Information and documentation -- Principles and functional requirements for records in electronic office environments

ISO 16175-2:2011 is applicable to products that are often termed "electronic records management systems" or "enterprise content management systems". ISO 16175-2:2011 uses 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 email, word processing, spreadsheet and imaging applications (such as text documents, and still or moving images), where they are identified to be of business value, are managed within digital records management systems which meet the functional requirements established in ISO 16175-2:2011. Records managed by a digital records management system can be stored on a variety of different media formats, and can be managed in hybrid record aggregations that include both digital and non-digital elements. ISO 16175-2:2011 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 ISO 16175-2:2011, it also assumes a level of knowledge about developing design specifications, procurement and evaluation processes, and therefore these issues are not covered in ISO 16175-2:2011. Nonetheless, the importance of non-records management functional requirements for records management systems is recognized through their inclusion is given in the high-level model for structure and overview of functional requirements. ISO 16175-2:2011 does not give specifications for the long-term preservation of digital records; this issue needs to be addressed separately within a dedicated framework for digital preservation or "digital archiving" at the strategic level. These digital preservation considerations transcend the life of systems and are system independent; they need to 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 is addressed in ISO 16175-2:2011, and potential format obsolescence issues need to be considered when applying the functional requirements. ISO 16175-2:2011 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: define the processes and requirements for identifying and managing records in digital records management systems; define the records management functionality to be included in a design specification when building, upgrading or purchasing digital records management systems software; inform records management functional requirements in the selection of commercially available digital records management systems; and review the records management functionality of, or assess the compliance of, an existing digital records management system.

Information et documentation -- Principes et exigences fonctionnelles pour les enregistrements dans les environnements électroniques de bureau

Informatika in dokumentacija - Načela in funkcionalne zahteve za zapise v okoljih elektronske pisarne - 2. del: Smernice in funkcionalne zahteve za sisteme upravljanja z digitalnimi zapisi

Področje uporabe tega dela je omejeno na izdelke, za katere se pogosto uporablja izraz »sistemi upravljanja z elektronskimi zapisi« ali »sistemi upravljanja z vsebino podjetja«. Ta del uporablja izraz »sistemi upravljanja z digitalnimi zapisi« za tiste programske aplikacije, katerih glavna naloga je upravljanje z zapisi. Ne poskuša določiti zahtev za zapise, ki se še vedno uporabljajo in so shranjeni v poslovnih sistemih. Digitalne objekte, ki so bili ustvarjeni z e-pošto, urejanjem besedil, preglednicami in aplikacijami za urejanje slik (kot so besedilni dokumenti in nepremične ali dinamične slike) in ki jim je bila pripisana poslovna vrednost, je treba upravljati znotraj sistemov upravljanja z digitalnimi zapisi, ki izpolnjujejo funkcionalne zahteve, določene v tem delu. Zapise, ki so upravljani znotraj sistemov upravljanja z digitalnimi zapisi, je mogoče shranjevati v vrsti različnih medijskih formatov in jih je mogoče upravljati v hibridnih združenih zapisih, ki vključujejo digitalne in nedigitalne elemente. Ta del ne vključuje zahtev, ki niso določene ali potrebne za upravljanje z zapisi, na primer splošno upravljanje s sistemom in zahteve zasnove. Prav tako ne vključuje zahtev, ki so skupne vsem programskim aplikacijam, kot so delovanje, prilagodljivost velikosti in uporabnost. Glede na naslovnike tega dokumenta prav tako predvideva dobro poznavanje razvoja specifikacij zasnove ter postopkov nabave in vrednotenja, zato teh vprašanj ne zajema. Čeprav niso vključene v zahteve tega dela, so funkcionalne zahteve za upravljanje z ne-zapisi pomembne za sisteme upravljanja z zapisi in so vključene v večravninski model v oddelku 4.2: Pregled funkcionalnih zahtev. Specifikacij za dolgotrajno shranjevanje digitalnih zapisov ta del ne obravnava; to vprašanje je treba obravnavati ločeno v okviru njemu namenjenega okvira za digitalno shranjevanje ali »digitalno arhiviranje« na strateški ravni. To digitalno shranjevanje presega življenjsko dobo sistemov in je neodvisno od njih; oceniti bi ga bilo treba v posebnem načrtu migracije in prehoda na taktični ravni. Vendar pa obravnava potrebo po ohranjanju zapisov kolikor dolgo je potrebno, prav tako pa bilo treba pri uporabi funkcionalnih zahtev upoštevati tudi morebitne težave zaradi zastaranja formatov. Ta del določa sklop funkcionalnih zahtev za sisteme upravljanja z digitalnimi zapisi. Te zahteve veljajo za zapise ne glede na medij, v katerem so bili ustvarjeni in/ali shranjeni. Zahteve so namenjene: a) določanju postopkov in zahtev za identifikacijo zapisov in upravljanje z zapisi v sistemih upravljanja z digitalnimi zapisi; b) določanju funkcionalnosti upravljanja z zapisi, ki bo vključeno v specifikacije zasnove pri oblikovanju, nadgradnji ali nakupu programske opreme za sisteme upravljanja z digitalnimi zapisi; c) obveščanju o funkcionalnih zahtevah za upravljanje z zapisi pri komercialno dostopnih sistemih upravljanja z digitalnimi zapisi; in d) pregledu funkcionalnosti upravljanja z zapisi za obstoječi sistem upravljanja z digitalnimi zapisi ali ocenjevanju skladnosti obstoječih sistemov upravljanja z digitalnimi zapisi.

