ISO 14641:2018

Electronic document management - Design and operation of an information system for the preservation of electronic documents - Specifications

This document specifies a set of technical specifications and organizational policies to be implemented for the capture, storage and access of electronic documents. This ensures legibility, integrity and traceability of the documents for the duration of their preservation. This document is applicable to electronic documents resulting from: - the scanning of original paper or microform documents; - the conversion of analogue audio or video content; - the "native" creation by an information system application; - other sources that create digital content such as two- or three- dimensional maps, drawings or designs, digital audio/video and digital medical images. This document is not applicable to information systems in which users have the ability to substitute or alter documents after capture. This document is intended for the following users. a) Organizations implementing information systems in which: electronic documents created from scan captures are kept in an environment that ensures fidelity with regard to the original and long-term preservation; digitally born documents are kept in an environment that ensures the content integrity of the information and document legibility; traceability is ensured for all operations relating to the electronic documents. b) Organizations providing information technology services and software publishers seeking to develop information systems that ensure the fidelity and integrity of electronic documents. c) Organizations providing third-party document archiving services.

Archivage électronique — Conception et exploitation d'un système informatique pour la conservation intègre de documents électroniques — Spécifications

General Information

• Status: Published
• Publication Date: 06-Jun-2018
• ICS: 37.080 - Document imaging applications
• Technical Committee: ISO/TC 171/SC 1 - Quality, preservation and integrity of information
• Drafting Committee: ISO/TC 171/SC 1/WG 9 - Document management - Information stored electronically
• Current Stage: 9093 - International Standard confirmed
• Start Date: 24-May-2024
• Completion Date: 13-Dec-2025

Relations

• Consolidated By: ISO 128-3:2022 - Technical product documentation (TPD) - General principles of representation - Part 3: Views, sections and cuts
• Effective Date: 06-Jun-2022
• Revises: ISO 14641-1:2012 - Electronic archiving - Part 1: Specifications concerning the design and the operation of an information system for electronic information preservation
• Effective Date: 12-Aug-2017

Overview

ISO 14641:2018 - Electronic document management - Design and operation of an information system for the preservation of electronic documents - Specifications - defines technical and organisational requirements for capturing, storing and providing access to electronic documents so that legibility, integrity and traceability are maintained for the full preservation period. It applies to digitized paper/microform, converted audio/video, digitally born ("native") files, and other digital content (maps, drawings, medical images). The standard is intended for organisations operating archival systems, IT service providers, software vendors and third‑party archiving providers.

Key topics and requirements

ISO 14641:2018 covers a comprehensive set of specifications and operational controls. Major topics include:

• General specifications and operational procedures
  • Technical description manuals, archival system profiles and procedure documentation.
• Capture and archival ingest
  • Procedures for deposit/capture of electronically born and scanned documents, metadata capture, indexing and verification.
• Security and risk management
  • Organisational security, risk assessment, physical and hardware security, secure software practices, maintenance, change management and continuity of access.
• Integrity and auditability
  • Date/time stamping, robust audit trails, archive lifecycle logs and event logs to ensure traceability of operations.
• Storage media and media management
  • Considerations for removable media, logical WORM, rewritable media, media labelling, preservation, initialization/finalization of volumes.
• Format handling and transformation
  • Format conversion, compression considerations for images, audio and video, and verification of content fidelity.
• Access, restitution and disposal
  • Rules for providing access to digitized and digitally born documents, restitution processes and end‑of‑life disposal.
• Assessment and third‑party services
  • Internal/external assessment, audits, and contractual/service requirements for trusted third‑party archival providers including transferability, confidentiality and service continuity.

Practical applications and users

ISO 14641:2018 is practical for:

• Public and private archives implementing long‑term digital preservation systems.
• Records management teams designing secure information systems for legal or regulatory retention.
• IT vendors and software developers building preservation-aware document management and archival platforms.
• Cloud or outsourced archival service providers offering trusted third‑party preservation services.
• Libraries, museums, healthcare, media and government bodies needing reproducible evidence of document integrity and traceability.

Adopting ISO 14641 helps organisations reduce preservation risk, demonstrate accountability for digital records, and maintain searchable, verifiable archives over time.

Related standards

ISO 14641:2018 complements wider digital preservation and records management frameworks (for example the OAIS model and other ISO records management standards). Organisations should align ISO 14641 requirements with applicable legal, regulatory and sector‑specific standards.

Standards Content (Sample)

INTERNATIONAL ISO
STANDARD 14641
First edition
2018-06
Electronic document management —
Design and operation of an
information system for the
preservation of electronic documents
— Specifications
Archivage électronique — Conception et exploitation d'un
système informatique pour la conservation intègre de documents
électroniques — Spécifications
Reference number
©
ISO 2018
© ISO 2018
All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may
be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting
on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address
below or ISO’s member body in the country of the requester.
ISO copyright office
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: [phone]
Fax: [phone]
Email: [e-mail]
Website: www.iso.org
Published in Switzerland
ii © ISO 2018 – All rights reserved

