SIST ISO 16175-3:2013

Information and documentation -- Principles and functional requirements for records in electronic office environments -- Part 3: Guidelines and functional requirements for records in business systems

This document will help organisations to ensure that evidence (records) of business activities transacted through business systems are appropriately identified and managed. Specifically, it will assist organisations to: - understand processes and requirements for identifying and managing records in business systems; - develop requirements for functionality for records to be included in a design specification when building, upgrading or purchasing business system software; - evaluate the records management capability of proposed customised or commercial off-the-shelf business system software; and - review the functionality for records or assess compliance of existing business systems. It does not provide a complete specification but rather outlines a number of key records management requirements, with recommended levels of obligation, which can be used as a starting point for further development. As outlined in the document, organisations will still need to assess, amend and select their requirements based on their business, technical and jurisdictional environments and constraints. This Module only addresses records management requirements and does not include general system management. Design requirements such as usability, reporting, searching, system administration and performance are beyond the scope of this document. It also assumes a level of knowledge about developing design specifications, procurement and evaluation processes, therefore these related issues are not covered in any detail. Requirements for the long-term preservation of digital records are not explicitly covered within this document. However, the inclusion of requirements for export supports preservation by allowing the export of records to a system that is capable of long-term preservation activities, or for the ongoing migration of records into new systems. While the guidance presented in this Module should be applicable to records management in highly integrated software environments based on service-oriented architectures, such scenarios are not explicitly addressed. Similar principles and processes will apply in such environments, but additional analysis will be required to determine what processes and data constitute, across multiple systems, the required evidence or record of any particular transaction. Use of the term 'system' in this document refers to a computer or IT system. This is in contrast to the records management understanding of the term that encompasses the broader aspects of people, policies, procedures and practices. Organisations will need to consider these wider aspects, and to ensure that fundamental records management supporting tools such as disposition authorities,2 information security classifications and a records culture are in place, in order to ensure records from business systems can be appropriately managed.

Information et documentation -- Principes et exigences fonctionnelles pour les enregistrements dans les environnements électroniques de bureau -- Partie 3: Lignes directrices et exigences fonctionnelles pour les enregistrements dans les systèmes d'entreprise

Informatika in dokumentacija - Načela in funkcionalne zahteve za zapise v okoljih elektronske pisarne - 3. del: Smernice in funkcionalne zahteve za zapise v poslovnih sistemih

Ta dokument bo organizacijam pomagal zagotoviti, da ustrezno identificirajo dokaze (zapise) poslovnih dejavnosti, ki so bile opravljene prek poslovnega sistema, in da z njimi ustrezno upravljajo. Natančneje, organizacijam bo pomagal: – razumeti postopke in zahteve za identifikacijo zapisov in upravljanje z njimi v poslovnih sistemih; – razviti zahteve za vključevanje funkcionalnosti zapisov v specifikacije zasnove pri oblikovanju, nadgradnji ali nakupu programske opreme za poslovne sisteme; – vrednotiti zmogljivost upravljanja z zapisi predlagane prilagojene ali nabavljene komercialne programske opreme za poslovne sisteme; in – pregledati funkcionalnost za zapise ali oceniti skladnost obstoječih poslovnih sistemov. Ne zagotavlja celotne specifikacije, ampak okvirno določa številne ključne zahteve za upravljanje z zapisi skupaj s priporočeno stopnjo obveznosti, ki se lahko uporabi kot izhodišče za nadaljnji razvoj. Kot je navedeno v dokumentu, bodo organizacije še vedno morale oceniti, popraviti in izbrati svoje zahteve glede na svoje poslovno, tehnično in sodno okolje ter omejitve. Ta modul se nanaša samo na zahteve za upravljanje z zapisi in ne vključuje splošnega upravljanja s sistemom. Zahteve zasnove, kot so uporabnost, poročanje, iskanje, skrbništvo sistema in zmogljivost, v tem dokumentu niso obravnavane. Prav tako predvideva dobro znanje o razvoju specifikacij zasnove ter postopkih nabave in vrednotenja, zato teh vprašanj ta del podrobno ne zajema. Zahteve za dolgotrajno shranjevanje digitalnih zapisov izrecno niso obravnavane v tem dokumentu. Vendar pa vključitev zahtev za izvoz podpira shranjevanje, saj omogoča izvoz zapisov v sistem, ki omogoča dolgotrajno shranjevanje, ali nenehno migracijo zapisov v nove sisteme. Čeprav se navodila v tem modulu uporabljajo za upravljanje z zapisi v programskih okoljih z visoko stopnjo integracije, ki temeljijo na v storitve usmerjenih arhitekturah, pa taki scenariji niso izrecno obravnavani. V takih okoljih sicer veljajo podobna načela in postopki, vendar je potrebna dodatna analiza, da se določi, kateri postopki in podatki v več sistemih predstavljajo zahtevane dokaze ali zapise o kateri koli posebni transakciji. Uporaba izraza »sistem« se v tem dokumentu nanaša na računalnik ali na sistem IT. To je v nasprotju z razumevanjem izraza pri upravljanju z zapisi, ki vključuje širši vidik ljudi, politik, postopkov in praks. Organizacije bodo morale upoštevati te širše vidike, da zagotovijo obstoj osnovnih podpornih orodij za upravljanje zapisov, kot so organi za odstranjevanje zapisov, klasifikacije informacijske varnosti in kultura zbiranja zapisov, da zagotovijo ustrezno upravljanje z dokumenti iz poslovnih sistemov.

