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The document provides an overview of ISO 15489, which defines concepts and principles for records management. It discusses key aspects of records management including the records lifecycle of creation, maintenance, and disposition. It also defines what constitutes a record and a document, and outlines the importance of effective records management for organizations. Records management ensures records and information are captured and accessible to meet legal and operational needs.

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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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
STORAGE AUTHENTICITY OWNERSHIP RETENTION & DISPOSITION SECURITY ORGANIZATION 14 Electronic records are not widely different from paper records. Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
DESKTOPs LAPTOPS NETWORK SERVERS REMOVABL E MEDIA BACKUP TAPES TABLETS SMART PHONES CLOUD 16 THEIR LOCATIONS Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
If a record is born digital, it should die digital 17
18 Records Lifecycle Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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? Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
20 Records Lifecycle: maintenance and use 1. Classification 2. Indexing 3. Access controls 4. Storage and media selection 5. Auditing and reporting Questions to consider: • 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? Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
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. Questions to consider: • 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? Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
Records Business Activity Functions Activities Transactions Work Processes Information Assets What does record contains? 23 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
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 . Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
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. Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
31 What is destruction? “process of eliminating or deleting a record, beyond any possible reconstruction.” - ISO 15489-1, 2016 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
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. Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
39 Characteristics Of Records Systems Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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. Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
42 Policies and Responsibilities Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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) Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
44 Design and Implementation of Records Systems (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 Standard Implementation Design Step F Desing records system Step H Conduct post implementat ion review Step G Implement records system Primary feedback Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU provide administrative understanding and legal to create and
45 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU Design and Implementation of Records Systems (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 Standard Implementation 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU Design and Implementation of Records Systems (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 Standard Implementation 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU Design and Implementation of Records Systems (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 Standard Implementation 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU Design and Implementation of Records Systems (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 Standard Implementation 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 Standard Implementation 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. Design and Implementation of Records Systems (DIRS)
50 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 Standard Implementation 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. Design and Implementation of Records Systems (DIRS)
51 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 Standard Implementation 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.. Design and Implementation of Records Systems (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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of disposition Records Processes & Controls
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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of disposition Records Processes & Controls “A thesaurus is a controlled list of terms linked together by semantic, hierarchical, associative or equivalence relationships.”- ISO 15489-2 - 2001
56 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 Records Processes & Controls 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 1.4disposition 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 2.8 Implementation of 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU Records Processes & Controls Disposition Authority 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 2.8 Implementation of 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU Records Processes & Controls “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 1.4disposition 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 2.8 Implementation of disposition
59 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of disposition
64 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of disposition Implementation of disposition Continuing Retention Physical Destruction Transfer Of Custody Continuing Retention 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of disposition Implementation of disposition Continuing Retention Physical Destruction Transfer Of Custody Physical Destruction • 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of disposition Implementation of disposition Continuing Retention Physical Destruction 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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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Information and documentation, Records management, Concepts and principles.pptx

  • 1.
    Information and Documentation ISO15489 Concepts, principles and Guidelines Libyan International Medical University Business Process Management
  • 2.
    2 Technical Report ISO15489-2-2001 International Standard ISO 15489-1-2016
  • 3.
    3 • ISO standsfor 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.
    4 ISO'S FIRST OFFICES In1949, ISO moves into offices in a small, private house in Geneva, has 5 members of staff. ISO brief history
  • 5.
    5 ISO'S FIRST STANDARD In1951, the first ISO standard ISO/R 1:1951 Standard reference temperature for industrial length measurements, is published. ISO brief history
  • 6.
    6 THE ISO JOURNAL In1952, ISO has published monthly information about its technical committees in New York. ISO brief history
  • 7.
    7 ISO AND DEVELOPINGCOUNTRIES In 1960S , ISO works to include more developing countries in its International Standardization work, established DEVCO. ISO brief history
  • 8.
    8 ENVIRONMENT ON THEAGENDA In 1971, ISO creates its first two technical committees in the environmental field: Air quality and Water quality, (Renewable Energy). ISO brief history
  • 9.
