ISO/TR 15801:2017

Document management — Electronically stored information — Recommendations for trustworthiness and reliability

ISO/TR 15801:2017 describes the implementation and operation of information management systems that store and make available for use electronically stored information (ESI) in a trustworthy and reliable manner. Such ESI can be of any type, including "page based" information, information in databases and audio/video information. ISO/TR 15801:2017 is for use by any organization that uses systems to store trustworthy ESI over time. Such systems incorporate policies, procedures, technology and audit requirements that ensure that trustworthiness of the ESI is maintained. ISO/TR 15801:2017 does not cover processes used to evaluate whether ESI can be considered to be trustworthy prior to it being stored or imported into the system. However, it can be used to demonstrate that, once the electronic information is stored, output from the system will be a true and accurate reproduction of the ESI created and/or imported.

Gestion de document — Information stockée électroniquement — Recommandations pour contribuer à l'intégrité et à la fiabilité des informations stockées

General Information

• Status: Published
• Publication Date: 16-May-2017
• ICS: 37.080 - Document imaging applications
• Technical Committee: ISO/TC 171/SC 1 - Quality, preservation and integrity of information
• Drafting Committee: ISO/TC 171/SC 1/WG 9 - Document management - Information stored electronically
• Current Stage: 9092 - International Standard to be revised
• Start Date: 10-Aug-2023
• Completion Date: 19-Apr-2025

Relations

• Revises: ISO/TR 15801:2009 - Document management — Information stored electronically — Recommendations for trustworthiness and reliability
• Effective Date: 28-Jun-2014

Standards Content (Sample)

TECHNICAL ISO/TR
REPORT 15801
Third edition
2017-05
Document management —
Electronically stored information —
Recommendations for trustworthiness
and reliability
Gestion de document — Information stockée électroniquement —
Recommandations pour contribuer à l’intégrité et à la fiabilité des
informations stockées
Reference number
©
ISO 2017
© ISO 2017, Published in Switzerland
All rights reserved. Unless otherwise specified, 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
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ii © ISO 2017 – All rights reserved

Contents Page
Foreword .vi
Introduction .vii
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Information management policy . 2
4.1 General . 2
4.2 Information management policy document . 2
4.2.1 Contents . . 2
4.2.2 ESI covered . 3
4.2.3 ESI roles and responsibilities . 3
4.2.4 ESI security classification . 3
4.2.5 Storage media . 4
4.2.6 Data file formats and compression . 4
4.2.7 Outsourcing . 4
4.2.8 Standards related to information management . 4
4.2.9 Retention and disposal schedules . 5
4.2.10 Information management responsibilities . . 5
4.2.11 Compliance with policy . 5
5 Duty of care . 5
5.1 General . 5
5.1.1 Trusted system . 5
5.1.2 Controls . 5
5.1.3 Segregation of roles . 6
5.2 Information security management . 6
5.2.1 Information security policy . 6
5.2.2 Risk assessment . . 7
5.2.3 Information security framework . 8
5.3 Business continuity planning . 8
5.4 Consultations . 8
6 Procedures and processes . 9
6.1 General . 9
6.2 Procedures manual . 9
6.2.1 Documentation . 9
6.2.2 Content . 9
6.2.3 Compliance with procedures .10
6.2.4 Updating and reviews .10
6.3 ESI capture .10
6.3.1 General.10
6.3.2 Creation and importing .11
6.3.3 Information loss .11
6.3.4 Metadata .12
6.4 Document image capture .12
6.4.1 General.12
6.4.2 Preparation of paper documents .12
6.4.3 Document batching .13
6.4.4 Photocopying .13
6.4.5 Scanning processes .14
6.4.6 Quality control .15
6.4.7 Rescanning .17
6.4.8 Image processing .17
6.5 Data capture .17
6.5.1 Data creation .17
6.5.2 Conversion and migration .18
6.6 Database considerations .18
6.6.1 General.18
6.6.2 Database systems .18
6.6.3 Database schemas .20
6.6.4 Master data management .20
6.6.5 Transactional vs. updating .21
6.7 Indexing .21
6.7.1 General.21
6.7.2 Manual indexing .21
6.7.3 Automatic indexing .21
6.7.4 Index storage .21
6.7.5 Index amendments .22
6.7.6 Index accuracy .22
6.8 Authenticated output procedures .22
6.9 ESI transmission .23
6.9.1 Intra-system ESI transfer .23
6.9.2 External transmission of files .23
6.10 Information retention .24
6.11 Information preservation .25
6.12 Information destruction .
...