ISO 13008:2022
(Main)Information and documentation — Digital records conversion and migration process
Information and documentation — Digital records conversion and migration process
This document specifies the planning issues, requirements and procedures for the conversion and/or migration of digital records in order to preserve the authenticity, reliability, integrity and usability of such records as evidence of business functions, processes, activities and transactions. These procedures do not comprehensively cover: — backup systems; — preservation of digital records; — functionality of trusted digital repositories; — the process of converting analogue formats to digital formats and vice versa.
Information et documentation — Processus de conversion et migration des documents d'activité numériques
Le présent document spécifie les questions de planification, les exigences et procédures de conversion et/ou de migration des documents d'activité numériques afin de préserver leur authenticité, leur fiabilité, leur intégrité et leur utilisabilité de manière à ce qu'ils puissent servir de preuve de fonctions métier, de processus, d'activités et de transactions. Ces procédures ne couvrent pas de manière exhaustive: — les systèmes de secours; — la conservation des documents d'activité numériques; — la fonctionnalité des dépôts numériques de confiance; — le processus de conversion des formats analogiques en formats numériques et vice versa.
Informatika in dokumentacija - Proces konverzije in migracije digitalnih zapisov
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INTERNATIONAL ISO
STANDARD 13008
Second edition
2022-10
Information and documentation —
Digital records conversion and
migration process
Information et documentation — Processus de conversion et
migration des documents d'activité numériques
Reference number
ISO 13008:2022(E)
© ISO 2022
---------------------- Page: 1 ----------------------
ISO 13008:2022(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 2022
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: +41 22 749 01 11
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
ii
© ISO 2022 – All rights reserved
---------------------- Page: 2 ----------------------
ISO 13008:2022(E)
Contents Page
Foreword .v
Introduction . vi
1 Scope . 1
2 Normative references . 1
3 Terms and definition . 1
4 Organizational and business framework . 3
4.1 General . 3
4.2 Conversion and migration drivers . 4
4.2.1 General . 4
4.2.2 Conversion drivers . 4
4.2.3 Migration drivers . 4
4.3 Planning for the conversion and migration process . 5
4.3.1 General . 5
4.3.2 Risk management . 5
4.3.3 When to convert or migrate . 5
4.3.4 Conversion and migration considerations . 6
4.4 Establishing a conversion and migration program . 6
4.4.1 General . 6
4.4.2 Development of procedures documentation . 7
5 Conversion and migration requirements . 8
5.1 General . 8
5.2 Conversion and migration preparatory activities . 8
5.3 Conversion/migration process metadata . 9
5.3.1 General . 9
5.3.2 Conversion and migration process metadata implementation issues . 10
6 Conversion and migration technology planning .10
6.1 General . 10
6.2 Business requirements . 11
6.3 General administrative planning . 11
6.4 Technology planning requirements .12
6.4.1 General .12
6.4.2 Challenges posed by records created by new and emerging technologies .13
6.4.3 New and emerging technologies as enablers of conversion and migration .13
6.5 External conversion and migration services . 13
7 Conversion and migration procedures .14
7.1 General . 14
7.2 Procedures . 14
7.2.1 General . 14
7.2.2 Guidance on selecting appropriate procedures . 15
7.2.3 Maintaining the records' characteristics . 15
7.3 Conversion/migration project planning . 17
7.3.1 General . 17
7.3.2 Step 1: Understand the source records and their organizational
environment . 17
7.3.3 Step 2: Choose the desired state of the target records . 18
7.3.4 Step 3: Choose/develop the conversion or migration method and activities . 18
7.3.5 Step 4: Choose/develop a method of testing the conversion/migration
method and activities . 19
7.3.6 Step 5: Choose/develop a method of validating the conversion/migration
and activities . . . . 19
7.3.7 Step 6: Decide on disposal of the source records . 19
7.3.8 Step 7: Identify the required resources . 19
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ISO 13008:2022(E)
7.3.9 Step 8: Document the conversion/migration process .20
7.3.10 Step 9: Document and obtain approval for the conversion/migration plan .20
7.4 Testing . 20
7.4.1 General .20
7.4.2 Step 1: Plan the test . . 21
7.4.3 Step 2: Configure the test environment . 21
7.4.4 Step 3: Conduct the test . 21
7.4.5 Step 4: Assess test results . 21
7.4.6 Step 5: Report results . 22
7.5 Conversion/migration . 22
7.5.1 General .22
7.5.2 Step 1: Prepare for the conversion/migration .22
7.5.3 Step 2: Define the records for conversion/migration .22
7.5.4 Step 3: Configure the conversion/migration environment .23
7.5.5 Step 4: Conduct conversion/migration . 24
7.5.6 Step 5: Check and correct errors . 24
7.6 Validation . 24
7.6.1 General . 24
7.6.2 Step 1: Assign responsibility . 24
7.6.3 Step 2: Determine the validation activities . 24
7.6.4 Step 3: Establish the system in the validation environment .25
7.6.5 Step 4: Conduct validation . 25
7.6.6 Step 5: Analyse results .25
7.6.7 Step 6: Report results of the validation . 25
7.6.8 Step 7: Update descriptive information about the records .26
7.6.9 Step 8: Manage the originating version . 26
7.6.10 Step 9: Operationalize the new version . 26
7.6.11 Step 10: Authorization . .26
8 Monitoring .26
Bibliography .28
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ISO 13008:2022(E)
Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards
bodies (ISO member bodies). The work of preparing International Standards is normally carried out
through ISO technical committees. Each member body interested in a subject for which a technical
committee has been established has the right to be represented on that committee. International
organizations, governmental and non-governmental, in liaison with ISO, also take part in the work.
ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of
electrotechnical standardization.
The 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 of 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
www.iso.org/iso/foreword.html.
This document was prepared by Technical Committee ISO/TC 46, Information and documentation,
Subcommittee SC 11, Archives/records management.
This second edition cancels and replaces the first edition (ISO 13008:2012), which has been technically
revised.
The main changes are as follows:
— the terms and definitions have been updated;
— additional drivers for conversion/migration have been added;
— conversion and migration requirements have been clarified;
— the Bibliography has been updated.
Any feedback or questions on this document should be directed to the user’s national standards body. A
complete listing of these bodies can be found at www.iso.org/members.html.
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ISO 13008:2022(E)
Introduction
This document provides guidance for the conversion of records from one format to another and the
migration of records from one hardware or software configuration to another. It contains applicable
records management requirements, the organizational and business framework for conducting the
conversion and migration process, technology planning issues, and monitoring/controls for the process.
It also identifies the steps, components and particular methodologies for each of these processes,
covering such topics as workflow, testing, version control and validation.
Due to the rapid pace of technological change, and digital preservation requirements, many records in
digital form will, at some point, need to be converted from one format to another, or migrated from one
system to another to ensure their continued accessibility and processability.
This is not to suggest that conversion and migration are the only approaches to preserving digital
records. Other methods, such as emulation, do exist or are under development. Conversion and migration
are, however, two of the more prevalent methods of digital preservation. While this document does
not address digital preservation per se, the conversion and migration processes can have an impact on
a digital preservation strategy. How an organization chooses to set up the conversion and migration
processes (which format to employ, the level of control needed and so on) largely influences its view of
the record. There is no single, one-size-fits-all preservation method. However, institutions recognize
the benefit of standardized procedures; many test beds and task forces have been established to explore
and research conversion, migration, emulation and refreshment, among other preservation procedures,
to determine what works best.
Conversion and migration represent separate approaches to preserving digital records. It is important
to implement them in a managed way to prevent any degradation or loss in the authenticity, reliability,
integrity and usability of the records, thus ensuring an “authoritative record” as described in
ISO 15489-1:2016, 5.2.2. This document outlines the program components, planning issues, records
management requirements and procedures for performing the conversion and migration of digital
records so as to preserve their authenticity, reliability, integrity and usability so that they continue to
act as evidence of business transactions. In cases where conversion and migration are carried out at the
same time, all requirements and guidance in this document apply.
From the outset, note that it is not necessary to adopt all of the procedures recommended in this
document to ensure that records management requirements are met. The decision regarding which
procedures to adopt depends on such factors as the type of conversion or migration to be performed and
the level of risk the organization is willing to accept. In addition, organizations would be well advised
to incorporate future planning for further conversion and/or migration of records among requirements
for electronic document and records management systems (EDRMS)”.
Before starting a conversion or migration project, individuals designated as “key” to the process need to
be aware of records management requirements. The term “records management criteria/requirements”
in records and information management means an adherence to a set of principles that relate to record
integrity, authenticity, reliability and usability and, where appropriate, compliance with relevant legal
and regulatory requirements. Adherence to these principles ensures that record content, context and
structure are maintained and that a given record’s standing as evidence of business activity is not
compromised. The principles apply regardless of how long the record is retained.
This document is applicable for both ad hoc conversion or migration projects as well as programs for
regular and ongoing conversion or migration.
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INTERNATIONAL STANDARD ISO 13008:2022(E)
Information and documentation — Digital records
conversion and migration process
1 Scope
This document specifies the planning issues, requirements and procedures for the conversion and/or
migration of digital records in order to preserve the authenticity, reliability, integrity and usability of
such records as evidence of business functions, processes, activities and transactions.