General Information

Status
Withdrawn
Publication Date
14-Apr-2011
Withdrawal Date
14-Apr-2011
Current Stage
9599 - Withdrawal of International Standard
Completion Date
15-Apr-2011

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SLOVENSKI STANDARD
SIST ISO 16175-2:2013
01-julij-2013

,QIRUPDWLNDLQGRNXPHQWDFLMD1DþHODLQIXQNFLRQDOQH]DKWHYH]D]DSLVHYRNROMLK

HOHNWURQVNHSLVDUQHGHO6PHUQLFHLQIXQNFLRQDOQH]DKWHYH]DVLVWHPH
XSUDYOMDQMD]GLJLWDOQLPL]DSLVL

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
Ta slovenski standard je istoveten z: ISO 16175-2:2011
ICS:
01.140.20 Informacijske vede Information sciences
SIST ISO 16175-2:2013 en,fr,de

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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SIST ISO 16175-2:2013
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SIST ISO 16175-2:2013
INTERNATIONAL ISO
STANDARD 16175-2
First edition
2011-04-15
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 16175-2:2011(E)
ISO 2011
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SIST ISO 16175-2:2013
ISO 16175-2:2011(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 2011

All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any means,

electronic or mechanical, including photocopying and microfilm, without permission in writing from either ISO at the address below or

ISO's member body in the country of the requester.
ISO copyright office
Case postale 56 • CH-1211 Geneva 20
Tel. + 41 22 749 01 11
Fax + 41 22 749 09 47
E-mail copyright@iso.org
Web www.iso.org
Published in Switzerland
ii © ISO 2011 – All rights reserved
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SIST ISO 16175-2:2013
ISO 16175-2:2011(E)
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 16175-2 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 16175 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
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SIST ISO 16175-2:2013
ISO 16175-2:2011(E)
(Blank page)
iv © ISO 2011 – All rights reserved
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SIST ISO 16175-2:2013
ISO 16175-2:2011(E)
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
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SIST ISO 16175-2:2013
ISO 16175-2:2011(E)

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: 978-2-918004-01-1

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 www.ica.org

vi © ISO 2011 – All rights reserved
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ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems

CONTENTS
1. SCOPE
2. RELATED STANDARDS 2
3. TERMS AND DEFINITIONS 3
4. GUIDELINES 9
4.3.1 Create 141414
4.3.2 Maintain 18
4.3.3 Disseminate 20
4.3.4 Administer 20
5. FUNCTIONAL REQUIRMENTS 22
5.1 CREATE 23
5.1.1 Capture 23
5.2 Identification 29
5.3 Classification 3030
5.4 MAINTAIN
5.4.1 Access and security 35
5.5 Hybrid records management 42
5.6 Retention and disposition 44
5.7 DISSEMINATE 51
5.7.1 Search, retrieve and render 51
5.8 ADMINISTER 56
5.8.1 Administration 56

