oSIST ISO/DIS 13008:2021

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

General Information

• Status: Not Published
• Public Enquiry End Date: 14-Oct-2021
• ICS: 01.140.20 - Information sciences
• Technical Committee: IDT - Information, documentation, language and terminology
• Current Stage: 4020 - Public enquire (PE) (Adopted Project)
• Start Date: 23-Aug-2021
• Due Date: 10-Jan-2022
• Completion Date: 05-Nov-2021
• Ref Project: ISO/DIS 13008 - Information and documentation — Digital records conversion and migration process

RELATIONS

• Revised: SIST ISO 13008:2013 - Information and documentation -- Digital records conversion and migration process
• Effective Date: 15-Mar-2018

Standards Content (sample)

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
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Phone: [phone]
Email: [e-mail]
Website: www.iso.org
Published in Switzerland
ii © ISO 2021 – All rights reserved
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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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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

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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.

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.
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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.
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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
...