ISO 15489: a tool records management mergers: the global records management standard is a strong, viable 21st-century model that enables the assessment, design, and implementation of a new, post-merger corporate records management program.

At the Core

This article

* examines the use of ISO 15849 in records management program planning during and after company mergers

* review the evolution and content of ISO 15849 and its translation to a practical model and tool

* provides in case study lessons learned from implementation

The mega-merger environment of the 1990s business world continues into the new century. The global records management standard, ISO 15849: Information and Documentation-Records Management, is a strong, viable 21st-century model that enables the assessment, design, and implementation of new pos-merger corporate records management programs.

ISO 15849 provides a framework to assess existing records management programs and to identify their strengths and gaps. The assessment can then used to design a new program, including an audit process. This real-world case study, presented from the records and information management practitioner's perspective, provides information on how the standard works in practice, validates its benefits, and summarizes lessons learned.

Merger Background

Two Fortune 100 global, integrated energy companies contemplate a merger. Upon completion, the new company would have $80 billion in combined assets, operations in more than 40 countries, and 56,000 employees worldwide. The company's core business operations would include: 1) petroleum exploration and production; 2) petroleum refining, marketing, supply, and transportation; 3) natural gas gathering, processing, and marketing; and 4) chemical and plastics production and distribution. The "spirit" of the company is found in its core business values: Safety, People, Integrity, Responsibility, Innovation, and Teamwork. These core values are supported by all company goals, policies, and programs.

At the announcement of the merger, transition teams were appointed to evaluate existing policies, programs, operations, and services. The teams were responsible for recommending a strategy, plan, organization, and resources for the new company's operations. One of these teams, under the direction of information technology (IT) leadership, was given the task of addressing document and records management. The team included the two corporate records managers, the IT director from each merging company, and an attorney. The team had a three-month time frame to complete all tasks. All IT transition teams were instructed by management to use the following principles in their recommendations:

* Be Global.

* Look for world-class best practices.

* Focus on process.

* Align with the businesses.

Selecting the Model

The document and records management merger transition team identified ISO 15489 as a global best practice to use as a model and tool for its project tasks. ISO 15489 met the following business-driven criteria:

* It is a global standard. The merging companies' existing information management strategies, policies, and services were required to have a global framework. The new company would have business units in more than 40 countries worldwide. ISO 15489 moved beyond a narrow U.S. perspective in designing records management processes and established a "world-class best practice."

* It provides a global framework and common foundation for uniform program implementation. During implementation of the pre-merger records management programs, there had been barriers and challenges at non-U.S. business sites. These disconnects in basic records management concepts, traditions, processes, and definitions were evident at all levels of the international organizations. For example, management in many international business sites did not share the risk management value of records management systems that are largely based on the litigious U.S. environment. In the United Kingdom, Europe, and Indonesia, emphasis in records management was primarily on indexing and archival management and less on systematic retention programs.

* Its approach to records management is process-driven. This matched the management focus of each merging company. The business segments in each company had worked to identify core processes, common procedures, and process owners. Opportunities to streamline common processes to achieve efficiency and reliability were identified. One of the companies had an active Six Sigma initiative and had also implemented quality management systems.

* It complements other ISO quality standards adopted by the companies. Some of the two companies' manufacturing segments had obtained ISO 9000 certification, and those involved in the safety, health, and environmental function had proposed ISO 14000 as a management system. ISO 15489 provides specific guidelines and expectations to manage records that support these quality systems.

* It provides an excellent overview of records management concepts that speak to information technologists. A key strategic issue encountered by the team was electronic records management. Both records management and IT professionals required new skill sets. IT professionals are typically familiar with process-driven models to describe and understand information concepts and ISO 15489 provided that.

ISO 15489 clearly met the team's requirements to identify a global, best-practice model. The next task was to review its background and content prior to application. Examining the standard from the team's perspective revealed several areas for discussion.

The standard excludes archives administration, focusing on non-archival records management. This was done to avoid conflict with a British Standards subcommittee working on a more specific archives standard. This exclusion was not a problem for the merger transition team, as the focus of planning tasks was on active and inactive records management.