General Information

• Status: Withdrawn
• Publication Date: 06-Jun-2013
• Withdrawal Date: 08-Dec-2020
• ICS: 01.140.20 - Information sciences
• Technical Committee: IDT - Information, documentation, language and terminology
• Current Stage: 9900 - Withdrawal (Adopted Project)
• Start Date: 08-Dec-2020
• Due Date: 31-Dec-2020
• Completion Date: 09-Dec-2020
• Ref Project: ISO 16175-3:2010 - Information and documentation — Principles and functional requirements for records in electronic office environments — Part 3: Guidelines and functional requirements for records in business systems

Relations

• Replaced By: SIST ISO/TS 16175-2:2021 - Information and documentation - Processes and functional requirements for software for managing records - Part 2: Guidance for selecting, designing, implementing and maintaining software for managing records
• Effective Date: 01-Feb-2021

Standards Content (Sample)

SLOVENSKI STANDARD
SIST ISO 16175-3:2013
01-julij-2013
,QIRUPDWLNDLQGRNXPHQWDFLMD1DþHODLQIXQNFLRQDOQH]DKWHYH]D]DSLVHYRNROMLK
HOHNWURQVNHSLVDUQHGHO6PHUQLFHLQIXQNFLRQDOQH]DKWHYH]D]DSLVHY
SRVORYQLKVLVWHPLK
Information and documentation -- Principles and functional requirements for records in
electronic office environments -- Part 3: Guidelines and functional requirements for
records in business systems
Information et documentation -- Principes et exigences fonctionnelles pour les
enregistrements dans les environnements électroniques de bureau -- Partie 3: Lignes
directrices et exigences fonctionnelles pour les enregistrements dans les systèmes
d'entreprise
Ta slovenski standard je istoveten z: ISO 16175-3:2010
ICS:
01.140.20 Informacijske vede Information sciences
SIST ISO 16175-3:2013 en,fr,de
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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SIST ISO 16175-3:2013

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SIST ISO 16175-3:2013

INTERNATIONAL ISO
STANDARD 16175-3
First edition
2010-12-01

Information and documentation —
Principles and functional requirements
for records in electronic office
environments —
Part 3:
Guidelines and functional requirements
for records in business systems
Information et documentation — Principes et exigences fonctionnelles
pour les enregistrements dans les environnements électroniques de
bureau —
Partie 3: Lignes directrices et exigences fonctionnelles pour les
enregistrements dans les systèmes d'entreprise




Reference number
ISO 16175-3:2010(E)
©
ISO 2010

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SIST ISO 16175-3:2013
ISO 16175-3:2010(E)
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ii © ISO 2010 – All rights reserved

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SIST ISO 16175-3:2013
ISO 16175-3:2010(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 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.
ISO 16175-3 was prepared by the International Council on Archives (as International Council on Archives and
the Australasian Digital Recordkeeping Initiative Principles and Functional Requirements for Records in
Electronic Office Environments — Module 1: Overview and Statement of Principles) and was adopted, under a
special “fast-track procedure”, by Technical Committee ISO/TC 46, Information and documentation,
Subcommittee SC 11, Archives/records management, in parallel with its approval by the ISO member bodies.
ISO 16175 consists of the following parts, under the general title Information and documentation — Principles
and functional requirements for records in electronic office environments:
⎯ Part 1: Overview and statement of principles
⎯ Part 2: Guidelines and functional requirements for records in electronic office environments
⎯ Part 3: Guidelines and functional requirements for records in business systems
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ISO 16175-3:2010(E)
Blank page
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SIST ISO 16175-3:2013
ISO 16175-3:2010(E)

International Council on Archives





`
Principles and functional requirements for
records in digital office environments
Module 3
Guidelines and functional
requirements for records in
business systems

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SIST ISO 16175-3:2013
ISO 16175-3:2010(E)



















Published by the International Council on Archives. This module was developed by the National Archives of
Australia and Queensland State Archives in conjunction with a joint project team formed by members of the
International Council on Archives and the Australasian Digital Recordkeeping Initiative.
© International Council on Archives 2008
ISBN: 978-2-918004-02-8
Reproduction by translation or reprinting of the whole or of parts for non-commercial purposes is allowed on
condition that due acknowledgement is made.
This publication should be cited as: International Council on Archives, Principles and Functional
Requirements for Records in Digital Office Environments – Module 3: Guidelines and Functional
Requirements for Records in Business Systems, 2008, published at www.ica.org.
vi © ISO 2010 – All rights reserved

