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COPYRIGHT Danish Standards. NOT FOR COMMERCIAL USE OR REPRODUCTION. DS/ISO : PDF
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1 Dansk standard DS/ISO udgave Information og dokumentation Principper og funktionelle krav til registreringer i elektroniske kontormiljøer Del 2: Vejledning og funktionelle krav til registreringer i digitale dokumentstyringssystemer Information and documentation Principles and functional requirements for records in electronic office environments Part 2: Guidelines and functional requirements for digital records management systems
3 INTERNATIONAL STANDARD ISO First edition Information and documentation Principles and functional requirements for records in electronic office environments Part 2: Guidelines and functional requirements for digital records management systems Information et documentation Principes et exigences fonctionnelles pour les enregistrements dans les environnements électroniques de bureau Partie 2: Lignes directrices et exigences fonctionnelles pour les systèmes de management des enregistrements numériques Reference number ISO :2011(E) ISO 2011
5 Foreword ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies (ISO member bodies). The work of preparing International Standards is normally carried out through ISO technical committees. Each member body interested in a subject for which a technical committee has been established 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. ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization. The main task of technical committees is to prepare International Standards. Draft International Standards adopted by the technical committees are circulated to the member bodies for voting. Publication as an International Standard requires approval by at least 75 % of the member bodies casting a vote. Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. ISO shall not be held responsible for identifying any or all such patent rights. ISO was prepared by the International Council on Archives (as International Council on Archives and the Australasian Digital Recordkeeping Initiative Principles and functional requirements for records in electronic office environments Module 2: Guidelines and functional requirements for digital records management systems) and was adopted, under a special fast-track procedure, by Technical Committee ISO/TC 46, Information and documentation, Subcommittee SC 11, Archives/records management, in parallel with its approval by the ISO member bodies. ISO consists of the following parts, under the general title Information and documentation Principles and functional requirements for records in electronic office environments: Part 1: Overview and statement of principles Part 2: Guidelines and functional requirements for digital records management systems Part 3: Guidelines and functional requirements for records in business systems ISO 2011 All rights reserved iii
6 (Blank page) iv ISO 2011 All rights reserved
7 International Council on Archives Information and documentation - Principles and functional requirements for records in electronic office environments Part 2 Guidelines and functional requirements for digital records management systems ISO 2011 All rights reserved v
8 Published by the International Council on Archives. This part was developed by Archives New Zealand in conjunction with a joint project team formed by members of the International Council on Archives and the Australasian Digital Recordkeeping Initiative. International Council on Archives 2008 ISBN: Reproduction by translation or reprinting of the whole or of parts for non-commercial purposes is allowed on condition that due acknowledgement is made. This publication should be cited as: International Council on Archives, Principles and Functional Requirements for Records in Electronic Office Environments Module 2: Guidelines and Functional Requirements for Electronic Records Management Systems, 2008, published at vi ISO 2011 All rights reserved
9 ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems CONTENTS 1. SCOPE 1 2. RELATED STANDARDS 3. TERMS AND DEFINITIONS 4. GUIDELINES Create Maintain Disseminate Administer FUNCTIONAL REQUIRMENTS CREATE Capture Identification Classification MAINTAIN Access and security Hybrid records management Retention and disposition DISSEMINATE Search, retrieve and render ADMINISTER Administration APPENDICES 59 Appendix A - Sample checklist of requirements for reviewing an existing digital records management system 59 Appendix B - Bibliography ISO 2011 All rights reserved vii
10 ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems INTRODUCTION Effective management of records and information is fundamental to a well-functioning organisation as it supports business activity and provides a basis for efficient service delivery. It also provides the mechanism whereby organisations can account for their decisions and actions and retain corporate memory. Moreover, good records management is simply good business practice. Digital records management systems facilitate: a) efficiency, by making information readily available when needed for decision-making and operational activities; b) sound use of financial resources, by allowing timely disposition of non-current records; c) accountability, by enabling the creation of a complete and authoritative record of activities; d) compliance, by demonstrating that legal requirements have been met; and e) risk mitigation, by managing the risks associated with illegal loss or destruction of records, and from inappropriate or unauthorised access to records. A fundamental underlying principle for this document, Principles and functional requirements for records in electronic office environments Part 2: Guidelines and functional requirements for digital records management systems. (hereafter the term part is used) is the distinction between business systems (or business information systems) and digital (or electronic) records management systems. Business systems contain data that is commonly subject to constant updates (dynamic), able to be transformed (manipulable) and contain data in current business use (non-redundant). By contrast, digital records management systems contain data that is not dynamically linked to business activity (fixed), unable to be altered (inviolable), and may be noncurrent (redundant). Therefore business systems are beyond the scope of this part (see ISO1617-3: 2010, Information and documentation - Principles and functional requirements for records in electronic office environments Part 3: Guidelines and functional requirements for records in business systems.). The records within a digital records management system are, however, still dynamic in the sense that they can be (re)used in new business activity/contexts, so new metadata will be added through the ongoing use of the record content. Digital records management systems provide the technological component of a framework for the systematic and structured management of records; they link digital and non-digital records to business activities, retain records of past actions, and fix the content and structure of records over time. The primary audience for this document is staff responsible for designing, reviewing and/or implementing digital records management systems in organisations whether viii ISO 2011 All rights reserved