Another point of discussion was the standard's current status as a voluntary code of practice vs. a compliance standard. The merger transition team did not consider the voluntary status of the standard an issue. The team could still document the benefits of using the standard as a best-practice model.

The merger transition team found that the ISO 15489 definitions were useful and could be applied immediately to the management of e-mail, even though it often stores ephemeral, non-business documents as well as records. ISO 15489 defines a document as "recorded information or object which can be treated as a unit." A document may or may not meet the definition of a record. The standard defines a record as "information created, received, and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in the transaction of business." An authoritative record has the characteristics of authenticity, reliability, integrity, and usability. Authoritative records require management in systems that are reliable, comprehensive, and ensure the record's integrity. These ISO 15489 definitions enable an organization to clearly define the scope and required management processes for records, while treating incomplete, ephemeral, and/or transitory documents with different, perhaps less rigorous, controls. There remains much debate on a valid, global definition of a record and whether processes for documents must be the same or can vary.

Since ISO 15489's publication, the British Standards Institute has published an implementation guide, Effective Records Management, PD0025, but to date, few implementation case studies have been published. The merger transition team realized that its use of the standard would require original analysis and work because these reports have primarily described using ISO 15489 as a compliance tool.

ISO 15489 Content as Model

ISO 15489 is published in two parts: ISO 15489-1 Information and Documentation- Records Management-Part 1: General (20 pages) and Part 2: Guidelines (40 pages). Part 1 is the core standard used to establish the fundamental principles and model. Its goal is to define the value and key processes of records management in terms that all levels of personnel (including management and non-technical) can understand. Part 2 focuses on detailing the guidelines and procedures for implementation. This part is intended for records and information management personnel and other technical professionals. However, not all clauses of Part 1 are detailed in Part 2.

ISO 15489-1 is divided into 11 clauses, as illustrated in Table 1 above.

From the practitioner's perspective, reading and interpreting both parts of the standard are challenging and somewhat abstract. One member of the merger transition team noted the following review of ISO 15489 that appeared in the March 2002 Oil IT Journal: "Our first overview of the two documents gave a false impression of a dry, verbose set of documentation whose implementation would be unachievable in a real-world situation."

The team developed a checklist to implement the standard in its "real-world situation." Of the 11 clauses in ISO 15489, the team found the following the most useful in its assessment and program design tasks:

* Clause 6: Policies and Responsibilities covers the basic elements of a modern, global records management policy. The key policy components include scope, objectives, endorsement, and communication. Clause 6 emphasizes the organizational impact of sound records management and mandates high-level management support. It also emphasizes today's distributed-information environment by outlining the records management responsibilities of all employees.

* Clause 8: Design and Implementation of a Records System provides a framework to design both manual and automated records systems. Systems include people and tools (technology). The systems development framework can be applied to all types of record-keeping systems including centralized inactive records centers, departmental file systems, and line-of-business applications. While most useful in system design, the framework can be used to identify gaps and weaknesses in legacy systems.

* Clause 9: Records Management Processes and Controls establishes a core set of records management processes and instruments that can be used to establish enterprise procedural standards to achieve records management policy objectives. A key instrument defined in this clause is a retention classification tool based on a business process context. Because records are generated (created and received) to support business processes, they are most effectively managed in this context. A global, enterprise process classification system integrated with retention requirements will result in improved access and disposition controls.

The Model

Using ISO 15489 as a framework, the merger transition team's checklist was useful for evaluating and determining the strengths and weaknesses of each company's program. While one company had already implemented an enterprise functional retention schedule, the other company had a departmental retention schedule process and system. ISO 15489 clearly provided the global model to follow. Using the standard to develop an objective checklist helped to reduce change resistance and to minimize the politics inherent in merger planning. The team was prepared to focus energy on moving away from the stares quo to a best practice future.

The checklist was provided to vendors of multiple document and records management systems deployed by both companies. As part of the transition team's request for proposal process, vendors were required to describe how their products satisfied ISO 15489 requirements. Finally, the checklist was used to design a new company records management program that included services, staffing, and building the business case for management approval. The checklist also became an early draft of a proposed compliance model.