    9 AN INTERNATIONAL FOCUS In1970s, turning ISO into a truly international organization, such as Japan and China ISO brief history
  • 10.
    10 ISO 9000 FAMILY In1987, ISO publishes its first Quality Management Standard. . ISO brief history
  • 11.
    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.
    12 ISO 15489 benefits Information& Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
  • 13.
    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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
  • 14.
    STORAGE AUTHENTICITY OWNERSHIP RETENTION & DISPOSITION SECURITY ORGANIZATION 14 Electronicrecords are not widely different from paper records. Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
  • 15.
    WORD PROCESSI NG PDF EMAILING SPREADSHEE TS SCANNED IMAGES ELECTRONI C PUPLICATI ON CAD VIDEOSAUDIO RECORDIN G GIS DATABASE S DIGITAL PHOTOGRA PH WEBSITES SOCIAL MEDIA PRESENTATION S 15 TYPES OF DOCUMENTS Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
  • 16.
    DESKTOPs LAPTOPS NETWORK SERVERS REMOVABL EMEDIA BACKUP TAPES TABLETS SMART PHONES CLOUD 16 THEIR LOCATIONS Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
  • 17.
    If a recordis born digital, it should die digital 17
  • 18.
    18 Records Lifecycle Information &Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU Create & Capture Maintenance & Use Retention & Disposition
  • 19.
    19 Records Lifecycle: creationand 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? Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
  • 20.
    20 Records Lifecycle: maintenance anduse 1. Classification 2. Indexing 3. Access controls 4. Storage and media selection 5. Auditing and reporting Questions to consider: • 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? Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
  • 21.
    21 Records Lifecycle: retentionand 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. Questions to consider: • 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? Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
  • 22.
    What is ISO15489-1? “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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
  • 23.
    Records Business Activity Functions ActivitiesTransactions Work Processes Information Assets What does record contains? 23 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
  • 24.
    24 What is Document? “Recordedinformation 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 . Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
  • 25.
    25 Characteristics of Records Arecord 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
  • 26.
    26 The Importance OfRecords • 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. Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
  • 27.
    27 What is recordsmanagement? “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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
  • 28.
    28 Drivers Of RecordsManagement • 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
  • 29.
    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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
  • 30.
    What is businessclassification 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
  • 31.
    31 What is destruction? “processof eliminating or deleting a record, beyond any possible reconstruction.” - ISO 15489-1, 2016 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
  • 32.
    32 What is evidence? “documentationof 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
  • 33.
    33 What is metadata? “structuredor semi-structured information, which enables the creation, management, and use of records through time and within and across domains.” - ISO 15489-1, 2016 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
  • 34.
    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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
  • 35.
    35 What is schema? “processof 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
  • 36.
    36 What is migration? “logicalplan 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
  • 37.
    37 Records systems Records systemscomprise 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. Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
  • 38.
    38 a) conformance withthe 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
  • 39.
    39 Characteristics Of RecordsSystems Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU Reliable Compliant Secure Systematic Comprehensive
  • 40.
    40 Policies and responsibilities Designand implementation of a records system Records processes and controls Monitoring and auditing Training PART 2
  • 41.
    41 Policies and Responsibilities Policies •shouldbe 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. Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
  • 42.
    42 Policies and Responsibilities Information& Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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.
    43 Step A Conduct preliminar y investigat ion Step B Analyze business activity StepC 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) Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU
  • 44.
    44 Design and Implementationof Records Systems (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 Standard Implementation Design Step F Desing records system Step H Conduct post implementat ion review Step G Implement records system Primary feedback Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU provide administrative understanding and legal to create and
  • 45.
    45 Information & Documentation ISO15489 - Concepts, principles and Guidelines Business Process Management - LIMU Design and Implementation of Records Systems (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 Standard Implementation 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.
    46 Information & Documentation ISO15489 - Concepts, principles and Guidelines Business Process Management - LIMU Design and Implementation of Records Systems (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 Standard Implementation 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.
