ISO/TR TECHNICAL REPORT 21946 First edition 2018-11 Information and documentation Appraisal for managing records Information et documentation - Evaluation dans le cadre de (pour) lagestion des documents d'activite Reference number IS0/TR 21946:2018(E) so @IS02018 IS0/TR 21946:2018(E) COPYRIGHTPROTECTEDDOCUMENT @ IS0 2018 All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on the internet or an intranet, without prior written permission. Permission can be requested from either IsO at the address below or Iso's member body in the country of the requester. ISO copyright office CP 401 : Ch. de Blandonnet 8 CH-1214 Vernier, Geneva Phone: +4122 749 0111 Fax: +41 22 749 09 47 Email: [email protected] Website: www.iso.org Published in Switzerland ii @ IS0 2018 - All rights reserved IS0/TR 21946:2018(E) Contents Page Foreword ..iv Introduction. ..V 1 Scope. ..1 2 Normative references ..1 3 Terms and definitions ..1 4 Appraisal process ..2 5 Information gathering and analysis .3 5.1 General. .3 5.2 Determining the scope of appraisal .4 5.3 Determining who to involve in the appraisal process 4 5.4 Information gathering .5 5.5 Analysis of the business context 6 5.6 Analysis of the technological context .6 5.7 Functional analysis 7 5.8 Sequential analysis .7 5.9 Identification of agents. 7 5.10 Identification of business critical areas. .8 5.11 Determining records requirements .9 5.11.1 General. .9 5.11.2 Business needs for records 5.11.3 Legal and regulatory requirements for records .10 5.11.4 Community or societal expectations for records .10 6 Assessment and implementation ..11 6.1 General .11 6.2 Linking records requirements to business functions and work processes .11 6.3 Assessment and treatment of risks associated with the implementation of records requirements ..13 6.4 Documentation of the appraisal process ..15 6.5 Using the results of the appraisal process ..16 7 Monitoring ..17 8 Review and corrective action ..17 Bibliography .18 @ IS0 2018 - All rights reserved ii