AS 4390.5-1996

1 - AS 4390.5-1996 RECORDS MANAGEMENT - APPRAISAL AND DISPOSAL
4 - PREFACE
4 - CONTENTS
5 - 1 SCOPE
5 - 2 APPLICATION
5 - 3 REFERENCED DOCUMENTS
5 - 4 DEFINITIONS
5 - 5 RESPONSIBILITY
6 - 6 APPRAISAL
6 - 6.1 General
6 - 6.2 Analysis
6 - 6.2.1 Analyse the environment in which the organization operates
7 - 6.2.2 Identifying the business functions and activities of the organization
7 - 6.3 Determining which records should be captured into a recordkeeping system
8 - 6.4 Determining how long records should be maintained
8 - 6.4.1 Determining the uses of the record within the system
8 - 6.4.2 Determining links to other systems
9 - 6.4.3 Evaluating the further uses made of the record after current use of the record has ceased
9 - 6.4.4 Allocating retention periods to the records on the basis of the total system evaluation
9 - 6.5 Documenting the appraisal process
9 - 7 DISPOSAL
9 - 7.1 General
10 - 7.2 Disposal action
10 - 7.3 Physical destruction
10 - 7.4 Retention for a further period
10 - 7.5 Transfer of custody or ownership of records
11 - 8 MONITORING

Sets out a range of records management activities that decide the ultimate fate of the records of an organization. Describes the appraisal process, the steps leading to a disposal authority and the process of carrying out a disposal program. Covers the requirements for documenting these processes, monitoring compliance and reviewing disposal authorities and programs.

Appraisal is an analytical process which determines -(a) which records should be captured into recordkeeping systems; and (b) how long such records should be maintained.Successful implementation of appraisal ensures that -(i) requirements to create records for each business activity are identified;(ii) risks for non-compliance with recordkeeping requirements are defined;(iii) adequate records are captured in recordkeeping systems;(iv) required records are retained;(v) records required over time are migrated between recordkeeping systems;(vi) records not required by each business activity are deleted or destroyed; and(vii) transfer of custody or ownership of records between organizations, where appropriate, is documented.

First published as AS 4390.5-1996.