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SIST ISO 16175-3:2013
ISO 16175-3:2010(E)
International Council on Archives Records in Business Systems
CONTENTS
1 INTRODUCTION 1
1.1 Scope and purpose 1
1.2 Audience 2
1.3 Related standards 3
1.4 Terminology 3
1.5 Structure 4
2 GUIDELINES 5
2.1 Why is it important to have evidence of business processes and
activities? 5
2.2 The business systems landscape and records 6
2.3 Determining needs for evidence of events, transactions and decisions
in business systems 7
2.3.1 Analyse the work process 7
2.3.2 Identify requirements for evidence of the business 8
2.3.3 Identify the content and its associated management
information that record this evidence 9
2.3.4 Identify linkages and dependencies 15
2.3.5 Devise strategies to address core records processes based
on an options assessment 16
2.3.6 Risk and options assessment 20
2.3.7 Implementation 21
2.4 Using the functional requirements 23
2.4.1 Key outcomes 24
2.4.2 Developing a software design specification for a business
system with records management functionality 25
2.4.3 Reviewing, assessing and auditing existing business
systems 26
2.4.4 Undertaking the review process 27
2.5 Entity relationship models 29
2.5.1 Record categories and the records classification scheme 29
2.5.2 Aggregations of digital records 30
2.5.3 Digital records 31
2.5.4 Extracts 31
2.5.5 Components 31
3 FUNCTIONAL REQUIREMENTS 32
3.1 Creating records in context 34
3.1.1 Creating a fixed record 35
3.1.2 Record metadata 38
3.1.3 Managing of aggregations of digital records 39
3.1.4 Records classification 40
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International Council on Archives Records in Business Systems
3.2 Managing and maintaining records 40
3.2.1 Metadata configuration 42
3.2.2 Record reassignment, reclassification, duplication and
extraction 43
3.2.3 Reporting on records 44
3.2.4 Online security processes 44
3.3 Supporting import, export and interoperability 47
3.3.1 Import 48
3.3.2 Export 48
3.4 Retaining and disposing of records as required 49
3.4.1 Compliance with disposition authorisation regimes 50
3.4.2 Disposition application 52
3.4.3 Review 54
3.4.4 Destruction 55
3.4.5 Disposition metadata 55
3.4.6 Reporting on disposition activity 56
4 APPENDICES 58
A Glossary 58
B Integrating records considerations into the systems development life
cycle 67
1 Project initiation 67
3 Requirements analysis 68
4 Design 68
5 Implementation 69
6 Maintenance 69
7 Review and evaluation 70
C Further reading 71
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SIST ISO 16175-3:2013
INTERNATIONAL STANDARD ISO 16175-3:2010(E)

International Council on Archives Records in Business Systems
1 INTRODUCTION
Organisations implement business systems to automate business activities and
transactions. As a result, the digital information generated by a business system
increasingly serves as the only evidence or record of the process, despite the system
not being designed for this purpose. Without evidence of these activities,
organisations are exposed to risk and may be unable to meet legislative,
accountability, business and community expectations.
Because of the dynamic and manipulable nature of business systems, the capture of
fixed records and the ongoing management of their authenticity, reliability, usability
and integrity can be challenging. Organisations are therefore faced with a significant
risk of mismanagement, inefficiency and unnecessary expenditure.
While these same organisations may have an electronic records management
1
system (ERMS), it may not capture all records of the organisation. This document is
designed to address the records management gap caused by the increasing use of
business systems.
It provides guidelines on identifying and addressing the needs for records, and a set
of generic requirements for records management functionality within business
systems software. It aims to:
• help organizations understand digital records management requirements;
• assist organisations to improve digital records management practices;
• reduce the duplication of effort and associated costs in identifying a minimum
level of functionality for records in business systems; and
• establish greater standardisation of records management requirements for
software vendors.
The document does not prescribe a specific implementation approach. The intent of
these specifications can be realised through interfacing or integrating the business
system with an electronic records management system or by building the
functionality into the business system.
1.1 Scope and purpose
This document will help organisations to ensure that evidence (records) of business
activities transacted through business systems are appropriately identified and
managed. Specifically, it will assist organisations to:
• understand processes and requirements for identifying and managing records
in business systems;

1
 An electronic records management system is a type of business system specifically
designed to manage records. However, in the interests of clarify and brevity, for the
purpose of this document, ‘business system’ should be taken as excluding an electronic
records management system.

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SIST ISO 16175-3:2013
ISO 16175-3:2010(E)
International Council on Archives Records in Business Systems
• develop requirements for functionality for records to be included in a design
specification when building, upgrading or purchasing business system
software;
• evaluate the records management capability of proposed customised or
commercial off-the-shelf business system software; and
• review the functionality for records or assess compliance of existing business
systems.
It does not provide a complete specification but rather outlines a number of key
records management requirements, with recommended levels of obligation, which
can be used as a starting point for further development. As outlined in the document,
organisations will still need to assess, amend and select their requirements based on
their business, technical and jurisdictional environments and constraints.
This Module only addresses records management requirements and does not
include general system management. Design requirements such as usability,
reporting, searching, system administration and performance are beyond the scope
of this document. It also assumes a level of knowledge about developing design
specifications, procurement and evaluation processes, therefore these related issues
are not covered in any detail.
Requirements for the long-term preservation of digital records are not explicitly
covered within this document. However, the inclusion of requirements for export
supports preservation by allowing the export of records to a system that is capable of
long-term preservation activities, or for the ongoing migration of records into new
systems.
While the guidance presented in this Module should be applicable to records
management in highly integrated software environments based on service-oriented
architectures, such scenarios are not explicitly addressed. Similar principles and
processes will apply in such environments, but additional analysis will be required to
determine what processes and data constitute, across multiple systems, the required
evidence or record of any particular transaction.
Use of the term ’system’ in this document refers to a computer or IT system. This is
in contrast to the records management understanding of the term that encompasses
the broader aspects of people, policies, procedures and practices. Organisations will
need to consider these wider aspects, and to ensure that fundamental records
2
management supporting tools such as disposition authorities, information security
classifications and a records culture are in place, in order to ensure records from
business systems can be appropriately managed.
1.2 Audience
The primary audience for this document is staff responsible for designing, reviewing
and/or implementing business systems in organisations, such as business analysts