Contents Page
Foreword .vi
Introduction .vii
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 2
4 General characteristics and levels of requirements . 5
4.1 Characteristics . 5
4.2 Levels of requirements. 6
5 General specifications . 8
5.1 General . 8
5.2 Technical description manual . 8
5.3 Archival system profiles . 8
5.4 Operational procedures . 9
5.4.1 General. 9
5.4.2 Scanned documents . 9
5.4.3 Digitally born documents . 9
5.5 Security .10
5.5.1 Management and organization of security .10
5.5.2 Risk assessment . .10
5.5.3 Physical security .11
5.5.4 Hardware security .11
5.5.5 Security of custom software and software products .11
5.5.6 Maintenance of the information system .12
5.5.7 System change-management and migration of media .12
5.5.8 Security backups .13
5.5.9 Continuity of access to archives .13
5.6 Date and time stamping .13
5.7 Audit trail .14
5.7.1 General.14
5.7.2 Secure preservation of the audit trail .14
5.7.3 Archive lifecycle log .15
5.7.4 Events log .15
6 Storage media considerations .16
6.1 Media type definition .16
6.2 Preservation of archival media .16
7 Systems using removable media .16
7.1 General .16
7.2 Initialization of removable storage volumes .17
7.3 Finalization of removable storage volumes .17
7.4 Labelling of physical WORM media .17
8 Systems using logical WORM media .17
9 Systems using rewritable media .17
9.1 General .17
9.2 Standard security level . .18
9.3 Strong security level .18
9.4 Advanced security level .18
10 Archival capture .19
10.1 Electronically born documents .19
10.1.1 General.19
10.1.2 Procedure for archives capture (deposit) .19
10.1.3 Marked-up electronic documents .19
10.1.4 Electronic documents using a layout format .19
10.1.5 Other electronic document formats .19
10.1.6 Print streams .19
10.1.7 Verification of electronic documents.20
10.1.8 Integrity control of electronic documents transferred from source applications 20
10.1.9 Metadata capture .20
10.1.10 Indexing and document searches .21
10.2 Paper-based or microform documents .21
10.2.1 Scanning devices for documents .21
10.2.2 Image processing features .21
10.2.3 Paper document or microform capture procedure .22
10.2.4 Audit trails .23
10.3 Analogue audio/video objects on tape media .24
10.3.1 General.24
10.3.2 Preparation of original tape media .24
10.3.3 Original audio and audiovisual object digitization .24
10.3.4 Audio and audiovisual information processing .25
10.3.5 Events log .25
10.4 Image, audio and video information compression techniques .26
10.4.1 Compression types .26
10.4.2 Paper or microform documents.27
10.4.3 Audio or audiovisual recordings objects .27
10.5 Format conversion .27
11 Archival operations .28
11.1 Scope .28
11.2 Access .28
11.2.1 General.28
11.2.2 Digitized documents .29
11.2.3 Marked-up electronic documents .29
11.2.4 Electronic documents using lay-out format .29
11.3 Restitution .29
11.4 Archives disposal .29
12 Information system assessment .30
12.1 General .30
12.1.1 Audits .30
12.1.2 Objectives .30
12.1.3 Auditor responsibilities .30
12.1.4 Personnel responsible for assessment .30
12.1.5 Verification of documentation . .31
12.1.6 Assessment operations documents .31
12.2 Internal assessment .31
12.3 External assessment .31
13 Trusted third-party archival .31
13.1 Activities of trusted third-party archive service provider .31
13.2 Service contract model.32
13.2.1 Service contract .32
13.2.2 Service contract duration .33
13.2.3 Preservation period.33
13.2.4 Quality of service .33
13.2.5 Security and data protection .33
13.2.6 Information and counsel .33
13.2.7 Transfer and continuity .34
13.2.8 Transferability . .34
13.2.9 Restitution .34
13.2.10 Confidentiality and private data .34
13.2.11 Professional insurance.35
iv © ISO 2018 – All rights reserved

13.2.12 Subcontracting .35
13.2.13 Assessment .35
14 Service providers .35
14.1 General .35
14.2 Subcontractor agreement .35
14.3 Contract with subcontractor .35
14.4 Data transfer over telecommunications networks .36
Annex A (informative) Archival policy .37
Annex B (informative) Declaration of archival practices .38
Annex C (informative) General service conditions .39
Bibliography .40
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 procedures used to develop this document and those intended for its further maintenance are
described in the ISO/IEC Directives, Part 1. In particular the different approval criteria needed for the
different types of ISO documents should be noted. This document was drafted in accordance with the
editorial rules of the ISO/IEC Directives, Part 2 (see www .iso .org/directives).
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. Details of
any patent rights identified during the development of the document will be in the Introduction and/or
on the ISO list of patent declarations received (see www .iso .org/patents).
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation on the voluntary nature of standards, the meaning of ISO specific terms and
expressions related to conformity assessment, as well as information about ISO’s adherence to the
World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see the following
URL: www .iso .org/iso/foreword .html.
This document was prepared by Technical Committee ISO/TC 171, Document management applications,
Subcommittee SC 1, Quality, preservation and integrity of information.
This first edition cancels and replaces ISO 14641-1:2012, which has been technically revised.
vi © ISO 2018 – All rights reserved