6. APPENDICES 59

Appendix A - Sample checklist of requirements for reviewing an existing
digital records management system 59
Appendix B - Bibliography 61
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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 non-

current (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

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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.
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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

email, 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.
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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 15489-1:2001, Information and documentation — Records management — Part
1: General
ISO/TR 15801:2009, Document management — Information stored electronically —
Part 2: Recommendations for trustworthiness and reliability
ISO16175-1:2010, 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 23081-1:2006, Information and documentation — Records management
processes — Metadata for records — Part 1: Principles
ISO 23081-2:2009, 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, 2008.
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, 2008.
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3. TERMS AND DEFINITIONS

For the purposes of this document, the terms and definitions in ISO 15489-1:2001,

ISO/TR 15801:2009, ISO 23081-1:2006 and ISO 23081-2:2009, and the following
apply.
Term Definition
Activity The second level of a business classification scheme.
(business
activity)
NOTE 1 Activities are the major tasks performed by an
organisation to accomplish each of its functions. An activity is
identified by the name it is given and its scope note. The scope
of the activity encompasses all the transactions that take place
in relation to it. Depending on the nature of the transactions
involved, an activity may be performed in relation to one
function, or it may be performed in relation to many functions.
Aggregation Any accumulation of record entities at a level above record
object.
Business Business classification scheme
classification
The conceptual, hierarchical, representation of the functions
scheme (BCS)
and activities performed by an organisation.
NOTE 1 A Business classification scheme is usually a
taxonomy derived from the analysis of business activity.
Business An umbrella term covering all the functions, processes,
activity activities and transactions of an organisation and its
employees. Includes public administration as well as
commercial business.
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Term Definition
Business An automated system that creates or manages data about an
information organisation’s activities.
system
NOTE 1 Business information systems are (often multiple or
related) applications whose primary purpose is to facilitate
transactions between an organisational unit and its customers,
for example, an e-commerce system. client-relationship
management system, purpose-built or customised database,
finance or human resources systems.
NOTE 2 Business information systems typically contain
dynamic data, that is commonly subject to constant updates,
able to be manipulated and holds ‘current’ data.
NOTE 3 Although digital records management systems are
business information they differ from most others in that their
primary function is the management of records rather than to
facilitate a business process.
Classification The systematic identification and arrangement of business
activities and/or records into categories according to logically
structured conventions, methods and procedural rules
represented in a classification system.
NOTE 1 Classification includes determining document or file
naming conventions, user permissions and security restrictions
on records.
Component A set of constituent parts that comprises a digital record.
Compound A record that comprises multiple digital objects.
record
Destruction The process of eliminating or deleting records, beyond any
possible reconstruction.
NOTE 1 Destruction of digital records is a disposition process
whereby digital records and their metadata are permanently
removed, erased or obliterated as authorised and approved by
a disposition authority schedule.
Digital file A set of related digital records held in a tightly bound
relationship within the business system and managed as a
single object.
NOTE 1 A type of aggregation of digital records, also referred
to as a ‘container’.
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Term Definition
Digital object An object that can be represented by a computer, such as a file
type generated by a particular system or software application.
NOTE 1 A digital record may comprise one or more digital
objects.
Digital records An automated system whose primary function is to manage the
management creation, use, maintenance and disposition of digitally created
system records for the purposes of providing evidence of business
activities.
NOTE 1 These systems maintain appropriate contextual
information (metadata) and links between records.
Disposition A range of processes associated with implementing retention,
destruction or transfer decisions which are documented in
disposition or other instruments.
Function The highest level of a business classification scheme.
NOTE 1 Functions represent the major responsibilities that are
managed by the organisation to fulfil its goals.
Hybrid file A set of related digital files and physical files managed as a
single entity.
Hybrid record A record consisting of digital and non-digital components.
NOTE 1 The digital record and its associated records
management metadata is maintained within the digital records
management system together with the records management
metadata relating to the non-digital record.
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Term Definition
Marker Marker
A metadata profile of a record physically held outside of a
digital system.
NOTE 1 A marker may denote a physical record (such as a
large bound volume or building plan) or a digital record stored
on removable media (such as a CD-ROM or video).
NOTE 2 A marker may act as a representational link to a
relevant record within the digital records management system
to alert users to the existence of a relevant record that is
required to be accessible in more than one location.
Metadata Structured or semi-structured information, which enables the
creation, management and use of records through time and
within and across domains.
Record (noun) Information in any format created, received and maintained as
evidence and information by an organisation or person, in
pursuance of legal obligations or in the transaction of business.
Record A subdivision of the records classification scheme, which may
category be further subdivided into one or more lower-level record
categories.
NOTE 1 A record category is constituted of metadata which
may be inherited from the parent and passed on to a child.
NOTE 2 The full set of record categories, at all levels, together
constitutes the records classification scheme.
Records The field of management responsible for the efficient and
management systematic control of the creation, receipt, maintenance, use
and disposition of records, including processes for capturing
and maintaining evidence of, and information about, business
activities and transactions in the form of records.
Records Data that identifies authenticates and contextualises records
management and the people, processes and systems that create, manage,
metadata maintain and use them, and the policies that govern them.
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Term Definition
Records A framework to capture, maintain and provide access to
management evidence over time, as required by the jurisdiction in which it is
system implemented and in accordance with common business
practices.
NOTE 1 Records management systems include both records
practitioners and records users; a set of authorised policies,
assigned responsibilities, delegations of authority, procedures
and practices; policy statements, procedures manuals, user
guidelines and other documents which are used to authorise
and promulgate the policies, procedures and practices; the
records themselves; specialised information and records
systems used to control the records; and software, hardware
and other equipment, and stationery.
Redaction The process of masking or deleting information in a record.
System A user role with designated responsibility for configuring,
administrator monitoring and managing the business system and its use.
Thesaurus A records classification tool comprising an alphabetical
presentation of a controlled list of terms linked together by
semantic, hierarchical, associative or equivalence relationships.
NOTE 1 In a thesaurus, the meaning of a term is specified and
relationships to other terms are shown. A thesaurus should
provide sufficient entry points to allow users to navigate from
non-preferred terms to preferred terms adopted by the
organisation.
Taxonomy The classification of entities in an ordered system that indicates
natural relationships.
Tracking Creating, capturing and maintaining information about the
movement and use of records.
Transaction 1 The smallest unit of business activity. Uses of records are
themselves transactions.
NOTE 1 The third or lowest level in a business classification
scheme.
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Term Definition
Transfer A disposition process consisting of an export of digital records
and associated metadata to another system, application
organisation or agent,
NOTE 1 Records may be transferred from one organisation to
another following administrative change, from an organisation
to archival custody, from an organisation to a service provider,
from the government to the private sector or from one
government to another.
Volume A sub-division of a digital or non-digital aggregation.
NOTE 1 Also referred to as a ‘part’.
NOTE 2 A volume is usually a file part closed off due to size or
time period constraints, for example, ‘Expense claim forms
2007–2008’.
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4. GUIDELINES
4.1 Why implement a digital records management system?
4.1.1 What are record attributes?