Key Learnings

From these activities, the merger transition team learned that ISO 15489

* is a viable model. However, it must be translated into a more succinct or graphic checklist for application. It would be more useful if it provided such a checklist so organizations would not have to invent one independently.

* provides validity to proposed recommendations. Management and business sectors understood records control requirements when they were justified in support of processes and business requirements.

* provided a global, best-practice authority that was accepted by management.

* provides a neutral model to minimize change resistance and political clashes in merger situations.

* provides a business process classification approach fly retention management. This model is understood by IT professionals and can be applied to electronic records management in multiple systems.

Based on this experience, it is clear that ISO 15489 can help records and IT professionals survive and perhaps even emerge with a revitalized information management strategy.

Table 1

ISO 15489-Part 1                                 ISO/TR 15489-Part 2
CLAUSE                                                 SECTION

 1. Scope                                             Section 1
 2. Normative References
 3. Terms & Definitions
 4. Benefits of RM
 5. Regulatory Environment
 6. Policy & Responsibilities                         Section 2
 7. Records Management Requirements
 8. Design & Implementation of a Records System       Section 3
 9. Records Processes & Controls                      Section 4
10. Monitoring & Auditing                             Section 5
11. Training                                          Section 6

Table 2
BUSINESS PROCESS CLASSIFICATION

Level One    Business Function       Human Resources
Level Two    Business Activities     Staffing
Level Three  Groups of Transactions  Personnel Selection

Table 3 Clause 9: Records Management Processes &
Controls--Enterprise Standards

RECORDS MANAGEMENT PROCESSES                  NOTES
AND CONTROLS

 1. Determining documents to be captured      Document vs. record

 2. Determining how long to retain records    Retention period
                                              citations/support

 3. Records capture                           Includes metadata;
                                              Metadata standards

 4. Registration                              Optional; Automatic
                                              in e-records systems

 5. Classification                            Business process;
                                              Tools: retention
                                              classification,
                                              vocabulary (thesauri),
                                              and indexes

 6. Storage and handling                      Physical and e-storage

 7. Access                                    Security, privacy,
                                              Freedom of Information

 8. Tracking                                  Activity and location

 9. Implementing disposition                  Destruction; Custody
                                              transfers; Sales and
                                              divestitures

10. Documenting records management processes  Key instruments
                                              (retention
                                              classification);
                                              Procedures

References

Carlisle, Diane K. "ISO 15489: A Business Imperative." ARMA International. 2003.

Connelly, Jim. "ISO 15489: Compliance & Auditing. Let's Make it a Working Tool." ARMA Edmonton Conference Proceedings, March 2001. Available at www.armaedmonton.com/ Images/Ads/proceedings/W303%20%20Jim%20Connelly%20%20ISO%20Compliance. pdf (accessed 14 July 2004).

Crockett, Margaret and Janet Foster. "Using ISO 15489 as an Audit Tool." The Information Management Journal 38, My/August 2004.

"Document Management Standard Review" Oil IT Journal. March 2002.

Healy, Susan. "ISO 15489 Records Management--Its Development and Significance." Records Management Journal 11, December 2001.

Jones, Philip A. Introduction to the World of Standards: Memoirs of an Insomniac Presentation at the U.K. ISO 15489 Conference, 1999. Available at www.cheechwiz.com/pdf_files/ISO%2015489%20Conference.ppt (accessed 14 July 2004).

McLean, Robert J. "Developing and Maintaining an Effective Records Management Programme." ISO Bulletin, February 2002.

McLean, Bob. "The ISO 15489 Imperative." The Information Management Journal 36, November/December 2003.

Moldrich, David. "ISO TC 46 SC11 Archives/Records Management IT/21 Records Management." Records Management Association of Australasia, 2003.

Steemson, Michael. RM Standard IS015489 Takes the World by Storm. The Caldeson Consultantcy, 2002. Available at www.caldeson.com/1548902.html (accessed 14 July 2004).

Mary M. White-Dollmann, CRM, MLIS, is principal consultant for Document Control and Compliance Inc. From 1991-2003, she was director of corporate records management for ConocoPhillips Inc. In this position she was responsible for establishing and administering company document and records management policy, standard procedures, training, and compliance systems. She may be contacted at [e-mail].