Introduction
Electronic documents are an essential part of everyday business, whether the sources are incoming
communications or output from organizations. It is important that electronic documents be stored
appropriately, either fully or in part, in secure information systems designed for operations and
archiving, in order to meet business, legal or regulatory requirements.
The objectives of secure information systems are to resolve organizational issues such as:
a) optimization of long-term electronic document preservation, archiving and integrity;
b) provision of information search facilities;
c) ensuring ease of access and use of electronic documents.
This document is intended to provide a reference framework for organizations. It describes the methods
and techniques to be used for the implementation of an electronic information system for managing
documents within an archive. In conjunction with related archival policies of organizations, it describes
criteria for system design and specifications for operational processes.
These specifications are intended to ensure that all documents to be managed by the information system
are captured, stored, retrieved and accessed in a way that guarantees that the archived document is an
authentic rendition of the original document for the duration of preservation. An authentic rendition
means that the rendered document corresponds to the source document as it was at the time of input in
the information system in respect of criteria of fidelity and integrity, and that this state is maintained
for the duration of preservation.
This document takes into account the use of three possible archiving media: physical WORM, logical
WORM and rewritable media. Archival integrity is ensured on physical and logical WORM media by the
inherent properties of WORM solutions. On rewritable media, integrity is ensured using encryption-like
techniques, in particular with checksum calculation or hash function, date and time stamp or digital
signature. In all cases, it is necessary to comply with related procedures.
Depending on the types of documents to be archived, other specialized standards can be relevant and
used to complement the recommendations in this document.
This document provides a specific and complementary definition of issues addressed in other standards
or specifications concerning the management of electronic information. Its content is intended to
address execution issues raised in several other documents. These include ISO/TR 15801, ISO 15489-1
[15]
and MoReq2 , which detail specifications for organizing and controlling the lifecycle of archived
information for purposes of evidence and operational history, and ISO 14721, which describes the
characteristics of an open system for the preservation of digital data.
Annexes A, B and C are complementary.
INTERNATIONAL STANDARD ISO 14641:2018(E)
Electronic document management — Design and operation
of an information system for the preservation of electronic
documents — Specifications
1 Scope
This document specifies a set of technical specifications and organizational policies to be implemented
for the capture, storage and access of electronic documents. This ensures legibility, integrity and
traceability of the documents for the duration of their preservation.
This document is applicable to electronic documents resulting from:
— the scanning of original paper or microform documents;
— the conversion of analogue audio or video content;
— the “native” creation by an information system application;
— other sources that create digital content such as two- or three- dimensional maps, drawings or
designs, digital audio/video and digital medical images.
This document is not applicable to information systems in which users have the ability to substitute or
alter documents after capture.
This document is intended for the following users.
a) Organizations implementing information systems in which:
1) electronic documents created from scan captures are kept in an environment that ensures
fidelity with regard to the original and long-term preservation;
2) digitally born documents are kept in an environment that ensures the content integrity of the
information and document legibility;
3) traceability is ensured for all operations relating to the electronic documents.
b) Organizations providing information technology services and software publishers seeking to
develop information systems that ensure the fidelity and integrity of electronic documents.
c) Organizations providing third-party document archiving services.
2 Normative references
The following documents are referred to in the text in such a way that some or all of their content
constitutes requirements of this document. For dated references, only the edition cited applies. For
undated references, the latest edition of the referenced document (including any amendments) applies.
ISO 2859 (all parts), Sampling procedures for inspection by attributes
ISO 8601, Data elements and interchange formats — Information interchange — Representation of dates
and times
ISO/TR 12033, Document management — Electronic imaging — Guidance for the selection of document
image compression methods
ISO 12653-1, Electronic imaging — Test target for the black-and-white scanning of office documents —
Part 1: Characteristics
ISO 12653-2, Electronic imaging — Test target for the black-and-white scanning of office documents —
Part 2: Method of use
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO 12653-1, ISO 12653-2 and the
following apply.
ISO and IEC maintain terminological databases for use in standardization at the following addresses:
— IEC Electropedia: available at http: //www .electropedia .org/
— ISO Online browsing platform: available at https: //www .iso .org/obp
3.1
access
processes of retrieving and displaying (playing) electronic documents for operational, evidential or
historical purposes
3.2
archive
set of documents produced or received, whatever their date, format or storage media, by any individual,
organization, public or private service, in the course of their activity
3.3
archival policy
legal, functional, operational, technical and security requirements of an internal or external
information system
Note 1 to entry: Annexes A and B give principles of an archival policy and of a declaration of archival practices.
3.4
archive lifecycle log
log which records audit trail (3.9) data related to the document lifecycle archiving process
3.5
archive restitution
return and transfer of archived documents to their originator, or to a duly appointed person or
organization
3.6
archival system profile
set of properties that applies to a class of archives (3.2) that share common characteristics in terms of
confidentiality, retention and disposal schedules, and access (3.1) rights (e.g. create, read, modify, delete)
3.7
ACU
attestation creation unit
hardware and/or software devices for the delivery of electronic attestations (3.23)
Note 1 to entry: Attestations include a unit identifier and the related archival service identifier.
3.8
audiovisual
communication techniques combining sound and image
2 © ISO 2018 – All rights reserved

3.9
audit trail
aggregate of the information necessary to provide a historical record of all significant events associated
with stored information and the information system
3.10
data
digital form of information which can be accessed, read and/or processed
3.11
date and time stamp
sequence of characters denoting the date and/or time at which a certain event occurred
3.12
deposit
set of documents sharing the same archival system profile (3.6)
3.13
digital archival
set of actions aiming to identify, capture, classify, preserve, retrieve, display and provide access (3.1)
to documents for informational or historical purposes, or for the duration required to meet legal
obligations
3.14
digital document
digital representation of content that is stored and managed electronically
Note 1 to entry: Association of content, logical structure and display attributes, retrievable by a device capable of
rendering a human-readable (or machine-readable) object. A document can be digitally born (creation) at source
or converted from an analogue document.
3.15
digital fingerprint
bit sequence generated from a digital document (3.14) using an algorithm that uniquely identifies the
original document
Note 1 to entry: Any digital document modification will produce a different fingerprint.
3.16
digital seal
method for ensuring the integrity (3.27) of a document including hash functions (3.26), digital signatures
(3.17) and, optionally, a date and time stamp (3.11)
3.17
digital signature
data which, when appended to a digital document (3.14), enable the user of the document to authenticate
its origin and integrity (3.27)
3.18
digitization
conversion of an analogue document (paper, microform, film, analogue audio or audiovisual (3.8) tapes)
to digital format for the purpose of preservation or processing
3.19
digitized document
result of digitization (3.18) of information initially stored on physical media (paper, microform, and
film, analogue audio or audiovisual (3.8) tapes)
3.20
document fidelity
property of an archived document which renders all the information contained in the original source
document
Note 1 to entry: This notion is applicable to any change of form, including digitization (3.18) or format
conversion (3.25).
3.21
durability
attribute of a document which remains readable during its entire lifecycle
3.22
electronic information system
system designed to receive, preserve, access (3.1) and transfer archives (3.2) in an electronic form
3.23
electronic attestation
information produced to provide evidence that an action or an electronic transaction has occurred
3.24
events log
log which records audit trail (3.9) data (3.10) related to the system operations
3.25
format conversion
operation converting a digital document (3.14) to a different electronic format
Note 1 to entry: This operation preserves the fidelity of the document.
3.26
hash function
mathematical algorithm used for turning some kinds of data (3.10) into a relatively small integer
3.27
integrity
attribute of a document whose content is complete and unaltered
3.28
legibility
attribute of an archived document which allows access (3.1) to all the information it contains
Note 1 to entry: This could be facilitated by certain metadata (3.31) associated with the document.
3.29
lossy compression
compression algorithm which loses some of the original information during compression
Note 1 to entry: The resulting decompressed object is only an approximation of the original.
3.30
media migration
act of transferring a document from one medium to another, particularly with regard to managing
media obsolescence
3.31
metadata
data (3.10) describing the context, content and structure of a document and their management over time
4 © ISO 2018 – All rights reserved

