the terminology;
c) controlling the use of synonyms, homonyms,
abbreviations and acronyms.
55
1 Instruments
1.1Principal
1.2classification
1.3Vocabulary
1.5Security
2.1Capture
2.2Registration
2.3Classification
classification
status
2.6Storage
2.7Use and tracking
disposition
“A thesaurus is a controlled list of terms linked
together by semantic, hierarchical, associative or
equivalence relationships.”- ISO 15489-2 - 2001

56
Disposition
“Range of processes associated with implementing records
retention, destruction or transfer decisions which are
documented in disposition authorities or other
instruments.” - ISO 15489-2, 2001
Disposition
Authority
“Instrument that defines the disposition actions that are
authorized for specified records.” - ISO 15489-2, 2001
Disposition can include:
• Destruction
• Shredding
• Deletion
• Secure destruction or
deletion
• Transfer for archival review
1 Instruments
1.1Principal
1.2classification
1.3Vocabulary
1.5Security
2.1Capture
2.2Registration
2.3Classification
classification
status
2.6Storage
2.7Use and tracking
disposition

Determining documents to be captured into a records system
1. identify the broad level of records that needs to be created
to administer;
2. identify the parts of the organization in which the records
of the activity are captured;
3. analyze the business activity to identify all essential
steps that make up the activity;
4. identify all transactions that include each step in the
business activity;
5. identify the data required to process the transaction;
6. determine the need to capture evidence of each transaction;
7. determine the appropriate point at which the record is to be
captured.
Determining how long to retain records
1. Determine the uses of record within the system.
2. Determine links to other systems.
3. Consider the broad range of uses of the record.
4. Allocate retention periods to the records on the basis of the
total system evaluation. 57
Disposition
Authority
1 Instruments
1.1Principal
1.2classification
1.3Vocabulary
1.5Security
2.1Capture
2.2Registration
2.3Classification
classification
status
2.6Storage
2.7Use and tracking
disposition

Access to records may be restricted to protect
1. personal information and privacy;
2. intellectual property rights and commercial
confidentiality;
3. security of property (physical, financial);
4. state security;
5. legal and other professional privilege.
58
“Reasonable security and access will depend on both the
nature and size of the organization, as well as the
content and value of the information requiring security.”
- ISO 15489-2, 2001
Security
1 Instruments
1.1Principal
1.2classification
1.3Vocabulary
1.5Security
2.1Capture
2.2Registration
2.3Classification
classification
status
2.6Storage
2.7Use and tracking
disposition

59
1 Instruments
1.1Principal
1.2classification
1.3Vocabulary
1.5Security
2.1Capture
2.2Registration
2.3Classification
classification
status
2.6Storage
2.7Use and tracking
disposition
Capture
Registration
Classification
Access &
security
Identification
Storage
Use &
tracking
Implementation
of disposition
RMP
Lifecycle

Examples of documents that may not require formal capture
as records are those that do not
1. commit an organization or individual to an action,
2. document any obligation or responsibility, or
3. comprise information connected to the accountable
business of the organization.
Electronic records systems that capture records also need
to capture metadata associated with the record in a way
that
1. describe the record both for what it contains and the
context of the business taking place,
2. enable that record to be a fixed representation of
action, and
3. enable the record to be retrieved and rendered
60
1 Instruments
1.1Principal
1.2classification
1.3Vocabulary
1.5Security
2.1Capture
2.2Registration
2.3Classification
classification
status
2.6Storage
2.7Use and tracking
disposition
“Capture is the process of determining that a record
should be made and kept.” - ISO 15489-2, 2001

Registration specifies the following metadata as a minimum:
a) a unique identifier assigned from the system;
b) the date and time of registration;
c) a title or abbreviated description;
d) the author (person or corporate body), sender or
recipient.
61
1 Instruments
1.1Principal
1.2classification
1.3Vocabulary
1.5Security
2.1Capture
2.2Registration
2.3Classification
classification
status
2.6Storage
2.7Use and tracking
disposition
“Registration to provide evidence that a record has been
created or captured in a records system.” - ISO 15489-2, 2001