11 ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems those systems are commercial off-the-shelf digital records management software applications, or custom-built applications. This part primarily addresses the requirements of organisational records/information managers or system procurement project leaders, but will be relevant for jurisdictional standard-setters and the wider records management community. Another key audience is software vendors and developers who market and/or develop digital records management system products. This part is intended to inform their decision-making when designing records management functionality within digital records management products. ISO 2011 All rights reserved ix
13 ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems 1. SCOPE The scope of this part is limited to products that are often termed electronic records management systems or enterprise content management systems. This part will use the term digital records management systems for those software applications whose primary function is records management. It does not seek to set requirements for records still in use and held within business systems. Digital objects created by , word processing, spreadsheet and imaging applications (such as text documents, and still or moving images), where they are identified to be of business value, should be managed within digital records management systems which meet the functional requirements set out in this part. Records managed by a digital records management system may be stored on a variety of different media formats, and may be managed in hybrid record aggregations that include both digital and non-digital elements. This part does not attempt to include requirements that are not specific to, or necessary for, records management, for example, general system management and design requirements. Nor does it include requirements common to all software applications, such as performance, scalability and usability. Given the target audience of this document, it also assumes a level of knowledge about developing design specifications, procurement and evaluation processes, and therefore these issues are not covered in this part. Although not included in this part s requirements, the importance of non-records management functional requirements for records management systems is recognised through their inclusion in the high-level model outlined in Section 4.2: Overview of functional requirements. Specifications for the long-term preservation of digital records are also beyond the scope of this part; this issue should be addressed separately within a dedicated framework for digital preservation or digital archiving at a strategic level. These digital preservation considerations transcend the life of systems and are system independent; they should be assessed in a specific migration and conversion plan at the tactical level. However, recognition of the need to maintain records for as long as they are required shall be addressed, and potential format obsolescence issues should also be considered when applying the functional requirements. This part articulates a set of functional requirements for digital records management systems. These requirements apply to records irrespective of the media in which they were created and/or stored. The requirements are intended to: a) set out the processes and requirements for identifying and managing records in digital records management systems; b) set out the records management functionality to be included in a design specification when building, upgrading or purchasing digital records management systems software; c) inform records management functional requirements in the selection of commercially available digital records management systems; and d) review the records management functionality of, or assess the compliance of, an existing digital records management system. ISO 2011 All rights reserved 1
14 ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems 2. RELATED STANDARDS The following documents are referenced for the application of this document. ISO :2001, Information and documentation Records management Part 1: General ISO/TR 15801:2009, Document management Information stored electronically Part 2: Recommendations for trustworthiness and reliability ISO :2010, Information and documentation Principles and functional requirements for records in electronic office environments Part 1: Overview and statement of principles. ISO1617-3:2010, Information and documentation - Principles and functional requirements for records in electronic office environments Part 3: Guidelines and functional requirements for records in business systems. ISO :2006, Information and documentation Records management processes Metadata for records Part 1: Principles ISO :2009, Information and documentation Managing metadata for records Part 2: Conceptual and implementation issues. ISO 2788:1986, Documentation Guidelines for the establishment and development of monolingual thesauri. ISO 5964:1985, Documentation Guidelines for the establishment and development of multilingual thesauri. International Council on Archives, Principles and Functional Requirements for Records in Electronic Office Environments, Part 1 Overview and Statement of Principles, International Council on Archives, Principles and Functional requirements for Records in Electronic Office Environments, Part 3 Guidelines and Functional Requirements for Records in Business information systems, ISO 2011 All rights reserved