3.32
replication
process which consists of copying information between redundant resources, notably software or
hardware components, to improve reliability, fault-tolerance or accessibility
3.33
time source
internal or external component of an information system providing a reliable and objective time
reference suited to requirements
3.34
time-stamp token
data (3.10) object that binds a representation of data to a particular time (expressed in UTC), thereby
providing evidence that the data existed at that time
3.35
transferability
ability to recover an authentic digital archive (3.13) (information, data (3.10), objects and all related
metadata (3.31) from one information system) in order to transfer it to another information system by
means of a procedure specified in advance
Note 1 to entry: This issue is of particular importance when information is stored by a third-party archive
service provider.
3.36
trusted third-party archive service provider
third-party individual or organization in charge of archives (3.2) preservation
4 General characteristics and levels of requirements
4.1 Characteristics
In order that an organization might apply a recognized specifications framework for the storage, use,
archiving, retrieval and display of electronic documents, both technical and organizational measures
need to be taken to ensure document integrity and long-term preservation.
In this context, an electronic information system shall implement a pre-defined archival policy; a
description of the general principles of such a policy is described in Annex A.
It is important to recognize that information systems will capture electronic documents that are being
submitted for long-term storage and use. The term “capture” in this sense reflects the receipt and
processing of information to be managed by the information system. Where hardcopy documents need
to be stored and managed in electronic form, these documents shall be scanned and indexed prior to
their capture in the information system.
This document is applicable only to unalterable captured documents. Related document reference data
in the file system or database shall not be erasable, changeable or able to be replaced by new data.
Procedures and security requirements shall be implemented in order to:
a) control the process of archiving;
b) prevent and/or detect modifications made to documents or to the data necessary for their retrieval
and display;
c) ensure the integrity of audit trail data (including the log of the system events).
An electronic information system shall feature characteristics of:
— suitability for long-term preservation;
— integrity;
— security;
— traceability.
This document outlines:
— specifications for procedures relative to the processing, preservation, access and restitution of
scanned or digitally born information, and requirements for the security of the information system;
— procedures relative to the digitization of analogue documents;
— procedures relative to the capture of documents, their preservation, access and restitution;
— procedures relative to the potential disposal of documents;
— rules relative to applicable procedures concerning operators;
— description of the resulting attestations of these operations;
— specifications concerning materials, equipment and software implementations;
— conditions of system audits and related procedures;
— characteristics applicable to the use of trusted third parties;
— characteristics applicable to the use of subcontractors.
The technical description manual, attestations produced and logs detailing the lifecycle of archives or
system events shall be kept in the same conditions as the archives themselves.
4.2 Levels of requirements
Different organizations might have distinct and individual approaches to risks and requirements for
information systems used for the preservation of electronic documents.
Table 1 outlines degrees of levels of these requirements. It summarizes general characteristics and
practical methods for implementation at the level of requirement preferred by the organization, with
regard to the nature of documents to be preserved and potential risks incurred.
Additional requirements may be selected based on specific needs and acceptable levels of risk.
The conformity of an information system with this document shall be evaluated in relation to the level
of requirements selected by the organization.
6 © ISO 2018 – All rights reserved

Table 1 — Requirements of information systems
Characteristic Minimal requirements Additional requirements
Use of standardized or industry-standard Format conversion
and publicly available file formats
Document scanning
Metadata description of document Standard metadata format
Migration of media
Suitability for
long-term
Format conversion Control and conversion of formats at time of
preservation
capture
Format obsolescence alert
Planned and traceable format conversion
System change management
Guaranteed by storage on media:
—  physical WORM
—  logical WORM on fixed media with:
—  events log
Strong security level
—  techniques and procedures for
detection and prevention of
Advanced security level
substitutions of input
—  logical WORM on removable media
Integrity (see rewritable/erasable media)
—  rewritable/erasable media (normal
security level)
Capture process of archives
Alerts prior to destruction of archives
Description of the process of destruction Definition of change procedures for
of archives preservation periods
Post-destruction preservation of metadata
and audit trail
Identification of persons and processes Strong authentication
accessing archives
Backup copies of archives Use of different types and forms of media
Protection from risks of flood, fire, etc.
Security
Controlled archiving operations Strong authentication
(identification and traceability)
Retrieval in formats other than input formats
Continuity of access to archives
Date and time stamp Date and time stamp from trusted third party
Maintenance of a technical file (archival Adjustment to the organizational processes of
policy, general conditions of services, oper- the customer and related attestations
ations procedures, lifecycle of document)
Maintenance of an audit trail of archives Digital signature and date and time stamp of
Traceability
lifecycle and events log attestations of operations and events, in units
or batches
Definition of the granularity of the batches of
events to which a digital signature applies
Frequency of archiving of audit trails and logs
5 General specifications
5.1 General
The design and operation of the information system shall allow implementation of procedures
guaranteeing the requirements selected from 4.2.
5.2 Technical description manual
A technical description manual of the information system shall be created and retained. It shall contain
at least:
a) a list of hardware components of the information system with all serial numbers affixed by
manufacturers, the key features of these components, date(s) of production, conformity to related
safety standards;
b) for a network system, its typology and topography, as well as a description of the connections and
security equipment;
c) a data architecture model of information objects and their relationships, with regard to their use in
support of the general objectives of the information system;
d) a list of software products and related documentation, identification of installed versions and dates
of installation of these versions;
e) a list of customized software applications with their design/architecture file, their source code or
proof of their deposit in custody;
f) a description of the interactions between the diverse components of the information system;
g) a description of the physical environment (temperatures, minimum and maximum humidity, etc.)
in relation to specifications provided by the equipment manufacturers for proper functionality and
...

