ISO 16175-2:2011
(Main)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 and documentation - Principles and functional requirements for records in electronic office environments - Part 2: Guidelines and functional requirements for digital records management systems
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 — Partie 2: Lignes directrices et exigences fonctionnelles pour les systèmes de management des enregistrements numériques
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
Relations
Frequently Asked Questions
ISO 16175-2:2011 is a standard published by the International Organization for Standardization (ISO). Its full title is "Information and documentation - Principles and functional requirements for records in electronic office environments - Part 2: Guidelines and functional requirements for digital records management systems". This standard covers: 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.
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.
ISO 16175-2:2011 is classified under the following ICS (International Classification for Standards) categories: 01.140.20 - Information sciences. The ICS classification helps identify the subject area and facilitates finding related standards.
ISO 16175-2:2011 has the following relationships with other standards: It is inter standard links to ISO/TS 16175-2:2020. Understanding these relationships helps ensure you are using the most current and applicable version of the standard.
You can purchase ISO 16175-2:2011 directly from iTeh Standards. The document is available in PDF format and is delivered instantly after payment. Add the standard to your cart and complete the secure checkout process. iTeh Standards is an authorized distributor of ISO standards.
Standards Content (Sample)
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 2011
© 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,
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ii © ISO 2011 – All rights reserved
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
(Blank page)
iv © ISO 2011 – All rights reserved
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
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
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
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
viii © ISO 2011 – All rights reserved
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.
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.
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.
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.
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’.
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.
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.
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.
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’.
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
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 performance and any increased
efficiencies or improved service delivery; and
− organisational embarrassment and damage to reputation.
4.1.3.2 Benefits of implementing digital records management systems
The benefits of implementing digital records management systems include:
− protection and support in litigation, including the management of risks
associated with the existence or lack of evidence of organisational
activity;
− protection of the interests of the organisation and the rights of employees,
clients, and present and future stakeholders;
ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems
− improved security of business records and robust management of
commercial-in-confidence, personally sensitive or confidential information;
− the ability to deliver services in an efficient and consistent manner;
− ability to support current and future research and development activities;
− improved comprehensiveness and reliability of corporate memory;
− availability of relevant business activity records when required to support
well-informed decision-making and policy development;
− reduced risk of data loss or accidental destruction of records;
− reliable performance measurement of business outputs;
− increased public and/or client confidence in the integrity of an
organisation’s activities; and
− identification of vital records for disaster planning, so that organisations
can continue to function in the event of severe disruption.
ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems
4.2 Overview of functional requirements
4.2.1 Structure of functional requirements
This section identifies and briefly describes the functional requirements using a high-
level model that clusters the requirements to highlight their inter-relationships
(Figure 1).
Requirements for the long-term preservation of records, requirements common to all
software applications and non-records management functionality are not detailed in
this part, but are indicated in the high-level model (solid grey shading). Potential
integration points with IT architecture and other software applications are shown in
the model as system inputs.
Individual requirements in Part 5: Functional requirements are grouped according to
the clusters in the high-level model:
1. create
2. maintain
3. disseminate
4. administer.
ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems
Figure 1: Model of high-level functional requirements for digital
records management systems
NOTE 1 Solid grey shading indicates functionality not detailed in Part 5: Functional requirements.
NOTE 2 This model depicts the functional requirements that are the components of digital records
management systems. It does not depict the sequence of work processes that digital records
management systems perform.
ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems
4.3 Guidance for implementing high-level functional requirements
4.3.1 Create
4.3.1.1 Capture
Digital records management systems uniquely capture, classify and identify records
to ensure that their content, structure and context of creation are fixed in time and
space. They also provide the functionality to create a new record by reusing the
content, structure and context of records once captured. While version/document
control is beyond the scope of this part it may be useful to bundle this functionality
into a digital records management system.
4.3.1.2 Records management metadata
Records management metadata is an essential component of records management,
serving a variety of functions and purposes. In a records management context,
metadata is defined as data describing the context, content and structure of records
and their management through time. As such, metadata is structured or semi-
structured information that enables the creation, registration, classification, access,
preservation and disposition of records through time and within and across domains.
Records management metadata can be used to identify, authenticate and
contextualise records and the people, processes and systems that create, manage,
maintain and use them, and the policies that govern them. Initially, metadata defines
the record at its point of capture, fixing the record into its business context and
establishing management control over it. For the duration of a records’ or record
aggregations’ retention, new layers of metadata will be added because of new
actions or uses for the content in other business or usage contexts. This means that
metadata continues to accrue information relating to the context of the records
management and the business processes in which the records are used and to
structural changes to the record or its appearance.