These procedures do not comprehensively cover:
— backup systems;
— preservation of digital records;
— functionality of trusted digital repositories;
— the process of converting analogue formats to digital formats and vice versa.
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 30300, Information and documentation — Records management — Core concepts and vocabulary
3 Terms and definition
For the purposes of this document, the terms and definitions given in ISO 30300 and the following apply.
ISO and IEC maintain terminology databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at https:// www .electropedia .org’
3.1
access
right, opportunity, means of finding, using, or retrieving information
[SOURCE: ISO 5127: 2017, 3.11.1.01]
3.2
attribute
characteristic of an object or entity
Note 1 to entry: Adapted from ISO/IEC 11179-3:2003.
[SOURCE: ISO 23081-1:2017, 3.3]
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ISO 13008:2022(E)
3.3
content information
set of information that is the original target of preservation or that includes part or all of that
information
[SOURCE: ISO 19165-1:2018, 3.6]
3.4
data cleansing
process used to improve data quality by detecting and correcting (or removing) defects and errors in
data
[SOURCE: ISO 5127:2017, 3.1.11.21]
3.5
data object
discrete data, considered as a unit, representing an instance of a data structure that is known or
assumed to be known
[SOURCE: ISO/IEC 2382:2015, 2121425]
3.6
emulation
recreation of the functionality and behaviour of an obsolete digital system, using software (called
emulator) on current computer systems
Note 1 to entry: Emulation is a key digital preservation strategy.
[SOURCE: ISO 5127:2017, 3.12.1.20]
3.7
encryption
(reversible) transformation of data by a cryptographic algorithm to produce ciphertext, i.e. to hide the
information content of the data
[SOURCE: ISO/IEC 18033-6:2019, 3.8]
3.8
file format
encoding of a file type that can be rendered or interpreted in a consistent, expected and meaningful
way through the intervention of a particular piece of software or hardware which has been designed to
handle that format
Note 1 to entry: A file may (or may not) be a container containing zero or more files of various formats. File
formats may be defined by a specification, or by a reference software system. Many file formats exist in forms
with minor variations and many also in more than one version. Typing of file formats should be interpreted
generously rather than strictly, but sufficiently precisely to distinguish versions where such distinctions have
significant interpretive consequences.
[SOURCE: PRONOM Vocabulary Specification, The National Archives UK, 2011]
3.9
migration
process of moving records from one hardware or software configuration to another without changing
the format
3.10
originating
initial manifestation of something
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ISO 13008:2022(E)
3.11
preservation
measures taken to maintain the useability, authenticity, reliability and integrity of records over time
Note 1 to entry: Measures include principles, policies, rules, strategies, processes and operations.
[SOURCE: ISO 30300:2020, 3.4.11]
3.12
refreshment
digital migration where the effect is to replace a media instance with a copy that is sufficiently exact
that all archival storage hardware and software continues to run as before
[SOURCE: ISO 19165-1:2018, 3.31]
3.13
replication
digital migration where there is no change to the packaging information, the content information, and
the preservation description information
Note 1 to entry: The bits used to represent these information objects are preserved in the transfer to the same or
new media instance.
Note 2 to entry: Adapted from ISO 14721:2012.
3.14
representation information
information that maps a data object into more meaningful concepts
[SOURCE: ISO 19165-1:2018, 3.34, modified — Examples have been omitted.]
3.15
source record
document or record that has been copied, converted or migrated or will be the input for such a process
Note 1 to entry: Adapted from ISO/TR 13028:2010, 3.8
3.16
validation
process of evaluating a system or component to ensure compliance with the functional, performance
and interface requirements
[SOURCE: ISO/IEC 14776-121:2010, 3.1.108]
4 Organizational and business framework
4.1 General
This clause addresses the drivers that often prompt the need for the conversion or migration of digital
records, the issues that organizations should consider when evaluating the need for conversion or
migration of their records, and the steps taken in developing a conversion and migration program. It
discusses the decision making and resource allocation associated with the conversion or migration
within the organizational framework, as well as the technical infrastructure that supports the
conversion and migration processes and which should be used to ensure the records’ authenticity and
integrity for as long as they are needed.
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ISO 13008:2022(E)
4.2 Conversion and migration drivers
4.2.1 General
A variety of drivers can compel an organization to convert or migrate its digital records. Some records
have longer retention requirements than a software application or storage medium can sustain,
prompting organizations to convert or migrate their records while supporting systems are still viable.
Some records might need to be converted or migrated because the corresponding media becomes
contaminated. Organizations might also choose to convert or migrate records proactively on the basis of
operational factors relating to record volume, access, storage efficiency, business and technology cycles,
or organizational change (such as outsourcing, mergers or acquisitions). In addition, organizations
might be compelled to convert or migrate records in response to regulatory or legal actions.
4.2.2 Conversion drivers
Conversion is defined as the process of changing records from one format to another. Examples of
drivers that can require digital conversion include the following.
a) Format change: records stored in a proprietary format are converted to an open file format, such as
a conversion of a Word.doc file to PDF/A.
b) Format obsolescence: for example, records stored in an obsolete but still readable word processing
format are converted to a current word processing format.
c) Interoperability: records are converted to a format that ensures seamless interoperability with
certain IT infrastructure
d) Legal issues: records are converted according to existing explicit legal or regulatory requirements
concerning formats or service providers
4.2.3 Migration drivers
Migration is defined as the process of moving records from one hardware or software configuration
to another without changing the format. Some examples of drivers that can require digital migration
include the following.
a) There can be a need to migrate records from one structure to another. For example, records
existing in several legacy databases might be restruc
...
SLOVENSKI STANDARD
SIST ISO 13008:2022
01-december-2022
Nadomešča:
SIST ISO 13008:2013
Informatika in dokumentacija - Proces konverzije in migracije digitalnih zapisov
Information and documentation -- Digital records conversion and migration process
Information et documentation -- Processus de conversion et migration des documents
d'activité numériques
Ta slovenski standard je istoveten z: ISO 13008:2022
ICS:
01.140.20 Informacijske vede Information sciences
SIST ISO 13008:2022 en,fr
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.
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SIST ISO 13008:2022
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SIST ISO 13008:2022
INTERNATIONAL ISO
STANDARD 13008
Second edition
2022-10
Information and documentation —
Digital records conversion and
migration process
Information et documentation — Processus de conversion et
migration des documents d'activité numériques
Reference number
ISO 13008:2022(E)
© ISO 2022
---------------------- Page: 3 ----------------------
SIST ISO 13008:2022
ISO 13008:2022(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 2022
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: +41 22 749 01 11
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
ii
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SIST ISO 13008:2022
ISO 13008:2022(E)
Contents Page
Foreword .v
Introduction . vi
1 Scope . 1
2 Normative references . 1
3 Terms and definition . 1
4 Organizational and business framework . 3
4.1 General . 3
4.2 Conversion and migration drivers . 4
4.2.1 General . 4
4.2.2 Conversion drivers . 4
4.2.3 Migration drivers . 4
4.3 Planning for the conversion and migration process . 5
4.3.1 General . 5
4.3.2 Risk management . 5
4.3.3 When to convert or migrate . 5
4.3.4 Conversion and migration considerations . 6
4.4 Establishing a conversion and migration program . 6
4.4.1 General . 6
4.4.2 Development of procedures documentation . 7
5 Conversion and migration requirements . 8
5.1 General . 8
5.2 Conversion and migration preparatory activities . 8
5.3 Conversion/migration process metadata . 9
5.3.1 General . 9
5.3.2 Conversion and migration process metadata implementation issues . 10
6 Conversion and migration technology planning .10
6.1 General . 10
6.2 Business requirements . 11
6.3 General administrative planning . 11
6.4 Technology planning requirements .12
6.4.1 General .12
6.4.2 Challenges posed by records created by new and emerging technologies .13
6.4.3 New and emerging technologies as enablers of conversion and migration .13
6.5 External conversion and migration services . 13
7 Conversion and migration procedures .14
7.1 General . 14
7.2 Procedures . 14
7.2.1 General . 14
7.2.2 Guidance on selecting appropriate procedures . 15
7.2.3 Maintaining the records' characteristics . 15
7.3 Conversion/migration project planning . 17
7.3.1 General . 17
7.3.2 Step 1: Understand the source records and their organizational
environment . 17
7.3.3 Step 2: Choose the desired state of the target records . 18
7.3.4 Step 3: Choose/develop the conversion or migration method and activities . 18
7.3.5 Step 4: Choose/develop a method of testing the conversion/migration
method and activities . 19
7.3.6 Step 5: Choose/develop a method of validating the conversion/migration
and activities . . . . 19
7.3.7 Step 6: Decide on disposal of the source records . 19
7.3.8 Step 7: Identify the required resources . 19
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SIST ISO 13008:2022
ISO 13008:2022(E)
7.3.9 Step 8: Document the conversion/migration process .20
7.3.10 Step 9: Document and obtain approval for the conversion/migration plan .20
7.4 Testing . 20
7.4.1 General .20
7.4.2 Step 1: Plan the test . . 21
7.4.3 Step 2: Configure the test environment . 21
7.4.4 Step 3: Conduct the test . 21
7.4.5 Step 4: Assess test results . 21
7.4.6 Step 5: Report results . 22
7.5 Conversion/migration . 22
7.5.1 General .22
7.5.2 Step 1: Prepare for the conversion/migration .22
7.5.3 Step 2: Define the records for conversion/migration .22
7.5.4 Step 3: Configure the conversion/migration environment .23
7.5.5 Step 4: Conduct conversion/migration . 24
7.5.6 Step 5: Check and correct errors . 24
7.6 Validation . 24
7.6.1 General . 24
7.6.2 Step 1: Assign responsibility . 24
7.6.3 Step 2: Determine the validation activities . 24
7.6.4 Step 3: Establish the system in the validation environment .25
7.6.5 Step 4: Conduct validation . 25
7.6.6 Step 5: Analyse results .25
7.6.7 Step 6: Report results of the validation . 25
7.6.8 Step 7: Update descriptive information about the records .26
7.6.9 Step 8: Manage the originating version . 26
7.6.10 Step 9: Operationalize the new version . 26
7.6.11 Step 10: Authorization . .26
8 Monitoring .26
Bibliography .28
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SIST ISO 13008:2022
ISO 13008:2022(E)
Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards
bodies (ISO member bodies). The work of preparing International Standards is normally carried out
through ISO technical committees. Each member body interested in a subject for which a technical
committee has been established has the right to be represented on that committee. International
organizations, governmental and non-governmental, in liaison with ISO, also take part in the work.
ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of
electrotechnical standardization.
The 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 of 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
www.iso.org/iso/foreword.html.
This document was prepared by Technical Committee ISO/TC 46, Information and documentation,
Subcommittee SC 11, Archives/records management.
This second edition cancels and replaces the first edition (ISO 13008:2012), which has been technically
revised.
The main changes are as follows:
— the terms and definitions have been updated;
— additional drivers for conversion/migration have been added;
— conversion and migration requirements have been clarified;
— the Bibliography has been updated.
Any feedback or questions on this document should be directed to the user’s national standards body. A
complete listing of these bodies can be found at www.iso.org/members.html.
v
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---------------------- Page: 7 ----------------------
SIST ISO 13008:2022
ISO 13008:2022(E)
Introduction
This document provides guidance for the conversion of records from one format to another and the
migration of records from one hardware or software configuration to another. It contains applicable
records management requirements, the organizational and business framework for conducting the
conversion and migration process, technology planning issues, and monitoring/controls for the process.
It also identifies the steps, components and particular methodologies for each of these processes,
covering such topics as workflow, testing, version control and validation.
Due to the rapid pace of technological change, and digital preservation requirements, many records in
digital form will, at some point, need to be converted from one format to another, or migrated from one
system to another to ensure their continued accessibility and processability.
This is not to suggest that conversion and migration are the only approaches to preserving digital
records. Other methods, such as emulation, do exist or are under development. Conversion and migration
are, however, two of the more prevalent methods of digital preservation. While this document does
not address digital preservation per se, the conversion and migration processes can have an impact on
a digital preservation strategy. How an organization chooses to set up the conversion and migration
processes (which format to employ, the level of control needed and so on) largely influences its view of
the record. There is no single, one-size-fits-all preservation method. However, institutions recognize
the benefit of standardized procedures; many test beds and task forces have been established to explore
and research conversion, migration, emulation and refreshment, among other preservation procedures,
to determine what works best.
Conversion and migration represent separate approaches to preserving digital records. It is important
to implement them in a managed way to prevent any degradation or loss in the authenticity, reliability,
integrity and usability of the records, thus ensuring an “authoritative record” as described in
ISO 15489-1:2016, 5.2.2. This document outlines the program components, planning issues, records
management requirements and procedures for performing the conversion and migration of digital
records so as to preserve their authenticity, reliability, integrity and usability so that they continue to
act as evidence of business transactions. In cases where conversion and migration are carried out at the
same time, all requirements and guidance in this document apply.
From the outset, note that it is not necessary to adopt all of the procedures recommended in this
document to ensure that records management requirements are met. The decision regarding which
procedures to adopt depends on such factors as the type of conversion or migration to be performed and
the level of risk the organization is willing to accept. In addition, organizations would be well advised
to incorporate future planning for further conversion and/or migration of records among requirements
for electronic document and records management systems (EDRMS)”.
Before starting a conversion or migration project, individuals designated as “key” to the process need to
be aware of records management requirements. The term “records management criteria/requirements”
in records and information management means an adherence to a set of principles that relate to record
integrity, authenticity, reliability and usability and, where appropriate, compliance with relevant legal
and regulatory requirements. Adherence to these principles ensures that record content, context and
structure are maintained and that a given record’s standing as evidence of business activity is not
compromised. The principles apply regardless of how long the record is retained.
This document is applicable for both ad hoc conversion or migration projects as well as programs for
regular and ongoing conversion or migration.
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SIST ISO 13008:2022
INTERNATIONAL STANDARD ISO 13008:2022(E)
Information and documentation — Digital records
conversion and migration process
1 Scope
This document specifies the planning issues, requirements and procedures for the conversion and/or
migration of digital records in order to preserve the authenticity, reliability, integrity and usability of
such records as evidence of business functions, processes, activities and transactions.
These procedures do not comprehensively cover:
— backup systems;
— preservation of digital records;
— functionality of trusted digital repositories;
— the process of converting analogue formats to digital formats and vice versa.
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 30300, Information and documentation — Records management — Core concepts and vocabulary
3 Terms and definition
For the purposes of this document, the terms and definitions given in ISO 30300 and the following apply.
ISO and IEC maintain terminology databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at https:// www .electropedia .org’
3.1
access
right, opportunity, means of finding, using, or retrieving information
[SOURCE: ISO 5127: 2017, 3.11.1.01]
3.2
attribute
characteristic of an object or entity
Note 1 to entry: Adapted from ISO/IEC 11179-3:2003.
[SOURCE: ISO 23081-1:2017, 3.3]
1
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3.3
content information
set of information that is the original target of preservation or that includes part or all of that
information
[SOURCE: ISO 19165-1:2018, 3.6]
3.4
data cleansing
process used to improve data quality by detecting and correcting (or removing) defects and errors in
data
[SOURCE: ISO 5127:2017, 3.1.11.21]
3.5
data object
discrete data, considered as a unit, representing an instance of a data structure that is known or
assumed to be known
[SOURCE: ISO/IEC 2382:2015, 2121425]
3.6
emulation
recreation of the functionality and behaviour of an obsolete digital system, using software (called
emulator) on current computer systems
Note 1 to entry: Emulation is a key digital preservation strategy.
[SOURCE: ISO 5127:2017, 3.12.1.20]
3.7
encryption
(reversible) transformation of data by a cryptographic algorithm to produce ciphertext, i.e. to hide the
information content of the data
[SOURCE: ISO/IEC 18033-6:2019, 3.8]
3.8
file format
encoding of a file type that can be rendered or interpreted in a consistent, expected and meaningful
way through the intervention of a particular piece of software or hardware which has been designed to
handle that format
Note 1 to entry: A file may (or may not) be a container containing zero or more files of various formats. File
formats may be defined by a specification, or by a reference software system. Many file formats exist in forms
with minor variations and many also in more than one version. Typing of file formats should be interpreted
generously rather than strictly, but sufficiently precisely to distinguish versions where such distinctions have
significant interpretive consequences.
[SOURCE: PRONOM Vocabulary Specification, The National Archives UK, 2011]
3.9
migration
process of moving records from one hardware or software configuration to another without changing
the format
3.10
originating
initial manifestation of something
2
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3.11
preservation
measures taken to maintain the useability, authenticity, reliability and integrity of records over time
Note 1 to entry: Measures include principles, policies, rules, strategies, processes and operations.
[SOURCE: ISO 30300:2020, 3.4.11]
3.12
refreshment
digital migration where the effect is to replace a media instance with a copy that is sufficiently exact
that all archival storage hardware and software continues to run as before
[SOURCE: ISO 19165-1:2018, 3.31]
3.13
replication
digital migration where there is no change to the packaging information, the content information, and
the preservation description information
Note 1 to entry: The bits used to represent these information objects are preserved in the transfer to the same or
new media instance.
Note 2 to entry: Adapted from ISO 14721:2012.
3.14
representation information
information that maps a data object into more meaningful concepts
[SOURCE: ISO 19165-1:2018, 3.34, modified — Examples have been omitted.]
3.15
source record
document or record that has been copied, converted or migrated or will be the input for such a process
Note 1 to entry: Adapted from ISO/TR 13028:2010, 3.8
3.16
validation
process of evaluating a system or component to ensure compliance with the functional, performance
and interface requirements
[SOURCE: ISO/IEC 14776-121:2010, 3.1.108]
4 Organizational and business framework
4.1 General
This clause addresses the drivers that often prompt the need for the conversion or migration of digital
records, the issues that organizations should consider when evaluating the need for conversion or
migration of their records, and the steps taken in developing a conversion and migration program. It
discusses the decision making and resource allocation associated with the conversion or migration
within the organizational framework, as well as the technical infrastructure that supports the
conversion and migration processes and which should be used to ensure the records’ authenticity and
integrity for as long as they are needed.
3
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4.2 Conversion and migration drivers
4.2.1 General
A variety of drivers can compel an organization to convert or migrate its digital records. Some records
have longer retention requirements than a software application or storage medium can sustain,
prompting organizations to convert or migrate their records while supporting systems are still viable.