ISO TC 171/SC 1
Date: 2018-05 Deleted: 03
ISO TC 171/SC 1
Deleted: ANSI
Secretariat: BSI
Electronic document management — Design and operation of an information system for
the preservation of electronic documents — Specifications
Archivage électronique — La conception et à l’exploitation d’un système informatique
pour la conservation intègre de documents électroniques — Spécifications

Contents Page
Foreword . 7
Introduction . 8
1  Scope . 1
2  Normative references . 1
3  Terms and definitions . 2
4  General characteristics and levels of requirements . 5
4.1  Characteristics . 5
4.2  Levels of requirements . 6
5  General specifications . 8
5.1  General . 8
5.2  Technical description manual. 8
5.3  Archival system profiles . 8
5.4  Operational procedures . 9
5.4.1  General . 9
5.4.2  Scanned documents . 9
5.4.3  Digitally born documents . 10
5.5  Security . 10
5.5.1  Management and organization of security . 10
5.5.2  Risk assessment . 10
5.5.3  Physical security . 11
5.5.4  Hardware security . 11
5.5.5  Security of custom software and software products . 11
5.5.6  Maintenance of the information system . 12
5.5.7  System change-management and migration of media . 12
5.5.8  Security backups . 13
5.5.9  Continuity of access to archives . 13
5.6  Date and time stamping . 13
5.7  Audit trail . 14
5.7.1  General . 14
5.7.2  Secure preservation of the audit trail . 14
5.7.3  Archive lifecycle log . 14
5.7.4  Events log . 15
6  Storage media considerations. 16
6.1  Media type definition . 16
6.2  Preservation of archival media . 16
7  Systems using removable media . 16
7.1  General . 16
7.2  Initialization of removable storage volumes . 17
7.3  Finalization of removable storage volumes . 17
7.4  Labelling of physical WORM media . 17
8  Systems using logical WORM media . 17
9  Systems using rewritable media . 17
9.1  General . 17
9.2  Standard security level . 18
9.3  Strong security level . 18
9.4  Advanced security level . 18
10  Archival capture . 18
10.1  Electronically born documents . 18

10.1.1  General . 18
10.1.2  Procedure for archives capture (deposit) . 19
10.1.3  Marked-up electronic documents . 19
10.1.4  Electronic documents using a layout format . 19
10.1.5  Other electronic document formats . 19
10.1.6  Print streams . 19
10.1.7  Verification of electronic documents . 19
10.1.8  Integrity control of electronic documents transferred from source applications . 20
10.1.9  Metadata capture . 20
10.1.10  Indexing and document searches . 20
10.2  Paper-based or microform documents . 21
10.2.1  Scanning devices for documents . 21
10.2.2  Image processing features . 21
10.2.3  Paper document or microform capture procedure . 22
10.2.4  Audit trails . 22
10.3  Analogue audio/video objects on tape media . 24
10.3.1  General . 24
10.3.2  Preparation of original tape media . 24
10.3.3  Original audio and audiovisual object digitization . 24
10.3.4  Audio and audiovisual information processing . 24
10.3.5  Events log . 25
10.4  Image, audio and video information compression techniques . 26
10.4.1  Compression types. 26
10.4.2  Paper or microform documents . 26
10.4.3  Audio or audiovisual recordings objects . 26
10.5  Format conversion . 27
11  Archival operations . 28
11.1  Scope . 28
11.2  Access . 28
11.2.1  General . 28
11.2.2  Digitized documents . 28
11.2.3  Marked-up electronic documents . 28
11.2.4  Electronic documents using lay-out format . 28
11.3  Restitution . 28
11.4  Archives disposal . 29
12  Information system assessment . 29
12.1  General . 29
12.1.1  Audits . 29
12.1.2  Objectives . 29
12.1.3  Auditor responsibilities . 29
12.1.4  Personnel responsible for assessment . 30
12.1.5  Verification of documentation . 30
12.1.6  Assessment operations documents . 30
12.2  Internal assessment . 30
12.3  External assessment . 30
13  Trusted third-party archival . 31
13.1  Activities of trusted third-party archive service provider . 31
13.2  Service contract model . 32
13.2.1  Service contract . 32
13.2.2  Service contract duration . 32
13.2.3  Preservation period . 32
13.2.4  Quality of service . 32
13.2.5  Security and data protection . 32
13.2.6  Information and counsel . 33
13.2.7  Transfer and continuity . 33
13.2.8  Transferability . 33
13.2.9  Restitution . 34
13.2.10  Confidentiality and private data . 34

13.2.11  Professional insurance . 34
13.2.12  Subcontracting . 34
13.2.13  Assessment . 34
14  Service providers . 34
14.1  General . 34
14.2  Subcontractor agreement . 34
14.3  Contract with subcontractor . 35
14.4  Data transfer over telecommunications networks . 35
Annex A (informative) Archival policy . 36
Annex B (informative) Declaration of archival practices . 37
Annex C (informative) General service conditions . 38
Bibliography . 39