Metadata can be sourced from, or re-used by, multiple systems and for multiple
purposes. Metadata applied to records during their active life may also continue to
apply when the records cease to be required for current business purposes but are
retained for ongoing research or other values. The purpose of records management
metadata is to ensure authenticity, reliability, usability and integrity over time, and to
enable the management and understanding of information objects, whether these are
physical, analogue or digital. However, metadata also needs to be managed as a
record or as the component of a record.
Records management has always involved the management of metadata. However,
the digital environment requires a different expression of these traditional
requirements and different mechanisms for identifying, capturing, attributing and
using metadata. In the digital environment, authoritative records are those
accompanied by metadata defining their critical characteristics. These characteristics
shall be explicitly documented rather than being implicit, as is common in some
paper-based processes.
ISO 23081-2:2009, Information and documentation — Managing metadata for
records — Part 2: Conceptual and implementation issues provides a generic
ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems
statement of records management metadata elements and should be used as a key
reference document for implementing the functional requirements. Organisations
may also have jurisdiction-specific elements sets to which they shall adhere.
4.3.1.3 Records aggregations
Aggregations of digital records are accumulations of related digital record entities
that, when combined, may exist at a level above that of a singular digital record
object, for example, a file. Aggregations represent relationships that exist between
related digital records and the system or environment in which they were created and
these relationships are recorded within their metadata links and/or other
associations. These aggregations are typically controlled within a classification
scheme in a digital records management system.
Aggregations of digital records may reflect relationships such as shared
characteristics or attributes, or the existence of sequential relationships between
related digital records. The nature of the relationship between the digital records of a
particular aggregation will vary depending on factors such as their purpose and
structure, and the content and format of the records themselves. Records
aggregations may be at more than one level, and may have multiple relationships
within separate aggregations.
For example, an aggregation of digital records may collectively constitute a narrative
of events (that is, a series of connected business transactions), in which the records
may have a sequential relationship. Any such sequential relationship between digital
records can be determined through the metadata elements associated with the
records, such as titles, dates, author, container number (where applicable), and other
such attributes. Where these relationships exist between records imported or
extracted from external business systems, the digital records management system
shall be capable of identifying, capturing, documenting and preserving them.
These aggregations may be formal, structured relationships (for example, digital files
containing related digital documents), or may exist as less formalised metadata
relationships recognised as establishing links between related records within an
aggregation.
The aggregations shall be fixed and maintained over time. Any change to an
aggregation shall be logged with an explanation. Aggregation for the management of
records purposes should not be confused with, or replaced by, the generation of
multiple, different aggregations in response to search requests or report queries.
ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems
Figure 2: Aggregation of records
Folder, function or series level
Key
One to one or more
A file or activity level record
One to zero or more
File or activity level may be made up of, or
comprise many related
One to one
record objects
Sub-file or volume-
level aggregation
(where applicable)
Record Object Record Object
Record Object
Record Record Record
component component component
A record may be made up of, or comprise
many related record components
4.3.1.4 Supporting import, export and interoperability
The ability to import and export records, and interoperability with other systems or
newer versions of the existing digital records management system, is a core set of
required functionality. Records may need to be exported to other organisations, other
systems or for internal or internal archival storage.
Many records may need to be retained for longer than the lifespan of the software or
system itself, and therefore there is a need to be able to export records when
transitioning to a new digital records management system. There may also be a need
to import records from business systems, particularly in collaborative business
environments.
For ease of import and export, use of open formats and industry standards will
increase levels of interoperability and reduce the cost and difficulty of any
import/export process.
ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems
This functionality shall be addressed at the planning stages as part of the business
requirements.
4.3.1.5 Identification - unique identifiers
To verify their existence within the system, every record and associated aggregation
shall have a unique identifier persistently linked to it. This allows the user to locate
records and helps them to distinguish between versions.
4.3.1.6 Classification
Within digital records management systems implementations, aggregations are often
used to enable inheritance of characteristics to records created or related at a lower
level of aggregation. Typically in digital records management systems, information is
managed as a collection of record objects, and aggregates these objects into a set of
series or folders or files. Organisations should take into account their own business
needs when determining suitable records aggregations (for example, by function,
activity or transaction) within their organisation. Within a business classification
scheme, a record’s contextual characteristics are attributed through structuring them
according to identifiable business processes.
Subject-based classification schemes will allow records relating to broad subject
areas to be grouped together, that is, the transactions and activities that occurred
under a single subject, such as a particular property or client. However, under
subject-based classification, the focus is on what the item or object is about, rather
than on the purpose or activity that the record was created to document. Therefore,
the context of the business activity can become disassociated, making disposition
actions over subject-based files more difficult as they will contain records with
differing retention periods.
Functional classification schemes are based on an analysis of the unique business
functions and activities of an organisation, and are independent of the organisation’s
administrative structure. This makes functional classification more flexible and stable
as business units and structures are likely to change over time. This system breaks
down traditional organisational information silos and enables easier retention and
disposition.
