BS ISO 15489-1-2016 Information and documentation Records management Concepts and principles《信息和文件管理 档案管理 概念和原理》.pdf

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1、BS ISO 15489-1:2016Information anddocumentation RecordsmanagementPart 1: Concepts and principlesBSI Standards PublicationBS ISO 15489-1:2016 BRITISH STANDARDNational forewordThis British Standard is the UK implementation of ISO 15489-1:2016. It supersedes BS ISO 15489-1:2001 which is withdrawn.The U

2、K Committee makes the following observations:Much of the standard remains unchanged, particularly around the sections on records and records systems, which have been brought together, and policy development.There is greater emphasis on records control and the need for records processes to be fully i

3、ntegrated with other organizational procedures. However, this leads to some ambiguity around who in an organization is responsible for establishing the framework for the creation, capture, and management of records.The meaning of some terms used within this standard differs from UK practice. For exa

4、mple, “appraisal” is used in a broad sense to cover what could be termed analysis.The relationship between this standard and new, related standards, for example ISO 30300:2011, Information and documentation Management systems for records Fundamentals and vocabulary and ISO 23081-3:2011, Information

5、and documentation Managing metadata for records part 3: self-assessment method, is not addressed in detail.More reference could have been made to other areas that inform records management today, such as information governance, information security, business resilience and risk management.The previo

6、us standard included implementation schemes, notably Designing and Implementing Recordkeeping Systems (DIRKS). Prescribed methodologies are not included in this standard, which specifies what design and implementation processes should achieve, but not a system with which to accomplish them.The UK pa

7、rticipation in its preparation was entrusted CZ Technical Committee*%5 *OGPSNBUJPOBOEEPDVNFOUBUJPO UP4VCDPNNJUUFF IDT/2/17, Archives/records management.A list of organizations represented on this committee can be obtained on request to its secretary.This publication does not purport to include all t

8、he necessary provisions of a contract. Users are responsible for its correct application. The British Standards Institution 2016. Published by BSI Standards Limited 2016ISBN 978 0 580 86181 9ICS 01.140.20Compliance with a British Standard cannot confer immunity from legal obligations.This British St

9、andard was published under the authority of the Standards Policy and Strategy Committee on 31 May 2016.Amendments issued since publicationDate Text affected ISO 2016Information and documentation Records management Part 1: Concepts and principlesInformation et documentation Gestion des documents dact

10、ivit Partie 1: Concepts et principesINTERNATIONAL STANDARDISO15489-1Second edition2016-04-15Reference numberISO 15489-1:2016(E)BS ISO 15489-1:2016ISO 15489-1:2016(E)ii ISO 2016 All rights reservedCOPYRIGHT PROTECTED DOCUMENT ISO 2016, Published in Switzerlandg4g142g142g3g148g139g137g138g150g149g3g14

11、8g135g149g135g148g152g135g134g484g3g24g144g142g135g149g149g3g145g150g138g135g148g153g139g149g135g3g149g146g135g133g139g976g139g135g134g481g3g144g145g3g146g131g148g150g3g145g136g3g150g138g139g149g3g146g151g132g142g139g133g131g150g139g145g144g3g143g131g155g3g132g135g3g148g135g146g148g145g134g151g133g1

12、35g134g3g145g148g3g151g150g139g142g139g156g135g134g3g145g150g138g135g148g153g139g149g135g3g139g144g3g131g144g155g3g136g145g148g143g3g145g148g3 g132g155g3 g131g144g155g3 g143g135g131g144g149g481g3 g135g142g135g133g150g148g145g144g139g133g3 g145g148g3 g143g135g133g138g131g144g139g133g131g142g481g3 g13

13、9g144g133g142g151g134g139g144g137g3 g146g138g145g150g145g133g145g146g155g139g144g137g481g3 g145g148g3 g146g145g149g150g139g144g137g3 g145g144g3 g150g138g135g3 g139g144g150g135g148g144g135g150g3 g145g148g3 g131g144g3 g139g144g150g148g131g144g135g150g481g3 g153g139g150g138g145g151g150g3 g146g148g139g1

14、45g148g3g153g148g139g150g150g135g144g3g146g135g148g143g139g149g149g139g145g144g484g3g19g135g148g143g139g149g149g139g145g144g3g133g131g144g3g132g135g3g148g135g147g151g135g149g150g135g134g3g136g148g145g143g3g135g139g150g138g135g148g3g12g22g18g3g131g150g3g150g138g135g3g131g134g134g148g135g149g149g3g132