Some records might need to be converted or migrated because the corresponding media becomes
contaminated. Organizations might also choose to convert or migrate records proactively on the basis of
operational factors relating to record volume, access, storage efficiency, business and technology cycles,
or organizational change (such as outsourcing, mergers or acquisitions). In addition, organizations
might be compelled to convert or migrate records in response to regulatory or legal actions.
4.2.2 Conversion drivers
Conversion is defined as the process of changing records from one format to another. Examples of
drivers that can require digital conversion include the following.
a) Format change: records stored in
...
SLOVENSKI STANDARD
SIST ISO 13008:2022
01-december-2022
Nadomešča:
SIST ISO 13008:2013
Informatika in dokumentacija - Proces konverzije in migracije digitalnih zapisov
Information and documentation -- Digital records conversion and migration process
Information et documentation -- Processus de conversion et migration des documents
d'activité numériques
Ta slovenski standard je istoveten z: ISO/DIS 13008
ICS:
01.140.20 Informacijske vede Information sciences
SIST ISO 13008:2022 en,fr
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.
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SIST ISO 13008:2022
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SIST ISO 13008:2022
INTERNATIONAL ISO
STANDARD 13008
Second edition
2022-10
Information and documentation —
Digital records conversion and
migration process
Information et documentation — Processus de conversion et
migration des documents d'activité numériques
Reference number
ISO 13008:2022(E)
© ISO 2022
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SIST ISO 13008:2022
ISO 13008:2022(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 2022
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: +41 22 749 01 11
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
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ISO 13008:2022(E)
Contents Page
Foreword .v
Introduction . vi
1 Scope . 1
2 Normative references . 1
3 Terms and definition . 1
4 Organizational and business framework . 3
4.1 General . 3
4.2 Conversion and migration drivers . 4
4.2.1 General . 4
4.2.2 Conversion drivers . 4
4.2.3 Migration drivers . 4
4.3 Planning for the conversion and migration process . 5
4.3.1 General . 5
4.3.2 Risk management . 5
4.3.3 When to convert or migrate . 5
4.3.4 Conversion and migration considerations . 6
4.4 Establishing a conversion and migration program . 6
4.4.1 General . 6
4.4.2 Development of procedures documentation . 7
5 Conversion and migration requirements . 8
5.1 General . 8
5.2 Conversion and migration preparatory activities . 8
5.3 Conversion/migration process metadata . 9
5.3.1 General . 9
5.3.2 Conversion and migration process metadata implementation issues . 10
6 Conversion and migration technology planning .10
6.1 General . 10
6.2 Business requirements . 11
6.3 General administrative planning . 11
6.4 Technology planning requirements .12
6.4.1 General .12
6.4.2 Challenges posed by records created by new and emerging technologies .13
6.4.3 New and emerging technologies as enablers of conversion and migration .13
6.5 External conversion and migration services . 13
7 Conversion and migration procedures .14
7.1 General . 14
7.2 Procedures . 14
7.2.1 General . 14
7.2.2 Guidance on selecting appropriate procedures . 15
7.2.3 Maintaining the records' characteristics . 15
7.3 Conversion/migration project planning . 17
7.3.1 General . 17
7.3.2 Step 1: Understand the source records and their organizational
environment . 17
7.3.3 Step 2: Choose the desired state of the target records . 18
7.3.4 Step 3: Choose/develop the conversion or migration method and activities . 18
7.3.5 Step 4: Choose/develop a method of testing the conversion/migration
method and activities . 19
7.3.6 Step 5: Choose/develop a method of validating the conversion/migration
and activities . . . . 19
7.3.7 Step 6: Decide on disposal of the source records . 19
7.3.8 Step 7: Identify the required resources . 19
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7.3.9 Step 8: Document the conversion/migration process .20
7.3.10 Step 9: Document and obtain approval for the conversion/migration plan .20
7.4 Testing . 20
7.4.1 General .20
7.4.2 Step 1: Plan the test . . 21
7.4.3 Step 2: Configure the test environment . 21
7.4.4 Step 3: Conduct the test . 21
7.4.5 Step 4: Assess test results . 21
7.4.6 Step 5: Report results . 22
7.5 Conversion/migration . 22
7.5.1 General .22
7.5.2 Step 1: Prepare for the conversion/migration .22
7.5.3 Step 2: Define the records for conversion/migration .22
7.5.4 Step 3: Configure the conversion/migration environment .23
7.5.5 Step 4: Conduct conversion/migration . 24
7.5.6 Step 5: Check and correct errors . 24
7.6 Validation . 24
7.6.1 General . 24
7.6.2 Step 1: Assign responsibility . 24
7.6.3 Step 2: Determine the validation activities . 24
7.6.4 Step 3: Establish the system in the validation environment .25
7.6.5 Step 4: Conduct validation . 25
7.6.6 Step 5: Analyse results .25
7.6.7 Step 6: Report results of the validation . 25
7.6.8 Step 7: Update descriptive information about the records .26
7.6.9 Step 8: Manage the originating version . 26
7.6.10 Step 9: Operationalize the new version . 26
7.6.11 Step 10: Authorization . .26
8 Monitoring .26
Bibliography .28
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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 of 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
www.iso.org/iso/foreword.html.
This document was prepared by Technical Committee ISO/TC 46, Information and documentation,
Subcommittee SC 11, Archives/records management.
This second edition cancels and replaces the first edition (ISO 13008:2012), which has been technically
revised.
The main changes are as follows:
— the terms and definitions have been updated;
— additional drivers for conversion/migration have been added;
— conversion and migration requirements have been clarified;
— the Bibliography has been updated.
Any feedback or questions on this document should be directed to the user’s national standards body. A
complete listing of these bodies can be found at www.iso.org/members.html.
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Introduction
This document provides guidance for the conversion of records from one format to another and the
migration of records from one hardware or software configuration to another. It contains applicable
records management requirements, the organizational and business framework for conducting the
conversion and migration process, technology planning issues, and monitoring/controls for the process.
It also identifies the steps, components and particular methodologies for each of these processes,
covering such topics as workflow, testing, version control and validation.
Due to the rapid pace of technological change, and digital preservation requirements, many records in
digital form will, at some point, need to be converted from one format to another, or migrated from one
system to another to ensure their continued accessibility and processability.
This is not to suggest that conversion and migration are the only approaches to preserving digital
records. Other methods, such as emulation, do exist or are under development. Conversion and migration
are, however, two of the more prevalent methods of digital preservation. While this document does
not address digital preservation per se, the conversion and migration processes can have an impact on
a digital preservation strategy. How an organization chooses to set up the conversion and migration
processes (which format to employ, the level of control needed and so on) largely influences its view of
the record. There is no single, one-size-fits-all preservation method. However, institutions recognize
the benefit of standardized procedures; many test beds and task forces have been established to explore
and research conversion, migration, emulation and refreshment, among other preservation procedures,
to determine what works best.
Conversion and migration represent separate approaches to preserving digital records. It is important
to implement them in a managed way to prevent any degradation or loss in the authenticity, reliability,
integrity and usability of the records, thus ensuring an “authoritative record” as described in
ISO 15489-1:2016, 5.2.2. This document outlines the program components, planning issues, records
management requirements and procedures for performing the conversion and migration of digital
records so as to preserve their authenticity, reliability, integrity and usability so that they continue to
act as evidence of business transactions. In cases where conversion and migration are carried out at the
same time, all requirements and guidance in this document apply.
From the outset, note that it is not necessary to adopt all of the procedures recommended in this
document to ensure that records management requirements are met. The decision regarding which
procedures to adopt depends on such factors as the type of conversion or migration to be performed and
the level of risk the organization is willing to accept. In addition, organizations would be well advised
to incorporate future planning for further conversion and/or migration of records among requirements
for electronic document and records management systems (EDRMS)”.
Before starting a conversion or migration project, individuals designated as “key” to the process need to
be aware of records management requirements. The term “records management criteria/requirements”
in records and information management means an adherence to a set of principles that relate to record
integrity, authenticity, reliability and usability and, where appropriate, compliance with relevant legal
and regulatory requirements. Adherence to these principles ensures that record content, context and
structure are maintained and that a given record’s standing as evidence of business activity is not
compromised. The principles apply regardless of how long the record is retained.
This document is applicable for both ad hoc conversion or migration projects as well as programs for
regular and ongoing conversion or migration.
vi
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SIST ISO 13008:2022
INTERNATIONAL STANDARD ISO 13008:2022(E)
Information and documentation — Digital records
conversion and migration process
1 Scope
This document specifies the planning issues, requirements and procedures for the conversion and/or
migration of digital records in order to preserve the authenticity, reliability, integrity and usability of
such records as evidence of business functions, processes, activities and transactions.
These procedures do not comprehensively cover:
— backup systems;
— preservation of digital records;
— functionality of trusted digital repositories;
— the process of converting analogue formats to digital formats and vice versa.
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 30300, Information and documentation — Records management — Core concepts and vocabulary
3 Terms and definition
For the purposes of this document, the terms and definitions given in ISO 30300 and the following apply.