2
 A formal instrument that defines the retention periods and consequent actions authorised
for classes of records described in the authority.

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SIST ISO 16175-3:2013
ISO 16175-3:2010(E)
International Council on Archives Records in Business Systems
and groups overseeing information and communications technologies procurement
or investment decisions.
The audience also includes records professionals who are involved in advising or
assisting in such processes and software vendors and developers who wish to
incorporate records functionality within their products.
Given the target audience for this document, the use of specific records
management terminology has been kept to a minimum. Where the use of such
terminology is necessary, definitions can be found in the Glossary at Appendix A.
Some key definitions are also provided in Section 1.4: Key definitions.
1.3 Related standards
Under its Electronic Records and Automation Priority Area, the International Council
on Archives has developed a suite of guidelines and functional requirements as part
of the Principles and Functional Requirements for Records in Digital Office
Environments project:
• Module 1: Overview and Statement of Principles;
• Module 2: Guidelines and Functional Requirements for Records in Digital
Office Environments; and
• Module 3: Guidelines and Functional Requirements for Records in Business
Systems.
This document is Module 3 of the broader project. It has been developed with the
support of the Australasian Digital Recordkeeping Initiative.
While this Module may be used as a stand-alone resource, for a broader
understanding of the context and principles that have informed its development,
readers should also refer to Module 1.
The functional requirements identified in Part 2 are based on the minimum
requirements for records functionality as defined in the International Standard for
Records Management, ISO 15489.
The reference metadata standard for these requirements is ISO 23081 – 1: 2006,
Information and documentation – Records management processes – Metadata for
records, Part 1 – Principles, and ISO 23081 – 2: 2009, Information and
documentation – Records management processes – Metadata for records, Part 2 –
Conceptual and implementation Issues.
1.4 Terminology
It is recognised that many of the terms used in this document have different
meanings for different disciplines. It is therefore important that this document is read
in conjunction with the Glossary at Appendix A. A number of the key concepts used
in this document are also detailed below:
• Records are information created, received and maintained as evidence and
information by an organisation or person, in pursuance of legal obligations or

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International Council on Archives Records in Business Systems
3
in the transaction of business. They provide evidence of business
transactions and can exist in any format.
• Business systems, for the purposes of this document, are automated
systems that create or manage data about an organisation’s activities. They
include applications whose primary purpose is to facilitate transactions
between an organisational unit and its customers – for example, an e-
commerce system, client-relationship management system, purpose-built or
customised database, or finance or human resources systems. Business
systems are typified by containing dynamic data that is commonly subject to
constant updates (timely), able to be transformed (manipulable) and holds
current data (non-redundant). For the purposes of this document, business
systems exclude electronic records management systems.
• Electronic records management systems (ERMS) are specifically
designed to manage the maintenance and disposition of records. They
maintain the content, context, structure and links among records to enable
their accessibility and support their value as evidence. Electronic records
management systems are distinguished from business systems, for the
purpose of this document, because their primary function is the management
of records.
1.5 Structure
This document is divided into four main parts:
• Part 1: Introduction – describes the scope, purpose, audience and structure
of the overall document.
• Part 2: Guidelines – provides background information on the importance of
records management, describes key terms and concepts, and outlines a
process for determining an organisation’s need for records and identifying
records within business systems. It also outlines some of the issues and
processes to be considered when reviewing, designing, purchasing or
building business systems to incorporate functionality for records.
• Part 3: Functional requirements – provides an overview of the high-level
functional requirements for records that may be incorporated into a business
system, and outlines a recommended set of mandatory and optional records
management functional requirements for business systems (referred to as the
‘functional requirements’).
• Part 4: Appendices – provides a glossary of key terms and a list of
additional reading.