15、g135g142g145g153g3g145g148g3g12g22g18g495g149g3g143g135g143g132g135g148g3g132g145g134g155g3g139g144g3g150g138g135g3g133g145g151g144g150g148g155g3g145g136g3the requester.g12g22g18g3g133g145g146g155g148g139g137g138g150g3g145g136g976g139g133g135Ch. de Blandonnet 8 CP 401CH-1214 Vernier, Geneva, Switzer

16、landTel. +41 22 749 01 11Fax +41 22 749 09 47g133g145g146g155g148g139g137g138g150g823g139g149g145g484g145g148g137www.iso.orgBS ISO 15489-1:2016ISO 15489-1:2016(E)Foreword ivIntroduction v1 Scope . 12 Normative references 1g885g3 g23g135g148g143g149g3g131g144g134g3g134g135g976g139g144g139g150g139g145

17、g144g149 . 14 Principles for managing records . 35 Records and records systems 45.1 General . 45.2 Records 45.2.1 General 45.2.2 Characteristics of authoritative records 45.2.3 Metadata for records 5g887g484g885g3 g21g135g133g145g148g134g149g3g149g155g149g150g135g143g149 65.3.1 General 6g887g484g885

18、g484g884g3 g6g138g131g148g131g133g150g135g148g139g149g150g139g133g149g3g145g136g3g148g135g133g145g148g134g149g3g149g155g149g150g135g143g149 . 66 Policies and responsibilities 86.1 General . 86.2 Policies . 86.3 Responsibilities 86.4 Monitoring and evaluation . 96.5 Competence and training 107 Apprai

19、sal 107.1 General 107.2 Scope of appraisal 117.3 Understanding the business . 117.4 Determining records requirements . 127.5 Implementing records requirements . 128 Records controls 138.1 General 138.2 Metadata schemas for records . 13g890g484g885g3 g5g151g149g139g144g135g149g149g3g133g142g131g149g1

20、49g139g976g139g133g131g150g139g145g144g3g149g133g138g135g143g135g149 148.4 Access and permissions rules . 158.5 Disposition authorities . 159 Processes for creating, capturing and managing records 169.1 General 169.2 Creating records 169.3 Capturing records 16g891g484g886g3 g21g135g133g145g148g134g1

21、49g3g133g142g131g149g149g139g976g139g133g131g150g139g145g144g3g131g144g134g3g139g144g134g135g154g139g144g137 . 179.5 Access control . 179.6 Storing records . 179.7 Use and reuse 189.8 Migrating and converting records . 189.9 Disposition . 18Bibliography .20 ISO 2016 All rights reserved iiiContents P

22、ageBS ISO 15489-1:2016ISO 15489-1:2016(E)ForewordISO (the International Organization for Standardization) is a worldwide federation of national standards g132g145g134g139g135g149g3g523g12g22g18g3g143g135g143g132g135g148g3g132g145g134g139g135g149g524g484g3g23g138g135g3g153g145g148g141g3g145g136g3g146

23、g148g135g146g131g148g139g144g137g3g12g144g150g135g148g144g131g150g139g145g144g131g142g3g22g150g131g144g134g131g148g134g149g3g139g149g3g144g145g148g143g131g142g142g155g3g133g131g148g148g139g135g134g3g145g151g150g3g150g138g148g145g151g137g138g3 g12g22g18g3 g150g135g133g138g144g139g133g131g142g3 g133g1

24、45g143g143g139g150g150g135g135g149g484g3 g8g131g133g138g3 g143g135g143g132g135g148g3 g132g145g134g155g3 g139g144g150g135g148g135g149g150g135g134g3 g139g144g3 g131g3 g149g151g132g140g135g133g150g3 g136g145g148g3 g153g138g139g133g138g3 g131g3 g150g135g133g138g144g139g133g131g142g3committee has been es

25、tablished has the right to be represented on that committee. International organizations, governmental and non-governmental, in liaison with ISO, also take part in the work. g12g22g18g3 g133g145g142g142g131g132g145g148g131g150g135g149g3 g133g142g145g149g135g142g155g3 g153g139g150g138g3 g150g138g135g

26、3 g12g144g150g135g148g144g131g150g139g145g144g131g142g3 g8g142g135g133g150g148g145g150g135g133g138g144g139g133g131g142g3 g6g145g143g143g139g149g149g139g145g144g3 g523g12g8g6g524g3 g145g144g3 g131g142g142g3 g143g131g150g150g135g148g149g3 g145g136g3electrotechnical standardization.The procedures used