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 procedures used to develop this document and those intended for its further maintenance are
described in the ISO/IEC Directives, Part 1. In particular the different approval criteria needed for the
different types of ISO documents should be noted. This document was drafted in accordance with the
editorial rules of the ISO/IEC Directives, Part 2 (see www.iso.org/directives).
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. Details of
any patent rights identified during the development of the document will be in the Introduction and/or
on the ISO list of patent declarations received (see www.iso.org/patents).
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation on the voluntary nature of standards, the meaning of ISO specific terms and
expressions related to conformity assessment, as well as information about ISO’s adherence to the
World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see the following
URL: www.iso.org/iso/foreword.html.
This document was prepared by Technical Committee ISO/TC 171, Document management applications,
Subcommittee SC 1, Quality, preservation and integrity of information.
This first edition cancels and replaces ISO 14641‐1:2012, which has been technically revised.

Introduction
Electronic documents are an essential part of everyday business, whether the sources are incoming
communications or output from organizations. It is important that electronic documents be stored
appropriately, either fully or in part, in secure information systems designed for operations and
archiving, in order to meet business, legal or regulatory requirements.
The objectives of secure information systems are to resolve organizational issues such as:
a) optimization of long‐term electronic document preservation, archiving and integrity;
b) provision of information search facilities;
c) ensuring ease of access and use of electronic documents.
This document is intended to provide a reference framework for organizations. It describes the
methods and techniques to be used for the implementation of an electronic information system for
managing documents within an archive. In conjunction with related archival policies of organizations, it
describes criteria for system design and specifications for operational processes.
These specifications are intended to ensure that all documents to be managed by the information
system are captured, stored, retrieved and accessed in a way that guarantees that the archived
document is an authentic rendition of the original document for the duration of preservation. An
authentic rendition means that the rendered document corresponds to the source document as it was at
the time of input in the information system in respect of criteria of fidelity and integrity, and that this
state is maintained for the duration of preservation.
This document takes into account the use of three possible archiving media: physical WORM, logical
WORM and rewritable media. Archival integrity is ensured on physical and logical WORM media by the
inherent properties of WORM solutions. On rewritable media, integrity is ensured using encryption‐like
techniques, in particular with checksum calculation or hash function, date and time stamp or digital
signature. In all cases, it is necessary to comply with related procedures.
Depending on the types of documents to be archived, other specialized standards can be relevant and
used to complement the recommendations in this document.
This document provides a specific and complementary definition of issues addressed in other standards
or specifications concerning the management of electronic information. Its content is intended to
address execution issues raised in several other documents. These include ISO/TR 15801, ISO 15489‐1
[15]
and MoReq2 , which detail specifications for organizing and controlling the lifecycle of archived
information for purposes of evidence and operational history, and ISO 14721, which describes the
characteristics of an open system for the preservation of digital data.
Annexes A, B and C are complementary.