4.3.1.7 Business classification schemes
A business classification scheme is a conceptual hierarchical classification tool that
facilitates the capture, titling, retrieval, maintenance and disposition of records. It
defines the way in which records are grouped together (aggregated) and linked to the
business context in which they were created or transmitted. For example, individual
records in an organisation-wide digital records management system may be
aggregated into series with their constituent record parts and contextual metadata, or
may be subsequently aggregated into files or folders. Records are often aggregated
at three levels of granularity according to a three-tiered functional classification
scheme as follows:
ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems
Figure 3: Three-tiered functional classification scheme
Level 1 Business function
Highest level (Series), consisting of aggregations of files, may be referred to as
‘class’ or ‘category’
Level 2 Activity
Files, consisting of aggregations of individual records, may be referred to as
‘folders’ or ‘containers’. May be subdivided into volumes.
Level 3 Transaction
Items – in this document referred to as ‘records’. May be comprised of multiple
components.
NOTE 1 This is a basic model. Aggregation to more than three levels may be necessary depending on
the business processes described, or for clearer definition of complex topi
...
SLOVENSKI STANDARD
01-julij-2013
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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
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.
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 2011
© 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
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ii © ISO 2011 – All rights reserved
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
(Blank page)
iv © ISO 2011 – All rights reserved
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
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
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
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
viii © ISO 2011 – All rights reserved
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.
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.
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.
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.
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’.
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.
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.
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.
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’.
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
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 performance and any increased
efficiencies or improved service delivery; and
− organisational embarrassment and damage to reputation.
4.1.3.2 Benefits of implementing digital records management systems
The benefits of implementing digital records management systems include:
− protection and support in litigation, including the management of risks
associated with the existence or lack of evidence of organisational
activity;
− protection of the interests of the organisation and the rights of employees,
clients, and present and future stakeholders;
ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems
− improved security of business records and robust management of
commercial-in-confidence, personally sensitive or confidential information;
− the ability to deliver services in an efficient and consistent manner;
− ability to support current and future research and development activities;
− improved comprehensiveness and reliability of corporate memory;
− availability of relevant business activity records when required to support
well-informed decision-making and policy development;
− reduced risk of data loss or accidental destruction of records;
− reliable performance measurement of business outputs;
− increased public and/or client confidence in the integrity of an
organisation’s activities; and
− identification of vital records for disaster planning, so that organisations
can continue to function in the event of severe disruption.
ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems
4.2 Overview of functional requirements
4.2.1 Structure of functional requirements
This section identifies and briefly describes the functional requirements using a high-
level model that clusters the requirements to highlight their inter-relationships
(Figure 1).
Requirements for the long-term preservation of records, requirements common to all
software applications and non-records management functionality are not detailed in
this part, but are indicated in the high-level model (solid grey shading). Potential
integration points with IT architecture and other software applications are shown in
the model as system inputs.
Individual requirements in Part 5: Functional requirements are grouped according to
the clusters in the high-level model:
1. create
2. maintain
3. disseminate
4. administer.
ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems
Figure 1: Model of high-level functional requirements for digital
records management systems
NOTE 1 Solid grey shading indicates functionality not detailed in Part 5: Functional requirements.
NOTE 2 This model depicts the functional requirements that are the components of digital records
management systems. It does not depict the sequence of work processes that digital records
management systems perform.
ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems
4.3 Guidance for implementing high-level functional requirements
4.3.1 Create
4.3.1.1 Capture
Digital records management systems uniquely capture, classify and identify records
to ensure that their content, structure and context of creation are fixed in time and
space. They also provide the functionality to create a new record by reusing the
content, structure and context of records once captured. While version/document
control is beyond the scope of this part it may be useful to bundle this functionality
into a digital records management system.
4.3.1.2 Records management metadata
Records management metadata is an essential component of records management,
serving a variety of functions and purposes. In a records management context,
metadata is defined as data describing the context, content and structure of records
and their management through time. As such, metadata is structured or semi-
structured information that enables the creation, registration, classification, access,
preservation and disposition of records through time and within and across domains.
Records management metadata can be used to identify, authenticate and
contextualise records and the people, processes and systems that create, manage,
maintain and use them, and the policies that govern them. Initially, metadata defines
the record at its point of capture, fixing the record into its business context and
establishing management control over it. For the duration of a records’ or record
aggregations’ retention, new layers of metadata will be added because of new
actions or uses for the content in other business or usage contexts. This means that
metadata continues to accrue information relating to the context of the records
management and the business processes in which the records are used and to
structural changes to the record or its appearance.