27、to develop this document and those intended for its further maintenance are described in the ISO/IEC Directives, Part 1. In particular the different approval criteria needed for the g134g139g136g136g135g148g135g144g150g3g150g155g146g135g149g3g145g136g3g12g22g18g3g134g145g133g151g143g135g144g150g149g

28、3g149g138g145g151g142g134g3g132g135g3g144g145g150g135g134g484g3g3g23g138g139g149g3g134g145g133g151g143g135g144g150g3g153g131g149g3g134g148g131g136g150g135g134g3g139g144g3g131g133g133g145g148g134g131g144g133g135g3g153g139g150g138g3g150g138g135g3editorial rules of the ISO/IEC Directives, Part 2 (see w

29、ww.iso.org/directives). g4g150g150g135g144g150g139g145g144g3g139g149g3g134g148g131g153g144g3g150g145g3g150g138g135g3g146g145g149g149g139g132g139g142g139g150g155g3g150g138g131g150g3g149g145g143g135g3g145g136g3g150g138g135g3g135g142g135g143g135g144g150g149g3g145g136g3g150g138g139g149g3g134g145g133g151

30、g143g135g144g150g3g143g131g155g3g132g135g3g150g138g135g3g149g151g132g140g135g133g150g3g145g136g3g146g131g150g135g144g150g3g148g139g137g138g150g149g484g3g12g22g18g3g149g138g131g142g142g3g144g145g150g3g132g135g3g138g135g142g134g3g148g135g149g146g145g144g149g139g132g142g135g3g136g145g148g3g139g134g135g

31、144g150g139g136g155g139g144g137g3g131g144g155g3g145g148g3g131g142g142g3g149g151g133g138g3g146g131g150g135g144g150g3g148g139g137g138g150g149g484g3g3g7g135g150g131g139g142g149g3g145g136g3g131g144g155g3g146g131g150g135g144g150g3g148g139g137g138g150g149g3g139g134g135g144g150g139g976g139g135g134g3g134g15

32、1g148g139g144g137g3g150g138g135g3g134g135g152g135g142g145g146g143g135g144g150g3g145g136g3g150g138g135g3g134g145g133g151g143g135g144g150g3g153g139g142g142g3g132g135g3g139g144g3g150g138g135g3g12g144g150g148g145g134g151g133g150g139g145g144g3g131g144g134g512g145g148g3on the ISO list of patent declaratio

33、ns received (see www.iso.org/patents). g4g144g155g3g150g148g131g134g135g3g144g131g143g135g3g151g149g135g134g3g139g144g3g150g138g139g149g3g134g145g133g151g143g135g144g150g3g139g149g3g139g144g136g145g148g143g131g150g139g145g144g3g137g139g152g135g144g3g136g145g148g3g150g138g135g3g133g145g144g152g135g14

34、4g139g135g144g133g135g3g145g136g3g151g149g135g148g149g3g131g144g134g3g134g145g135g149g3g144g145g150g3constitute an endorsement.g9g145g148g3 g131g144g3 g135g154g146g142g131g144g131g150g139g145g144g3 g145g144g3 g150g138g135g3 g143g135g131g144g139g144g137g3 g145g136g3 g12g22g18g3 g149g146g135g133g139g9

35、76g139g133g3 g150g135g148g143g149g3 g131g144g134g3 g135g154g146g148g135g149g149g139g145g144g149g3 g148g135g142g131g150g135g134g3 g150g145g3 g133g145g144g136g145g148g143g139g150g155g3assessment, as well as information about ISOs adherence to the WTO principles in the Technical Barriers to Trade (TBT)

36、 see the following URL: g9g145g148g135g153g145g148g134g3g486g3g22g151g146g146g142g135g143g135g144g150g131g148g155g3g139g144g136g145g148g143g131g150g139g145g144The committee responsible for this document is ISO/TC 46, Information and documentation, Subcommittee SC 11, Archives/records management.g23g

37、138g139g149g3 g149g135g133g145g144g134g3 g135g134g139g150g139g145g144g3 g133g131g144g133g135g142g149g3 g131g144g134g3 g148g135g146g142g131g133g135g149g3 g150g138g135g3 g976g139g148g149g150g3 g135g134g139g150g139g145g144g3 g523g12g22g18g3 g883g887g886g890g891g486g883g483g884g882g882g883g524g481g3 g15

38、3g138g139g133g138g3 g138g131g149g3 g132g135g135g144g3g150g135g133g138g144g139g133g131g142g142g155g3g148g135g152g139g149g135g134g484ISO 15489 consists of the following parts, under the general title Information and documentation Records management: Part 1: Concepts and principles Part 2: Guidelines T