    47 Information & Documentation ISO15489 - Concepts, principles and Guidelines Business Process Management - LIMU Design and Implementation of Records Systems (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 Standard Implementation 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.
    48 Information & Documentation ISO15489 - Concepts, principles and Guidelines Business Process Management - LIMU Design and Implementation of Records Systems (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 Standard Implementation 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.
    49 Information & Documentation ISO15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 Standard Implementation 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. Design and Implementation of Records Systems (DIRS)
  • 50.
    50 Information & Documentation ISO15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 Standard Implementation 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. Design and Implementation of Records Systems (DIRS)
  • 51.
    51 Information & Documentation ISO15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 Standard Implementation 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.. Design and Implementation of Records Systems (DIRS)
  • 52.
  • 53.
    1 Instruments 1.1Principal 1.2classification 1.3Vocabulary 1.4disposition authority 1.5Security 2Records 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU Records Processes & Controls
  • 54.
    “Systematic identification andarrangement 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of disposition Records Processes & Controls
  • 55.
    List of authorizedheadings: a) derived from terms; b) allows control of the terminology; c) controlling the use of synonyms, homonyms, abbreviations and acronyms. 55 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of disposition Records Processes & Controls “A thesaurus is a controlled list of terms linked together by semantic, hierarchical, associative or equivalence relationships.”- ISO 15489-2 - 2001
  • 56.
    56 Information & Documentation ISO15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 Records Processes & Controls 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 1.4disposition 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 2.8 Implementation of disposition
  • 57.
    Determining documents tobe 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU Records Processes & Controls Disposition Authority 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 2.8 Implementation of disposition
  • 58.
    Access to recordsmay 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU Records Processes & Controls “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 1.4disposition 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 2.8 Implementation of disposition
  • 59.
    59 Information & Documentation ISO15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of disposition Capture Registration Classification Access & security Identification Storage Use & tracking Implementation of disposition RMP Lifecycle
  • 60.
    Examples of documentsthat 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of disposition “Capture is the process of determining that a record should be made and kept.” - ISO 15489-2, 2001
  • 61.
    Registration specifies thefollowing 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of disposition “Registration to provide evidence that a record has been created or captured in a records system.” - ISO 15489-2, 2001
  • 62.
    The process consistsof 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of 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
  • 63.
    The number oflevels 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 Information & Documentation ISO 15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of disposition
  • 64.
    64 Information & Documentation ISO15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of 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.
    65 Information & Documentation ISO15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of 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.
    66 Information & Documentation ISO15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of 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.
    67 Information & Documentation ISO15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of 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.
    68 Information & Documentation ISO15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of 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.
    69 Information & Documentation ISO15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of 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.
    70 Information & Documentation ISO15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of 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.
    71 Information & Documentation ISO15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of disposition Implementation of disposition Continuing Retention Physical Destruction Transfer Of Custody Continuing Retention 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.
    72 Information & Documentation ISO15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of disposition Implementation of disposition Continuing Retention Physical Destruction Transfer Of Custody Physical Destruction • 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.
    73 Information & Documentation ISO15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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 2.8 Implementation of disposition Implementation of disposition Continuing Retention Physical Destruction 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.
    74 Information & Documentation ISO15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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.
    75 Information & Documentation ISO15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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.
    76 Information & Documentation ISO15489 - Concepts, principles and Guidelines Business Process Management - LIMU 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.
  • 77.
    1.International Standard ISO15489-1-2016 2.Technical Report ISO 15489-2-2001 3. www.iso.org References: 77

Editor's Notes

  • #8 This allows developing countries to be informed of International Standardization work without the full costs of ISO membership.
  • #9 This allows developing countries to be informed of International Standardization work without the full costs of ISO membership.
  • #10 This allows developing countries to be informed of International Standardization work without the full costs of ISO membership.
  • #11 This allows developing countries to be informed of International Standardization work without the full costs of ISO membership.