3
 International Standard on Records management, ISO 15489.

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ISO 16175-3:2010(E)
International Council on Archives Records in Business Systems
2 GUIDELINES
2.1 Why is it important to have evidence of business processes and
activities?
A key way organisations account for their activities is through evidence of business
transactions in the form of records. Records are valuable business assets that
enable organisations to defend their actions, improve decision-making, prove
ownership of physical and intellectual assets, and support all business processes.
Records are ‘information created, received, and maintained as evidence and
information, by an organisation or person, in pursuance of legal obligations or in the
4
transaction of business.’ They must be retained for a period of time that is in line
with an authorised retention schedule or ‘disposition authority’.
Organisations with business systems that have insufficient functionality for managing
records risk loss of this evidence, resulting in inefficiency, an inability to meet
accountability and legislative requirements, and a lack of corporate memory.
A record is not just a collection of data, but is the consequence or product of an
5
event. A distinguishing feature of records is that their content must exist in a fixed
form, that is, be a fixed representation of the business transaction. This can be
particularly challenging in a business system that, by nature, contains data that is
frequently updated and dynamic.
Records comprise not only content but also information about the context and
structure of the record. This information can be captured through metadata.
Metadata fixes the record in its business context and documents the record’s
management and use over time. Records metadata therefore serves to identify,
authenticate and contextualise the record, not only at the point of creation, but
6
continues to document its management and use over time. It allows records to be
located, rendered and understood in a meaningful way. The International Standard
on Information and documentation—Records management processes—Metadata for
records, Part 2, ISO 23081, provides a generic statement of metadata elements.
Organisations may also have jurisdictional-specific elements sets to which they must
adhere.
An appropriately managed record will:
• aid transparent, informed and quality decision-making and planning;
• provide an information resource that can be used to demonstrate and
account for organisational activities; and

4
 International Standard on Records Management, ISO 15489.
5
 Philip C Bantin, Strategies for Managing Electronic Records: Lessons Learned from the
Indiana University Electronic Records Project, available at
http://www.indiana.edu/~libarch/ER/ecure2000.pdf, 2003.
6
International Standard on Information and documentation—Records management
processes—Metadata for records, ISO 23081-1:2006.

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SIST ISO 16175-3:2013
ISO 16175-3:2010(E)
International Council on Archives Records in Business Systems
• enable consistency, continuity and efficiency in administration and
management, among other benefits.
The International Standard on Records management, ISO 15489, provides best-
practice guidance on how records should be managed to ensure they are authentic,
reliable, complete, unaltered and usable.
2.2 The business systems landscape and records
Business systems are normally mapped against some form of business process.
Given that records are the product of transactions and transactions, collectively, form
business processes (for example, the transactions involved in processing an
application for a licence), it follows that the integration of records functionality in
business systems should be undertaken from the perspective of the business
process.
Business processes having the greatest potential for reflecting good records
management are those that are highly structured with well-defined transactions
where the identification of where in the business process records should be
generated and even what they should look like (for example, forms) is relatively
clear. Similarly it follows that records management has great potential for being
integrated successfully in the business systems supporting such business processes
because, by necessity, their design has to be mapped to the transactions supporting
the business processes. Furthermore, the development of business systems
supporting defined business processes normally proceeds through a series of
structured steps based on the use of generally accepted systems development tools
and techniques that address each phase of the systems development life cycle, from
planning and design to implementation and review. In addition, in well-managed
business systems development projects, accountability for the integrity of the design,
development, and maintenance of the systems (including the integrity of the data
generated by the systems) is clearly assigned across all of those communities in the
organisation that have a responsibility for the systems (that is, from business users
of the systems to the specialists responsible for developing the systems). All of these
factors heighten the potential for records considerations to be integrated in the
design of business systems supporting structured and well-defined business
processes.
Records management integration is challenged significantly in an environment where
business processes are poorly defined, where tools and techniques for
systematically designing and developing systems are weak, and where
accountability for the technologies supporting the environment (and especially the
information generated in the environment) has not been assigned clearly. In such an
environment individuals (often ‘office workers’ at all levels of the organisation) have a
high level of autonomy in deciding what information they create and share, how they
share it, where they put it, how they organise, describe and retain it, and how they
dispose of it. Such an environment is often dominated by email messages and their
attachments where there are few business rules to guide their creation, transmission
and management. The integration of records management in such an environment is
extremely difficult because the foundation of defined business processes (or
workflow in the parlance of the modern office), structured approaches to systems

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International Council on Archives Records in Business Systems
development and assigned accountability are not in place (for more information, see
Appendix B).
2.3 Determining needs for evidence of events, transactions and
decisions in business systems
Not all information contained in a business system will necessarily be required to be
recorded as evidence. Prior to reviewing, designing, building or purchasing business
systems software, it is necessary to determine an organisation’s needs for records in
order to develop and implement appropriate strategies. This process is outlined in
Figure 1 and discussed in the following sections.
Figure 1: Steps to determine requirements for records


Step 1: Analyse the work process




Identification of Identification of

requirements
the information

for evidence of
that forms the
the business evidence

being
conducted in

the business
system



Step 2: Identify
linkages and

dependencies


Step 3: Devise

strategies, based on

options assessment


Step 4: Implement


2.3.1 Analyse the work process
Business systems typically store large volumes of data that are frequently updated.
Because of this, it can be difficult to know what information in the system needs to be
managed as a record to provide evidence of the business process or transaction.

© ISO 2010 – All rights reserved 7

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SIST ISO 16175-3:2013
ISO 16175-3:2010(E)
International Council on Archives Records in Business Systems
Business systems may consist of:
• a collection of data elements (or structured data) that are linked and
7
controlled by the system, for example, entries in a database;
• distinct digital objects controlled by the system that have a clearly defined
data format (or unstructured/semi-structured information), for example,
documents, emails or spreadsheets; or
• a combination of the above.
The process of identifying records must commence by stepping back from the IT
system itself, and undertaking an analysis of the work processes, including related
regulatory and business requirements, to determine what evidence is required to be
8
kept.
As records are directly linked to business processes, identifying the records is
assisted by standard business proc
...