A record is not just a collection of data, but is the consequence or product of an

event, business action or transaction, and therefore inextricably linked to business

activities. A distinguishing feature of records is that their content exists in a fixed

form, that is, a fixed representation of the business transaction. Records comprise

not only the informational content but also information about the context and
structure of the record. ISO 15489-1:2001, Information and documentation —
Records management — Part 1: General sets out the key attributes of a record and
the high level considerations and processes for managing records effectively and
should be a key reference document for implementing this part. The essential
records attributes can be summarised as;
a) Authenticity – the record can be proven to be what it purports to be, to
have been created or sent by the person that created or sent it, and to have
been created or sent at the time it is purported to have occurred.
b) Reliability – the record can be trusted as a full and accurate representation
of the transaction(s) to which they attest, and can be depended on in the
course of subsequent transactions.
c) Integrity – the record is complete and unaltered, and is fixed. This
characteristic is also referred to as ‘inviolability’.
d) Usability – the record can be located, retrieved, preserved and interpreted.

To maintain these records attributes effectively and reliably over time it is necessary

to implement a digital records management system.
4.1.2 What are digital records management system attributes?
The use of the term ’system’ in this document refers to a collection of computer
hardware and/or software and includes plug-ins or other Information Technology

system components. This is in contrast to the records management understanding of

the term, which encompasses the broader aspects of people, policies, procedures

and practices that combine to form an overall systematic approach. While the focus

of this part is primarily digital records management systems software applications,

organisations will need to pay attention to the wider aspects of records management

frameworks, policies and tools to ensure records can be appropriately managed. For

example, for a digital records management system to function effectively,
fundamental records management tools, such as disposition authorities and
information security classifications, have to be in place and operate within an
established records management culture within an organisation.