ISO and IEC maintain terminology databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at https:// www .electropedia .org’
3.1
access
right, opportunity, means of finding, using, or retrieving information
[SOURCE: ISO 5127: 2017, 3.11.1.01]
3.2
attribute
characteristic of an object or entity
Note 1 to entry: Adapted from ISO/IEC 11179-3:2003.
[SOURCE: ISO 23081-1:2017, 3.3]
1
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ISO 13008:2022(E)
3.3
content information
set of information that is the original target of preservation or that includes part or all of that
information
[SOURCE: ISO 19165-1:2018, 3.6]
3.4
data cleansing
process used to improve data quality by detecting and correcting (or removing) defects and errors in
data
[SOURCE: ISO 5127:2017, 3.1.11.21]
3.5
data object
discrete data, considered as a unit, representing an instance of a data structure that is known or
assumed to be known
[SOURCE: ISO/IEC 2382:2015, 2121425]
3.6
emulation
recreation of the functionality and behaviour of an obsolete digital system, using software (called
emulator) on current computer systems
Note 1 to entry: Emulation is a key digital preservation strategy.
[SOURCE: ISO 5127:2017, 3.12.1.20]
3.7
encryption
(reversible) transformation of data by a cryptographic algorithm to produce ciphertext, i.e. to hide the
information content of the data
[SOURCE: ISO/IEC 18033-6:2019, 3.8]
3.8
file format
encoding of a file type that can be rendered or interpreted in a consistent, expected and meaningful
way through the intervention of a particular piece of software or hardware which has been designed to
handle that format
Note 1 to entry: A file may (or may not) be a container containing zero or more files of various formats. File
formats may be defined by a specification, or by a reference software system. Many file formats exist in forms
with minor variations and many also in more than one version. Typing of file formats should be interpreted
generously rather than strictly, but sufficiently precisely to distinguish versions where such distinctions have
significant interpretive consequences.
[SOURCE: PRONOM Vocabulary Specification, The National Archives UK, 2011]
3.9
migration
process of moving records from one hardware or software configuration to another without changing
the format
3.10
originating
initial manifestation of something
2
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3.11
preservation
measures taken to maintain the useability, authenticity, reliability and integrity of records over time
Note 1 to entry: Measures include principles, policies, rules, strategies, processes and operations.
[SOURCE: ISO 30300:2020, 3.4.11]
3.12
refreshment
digital migration where the effect is to replace a media instance with a copy that is sufficiently exact
that all archival storage hardware and software continues to run as before
[SOURCE: ISO 19165-1:2018, 3.31]
3.13
replication
digital migration where there is no change to the packaging information, the content information, and
the preservation description information
Note 1 to entry: The bits used to represent these information objects are preserved in the transfer to the same or
new media instance.
Note 2 to entry: Adapted from ISO 14721:2012.
3.14
representation information
information that maps a data object into more meaningful concepts
[SOURCE: ISO 19165-1:2018, 3.34, modified — Examples have been omitted.]
3.15
source record
document or record that has been copied, converted or migrated or will be the input for such a process
Note 1 to entry: Adapted from ISO/TR 13028:2010, 3.8
3.16
validation
process of evaluating a system or component to ensure compliance with the functional, performance
and interface requirements
[SOURCE: ISO/IEC 14776-121:2010, 3.1.108]
4 Organizational and business framework
4.1 General
This clause addresses the drivers that often prompt the need for the conversion or migration of digital
records, the issues that organizations should consider when evaluating the need for conversion or
migration of their records, and the steps taken in developing a conversion and migration program. It
discusses the decision making and resource allocation associated with the conversion or migration
within the organizational framework, as well as the technical infrastructure that supports the
conversion and migration processes and which should be used to ensure the records’ authenticity and
integrity for as long as they are needed.
3
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ISO 13008:2022(E)
4.2 Conversion and migration drivers
4.2.1 General
A variety of drivers can compel an organization to convert or migrate its digital records. Some records
have longer retention requirements than a software application or storage medium can sustain,
prompting organizations to convert or migrate their records while supporting systems are still viable.
Some records might need to be converted or migrated because the corresponding media becomes
contaminated. Organizations might also choose to convert or migrate records proactively on the basis of
operational factors relating to record volume, access, storage efficiency, business and technology cycles,
or organizational change (such as outsourcing, mergers or acquisitions). In addition, organizations
might be compelled to convert or migrate records in response to regulatory or legal actions.
4.2.2 Conversion drivers
Conversion is defined as the process of changing records from one format to another. Examples of
drivers that can require digital conversion include the following.
a) Format change: records stored in
...
NORME ISO
INTERNATIONALE 13008
Deuxième édition
2022-10
Information et documentation —
Processus de conversion et migration
des documents d'activité numériques
Information and documentation — Digital records conversion and
migration process
Numéro de référence
ISO 13008:2022(F)
© ISO 2022
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ISO 13008:2022(F)
DOCUMENT PROTÉGÉ PAR COPYRIGHT
© ISO 2022
Tous droits réservés. Sauf prescription différente ou nécessité dans le contexte de sa mise en œuvre, aucune partie de cette
publication ne peut être reproduite ni utilisée sous quelque forme que ce soit et par aucun procédé, électronique ou mécanique,
y compris la photocopie, ou la diffusion sur l’internet ou sur un intranet, sans autorisation écrite préalable. Une autorisation peut
être demandée à l’ISO à l’adresse ci-après ou au comité membre de l’ISO dans le pays du demandeur.
ISO copyright office
Case postale 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Genève
Tél.: +41 22 749 01 11
E-mail: copyright@iso.org
Web: www.iso.org
Publié en Suisse
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ISO 13008:2022(F)
Sommaire Page
Avant-propos .v
Introduction . vi
1 Domaine d'application .1
2 Références normatives .1
3 Termes et définitions . 1
4 Structure organisationnelle et d'activité . 3
4.1 Généralités . 3
4.2 Déclencheurs de conversion et de migration. 4
4.2.1 Généralités . 4
4.2.2 Déclencheurs de conversion . 4
4.2.3 Déclencheurs de migration . 4
4.3 Planification pour le processus de conversion et de migration . 5
4.3.1 Généralités . 5
4.3.2 Gestion des risques . 5
4.3.3 Quand convertir ou migrer . 6
4.3.4 Considérations relatives à la conversion et à la migration . 6
4.4 Élaboration d'un programme de conversion et de migration . . 7
4.4.1 Généralités . 7
4.4.2 Développement de la documentation de procédures . 7
5 Exigences de conversion et de migration . 8
5.1 Généralités . 8
5.2 Activités préparatoires à la conversion et à la migration . 9
5.3 Métadonnées de processus de conversion/migration. 10
5.3.1 Généralités . 10
5.3.2 Problèmes d'implémentation de métadonnées du processus de conversion
et de migration . 10
6 Planification technologique de conversion et de migration .11
6.1 Généralités . 11
6.2 Exigences opérationnelles .12
6.3 Planification administrative générale .12
6.4 Exigences de planification technologique . 13
6.4.1 Généralités .13
6.4.2 Difficultés posées par les documents d'activité créés au moyen des
nouvelles technologies et des technologies émergentes . 14
6.4.3 Nouvelles technologies et technologies émergentes comme facilitateurs de
conversion et de migration. 14
6.5 Services de conversion et de migration externes . 15
7 Procédures de conversion et de migration .15
7.1 Généralités . 15
7.2 Modes opératoires . 16
7.2.1 Généralités . 16
7.2.2 Recommandations sur le choix des procédures appropriées . 16
7.2.3 Maintien des caractéristiques des documents d'activité . 16
7.3 Planification de projet de conversion/migration. 19
7.3.1 Généralités . 19
7.3.2 Étape 1: Comprendre les documents d'activité sources et leur
environnement organisationnel . 19
7.3.3 Étape 2: Choisir l'état souhaité des documents d'activité cibles .20
7.3.4 Étape 3: Choisir/développer la méthode et les activités de conversion ou de
migration . 20
7.3.5 Étape 4: Choisir/développer une méthode d'essai des méthodes et activités
de conversion/migration . 21
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ISO 13008:2022(F)
7.3.6 Étape 5: Choisir/développer une méthode de validation des méthodes et
activités de conversion/migration . 21
7.3.7 Étape 6: Décider de l'élimination des documents d'activités sources . 21
7.3.8 Étape 7: Identifier les ressources requises . 21
7.3.9 Étape 8: Documenter le processus de conversion/migration .22
7.3.10 Étape 9: Documenter et obtenir l'approbation du plan de conversion/
migration . 22
7.4 Essais . 23
7.4.1 Généralités .23
7.4.2 Étape 1: Planifier l'essai .23
7.4.3 Étape 2: Configurer l'environnement des essais . 24
7.4.4 Étape 3: Effectuer l'essai . 24
7.4.5 Étape 4: Évaluer les résultats d'essai . 24
7.4.6 Étape 5: Rendre compte des résultats . 24
7.5 Conversion/migration . 24
7.5.1 Généralités . 24
7.5.2 Étape 1: Préparer la conversion/migration . 24
7.5.3 Étape 2: Définir les documents d'activité à soumettre à conversion/
migration . 25
7.5.4 Étape 3: Configurer l'environnement de conversion/migration.26
7.5.5 Étape 4: Effectuer la conversion/migration . . 26
7.5.6 Étape 5: Vérifier et corriger les erreurs . 26
7.6 Validation . 27
7.6.1 Généralités . 27
7.6.2 Étape 1: Attribuer les responsabilités . 27
7.6.3 Étape 2: Déterminer les activités de validation . 27
7.6.4 Étape 3: Établir le système dans l'environnement de validation . 27
7.6.5 Étape 4: Effectuer la validation . 27
7.6.6 Étape 5: Résultats d'analyse . .28
7.6.7 Étape 6: Rendre compte des résultats de la validation .28
7.6.8 Étape 7: Mettre à jour les informations descriptives concernant les
documents d'activité . .28
7.6.9 Étape 8: Gérer la version d'origine .29
7.6.10 Étape 9: Rendre la nouvelle version opérationnelle .29
7.6.11 Étape 10: Autorisation . .29
8 Surveillance . .29
Bibliographie .31
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ISO 13008:2022(F)
Avant-propos
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 of 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
www.iso.org/iso/foreword.html.