INTERNATIONAL ISO
STANDARD 16175-3
First edition
2010-12-01

Information and documentation —
Principles and functional requirements
for records in electronic office
environments —
Part 3:
Guidelines and functional requirements
for records in business systems
Information et documentation — Principes et exigences fonctionnelles
pour les enregistrements dans les environnements électroniques de
bureau —
Partie 3: Lignes directrices et exigences fonctionnelles pour les
enregistrements dans les systèmes d'entreprise




Reference number
ISO 16175-3:2010(E)
©
ISO 2010

---------------------- Page: 1 ----------------------
ISO 16175-3:2010(E)
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ii © ISO 2010 – All rights reserved

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ISO 16175-3:2010(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 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.
ISO 16175-3 was prepared by the International Council on Archives (as International Council on Archives and
the Australasian Digital Recordkeeping Initiative Principles and Functional Requirements for Records in
Electronic Office Environments — Module 1: Overview and Statement of Principles) and was adopted, under a
special “fast-track procedure”, by Technical Committee ISO/TC 46, Information and documentation,
Subcommittee SC 11, Archives/records management, in parallel with its approval by the ISO member bodies.
ISO 16175 consists of the following parts, under the general title Information and documentation — Principles
and functional requirements for records in electronic office environments:
⎯ Part 1: Overview and statement of principles
⎯ Part 2: Guidelines and functional requirements for records in electronic office environments
⎯ Part 3: Guidelines and functional requirements for records in business systems
© ISO 2010 – All rights reserved iii

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ISO 16175-3:2010(E)
Blank page
iv © ISO 2010 – All rights reserved

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ISO 16175-3:2010(E)

International Council on Archives





`
Principles and functional requirements for
records in digital office environments
Module 3
Guidelines and functional
requirements for records in
business systems

© ISO 2010 – All rights reserved v

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ISO 16175-3:2010(E)



















Published by the International Council on Archives. This module was developed by the National Archives of
Australia and Queensland State Archives in conjunction with a joint project team formed by members of the
International Council on Archives and the Australasian Digital Recordkeeping Initiative.
© International Council on Archives 2008
ISBN: 978-2-918004-02-8
Reproduction by translation or reprinting of the whole or of parts for non-commercial purposes is allowed on
condition that due acknowledgement is made.
This publication should be cited as: International Council on Archives, Principles and Functional
Requirements for Records in Digital Office Environments – Module 3: Guidelines and Functional
Requirements for Records in Business Systems, 2008, published at www.ica.org.
vi © ISO 2010 – All rights reserved

---------------------- Page: 6 ----------------------
ISO 16175-3:2010(E)
International Council on Archives Records in Business Systems
CONTENTS
1 INTRODUCTION 1
1.1 Scope and purpose 1
1.2 Audience 2
1.3 Related standards 3
1.4 Terminology 3
1.5 Structure 4
2 GUIDELINES 5
2.1 Why is it important to have evidence of business processes and
activities? 5
2.2 The business systems landscape and records 6
2.3 Determining needs for evidence of events, transactions and decisions
in business systems 7
2.3.1 Analyse the work process 7
2.3.2 Identify requirements for evidence of the business 8
2.3.3 Identify the content and its associated management
information that record this evidence 9
2.3.4 Identify linkages and dependencies 15
2.3.5 Devise strategies to address core records processes based
on an options assessment 16
2.3.6 Risk and options assessment 20
2.3.7 Implementation 21
2.4 Using the functional requirements 23
2.4.1 Key outcomes 24
2.4.2 Developing a software design specification for a business
system with records management functionality 25
2.4.3 Reviewing, assessing and auditing existing business
systems 26
2.4.4 Undertaking the review process 27
2.5 Entity relationship models 29
2.5.1 Record categories and the records classification scheme 29
2.5.2 Aggregations of digital records 30
2.5.3 Digital records 31
2.5.4 Extracts 31
2.5.5 Components 31
3 FUNCTIONAL REQUIREMENTS 32
3.1 Creating records in context 34
3.1.1 Creating a fixed record 35
3.1.2 Record metadata 38
3.1.3 Managing of aggregations of digital records 39
3.1.4 Records classification 40
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ISO 16175-3:2010(E)
International Council on Archives Records in Business Systems
3.2 Managing and maintaining records 40
3.2.1 Metadata configuration 42
3.2.2 Record reassignment, reclassification, duplication and
extraction 43
3.2.3 Reporting on records 44
3.2.4 Online security processes 44
3.3 Supporting import, export and interoperability 47
3.3.1 Import 48
3.3.2 Export 48
3.4 Retaining and disposing of records as required 49
3.4.1 Compliance with disposition authorisation regimes 50
3.4.2 Disposition application 52
3.4.3 Review 54
3.4.4 Destruction 55
3.4.5 Disposition metadata 55
3.4.6 Reporting on disposition activity 56
4 APPENDICES 58
A Glossary 58
B Integrating records considerations into the systems development life
cycle 67
1 Project initiation 67
3 Requirements analysis 68
4 Design 68
5 Implementation 69
6 Maintenance 69
7 Review and evaluation 70
C Further reading 71
viii © ISO 2010 – All rights reserved