Electronic document management — Design and operation of an
information system for the preservation of electronic documents
— Specifications
1 Scope
This document specifies a set of technical specifications and organizational policies to be implemented
for the capture, storage and access of electronic documents. This ensures legibility, integrity and
traceability of the documents for the duration of their preservation.
This document is applicable to electronic documents resulting from:
— the scanning of original paper or microform documents;
— the conversion of analogue audio or video content;
— the “native” creation by an information system application;
— other sources that create digital content such as two‐ or three‐ dimensional maps, drawings or
designs, digital audio/video and digital medical images.
This document is not applicable to information systems in which users have the ability to substitute or
alter documents after capture.
This document is intended for the following users.
a) Organizations implementing information systems in which:
1) electronic documents created from scan captures are kept in an environment that ensures
fidelity with regard to the original and long‐term preservation;
2) digitally born documents are kept in an environment that ensures the content integrity of the
information and document legibility;
3) traceability is ensured for all operations relating to the electronic documents.
b) Organizations providing information technology services and software publishers seeking to
develop information systems that ensure the fidelity and integrity of electronic documents.
c) Organizations providing third‐party document archiving services.
2 Normative references
The following documents are referred to in the text in such a way that some or all of their content
constitutes requirements of this document. For dated references, only the edition cited applies. For
undated references, the latest edition of the referenced document (including any amendments) applies.
ISO 2859 (all parts), Sampling procedures for inspection by attributes
ISO 8601, Data elements and interchange formats — Information interchange — Representation of dates
and times
ISO/TR 12033, Document management — Electronic imaging — Guidance for the selection of document
image compression methods
ISO 12653‐1, Electronic imaging — Test target for the black-and-white scanning of office documents —
Part 1: Characteristics
ISO 12653‐2, Electronic imaging — Test target for the black-and-white scanning of office documents —
Part 2: Method of use
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO 12653‐1, ISO 12653‐2 and the
following apply.
ISO and IEC maintain terminological databases for use in standardization at the following addresses:
— IEC Electropedia: available at http://www.electropedia.org/
— ISO Online browsing platform: available at https://www.iso.org/obp
3.1
access
processes of retrieving and displaying (playing) electronic documents for operational, evidential or
historical purposes
3.2
archive
set of documents produced or received, whatever their date, format or storage media, by any individual,
organization, public or private service, in the course of their activity
3.3
archival policy
legal, functional, operational, technical and security requirements of an internal or external information
system
Note 1 to entry: Annexes A and B give principles of an archival policy and of a declaration of archival practices.
3.4
archive lifecycle log
log which records audit trail (3.9) data related to the document lifecycle archiving process
3.5
archive restitution
return and transfer of archived documents to their originator, or to a duly appointed person or
organization
3.6
archival system profile
set of properties that applies to a class of archives (3.2) that share common characteristics in terms of
confidentiality, retention and disposal schedules, and access (3.1) rights (e.g. create, read, modify,
delete)
3.7
ACU
attestation creation unit
hardware and/or software devices for the delivery of electronic attestations (3.23)
Note 1 to entry: Attestations include a unit identifier and the related archival service identifier.
3.8
audiovisual
communication techniques combining sound and image
3.9
audit trail
aggregate of the information necessary to provide a historical record of all significant events associated
with stored information and the information system
3.10
data
digital form of information which can be accessed, read and/or processed
3.11
date and time stamp
sequence of characters denoting the date and/or time at which a certain event occurred
3.12
deposit
set of documents sharing the same archival system profile (3.6)
3.13
digital archival
set of actions aiming to identify, capture, classify, preserve, retrieve, display and provide access (3.1) to
documents for informational or historical purposes, or for the duration required to meet legal
obligations
3.14
digital document
digital representation of content that is stored and managed electronically
Note 1 to entry: Association of content, logical structure and display attributes, retrievable by a device capable of
rendering a human‐readable (or machine‐readable) object. A document can be digitally born (creation) at source
or converted from an analogue document.
3.15
digital fingerprint
bit sequence generated from a digital document (3.14) using an algorithm that uniquely identifies the
original document
Note 1 to entry: Any digital document modification will produce a different fingerprint.
3.16
digital seal
method for ensuring the integrity (3.27) of a document including hash functions (3.26), digital
signatures (3.17) and, optionally, a date and time stamp (3.11)
3.17
digital signature
data which, when appended to a digital document (3.14), enable the user of the document to
authenticate its origin and integrity (3.27)
3.18
digitization
conversion of an analogue document (paper, microform, film, analogue audio or audiovisual (3.8) tapes)
to digital format for the purpose of preservation or processing
3.19
digitized document
result of digitization (3.18) of information initially stored on physical media (paper, microform, and
film, analogue audio or audiovisual (3.8) tapes)
3.20
document fidelity
property of an archived document which renders all the information contained in the original source
document
Note 1 to entry: This notion is applicable to any change of form, including digitization (3.18) or format conversion
(3.25).
3.21
durability
attribute of a document which remains readable during its entire lifecycle
3.22
electronic information system
system designed to receive, preserve, access (3.1) and transfer archives (3.2) in an electronic form
3.23
electronic attestation
information produced to provide evidence that an action or an electronic transaction has occurred
3.24
events log
log which records audit trail (3.9) data (3.10) related to the system operations
3.25
format conversion
operation converting a digital document (3.14) to a different electronic format
Note 1 to entry: This operation preserves the fidelity of the document.
3.26
hash function
mathematical algorithm used for turning some kinds of data (3.10) into a relatively small integer
3.27
integrity
attribute of a document whose content is complete and unaltered Deleted: completed
3.28
legibility
attribute of an archived document which allows access (3.1) to all the information it contains
Note 1 to entry: This could be facilitated by certain metadata (3.31) associated with the document.
3.29
lossy compression
compression algorithm which loses some of the original information during compression
Note 1 to entry: The resulting decompressed object is only an approximation of the original.
3.30
media migration
act of transferring a document from one medium to another, particularly with regard to managing
media obsolescence
3.31
metadata
data (3.10) describing the context, content and structure of a document and their management over
time
3.32
replication
process which consists of copying information between redundant resources, notably software or
hardware components, to improve reliability, fault‐tolerance or accessibility
3.33
time source
internal or external component of an information system providing a reliable and objective time
reference suited to requirements
3.34
time-stamp token
data (3.10) object that binds a representation of data to a particular time (expressed in UTC), thereby
providing evidence that the data existed at that time
3.35
transferability
ability to recover an authentic digital archive (3.13) (information, data (3.10), objects and all related
metadata (3.31) from one information system) in order to transfer it to another information system by
means of a procedure specified in advance
Note 1 to entry: This issue is of particular importance when information is stored by a third‐party archive service
provider.
3.36
trusted third-party archive service provider
third‐party individual or organization in charge of archives (3.2) preservation
4 General characteristics and levels of requirements
4.1 Characteristics
In order that an organization might apply a recognized specifications framework for the storage, use,
archiving, retrieval and display of electronic documents, both technical and organizational measures
need to be taken to ensure document integrity and long‐term preservation.
In this context, an electronic information system shall implement a pre‐defined archival policy; a
description of the general principles of such a policy is described in Annex A.
It is important to recognize that information systems will capture electronic documents that are being
submitted for long‐term storage and use. The term “capture” in this sense reflects the receipt and
processing of information to be managed by the information system. Where hardcopy documents need
to be stored and managed in electronic form, these documents shall be scanned and indexed prior to
their capture in the information system.
This document is applicable only to unalterable captured documents. Related document reference data
in the file system or database shall not be erasable, changeable or able to be replaced by new data.
Procedures and security requirements shall be implemented in order to:
a) control the process of archiving;
b) prevent and/or detect modifications made to documents or to the data necessary for their retrieval
and display;
c) ensure the integrity of audit trail data (including the log of the system events).
An electronic information system shall feature characteristics of:
— suitability for long‐term preservation;
— integrity;
— security;
— traceability.
This document outlines:
— specifications for procedures relative to the processing, preservation, access and restitution of
scanned or digitally born information, and requirements for the security of the information system;
— procedures relative to the digitization of analogue documents;
— procedures relative to the capture of documents, their preservation, access and restitution;
— procedures relative to the potential disposal of documents;
— rules relative to applicable procedures concerning operators;
— description of the resulting attestations of these operations;
— specifications concerning materials, equipment and software implementations;
— conditions of system audits and related procedures;
— characteristics applicable to the use of trusted third parties;
— characteristics applicable to the use of subcontractors.
The technical description manual, attestations produced and logs detailing the lifecycle of archives or
system events shall be kept in the same conditions as the archives themselves.
4.2 Levels of requirements
Different organizations might have distinct and individual approaches to risks and requirements for
information systems used for the preservation of electronic documents.
Table 1 outlines degrees of levels of these requirements. It summarizes general characteristics and
practical methods for implementation at the level of requirement preferred by the organization, with
regard to the nature of documents to be preserved and potential risks incurred.
Additional requirements may be selected based on specific needs and acceptable levels of risk.
The conformity of an information system with this document shall be evaluated in relation to the level
of requirements selected by the organization.