This document was prepared by Technical Committee ISO/TC 46, Information et documentation, sous-
comité SC 11, Archives/Gestion des documents d'activité.
Cette deuxième édition annule et remplace la première édition (ISO 13008:2012), qui a fait l'objet d'une
révision technique.
Les principales modifications sont les suivantes:
— mise à jour des termes et définitions;
— ajout de déclencheurs de conversion/migration supplémentaires;
— clarification des exigences de conversion et de migration;
— mise à jour de la Bibliographie.
Any feedback or questions on this document should be directed to the user’s national standards body. A
complete listing of these bodies can be found at www.iso.org/members.html.
v
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ISO 13008:2022(F)
Introduction
Le présent document donne des recommandations pour la conversion de documents d'activité d'un
format en un autre, et pour la migration de documents d'activité d'une configuration matérielle ou
logicielle à une autre. Il contient des exigences de gestion des documents d'activité applicables, la
structure organisationnelle et d'activité pour exécuter le processus de conversion et de migration, des
questions de planification technologique, et la surveillance et les contrôles du processus. Il identifie
également les étapes, les composants et les méthodologies particulières pour chacun de ces processus,
y compris des sujets tels que la séquence des opérations, les essais, le contrôle et la validation des
versions.
Au vu du rythme soutenu de l'évolution des technologies et des exigences de conservation numérique,
un grand nombre de documents d'activité devront tôt ou tard être convertis d'un format en un autre,
ou migrés d'un système à un autre, pour garantir le maintien de leur accessibilité et de leur aptitude au
traitement.
Il ne s'agit pas ici de suggérer que la conversion et la migration sont les seules méthodes de conservation
des documents d'activité numériques. D'autres méthodes, telles que l'émulation, existent ou sont
en cours d'élaboration. La conversion et la migration restent néanmoins deux des méthodes les plus
courantes de conservation numérique. Même si le présent document ne couvre pas la conservation
numérique en tant que telle, les processus de conversion et de migration peuvent avoir un impact sur
une stratégie de conservation numérique. La manière dont un organisme décide de mettre en place les
processus de conversion et de migration (quel format employer, le niveau de contrôle nécessaire, etc.)
influence dans une large mesure sa conception des documents d'activité. Il n'existe pas de méthode
unique adaptée à toutes les situations. Certaines institutions reconnaissent toutefois l'avantage d'avoir
des procédures normalisées; de nombreux bancs d'essai et équipes opérationnelles ont été établis pour
étudier et se documenter sur la conversion, la migration, l'émulation et le rafraîchissement, entre autres
procédures de conservation, pour déterminer ce qui devrait être le plus efficace.
La conversion et la migration représentent des démarches séparées pour la conservation des
documents d'activité numériques. Il est important de les mettre en œuvre de manière contrôlée
pour empêcher toute dégradation ou perte d'authenticité, de fiabilité, d'intégrité et d'utilisabilité des
documents d'activité, de manière à garantir un «document d'activité probant» comme décrit dans
l'ISO 15489-1:2016, 5.2.2. Le présent document expose les éléments du programme, les questions de
planification, les exigences de gestion des documents d'activité et les procédures de réalisation de la
conversion et de la migration des documents d'activité numériques afin de préserver leur authenticité,
leur fiabilité, leur intégrité et leur utilisabilité de manière à ce qu'ils puissent continuer de servir de
preuve de transactions. Dans les cas où la conversion et la migration sont effectuées en même temps,
toutes les exigences et recommandations du présent document s'appliquent.
Il est à noter d'emblée qu'il n'est pas nécessaire d'adopter toutes les procédures recommandées dans
le présent document pour faire en sorte que les exigences de gestion des documents d'activité soient
satisfaites. La décision concernant le choix de la procédure à adopter dépend de facteurs comme le type
de conversion ou de migration à effectuer, et du niveau de risque que l'organisme est prêt à accepter. En
outre, l'organisme a tout intérêt à incorporer une planification prévisionnelle pour une conversion et/
ou migration ultérieure de documents d'activité parmi les exigences relatives aux systèmes de gestion
électronique des documents et documents d'activité (EDRMS).
Avant de démarrer un projet de conversion ou de migration, les individus désignés comme étant
«essentiels» au processus doivent être conscients des exigences de la gestion des documents d'activité.
L'expression «critères/exigences de gestion des documents d'activité» dans le cadre de la gestion des
documents d'activité et de l'information implique une adhésion à un ensemble de principes relatifs
à l'intégrité, l'authenticité, la fiabilité et l'utilisabilité des documents d'activité et, le cas échéant, la
conformité aux exigences juridiques et réglementaires applicables. L'adhésion à ces principes garantit
que le contenu, le contexte et la structure des documents d'activité seront maintenus, et que le statut
d'un document d'activité donné comme preuve d'une activité n'est pas compromis. Ces principes
s'appliquent quelle que soit la durée de conservation des documents d'activité.
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ISO 13008:2022(F)
Le présent document s'applique aux projets de conversion ou de migration ad hoc ainsi qu'aux
programmes de conversion ou de migration régulière et continue.
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NORME INTERNATIONALE ISO 13008:2022(F)
Information et documentation — Processus de conversion
et migration des documents d'activité numériques
1 Domaine d'application
Le présent document spécifie les questions de planification, les exigences et procédures de conversion
et/ou de migration des documents d'activité numériques afin de préserver leur authenticité, leur
fiabilité, leur intégrité et leur utilisabilité de manière à ce qu'ils puissent servir de preuve de fonctions
métier, de processus, d'activités et de transactions.
Ces procédures ne couvrent pas de manière exhaustive:
— les systèmes de secours;
— la conservation des documents d'activité numériques;
— la fonctionnalité des dépôts numériques de confiance;
— le processus de conversion des formats analogiques en formats numériques et vice versa.
2 Références normatives
Les documents suivants sont cités dans le texte de sorte qu'ils constituent, pour tout ou partie de leur
contenu, des exigences du présent document. Pour les références datées, seule l'édition citée s'applique.
Pour les références non datées, la dernière édition du document de référence s'applique (y compris les
éventuels amendements).
ISO 30300, Information et documentation — Systèmes de gestion des documents d'activité — Principes
essentiels et vocabulaire
3 Termes et définitions
Pour les besoins du présent document, les termes et définitions de l'ISO 30300 ainsi que les suivants,
s'appliquent.
L'ISO et l'IEC tiennent à jour des bases de données terminologiques destinées à être utilisées en
normalisation, consultables aux adresses suivantes:
— ISO Online browsing platform: disponible à l'adresse https:// www .iso .org/ obp
— IEC Electropedia: disponible à l'adresse https:// www .electropedia .org
3.1
accès
droit, possibilités et moyens de rechercher, d'exploiter ou de retrouver l'information
[SOURCE: ISO 5127:2017, 3.11.1.01]
3.2
attribut
caractéristique d'un objet ou d'une entité
Note 1 à l'article: Adapté de l'ISO/IEC 11179-3:2003.
[SOURCE: ISO 23081-1:2017, 3.3]
1
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ISO 13008:2022(F)
3.3
informations de contenu
ensemble d'informations qui est la raison d'être de la conservation ou qui comprend une partie ou la
totalité de ces informations
[SOURCE: ISO 19165-1:2018, 3.6]
3.4
nettoyage de données
processus permettant d'améliorer la qualité des données en détectant et en corrigeant (ou en éliminant)
les défauts et les erreurs des données
[SOURCE: ISO 5127:2017, 3.1.11.21]
3.5
objet de données
donnée discrète, considérée comme un élément, représentant un exemple de structure de données
connue ou supposée être connue
[SOURCE: ISO/IEC 2382:2015, 2121425]
3.6
émulation
recréation de la fonctionnalité et du comportement d'un système numérique obsolète, au moyen d'un
logiciel (appelé émulateur) sur des systèmes informatiques en place
Note 1 à l'article: L'émulation est une stratégie clé de conservation numérique.
[SOURCE: ISO 5127:2017, 3.12.1.20]
3.7
chiffrement
transformation (réversible) de données suivant un algorithme cryptographique afin de produire un
cryptogramme, c'est-à-dire de cacher le contenu informationnel des données
[SOURCE: ISO/IEC 18033-6:2019, 3.8]
3.8
format de fichier
codage d'un type de fichier qui peut être restitué ou interprété de manière cohérente, prévisible et
rationnelle par le biais d'un logiciel ou matériel particulier conçu pour traiter ce format
Note 1 à l'article: Un fichier peut être (ou non) un conteneur comportant zéro fichier ou plus de formats différents.