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INTERNATIONAL STANDARD ISO 16175-3:2010(E)

International Council on Archives Records in Business Systems
1 INTRODUCTION
Organisations implement business systems to automate business activities and
transactions. As a result, the digital information generated by a business system
increasingly serves as the only evidence or record of the process, despite the system
not being designed for this purpose. Without evidence of these activities,
organisations are exposed to risk and may be unable to meet legislative,
accountability, business and community expectations.
Because of the dynamic and manipulable nature of business systems, the capture of
fixed records and the ongoing management of their authenticity, reliability, usability
and integrity can be challenging. Organisations are therefore faced with a significant
risk of mismanagement, inefficiency and unnecessary expenditure.
While these same organisations may have an electronic records management
1
system (ERMS), it may not capture all records of the organisation. This document is
designed to address the records management gap caused by the increasing use of
business systems.
It provides guidelines on identifying and addressing the needs for records, and a set
of generic requirements for records management functionality within business
systems software. It aims to:
• help organizations understand digital records management requirements;
• assist organisations to improve digital records management practices;
• reduce the duplication of effort and associated costs in identifying a minimum
level of functionality for records in business systems; and
• establish greater standardisation of records management requirements for
software vendors.
The document does not prescribe a specific implementation approach. The intent of
these specifications can be realised through interfacing or integrating the business
system with an electronic records management system or by building the
functionality into the business system.
1.1 Scope and purpose
This document will help organisations to ensure that evidence (records) of business
activities transacted through business systems are appropriately identified and
managed. Specifically, it will assist organisations to:
• understand processes and requirements for identifying and managing records
in business systems;

1
 An electronic records management system is a type of business system specifically
designed to manage records. However, in the interests of clarify and brevity, for the
purpose of this document, ‘business system’ should be taken as excluding an electronic
records management system.

© ISO 2010 – All rights reserved 1

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ISO 16175-3:2010(E)
International Council on Archives Records in Business Systems
• develop requirements for functionality for records to be included in a design
specification when building, upgrading or purchasing business system
software;
• evaluate the records management capability of proposed customised or
commercial off-the-shelf business system software; and
• review the functionality for records or assess compliance of existing business
systems.
It does not provide a complete specification but rather outlines a number of key
records management requirements, with recommended levels of obligation, which
can be used as a starting point for further development. As outlined in the document,
organisations will still need to assess, amend and select their requirements based on
their business, technical and jurisdictional environments and constraints.
This Module only addresses records management requirements and does not
include general system management. Design requirements such as usability,
reporting, searching, system administration and performance are beyond the scope
of this document. It also assumes a level of knowledge about developing design
specifications, procurement and evaluation processes, therefore these related issues
are not covered in any detail.
Requirements for the long-term preservation of digital records are not explicitly
covered within this document. However, the inclusion of requirements for export
supports preservation by allowing the export of records to a system that is capable of
long-term preservation activities, or for the ongoing migration of records into new
systems.
While the guidance presented in this Module should be applicable to records
management in highly integrated software environments based on service-oriented
architectures, such scenarios are not explicitly addressed. Similar principles and
processes will apply in such environments, but additional analysis will be required to
determine what processes and data constitute, across multiple systems, the required
evidence or record of any particular transaction.
Use of the term ’system’ in this document refers to a computer or IT system. This is
in contrast to the records management understanding of the term that encompasses
the broader aspects of people, policies, procedures and practices. Organisations will
need to consider these wider aspects, and to ensure that fundamental records
2
management supporting tools such as disposition authorities, information security
classifications and a records culture are in place, in order to ensure records from
business systems can be appropriately managed.
1.2 Audience
The primary audience for this document is staff responsible for designing, reviewing
and/or implementing business systems in organisations, such as business analysts

2
 A formal instrument that defines the retention periods and consequent actions authorised
for classes of records described in the authority.

2 © ISO 2010 – All rights reserved

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ISO 16175-3:2010(E)
International Council on Archives Records in Business Systems
and groups overseeing information and communications technologies procurement
or investment decisions.
The audience also includes records professionals who are involved in advising or
assisting in such processes and software vendors and developers who wish to
incorporate records functionality within their products.
Given the target audience for this document, the use of specific records
management terminology has been kept to a minimum. Where the use of such
terminology is necessary, definitions can be found in the Glossary at Appendix A.
Some key definitions are also provided in Section 1.4: Key definitions.
1.3 Related standards
Under its Electronic Records and Automation Priority Area, the International Council
on Archives has developed a suite of guidelines and functional requirements as part
of the Principles and Functional Requirements for Records in Digital Office
Environments project:
• Module 1: Overview and Statement of Principles;
• Module 2: Guidelines and Functional Requirements for Records in Digital
Office Environments; and
• Module 3: Guidelines and Functional Requirements for Records in Business
Systems.
This document is Module 3 of the broader project. It has been developed with the
support of the Australasian Digital Recordkeeping Initiative.
While this Module may be used as a stand-alone resource, for a broader
understanding of the context and principles that have informed its development,
readers should also refer to Module 1.
The functional requirements identified in Part 2 are based on the minimum
requirements for records functionality as defined in the International Standard for
Records Management, ISO 15489.
The reference metadata standard for these requirements is ISO 23081 – 1: 2006,
Information and documentation – Records management processes – Metadata for
records, Part 1 – Principles, and ISO 23081 – 2: 2009, Information and
documentation – Records management processes – Metadata for records, Part 2 –
Conceptual and implementation Issues.
1.4 Terminology
It is recognised that many of the terms used in this document have different
meanings for different disciplines. It is therefore important that this document is read
in conjunction with the Glossary at Appendix A. A number of the key concepts used
in this document are also detailed below:
• Records are information created, received and maintained as evidence and
information by an organisation or person, in pursuance of legal obligations or