Table 1 — Requirements of information systems
Characteristic Minimal requirements Additional requirements
Use of standardized or industry‐standard Format conversion
and publicly available file formats
Document scanning
Metadata description of document Standard metadata format
Migration of media
Suitability for
Format conversion Control and conversion of formats at time of
long‐term
capture
preservation
Format obsolescence alert
Planned and traceable format conversion
System change management
Guaranteed by storage on media:
— physical WORM
— logical WORM on fixed media with:
— events log
Strong security level
— techniques and procedures for
Advanced security level
detection and prevention of
substitutions of input
— logical WORM on removable media
Integrity
(see rewritable/erasable media)
— rewritable/erasable media (normal
security level)
Capture process of archives
Alerts prior to destruction of archives
Description of the process of destruction of Definition of change procedures for
archives preservation periods
Post‐destruction preservation of metadata and
audit trail
Identification of persons and processes Strong authentication
accessing archives
Backup copies of archives Use of different types and forms of media
Protection from risks of flood, fire, etc.
Security
Controlled archiving operations Strong authentication
(identification and traceability)
Retrieval in formats other than input formats
Continuity of access to archives
Date and time stamp Date and time stamp from trusted third party
Maintenance of a technical file (archival Adjustment to the organizational processes of
Traceability
policy, general conditions of services, the customer and related attestations
operations procedures, lifecycle of
document)
Maintenance of an audit trail of archives Digital signature and date and time stamp of
lifecycle and events log attestations of operations and events, in units
or batches
Definition of the granularity of the batches of
events to which a digital signature applies
Frequency of archiving of audit trails and logs
5 General specifications
5.1 General
The design and operation of the information system shall allow implementation of procedures
guaranteeing the requirements selected from 4.2.
5.2 Technical description manual
A technical description manual of the information system shall be created and retained. It shall contain
at least:
a) a list of hardware components of the information system with all serial numbers affixed by
manufacturers, the key features of these components, date(s) of production, conformity to related
safety standards;
b) for a network system, its typology and topography, as well as a description of the connections and
security equipment;
c) a data architecture model of information objects and their relationships, with regard to their use in
support of the general objectives of the information system;
d) a list of software products and related documentation, identification of installed versions and dates
of installation of these versions;
e) a list of customized software applications with their design/architecture file, their source code or
proof of their deposit in custody;
f) a description of the interactions between the diverse components of the information system;
g) a description of the physical environment (temperatures, minimum and maximum humidity, etc.)
in relation to specifications provided by the equipment manufacturers for proper functionality and
preservation of information media;
h) a description of the technical and physical environment for the satisfactory functioning of the
information systems (e.g. type of power supply, generator, system of fire detection, redundancy
implementation);
i) a description of the physical protection measures for safety and security (guarding, remote
detection, safes, locks, electromagnetic protection, etc.);
j) a description of the maintenance requirements for the information system.
5.3 Archival system profiles
An archival system profile is a set of rules applicable to documents sharing the same criteria of
confidentiality, duration of preservation, destruction and access rights for capture, retrieval or disposal.
These rules also specify the metadata which need to be associated with documents managed in the
profile.
An archival system profile shall specify in particular the rights of persons and/or applications
authorized to:
a) modify an archival system profile;

b) make a deposit;
c) access (view or play) a deposit;
d) prolong or decrease the duration of a deposit;
e) delete or dispose of a deposit, either prematurely or as planned.
Any creation, modification or deletion of an archival system profile shall be archived in an archives
lifecycle log held under the responsibility of the archiving service of the organization, or by a trusted
third party.
An archival system profile can be defined for individual electronic documents. However, for bulk
archiving, this could be extremely time‐consuming. Consequently, in this case it is preferable to use a
set of predefined rules grouped together in a more general archival system profile.
5.4 Operational procedures
5.4.1 General
The organization shall set up procedures for the capture, storage, access and restitution of documents.
These procedures shall be detailed in the technical description manual and shall include at least the
following information:
— techniques and procedures used for search and printing;
— techniques and procedures for production of all types of attestation;
— techniques and procedures for storage and preservation of media and of storage infrastructures;
— file formats used;
— techniques and procedures for duplication and replication of documents and backups;
— techniques and procedures used for digital encryption and data integrity.
5.4.2 Scanned documents
In addition to the procedures defined in 5.4.1, where document scanning is undertaken, the following
procedures shall be included in the technical description manual:
— techniques and procedures used for digitization (a description of the document to be scanned and
of any particular distinctive features, preliminary operations needed, such as selection of output
formats, imaging resolution, compression technique, if used, reconditioning of the document after
digitization, if applicable, etc.);
— techniques and procedures used for indexing (location of the document, identification references
on the document, on equipment or on accompanying vouchers, identification references of
electronic messages);
— techniques and procedures for related metadata and any related enrichment of related metadata;
— techniques and procedures used for quality control (use of test targets for digitization, page count
of scanned batches, electronic messages filter control, code controls, if any, with regard to reference
tables, etc.);
— techniques and procedures used for the destruction of the source document, if applicable.

5.4.3 Digitally born documents
In addition to the procedures defined in 5.4.1, where digitally born documents are involved, the
following pr
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