Les formats de fichiers peuvent être définis par une spécification, ou par un système logiciel de référence. Il existe
de nombreux formats de fichiers présentant des variations mineures, et de nombreux autres dans plus d'une
version. Il convient que la saisie des formats de fichiers soit interprétée avec latitude plutôt que strictement,
mais avec une précision suffisante pour faire la différence entre les versions lorsque ces distinctions ont des
conséquences importantes sur leur interprétation.
[SOURCE: PRONOM Vocabulary Specification, The National Archives UK, 2011]
3.9
migration
processus de déplacement de documents d'activité d'une configuration matérielle ou logicielle à une
autre sans modifier le format
3.10
d'origine
première manifestation de quelque chose
2
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ISO 13008:2022(F)
3.11
conservation
mesures visant à conserver l'utilisabilité, l'authenticité, la fiabilité et l'intégrité des documents d'activité
dans le temps
Note 1 à l'article: Mesures incluant des principes, des politiques, des règles, des stratégies, des processus et des
opérations.
[SOURCE: ISO 30300:2020, 3.4.11]
3.12
rafraîchissement
migration numérique dont l'effet est de remplacer un exemple de support informatique par une copie
suffisamment exacte pour que tous les matériels et logiciels de stockage d'archive continuent de
fonctionner comme avant
[SOURCE: ISO 19165-1:2018, 3.31]
3.13
réplication
migration numérique ne comportant aucun changement aux informations d'empaquetage, aux
informations de contenu, et aux informations de description de conservation
Note 1 à l'article: Les bits servant à représenter ces objets d'information sont conservés au cours du transfert
vers le même exemple de support informatique ou un exemple différent.
Note 2 à l'article: Adapté de l'ISO 14721:2012.
3.14
informations de représentation
informations qui cartographient un objet de données en concepts plus significatifs
[SOURCE: ISO 19165‑1:2018, 3.34, modifié — Les exemples ont été omis.]
3.15
document d'activité source
document ou document d'activité qui a été copié, converti ou migré, ou qui constituera l'entrée d'un tel
processus
Note 1 à l'article: Adapté de l'ISO/TR 13028:2010, 3.8.
3.16
validation
processus consistant à évaluer un système ou composant afin de garantir la conformité avec les
exigences fonctionnelles, de performance et d'interface
[SOURCE: ISO/IEC 14776-121:2010, 3.1.108]
4 Structure organisationnelle et d'activité
4.1 Généralités
Le présent article traite des déclencheurs qui conduisent souvent à un besoin de conversion ou de
migration des documents d'activité numériques, des questions qu'il convient que les organismes
prennent en compte lors de l'évaluation du besoin de conversion ou de migration de leurs documents
d'activité numériques, et des mesures prises pour déve
...
SLOVENSKI STANDARD
oSIST ISO/DIS 13008:2021
01-oktober-2021
Informatika in dokumentacija - Proces konverzije in migracije digitalnih zapisov
Information and documentation -- Digital records conversion and migration process
Information et documentation -- Processus de conversion et migration des documents
d'activité numériques
Ta slovenski standard je istoveten z: ISO/DIS 13008
ICS:
01.140.20 Informacijske vede Information sciences
oSIST ISO/DIS 13008:2021 en,fr
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.
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oSIST ISO/DIS 13008:2021
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oSIST ISO/DIS 13008:2021
DRAFT INTERNATIONAL STANDARD
ISO/DIS 13008
ISO/TC 46/SC 11 Secretariat: SA
Voting begins on: Voting terminates on:
2021-08-12 2021-11-04
Information and documentation — Digital records
conversion and migration process
Information et documentation — Processus de conversion et migration des documents d'activité
numériques
ICS: 01.140.20
THIS DOCUMENT IS A DRAFT CIRCULATED
FOR COMMENT AND APPROVAL. IT IS
THEREFORE SUBJECT TO CHANGE AND MAY
NOT BE REFERRED TO AS AN INTERNATIONAL
STANDARD UNTIL PUBLISHED AS SUCH.
IN ADDITION TO THEIR EVALUATION AS
BEING ACCEPTABLE FOR INDUSTRIAL,
This document is circulated as received from the committee secretariat.
TECHNOLOGICAL, COMMERCIAL AND
USER PURPOSES, DRAFT INTERNATIONAL
STANDARDS MAY ON OCCASION HAVE TO
BE CONSIDERED IN THE LIGHT OF THEIR
POTENTIAL TO BECOME STANDARDS TO
WHICH REFERENCE MAY BE MADE IN
Reference number
NATIONAL REGULATIONS.
ISO/DIS 13008:2021(E)
RECIPIENTS OF THIS DRAFT ARE INVITED
TO SUBMIT, WITH THEIR COMMENTS,
NOTIFICATION OF ANY RELEVANT PATENT
RIGHTS OF WHICH THEY ARE AWARE AND TO
©
PROVIDE SUPPORTING DOCUMENTATION. ISO 2021
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oSIST ISO/DIS 13008:2021
ISO/DIS 13008:2021(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 2021
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: +41 22 749 01 11
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
ii © ISO 2021 – All rights reserved
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oSIST ISO/DIS 13008:2021
ISO/DIS 13008:2021(E)
Contents Page
Foreword .v
Introduction .vi
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Organizational and business framework . 4
4.1 General . 4
4.2 Conversion and migration drivers . 4
4.2.1 General. 4
4.2.2 Conversion drivers . 5
4.2.3 Migration drivers . 5
4.3 Planning f or the conversion and migration process . 5
4.3.1 General. 5
4.3.2 Risk management . 6
4.3.3 When to convert or migrate . 6
4.3.4 Conversion and migration considerations . 6
4.4 Establishing a conversion and migration program . 7
4.4.1 General. 7
4.4.2 Development of procedures documentation . 8
5 Conversion and migration requirements . 9
5.1 General . 9
5.2 Conversion and migration preparatory activities . 9
5.3 Conversion/migration process metadata .10
5.3.1 Conversion and migration process metadata implementation issues .10
6 Conversion and migration technology planning .11
6.1 General .11
6.2 Business requirements .11
6.3 General administrative planning .12
6.4 Technology planning requirements .13
6.4.1 Challenges posed by records created by new and emerging technologies .13
6.4.2 New and emerging technologies as enables of conversion and migration .14
6.5 External conversion and migration services .14
7 Conversion and migration procedures .15
7.1 General .15
7.2 Procedures .15
7.2.1 General.15
7.2.2 Guidance on selecting appropriate procedures .16
7.2.3 Maintaining the records' characteristics .16
7.3 Conversion/migration project planning .18
7.3.1 General.18
7.3.2 Step 1: Understand the source records and their organizational environment.18
7.3.3 Step 2: Choose the desired state of the target records .19
7.3.4 Step 3: Choose/develop the conversion method and activities .19
7.3.5 Step 4: Choose/develop a method of testing the conversion/migration
method and activities .20
7.3.6 Step 5: Choose/develop a method of validating the conversion/migration
and activities .20
7.3.7 Step 6: Decide on disposal of the source records .20
7.3.8 Step 7: Identify the required resources .20
7.3.9 Step 8: Document the conversion/migration process .21
7.3.10 Step 9: Document and obtain approval for the conversion/migration plan .21
7.4 Testing .21
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oSIST ISO/DIS 13008:2021
ISO/DIS 13008:2021(E)
7.4.1 General.21
7.4.2 Step 1: Plan the test .22
7.4.3 Step 2: Configure the test environment .22
7.4.4 Step 3: Conduct the test .22
7.4.5 Step 4: Assess test results .23
7.4.6 Step 5: Report results .23
7.5 Conversion/migration .23
7.5.1 General.23
7.5.2 Step 1: Prepare for the conversion/migration .23
7.5.3 Step 2: Define the records for conversion/migration .23
7.5.4 Step 3: Configure the conversion/migration environment .25
7.5.5 Step 4: Conduct conversion/migration .25
7.5.6 Step 5: Check and correct errors .25
7.6 Validating .25
7.6.1 General.25
7.6.2 Step 1: Assign responsibility .25
7.6.3 Step 2: Determine the validation activities .26
7.6.4 Step 3: Establish the system in the validation environment .26
7.6.5 Step 4: Conduct validation .26
7.6.6 Step 5: Analyse results .26
7.6.7 Step 6: Report results of the validation .26
7.6.8 Step 7: Update descriptive information about the records .27
7.6.9 Step 8: Manage the originating version.27
7.6.10 Step 9: Operationalize the new version .27
7.6.11 Step 10: Authorization .27
8 Monitoring .28
Bibliography .29
iv © ISO 2021 – All rights reserved
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oSIST ISO/DIS 13008:2021
ISO/DIS 13008:2021(E)
Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards
bodies (ISO member bodies). The work of preparing International Standards is normally carried out
through ISO technical committees. Each member body interested in a subject for which a technical
committee has been established has the right to be represented on that committee. International
organizations, governmental and non-governmental, in liaison with ISO, also take part in the work.
ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of
electrotechnical standardization.
International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2.
