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Comma 2002.1-2

Proceedings of the XXXVth International Conferenceof the Round Table on Archives

Reykjavik, Iceland, 10-13 October 2001

Actes de la XXXVe Confrence internationalede la Table ronde des Archives

Reykjavik, Islande, 10-13 octobre 2001

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Acquisition, Appraisal and International StandardISO 15489

A new international standard

On 3 October 2001 a new international standard ISO 15489: Information anddocumentation Records managementwas launched at the ARMA Internationals 46thannual conference in Montreal, Canada, before an audience of 1,400 informationmanagement professionals. The Standard is in two parts. Part 1 is the general standardthat describes the principles of records management. Guidelines about processes andimplementation are given in part 2, the Technical Report. Although the wordsacquisition and appraisal are not defined or used in either part of the Standard, theconcepts are threaded through the document and are central to its implementation.

Perhaps the most important message in the Standard is that records are an importantresource and asset for any organization and therefore they need to be consciously andsystematically managed. The Standard outlines the elements that are required for goodrecords management appropriate policy, assigned responsibility, understanding of theenvironment and records management principles, design and implementation of recordssystems, use of processes to support records systems, monitoring and training. At thecore of the standard is a process for design and implementation of the records system. Itis through this process that the activity of appraisal occurs. The total approach of ISO154889 supports making decisions about how records are created, captured, controlledand kept at any stage, including in the design of records systems.

What ISO 15489 says about appraisal

Appraisal is embedded in the decisions made when designing or implementing a recordssystem. Implementing a records system includes determining retention periods and

making decisions about records which have continuing value, in keeping with theregulatory environment. (ISO 15489-1, 8.1). Operating a reliable records system entailsprotect[ing] the records from unauthorized alteration or disposition (ISO 15489-1,8.2.2)

The steps in designing and implementing a records system are: Preliminary investigation Through this step one gains an understanding of the organization, its environment

and its records management state.

Analysis of business activity

The business functions and activities of an organization can be analyzed and described.This leads to an understanding of the business and behaviour of the organization at aconceptual level.

Identification of requirements for records

These can range from requirements to create or capture records to requirements to keepor maintain records.

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document the rights and obligations of individuals and organizations; contribute to the building of an organizations memory for scientific, cultural or

historical purposes; and contain evidence and information about activities of interest to internal and external

stakeholders. (ISO 15489-1, 9.2)

Standards in practice one Australian experience

The predecessor of ISO 15489 in Australia wasAS 4390 Australian Standard RecordsManagement, issued in 1996. Australian government archives, at a federal and statelevel, endorsed the use of AS4390 in their jurisdictions and the standard has been used inother organisations. The archives of the State of New South Wales (State Records NewSouth Wales) and the federal archives (National Archives of Australia) jointly developeda manual which takes the strategic steps of the standard and develops them into apractical guidance manual, the Designing and Implementing Recordkeeping SystemsManual (DIRKS Manual).

In the last 18 months the National Archives of Australia has worked with a wide

range of federal government agencies on implementation of various stages of designingand implementing a records system using the Manual as a guiding tool. Many agencieshave concentrated on making appraisal decisions for their records. While we are still inthe early stages of this implementation, already we have learned from this experiencethat: the analysis in various steps of designing a records system overlaps and is iterative; taking an integrated and holistic view of recordkeeping is a new way of thinking for

many organisations; and having a Standard does not eliminate variations in interpretation.

The process of undertaking appraisal and reaching a disposition decision is not strictlylinear. While the Standard and the DIRKS Manual bothrecommend that stages in themethodology of designing and implementing records systems can be undertakeniteratively, partially or gradually (ISO 15489-1, 8.4) we have found that there is often adesire to undertake the methodology in a linear fashion. It is clear, though, that

understanding the business of an organization and the requirements for records tosupport that business are inextricably linked.

This understanding of business and requirements can also be of great benefit to theorganization in implementing a holistic information management strategy. At present,many organizations have not capitalized on this aspect of theDIRKS methodology, andcontinue to manage records, information resources and information technologyseparately. Over time we hope that the Standard and theDIRKS Manual will be viewedas supporting tools for taking a more integrated approach.

One of the strengths of the ISO 15489 approach is that the analysis of theorganization, its strengths and weakness, and its records related needs is contingent onthe environment in which the organization operates. The Standard also signals thatunderstanding stakeholders within the environment is critical to implementation.Appraisal decisions and records systems design therefore can be strongly linked to thecontext whether that context is the business itself, the regulatory environment or socialconcerns.

Kathryn Dan

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Suggested reading

ISO 15489-1 Information and documentation Records management Part 1: GeneralISO TR 15489-2 Information and documentation Records management Part 2:

Guidelines, International Organization for Standardization. 2001AS4390 Australian Standard Records Management. Standards Association of

Australia. 1996Designing and Implementing Recordkeeping Systems Manual. Available at http://www

naa.gov.au/recordkeeping/dirks/dirksman/contents.html and www.records.nsw.govau/publicsector/DIRKS/exposure_draft/title.html