Typically, digital records management systems have the following attributes that seek

to ensure that key records characteristics are maintained:
a) creating and capturing records in context
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SIST ISO 16175-2:2013
ISO 16175-2:2011(E)
ICA/ADRI Guidelines a
...

INTERNATIONAL ISO
STANDARD 16175-2
First edition
2011-04-15
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 16175-2:2011(E)
ISO 2011
---------------------- Page: 1 ----------------------
ISO 16175-2:2011(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 2011

All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any means,

electronic or mechanical, including photocopying and microfilm, without permission in writing from either ISO at the address below or

ISO's member body in the country of the requester.
ISO copyright office
Case postale 56 • CH-1211 Geneva 20
Tel. + 41 22 749 01 11
Fax + 41 22 749 09 47
E-mail copyright@iso.org
Web www.iso.org
Published in Switzerland
ii © ISO 2011 – All rights reserved
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ISO 16175-2:2011(E)
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 16175-2 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 16175 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
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ISO 16175-2:2011(E)
(Blank page)
iv © ISO 2011 – All rights reserved
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ISO 16175-2:2011(E)
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
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ISO 16175-2:2011(E)

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: 978-2-918004-01-1

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 www.ica.org

vi © ISO 2011 – All rights reserved
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ISO 16175-2:2011(E)

ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems

CONTENTS
1. SCOPE
2. RELATED STANDARDS 2
3. TERMS AND DEFINITIONS 3
4. GUIDELINES 9
4.3.1 Create 141414
4.3.2 Maintain 18
4.3.3 Disseminate 20
4.3.4 Administer 20
5. FUNCTIONAL REQUIRMENTS 22
5.1 CREATE 23
5.1.1 Capture 23
5.2 Identification 29
5.3 Classification 3030
5.4 MAINTAIN
5.4.1 Access and security 35
5.5 Hybrid records management 42
5.6 Retention and disposition 44
5.7 DISSEMINATE 51
5.7.1 Search, retrieve and render 51
5.8 ADMINISTER 56
5.8.1 Administration 56

6. APPENDICES 59

Appendix A - Sample checklist of requirements for reviewing an existing
digital records management system 59
Appendix B - Bibliography 61
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ISO 16175-2:2011(E) ISO 16175-2:2011(E)

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 non-

current (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

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ISO 16175-2:2011(E)

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.
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ISO 16175-2:2011(E)

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

email, 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.
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ISO 16175-2:2011(E)

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 15489-1:2001, Information and documentation — Records management — Part
1: General
ISO/TR 15801:2009, Document management — Information stored electronically —
Part 2: Recommendations for trustworthiness and reliability
ISO16175-1:2010, 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 23081-1:2006, Information and documentation — Records management
processes — Metadata for records — Part 1: Principles
ISO 23081-2:2009, 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, 2008.
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, 2008.
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ISO 16175-2:2011(E)

ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems

3. TERMS AND DEFINITIONS

For the purposes of this document, the terms and definitions in ISO 15489-1:2001,

ISO/TR 15801:2009, ISO 23081-1:2006 and ISO 23081-2:2009, and the following
apply.
Term Definition
Activity The second level of a business classification scheme.
(business
activity)
NOTE 1 Activities are the major tasks performed by an
organisation to accomplish each of its functions. An activity is
identified by the name it is given and its scope note. The scope
of the activity encompasses all the transactions that take place
in relation to it. Depending on the nature of the transactions
involved, an activity may be performed in relation to one
function, or it may be performed in relation to many functions.
Aggregation Any accumulation of record entities at a level above record
object.
Business Business classification scheme
classification
The conceptual, hierarchical, representation of the functions
scheme (BCS)
and activities performed by an organisation.
NOTE 1 A Business classification scheme is usually a
taxonomy derived from the analysis of business activity.
Business An umbrella term covering all the functions, processes,
activity activities and transactions of an organisation and its
employees. Includes public administration as well as
commercial business.
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ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems

Term Definition
Business An automated system that creates or manages data about an
information organisation’s activities.
system
NOTE 1 Business information systems are (often multiple or
related) applications whose primary purpose is to facilitate
transactions between an organisational unit and its customers,
for example, an e-commerce system. client-relationship
management system, purpose-built or customised database,
finance or human resources systems.
NOTE 2 Business information systems typically contain
dynamic data, that is commonly subject to constant updates,
able to be manipulated and holds ‘current’ data.
NOTE 3 Although digital records management systems are
business information they differ from most others in that their
primary function is the management of records rather than to
facilitate a business process.
Classification The systematic identification and arrangement of business
activities and/or records into categories according to logically
structured conventions, methods and procedural rules
represented in a classification system.
NOTE 1 Classification includes determining document or file
naming conventions, user permissions and security restrictions
on records.
Component A set of constituent parts that comprises a digital record.
Compound A record that comprises multiple digital objects.
record
Destruction The process of eliminating or deleting records, beyond any
possible reconstruction.
NOTE 1 Destruction of digital records is a disposition process
whereby digital records and their metadata are permanently
removed, erased or obliterated as authorised and approved by
a disposition authority schedule.
Digital file A set of related digital records held in a tightly bound
relationship within the business system and managed as a
single object.
NOTE 1 A type of aggregation of digital records, also referred
to as a ‘container’.
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ISO 16175-2:2011(E)

ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems

Term Definition
Digital object An object that can be represented by a computer, such as a file
type generated by a particular system or software application.
NOTE 1 A digital record may comprise one or more digital
objects.
Digital records An automated system whose primary function is to manage the
management creation, use, maintenance and disposition of digitally created
system records for the purposes of providing evidence of business
activities.
NOTE 1 These systems maintain appropriate contextual
information (metadata) and links between records.
Disposition A range of processes associated with implementing retention,
destruction or transfer decisions which are documented in
disposition or other instruments.
Function The highest level of a business classification scheme.
NOTE 1 Functions represent the major responsibilities that are
managed by the organisation to fulfil its goals.
Hybrid file A set of related digital files and physical files managed as a
single entity.
Hybrid record A record consisting of digital and non-digital components.
NOTE 1 The digital record and its associated records
management metadata is maintained within the digital records
management system together with the records management
metadata relating to the non-digital record.
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ISO 16175-2:2011(E)

ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems

Term Definition
Marker Marker
A metadata profile of a record physically held outside of a
digital system.
NOTE 1 A marker may denote a physical record (such as a
large bound volume or building plan) or a digital record stored
on removable media (such as a CD-ROM or video).
NOTE 2 A marker may act as a representational link to a
relevant record within the digital records management system
to alert users to the existence of a relevant record that is
required to be accessible in more than one location.
Metadata Structured or semi-structured information, which enables the
creation, management and use of records through time and
within and across domains.
Record (noun) Information in any format created, received and maintained as
evidence and information by an organisation or person, in
pursuance of legal obligations or in the transaction of business.
Record A subdivision of the records classification scheme, which may
category be further subdivided into one or more lower-level record
categories.
NOTE 1 A record category is constituted of metadata which
may be inherited from the parent and passed on to a child.
NOTE 2 The full set of record categories, at all levels, together
constitutes the records classification scheme.
Records The field of management responsible for the efficient and
management systematic control of the creation, receipt, maintenance, use
and disposition of records, including processes for capturing
and maintaining evidence of, and information about, business
activities and transactions in the form of records.
Records Data that identifies authenticates and contextualises records
management and the people, processes and systems that create, manage,
metadata maintain and use them, and the policies that govern them.
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ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems

Term Definition
Records A framework to capture, maintain and provide access to
management evidence over time, as required by the jurisdiction in which it is
system implemented and in accordance with common business
practices.
NOTE 1 Records management systems include both records
practitioners and records users; a set of authorised policies,
assigned responsibilities, delegations of authority, procedures
and practices; policy statements, procedures manuals, user
guidelines and other documents which are used to authorise
and promulgate the policies, procedures and practices; the
records themselves; specialised information and records
systems used to control the records; and software, hardware
and other equipment, and stationery.
Redaction The process of masking or deleting information in a record.
System A user role with designated responsibility for configuring,
administrator monitoring and managing the business system and its use.
Thesaurus A records classification tool comprising an alphabetical
presentation of a controlled list of terms linked together by
semantic, hierarchical, associative or equivalence relationships.
NOTE 1 In a thesaurus, the meaning of a term is specified and
relationships to other terms are shown. A thesaurus should
provide sufficient entry points to allow users to navigate from
non-preferred terms to preferred terms adopted by the
organisation.
Taxonomy The classification of entities in an ordered system that indicates
natural relationships.
Tracking Creating, capturing and maintaining information about the
movement and use of records.
Transaction 1 The smallest unit of business activity. Uses of records are
themselves transactions.
NOTE 1 The third or lowest level in a business classification
scheme.
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ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems

Term Definition
Transfer A disposition process consisting of an export of digital records
and associated metadata to another system, application
organisation or agent,
NOTE 1 Records may be transferred from one organisation to
another following administrative change, from an organisation
to archival custody, from an organisation to a service provider,
from the government to the private sector or from one
government to another.
Volume A sub-division of a digital or non-digital aggregation.
NOTE 1 Also referred to as a ‘part’.
NOTE 2 A volume is usually a file part closed off due to size or
time period constraints, for example, ‘Expense claim forms
2007–2008’.
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ISO 16175-2:2011(E)

ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems

4. GUIDELINES
4.1 Why implement a digital records management system?
4.1.1 What are record attributes?

A record is not just a collection of data, but is the consequence or product of an

event, business action or transaction, and therefore inextricably linked to business

activities. A distinguishing feature of records is that their content exists in a fixed

form, that is, a fixed representation of the business transaction. Records comprise

not only the informational content but also information about the context and
structure of the record. ISO 15489-1:2001, Information and documentation —
Records management — Part 1: General sets out the key attributes of a record and
the high level considerations and processes for managing records effectively and
should be a key reference document for implementing this part. The essential
records attributes can be summarised as;
a) Authenticity – the record can be proven to be what it purports to be, to
have been created or sent by the person that created or sent it, and to have
been created or sent at the time it is purported to have occurred.
b) Reliability – the record can be trusted as a full and accurate representation
of the transaction(s) to which they attest, and can be depended on in the
course of subsequent transactions.
c) Integrity – the record is complete and unaltered, and is fixed. This
characteristic is also referred to as ‘inviolability’.
d) Usability – the record can be located, retrieved, preserved and interpreted.

To maintain these records attributes effectively and reliably over time it is necessary

to implement a digital records management system.
4.1.2 What are digital records management system attributes?
The use of the term ’system’ in this document refers to a collection of computer
hardware and/or software and includes plug-ins or other Information Technology

system components. This is in contrast to the records management understanding of

the term, which encompasses the broader aspects of people, policies, procedures

and practices that combine to form an overall systematic approach. While the focus

of this part is primarily digital records management systems software applications,

organisations will need to pay attention to the wider aspects of records management

frameworks, policies and tools to ensure records can be appropriately managed. For

example, for a digital records management system to function effectively,
fundamental records management tools, such as disposition authorities and
information security classifications, have to be in place and operate within an
established records management culture within an organisation.

Typically, digital records management systems have the following attributes that seek

to ensure that key records characteristics are maintained:
a) creating and capturing records in context
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ISO 16175-2:2011(E)

ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems

b) managing and maintaining records controls
c) maintaining records for as long as they are required
d) implementing records disposition.
e) the management of records management metadata.
4.1.3 Risks and benefits of implementing digital records management systems
4.1.3.1 Risks of not implementing digital records management systems
The risks of not implementing a digital records management system include:
− failure to meet legislative and regulatory requirements;
− embarrassment to your chief executive, brand, organisation, the
government and/or private individuals, especially if inability to manage
information competently is highlighted in the news media;
− poor strategic planning and poor decisions based on inaccurate
information;
− business critical information not accessible for the conduct of business,
dispute resolution, legal challenge or evidential purposes;
− loss of credibility, lowered public confidence, or financial or legislative
penalties through inability to produce records or provide evidence of
business activity when required in a timely manner;
− inability to provide evidence of the organisation’s activities or undertakings
with external organisations, clients or contractors;
− inconsistent and inefficient conduct of business;
− inability to exploit organisational information and knowledge to full
potential;
− unlawful disposition of records and inability to fully exploit corporate
knowledge and data;
− duplication of effort, and poor resource and asset management;
− reduced capability of demonstrating good perform
...

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