The process consists of the following steps:
1. identify the transaction or business activity that the record
documents;
2. locate the transaction or activity in the organization’s
classification system;
3. examine the higher-level classes to which the transaction or
activity is linked, to
4. ensure that the identification of the classification is
appropriate;
5. check the activity classification against the organization’s
structure, to ensure that it is appropriate to the business
unit to which the record belongs;
6. allocate the identified classification to the record to the
levels appropriate to the organization’s requirements.
7. link restrictions to instruments such as activity
62
1 Instruments
1.1Principal
1.2classification
1.3Vocabulary
1.5Security
2.1Capture
2.2Registration
2.3Classification
classification
status
2.6Storage
2.7Use and tracking
disposition
“Classification is the process of identifying the category
or categories of business activity and the records they
generate and of grouping them.” - ISO 15489-2, 2001

The number of levels of classification and entry point
of the classification process depends on the following
factors:
a) accountabilities of the organization;
b) nature of the business;
c) size of the organization;
d) complexity of the structure of the organization;
e) risk assessment of criticality for speed and
accuracy in control and retrieval of records;
f) technology deployed.
63
1 Instruments
1.1Principal
1.2classification
1.3Vocabulary
1.5Security
2.1Capture
2.2Registration
2.3Classification
classification
status
2.6Storage
2.7Use and tracking
disposition

64
1 Instruments
1.1Principal
1.2classification
1.3Vocabulary
1.5Security
2.1Capture
2.2Registration
2.3Classification
classification
status
2.6Storage
2.7Use and tracking
disposition
Vocabulary
controls
Indexing
• list of authorized headings or a
thesaurus;
• accuracy and speed in locating
individual records;
• Helps in retrieval of records across
classifications, categories and media;
• can be done manually or be
automatically.
Indexing terms are commonly derived from
a) format or nature of the record,
b) title or main heading of the record,
c) subject content of the record,
d) abstract of a record,
e) dates associated with transactions,
f) names of clients or organizations,
g) processing requirements,
h) attached documentation not otherwise identified.

65
1 Instruments
1.1Principal
1.2classification
1.3Vocabulary
1.5Security
2.1Capture
2.2Registration
2.3Classification
classification
status
2.6Storage
2.7Use and tracking
disposition
“Access to records is restricted only where specifically
required by business need or by law, and it may be
assigned in consultation with the business unit.” - ISO
15489-2, 2001
1. identify the transaction or business activity that the
record documents;
2. identify the business unit to which the records
belong;
3. check the access and security classifications to
establish whether the activity and the business area
are identified as areas of risk;
4. allocate the appropriate level of access or
restriction to the record
5. specify appropriate control mechanisms for handling;
6. record the access or security status of the record in
the records system to signal the need for additional
control measures.

66
1 Instruments
1.1Principal
1.2classification
1.3Vocabulary
1.5Security
2.1Capture
2.2Registration
2.3Classification
classification
status
2.6Storage
2.7Use and tracking
disposition
It involves the following steps:
1. identifying the transaction or business activity
documented by the record;
2. locating the transaction and records in the
appropriate records class in the disposition
authority;
3. allocating the relevant retention period and
identifying the anticipated disposition action;
4. recording the retention period and future disposition
action in the records system;
5. determining the extent to which it is necessary to
retain metadata about records.

67
1 Instruments
1.1Principal
1.2classification
1.3Vocabulary
1.5Security
2.1Capture
2.2Registration
2.3Classification
classification
status
2.6Storage
2.7Use and tracking
disposition
“Appropriate storage conditions ensure that records are
protected, accessible and managed in a cost-effective
manner.” - ISO 15489-2, 2001
Factors that are important in selecting storage:
a) Volume and growth rate of records.
b) Use of records.
c) Records security and sensitivity needs.
d) Physical characteristics.
e) Records use as reflected in retrieval
requirements.
f) Relative cost of record storage options.
g) Access needs.

68
1 Instruments
1.1Principal
1.2classification
1.3Vocabulary
1.5Security
2.1Capture
2.2Registration
2.3Classification
classification
status
2.6Storage
2.7Use and tracking
disposition
1. Backup
systems
•copying electronic records to prevent
the loss through system failures.
2.
Maintenance
processes
•copy records to newer versions of the
media to prevent data erosion.
3. Hardware
& software
obsolescence
•affect the readability of stored
electronic records.
Digital storage