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 13008 was prepared by Technical Committee ISO/TC 46, Information and documentation,
Subcommittee SC 11, Archives/records management.
© ISO 2021 – All rights reserved v
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oSIST ISO/DIS 13008:2021
ISO/DIS 13008:2021(E)
Introduction
This document provides guidance for the conversion of records from one format to another and the
migration of records from one hardware or software configuration to another. It contains applicable
records management requirements, the organizational and business framework for conducting the
conversion and migration process, technology planning issues, and monitoring/controls for the process.
It also identifies the steps, components and particular methodologies for each of these processes,
covering such topics as workflow, testing, version control and validation.
Due to the rapid pace of technological change, and digital preservation requirements, many records in
digital form will, at some point, need to be converted from one format to another, or migrated from one
system to another to ensure their continued accessibility and processability.
This is not to suggest that conversion and migration are the only approaches to preserving digital
records. Other methods, such as emulation, do exist or are under development. Conversion and migration
are, however, two of the more prevalent methods of digital preservation. While this document does
not address digital preservation per se, the conversion and migration processes can have an impact on
a digital preservation strategy. How an organization chooses to set up the conversion and migration
processes (which format to employ, the level of control needed and so on) largely influences its view of
the record. There is no single, one-size-fits-all preservation method. However, institutions recognize
the benefit of standardized procedures; many test beds and task forces have been established to explore
and research conversion, migration, emulation and refreshment, among other preservation procedures,
to determine what should work best.
Conversion and migration represent separate approaches to preserving digital records. It is
important to implement them in a managed way to prevent any degradation or loss in the authenticity,
reliability, integrity and usability of the records, thus ensuring an “authoritative record” as described
in ISO 15489-1:2016, 5.2.2. This document outlines the program components, planning issues,
recordkeeping requirements and procedures for performing the conversion and migration of digital
records so as to preserve their authenticity, reliability, integrity and usability so that they continue to
act as evidence of business transactions. In cases where conversion and migration are carried out at the
same time, all requirements and guidance in this document apply.
From the outset, note that it is not necessary to adopt all of the procedures recommended in this
document to ensure that records management requirements are met. The decision regarding which
procedures to adopt depends on such factors as the type of conversion or migration to be performed and
the level of risk the organization is willing to accept. In addition, organizations would be well advised
to incorporate future planning for further conversion and/or migration of records among requirements
for managing enterprise electronic recordkeeping systems.
Before starting a conversion or migration project, individuals designated as “key” to the process need
to be aware of records management requirements. The term "recordkeeping criteria/requirements" in
records and information management means an adherence to a set of principles that relate to record
integrity, authenticity, reliability and usability. Adherence to these principles ensures that record
content, context and structure are maintained and that a given record’s standing as evidence of business
activity is not compromised. The principles apply regardless of how long the record is retained.
This document does not specifically address conversions and migrations as a routine, ongoing business-
as-usual work.
vi © ISO 2021 – All rights reserved
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oSIST ISO/DIS 13008:2021
DRAFT INTERNATIONAL STANDARD ISO/DIS 13008:2021(E)
Information and documentation — Digital records
conversion and migration process
1 Scope
This document specifies the planning issues, requirements and procedures for the conversion and/or
migration of digital records in order to preserve the authenticity, reliability, integrity and usability of
such records as evidence of business functions, processes, activities and transactions. These procedures
do not comprehensively cover:
— backup systems;
— preservation of digital records;
— functionality of trusted digital repositories;
— the process of converting analogue formats to digital formats and vice versa.
2 Normative references
There are no normative references cited in this document.
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
ISO and IEC maintain terminological databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at https:// www .electropedia .org/
3.1
access
right, opportunity, means of finding, using, or retrieving information
[SOURCE: ISO 5127: 2017, 3.11.1.01]
3.2
attribute
characteristic of an object or entity
Note 1 to entry: Adapted from ISO/IEC 11179-3:2003.
[SOURCE: ISO 23081-1:2017, 3.3]
3.3
authenticity
quality of a record that can be proven to be what it purports to be, to have been created or sent by the
agent purported to have created or sent it, and to have been created or sent when purported
[SOURCE: ISO 30300:2020, 3.2.2]
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3.4
content information
set of information that is the original target of preservation or that includes part or all of that
information
[SOURCE: ISO 19165-1:2018(en)]
3.5
conversion
changing records from one format to another
[SOURCE: ISO 30300:2020, 3.4.5]
3.6
data cleansing
process used to improve data quality by detecting and correcting (or removing) defects and errors in
data
[SOURCE: ISO 5127:2017(en), 3.1.11.21]
3.7
data object
discrete data, considered as a unit, representing an instance of a data structure that is known or
assumed to be known
[SOURCE: ISO/IEC 2382:2015, 2121425]
3.8
emulation
recreation of the functionality and behaviour of an obsolete digital system (3.1.1.13) , using software
(3.1.12.14) (called emulator) on current computer systems
Note 1 to entry: Emulation is a key digital preservation (3.12.1.19) strategy.
[SOURCE: ISO 5127:2017(en), 3.12.1.20]
3.9
encryption
(reversible) transformation of data by a cryptographic algorithm to produce ciphertext, i.e. to hide the
information content of the data
Note 1 to entry: Adapted from [ISO/IEC 18033-6:2019(en), 3.8]
3.10
file format
encoding of a file type that can be rendered or interpreted in a consistent, expected and meaningful
way through the intervention of a particular piece of software or hardware which has been designed to
handle that format
Note 1 to entry: A file may (or may not) be a container containing zero or more files of various formats. File
formats may be defined by a specification, or by a reference software system. Many file formats exist in forms
with minor variations and many also in more than one version. Typing of file formats should be interpreted
generously rather than strictly, but sufficiently precisely to distinguish versions where such distinctions have
significant interpretive consequences.
[SOURCE: PRONOM Vocabulary Specification, The National Archives UK, 2011]
3.11
integrity
quality of being complete and unaltered
[SOURCE: ISO 30300:2020, 3.2.8]
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3.12
metadata for records
structured or semi-structured information, which enables the records processes through time and
within and across organizations
[SOURCE: ISO 30300:2020, 3.2.9]
3.13
migration
moving records from one hardware or software configuration to another
[SOURCE: ISO 30300:2020, 3.4.10]
3.14
originating
initial manifestation of something
3.15
preservation
measures taken to maintain the useability, authenticity, reliability and integrity of records over time
Note 1 to entry: Measures include principles, policies, rules, strategies, processes and operations.
[SOURCE: ISO 30300:2020, 3.4.11]
3.16
record
information created or received and maintained as evidence and as an asset by an organization, in
pursuit of legal obligations or in the course of conducting business
Note 1 to entry: Records are normally used in plural.
Note 2 to entry: In a management system standard (MSS) implementation, the records created to conduct and
direct the management system and to document its implementation are called documented information.
[SOURCE: ISO 30300:2020, 3.4.10]
3.17
refreshment
digital migration where the effect is to replace a media instance with a copy that is sufficiently exact
that all archival storage hardware and software continues to run as before
[SOURCE: ISO 19165-1:2018(en), 3.31]
3.18
reliability
quality of a record that can be proven to be complete and accurate
[SOURCE: ISO 30300:2020, 3.2.11]
3.19
replication
digital migration where there is no change to the packaging information, the content information, and
the preservation description information
Note 1 to entry: The bits used to represent these information objects are preserved in the transfer to the same or
new media instance.
Note 2 to entry: Adapted from ISO 14721:2012.
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3.20
representation information
information that maps a data object into more meaningful concepts
[SOURCE: Adapted from ISO 19165-1:2018]
3.21
Source Record
document or record that has been copied, converted or migrated or will be the input for such a process
Note 1 to entry: Adapted from ISO/TR 13028:2010, 3.8
3.22
useability (preferred term)
usability (admitted term)
property of being able to be located, retrieved, presented and understood
Note 1 to entry: Useability may also refer to the extent to which a system, product, or service can be used by
specified users to achieve specified goals with effectiveness, efficiency, and satisfaction in a specified context of
use.
[SOURCE: ISO 30300:2020, 3.2.12]
3.23
validation
the process of evaluating a system or component to ensure compliance with the functional, performance
and interface requirements
[SOURCE: ISO/IEC 14776-121:2010, 3.1.108]
4 Organizational and business framework
4.1 General
This clause addresses the drivers that often prompt the need for the conversion or migration of digital
records, the issues that organizations should consider when evaluating the need for conversion or
migration of their records, and the steps taken in developing a conversion and migration program. It
discusses the decision making and resource allocation associated with the conversion or migration
within the organizational framework, as well as the technical infrastructure that supports the
conversion and migration processes and which should be used to ensure the records’ authenticity and
integrity for as long as they are needed.
4.2 Conversion and migration drivers
4.2.1 General
A variety of drivers can compel an organization to convert or migrate its digital records. Some records
have longer retention requirements than a software application or storage medium can sustain,
prompting organizations to convert or migrate their records while supporting systems are still viable.
Some records may need to be converted or migrated because the corresponding media becomes
contaminated. Organizations might also choose to convert or migrate records proactively on the basis of
operational factors relating to record volume, access, storage efficiency, business and technology cycles,
or organizational change (such as outsourcing, mergers or acquisitions). In extreme circumstances,
organizations might be compelled to convert or migr
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