Metadata can be sourced from, or re-used by, multiple systems and for multiple
purposes. Metadata applied to records during their active life may also continue to
apply when the records cease to be required for current business purposes but are
retained for ongoing research or other values. The purpose of records management
metadata is to ensure authenticity, reliability, usability and integrity over time, and to
enable the management and understanding of information objects, whether these are
physical, analogue or digital. However, metadata also needs to be managed as a
record or as the component of a record.
Records management has always involved the management of metadata. However,
the digital environment requires a different expression of these traditional
requirements and different mechanisms for identifying, capturing, attributing and
using metadata. In the digital environment, authoritative records are those
accompanied by metadata defining their critical characteristics. These characteristics
shall be explicitly documented rather than being implicit, as is common in some
paper-based processes.
ISO 23081-2:2009, Information and documentation — Managing metadata for
records — Part 2: Conceptual and implementation issues provides a generic
ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems
statement of records management metadata elements and should be used as a key
reference document for implementing the functional requirements. Organisations
may also have jurisdiction-specific elements sets to which they shall adhere.
4.3.1.3 Records aggregations
Aggregations of digital records are accumulations of related digital record entities
that, when combined, may exist at a level above that of a singular digital record
object, for example, a file. Aggregations represent relationships that exist between
related digital records and the system or environment in which they were created and
these relationships are recorded within their metadata links and/or other
associations. These aggregations are typically controlled within a classification
scheme in a digital records management system.
Aggregations of digital records may reflect relationships such as shared
characteristics or attributes, or the existence of sequential relationships between
related digital records. The nature of the relationship between the digital records of a
particular aggregation will vary depending on factors such as their purpose and
structure, and the content and format of the records themselves. Records
aggregations may be at more than one level, and may have multiple relationships
within separate aggregations.
For example, an aggregation of digital records may collectively constitute a narrative
of events (that is, a series of connected business transactions), in which the records
may have a sequential relationship. Any such sequential relationship between digital
records can be determined through the metadata elements associated with the
records, such as titles, dates, author, container number (where applicable), and other
such attributes. Where these relationships exist between records imported or
extracted from external business systems, the digital records management system
shall be capable of identifying, capturing, documenting and preserving them.
These aggregations may be formal, structured relationships (for example, digital files
containing related digital documents), or may exist as less formalised metadata
relationships recognised as establishing links between related records within an
aggregation.
The aggregations shall be fixed and maintained over time. Any change to an
aggregation shall be logged with an explanation. Aggregation for the management of
records purposes should not be confused with, or replaced by, the generation of
multiple, different aggregations in response to search requests or report queries.
ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems
Figure 2: Aggregation of records
Folder, function or series level
Key
One to one or more
A file or activity level record
One to zero or more
File or activity level may be made up of, or
comprise many related
One to one
record objects
Sub-file or volume-
level aggregation
(where applicable)
Record Object Record Object
Record Object
Record Record Record
component component component
A record may be made up of, or comprise
many related record components
4.3.1.4 Supporting import, export and interoperability
The ability to import and export records, and interoperability with other systems or
newer versions of the existing digital records management system, is a core set of
required functionality. Records may need to be exported to other organisations, other
systems or for internal or internal archival storage.
Many records may need to be retained for longer than the lifespan of the software or
system itself, and therefore there is a need to be able to export records when
transitioning to a new digital records management system. There may also be a need
to import records from business systems, particularly in collaborative business
environments.
For ease of import and export, use of open formats and industry standards will
increase levels of interoperability and reduce the cost and difficulty of any
import/export process.
ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems
This functionality shall be addressed at the planning stages as part of the business
requirements.
4.3.1.5 Identification - unique identifiers
To verify their existence within the system, every record and associated aggregation
shall have a unique identifier persistently linked to it. This allows the user to locate
records and helps them to distinguish between versions.
4.3.1.6 Classification
Within digital records management systems implementations, aggregations are often
used to enable inheritance of characteristics to records created or related at a lower
level of aggregation. Typically in digital records management systems, information is
managed as a collection of record objects, and aggregates these objects into a set of
series or folders or files. Organisations should take into account their own business
needs when determining suitable records aggregations (for example, by function,
activity or transaction) within their organisation. Within a business classification
scheme, a record’s contextual characteristics are attributed through structuring them
according to identifiable business processes.
Subject-based classification schemes will allow records relating to broad subject
areas to be grouped together, that is, the transactions and activities that occurred
under a single subject, such as a particular property or client. However, under
subject-based classification, the focus is on what the item or object is about, rather
than on the purpose or activity that the record was created to document. Therefore,
the context of the business activity can become disassociated, making disposition
actions over subject-based files more difficult as they will contain records with
differing retention periods.
Functional classification schemes are based on an analysis of the unique business
functions and activities of an organisation, and are independent of the organisation’s
administrative structure. This makes
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