69
1 Instruments
1.1Principal
1.2classification
1.3Vocabulary
1.5Security
2.1Capture
2.2Registration
2.3Classification
classification
status
2.6Storage
2.7Use and tracking
disposition
“Use of the record is a records management transaction that
may need to be captured by the system to form part of the
metadata.”
“Tracking of records usage within records systems is a
security measure for organizations. It ensures that only
those users with appropriate permissions are performing
records tasks.” - ISO 15489-2, 2001
Managing the use and tracking of records as follows:
1. identifying the records system user permissions associated with individuals
and their positions within the organization,
2. identifying the access and security status of records,
3. identifying the access rights for people external to the organization,
4. ensuring that only individuals with the appropriate user classification or
security rights have access to records with restricted status,
5. tracking the movement of the record to identify those who have custody of
it,
6. ensuring that all use of the records is recorded to an appropriate level of
detail,
7. reviewing the access classifications of records to ensure that they are
current and still applicable.

70
1 Instruments
1.1Principal
1.2classification
1.3Vocabulary
1.5Security
2.1Capture
2.2Registration
2.3Classification
classification
status
2.6Storage
2.7Use and tracking
disposition
“Records with similar disposition dates and triggering
actions should be readily identifiable from the records
system. .” - ISO 15489-2, 2001
The use history of records due for disposition action
needs to be reviewed to confirm or amend the
disposition status:
1.checking triggers for disposition action;
2.confirming as completed action;
3.maintaining an auditable record of disposition
action.

71
1 Instruments
1.1Principal
1.2classification
1.3Vocabulary
1.5Security
2.1Capture
2.2Registration
2.3Classification
classification
status
2.6Storage
2.7Use and tracking
disposition
Implementation
of
disposition
Continuing Retention
Physical Destruction
Transfer Of Custody
Records removed from current systems have to be accessible
and retrievable for the entire period of their retention.
Preservation strategies can include:
1. Copying is the production of an identical copy within
the same or different type of medium.
2. Conversion involves a change of the format of the
record but ensures that the record retains the identical
primary information (content).
3. Migration involves a set of organized tasks designed
to frequently transfer digital material from one
hardware/software configuration to another.

72
1 Instruments
1.1Principal
1.2classification
1.3Vocabulary
1.5Security
2.1Capture
2.2Registration
2.3Classification
classification
status
2.6Storage
2.7Use and tracking
disposition
Implementation
of
disposition
Transfer Of Custody
• Physical destruction of records is carried out by methods
appropriate to their level of confidentiality.
• The organization may maintain an auditable trail
documenting all destruction of records.
• Records in electronic form can also be destroyed by
reformatting or rewriting if it can be guaranteed that
the reformatting cannot be reversed.

73
1 Instruments
1.1Principal
1.2classification
1.3Vocabulary
1.5Security
2.1Capture
2.2Registration
2.3Classification
classification
status
2.6Storage
2.7Use and tracking
disposition
Implementation
of
disposition
Transfer Of Custody
Transfer Of Custody
Records are transferred out of the custody or ownership
of the organization or business unit that created them.
Transfer of custody of records to another organization
may include:
a) transfer to other organizations with responsibilities
for the records,
b) transfer to outsourced or contractor organizations,
c) transfer to a storage facility,
d) transfer to an archive.

74
Monitoring and Auditing
• Monitoring helps to ensure continued
legal accountability of the records
system.
• Monitoring processes are documented to
provide evidence of compliance with
policies, procedures and standards which
the organization has adopted.
Monitorin
g
Auditing
• understanding of the nature of its
records,
• care and security arrangements for the
records,
• business processes and technologies; and
their proper implementation.
There are three reasons for monitoring and auditing records systems:
a) to ensure compliance with the organization’s established standards;
b) to ensure that records will be accepted as evidence in a court of law;
c) to improve an organization’s performance.

75
Training
“A training programme should ensure that the functions and benefits of managing
records are widely understood in an organization.” - ISO 15489-2, 2001
Personnel to be trained:
a) managers, including senior managers,
b) employees,
c) contractors,
d) volunteers,
e) any other personnel who have a
responsibility to create or use
records.

76
Training
Methods of training:
a) organization’s employee orientation programmes and documentation;
b) training for new employees at times of system change;
c) on-the-job training by knowledgeable supervisors;
d) leaflets and booklets providing short “how-to” guides describing aspects of the
organization’s record;
e) computer-based presentations;
f) training courses provided by educational institutions or professional organizations.

1.International Standard ISO 15489-1-2016
2.Technical Report ISO 15489-2-2001
3. www.iso.org
References:
77

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