ISO TR 21946-2018 PDF

Full title and description

ISO/TR 21946:2018 — Information and documentation — Appraisal for managing records. This Technical Report provides practical guidance on carrying out appraisal activities to identify records requirements, scope appraisal work, analyse business context and functions, apply risk assessment to records decisions, document appraisal results and use those results to inform policies, systems and controls for records management.

Abstract

This technical report explains the appraisal concept described in ISO 15489‑1 and gives step‑by‑step guidance and examples for planning and executing appraisal for records management. It: lists main purposes for appraisal; explains scoping; describes analysis of business functions and work processes; shows how to identify records requirements and their relationship to business activity; explains use of risk assessment for appraisal decisions; lists options for documenting appraisal outcomes; describes uses of appraisal results (policy, system design, records controls); and emphasises monitoring and review of appraisal decisions.

General information

• Status: Published / Valid.
• Publication date: 13 November 2018 (Edition 1, 2018‑11).
• Publisher: International Organization for Standardization (ISO).
• ICS / categories: 01.140.20 (Information sciences / Records management).
• Edition / version: Edition 1 (2018).
• Number of pages: 18 pages.

Scope

ISO/TR 21946:2018 is intended to guide organisations of any size and type in performing appraisal as part of records management. The report focuses on establishing appraisal scope, analysing business context and functions, identifying records requirements (legal, operational and societal), using risk assessment to support appraisal decisions, documenting results and using them to design controls, policies and systems — and on monitoring and review of appraisal decisions over time.

Key topics and requirements

• Definition and purposes of appraisal within records management.
• Scoping appraisal projects: objectives, stakeholders and boundaries.
• Business‑function and work‑process analysis to reveal records dependencies.
• Identification and mapping of records requirements (legal, business, evidential, accountability).
• Use of risk assessment to prioritise records creation, retention and protection.
• Options for documenting appraisal outcomes (reports, schedules, retention rules, metadata requirements).
• Applying appraisal results to policy, system design, records controls and monitoring/review processes.

Typical use and users

Primary users are records managers, archivists and information governance professionals who design or review records programmes. Secondary users include compliance and legal officers, risk managers, IT/system designers responsible for recordkeeping systems, auditors and consultants who need to translate business needs and legal requirements into records controls and retention decisions. The guidance is applicable across public and private organisations and for digital and physical records.

Related standards

Key related ISO publications include: ISO 15489‑1:2016 (Records management — Concepts and principles), which defines the appraisal concept that this TR expands on; ISO/TR 26122:2008 (Work process analysis for records), which provides complementary guidance on analysing work processes; and ISO 30301:2019 (Management systems for records), which sets requirements for recordkeeping management systems with which appraisal outputs can be aligned.

Keywords

appraisal; records appraisal; records management; recordkeeping; business function analysis; work process analysis; risk assessment; retention; records requirements; documentation; ISO TR 21946.

FAQ

Q: What is this standard?

A: ISO/TR 21946:2018 is a Technical Report providing practical guidance on appraisal activities used to determine which records need to be created, captured and managed, and how appraisal results should be documented and applied.

Q: What does it cover?

A: It covers scoping appraisal work, analysing business functions and work processes, identifying records requirements (including legal and business needs), using risk assessment to inform decisions, documenting appraisal outcomes and using those outcomes for policy, systems and controls, plus monitoring and review.

Q: Who typically uses it?

A: Records managers, archivists, information governance professionals, compliance and legal officers, IT/system designers and auditors who need practical steps to implement appraisal in organisational recordkeeping.

Q: Is it current or superseded?

A: ISO/TR 21946:2018 was published in November 2018 and is published/valid as a Technical Report; it is not a superseding international standard. Users should check ISO or their national body for any later revisions or related new publications.

Q: Is it part of a series?

A: The report complements ISO 15489‑1:2016 and other ISO records management publications (such as ISO/TR 26122 and the ISO 30300/30301 family). It sits alongside other Technical Reports and standards developed by ISO/TC 46/SC 11 that provide guidance on analysis, systems design and implementation for records management.

Q: What are the key keywords?

A: Appraisal; records appraisal; records management; recordkeeping; business function analysis; risk assessment; retention; documentation; ISO/TR 21946:2018.