39、echnical Reportiv ISO 2016 All rights reservedBS ISO 15489-1:2016ISO 15489-1:2016(E)IntroductionThis part of ISO 15489 establishes the core concepts and principles for the creation, capture and management of records. It sits at the heart of a number of International Standards and Technical Reports t

40、hat provide further guidance and instruction on the concepts, techniques and practices for creating, capturing and managing records.About records and managing recordsg21g135g133g145g148g134g149g3g131g148g135g3g132g145g150g138g3g135g152g139g134g135g144g133g135g3g145g136g3g132g151g149g139g144g135g149g

41、149g3g131g133g150g139g152g139g150g155g3g131g144g134g3g139g144g136g145g148g143g131g150g139g145g144g3g131g149g149g135g150g149g484g3g23g138g135g155g3g133g131g144g3g132g135g3g134g139g149g150g139g144g137g151g139g149g138g135g134g3g136g148g145g143g3g145g150g138g135g148g3g139g144g136g145g148g143g131g150g139

42、g145g144g3g131g149g149g135g150g149g3g132g155g3g150g138g135g139g148g3g148g145g142g135g3g131g149g3g135g152g139g134g135g144g133g135g3g139g144g3g150g138g135g3g150g148g131g144g149g131g133g150g139g145g144g3g145g136g3g132g151g149g139g144g135g149g149g3g131g144g134g3g132g155g3g150g138g135g139g148g3g148g135g1

43、42g139g131g144g133g135g3g145g144g3g143g135g150g131g134g131g150g131g484g3g16g135g150g131g134g131g150g131g3g136g145g148g3g148g135g133g145g148g134g149g3g139g149g3g151g149g135g134g3g150g145g3g139g144g134g139g133g131g150g135g3g131g144g134g3g146g148g135g149g135g148g152g135g3g133g145g144g150g135g154g150g3g

44、131g144g134g3g131g146g146g142g155g3g131g146g146g148g145g146g148g139g131g150g135g3g148g151g142g135g149g3g136g145g148g3managing records.Managing records encompasses the following:g131g524g3 g133g148g135g131g150g139g144g137g3g131g144g134g3g133g131g146g150g151g148g139g144g137g3g148g135g133g145g148g134g1

45、49g3g150g145g3g143g135g135g150g3g148g135g147g151g139g148g135g143g135g144g150g149g3g136g145g148g3g135g152g139g134g135g144g133g135g3g145g136g3g132g151g149g139g144g135g149g149g3g131g133g150g139g152g139g150g155g482g132g524g3 g150g131g141g139g144g137g3g131g146g146g148g145g146g148g139g131g150g135g3g131g13

46、3g150g139g145g144g3g150g145g3g146g148g145g150g135g133g150g3g150g138g135g139g148g3g131g151g150g138g135g144g150g139g133g139g150g155g481g3g148g135g142g139g131g132g139g142g139g150g155g481g3g139g144g150g135g137g148g139g150g155g3g131g144g134g3g151g149g135g131g132g139g142g139g150g155g3g131g149g3g150g138g13

47、5g139g148g3business context and requirements for their management change over time.g17g18g23g8g3g883g3 g21g135g136g135g148g135g144g133g135g3 g150g145g3 g498g132g151g149g139g144g135g149g149g3 g131g133g150g139g152g139g150g155g499g3 g145g148g3 g498g132g151g149g139g144g135g149g149g3 g131g133g150g139g152

48、g139g150g139g135g149g499g3 g139g144g3 g150g138g139g149g3 g146g131g148g150g3 g145g136g3 g12g22g18g3 g883g887g886g890g891g3 g139g149g3 g139g144g150g135g148g146g148g135g150g135g134g3g132g148g145g131g134g142g155g3g150g145g3g143g135g131g144g3g150g138g145g149g135g3g131g133g150g139g152g139g150g139g135g149g

49、3g150g138g131g150g3g149g151g146g146g145g148g150g3g150g138g135g3g146g151g148g146g145g149g135g149g3g145g136g3g150g138g135g3g145g148g137g131g144g139g156g131g150g139g145g144g495g149g3g135g154g139g149g150g135g144g133g135g484g3g9g151g144g133g150g139g145g144g149g481g3g131g133g150g139g152g139g150g139g135g149g481g3g150g148g131g144g149g131g133g150g139g145g144g149g3g131g144g134g3g153g145g148g141g3g146g148g145g133g135g149g149g135g149g3g131g148g135g3g148g135g146g148g135g149g135g144g150g131g150g139g145g1