© ISO 2010 – All rights reserved 3

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ISO 16175-3:2010(E)
International Council on Archives Records in Business Systems
3
in the transaction of business. They provide evidence of business
transactions and can exist in any format.
• Business systems, for the purposes of this document, are automated
systems that create or manage data about an organisation’s activities. They
include applications whose primary purpose is to facilitate transactions
between an organisational unit and its customers – for example, an e-
commerce system, client-relationship management system, purpose-built or
customised database, or finance or human resources systems. Business
systems are typified by containing dynamic data that is commonly subject to
constant updates (timely), able to be transformed (manipulable) and holds
current data (non-redundant). For the purposes of this document, business
systems exclude electronic records management systems.
• Electronic records management systems (ERMS) are specifically
designed to manage the maintenance and disposition of records. They
maintain the content, context, structure and links among records to enable
their accessibility and support their value as evidence. Electronic records
management systems are distinguished from business systems, for the
purpose of this document, because their primary function is the management
of records.
1.5 Structure
This document is divided into four main parts:
• Part 1: Introduction – describes the scope, purpose, audience and structure
of the overall document.
• Part 2: Guidelines – provides background information on the importance of
records management, describes key terms and concepts, and outlines a
process for determining an organisation’s need for records and identifying
records within business systems. It also outlines some of the issues and
processes to be considered when reviewing, designing, purchasing or
building business systems to incorporate functionality for records.
• Part 3: Functional requirements – provides an overview of the high-level
functional requirements for records that may be incorporated into a business
system, and outlines a recommended set of mandatory and optional records
management functional requirements for business systems (referred to as the
‘functional requirements’).
• Part 4: Appendices – provides a glossary of key terms and a list of
additional reading.

3
 International Standard on Records management, ISO 15489.

4 © ISO 2010 – All rights reserved

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ISO 16175-3:2010(E)
International Council on Archives Records in Business Systems
2 GUIDELINES
2.1 Why is it important to have evidence of business processes and
activities?
A key way organisations account for their activities is through evidence of business
transactions in the form of records. Records are valuable business assets that
enable organisations to defend their actions, improve decision-making, prove
ownership of physical and intellectual assets, and support all business processes.
Records are ‘information created, received, and maintained as evidence and
information, by an organisation or person, in pursuance of legal obligations or in the
4
transaction of business.’ They must be retained for a period of time that is in line
with an authorised retention schedule or ‘disposition authority’.
Organisations with business systems that have insufficient functionality for managing
records risk loss of this evidence, resulting in inefficiency, an inability to meet
accountability and legislative requirements, and a lack of corporate memory.
A record is not just a collection of data, but is the consequence or product of an
5
event. A distinguishing feature of records is that their content must exist in a fixed
form, that is, be a fixed representation of the business transaction. This can be
particularly challenging in a business system that, by nature, contains data that is
frequently updated and dynamic.
Records comprise not only content but also information about the context and
structure of the record. This information can be captured through metadata.
Metadata fixes the record in its business context and documents the record’s
management and use over time. Records metadata therefore serves to identify,
authenticate and contextualise the record, not only at the point of creation, but
6
continues to document its management and use over time. It allows records to be
located, rendered and understood in a meaningful way. The International Standard
on Information and documentation—Records management processes—Metadata for
records, Part 2, ISO 23081, provides a generic statement of metadata elements.
Organisations may also have jurisdictional-specific elements sets to which they must
adhere.
An appropriately managed record will:
• aid transparent, informed and quality decision-making and planning;
• provide an information resource that can be used to demonstrate and
account for organisational activities; and

4
 International Standard on Records Management, ISO 15489.
5
 Philip C Bantin, Strategies for Managing Electronic Records: Lessons Learned from the
Indiana University Electronic Records Project, available at
http://www.indiana.edu/~libarch/ER/ecure2000.pdf, 2003.
6
International Standard on Information and documentation—Records management
processes—Metadata for records, ISO 23081-1:2006.

© ISO 2010 – All rights reserved 5

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ISO 16175-3:2010(E)
International Council on Archives Records in Business Systems
• enable consistency, continuity and efficiency in administration and
management, among other benefits.
The International Standard on Records management, ISO 15489, provides best-
practice guidance on how records should be managed to ensure they are authentic,
reliable, complete, unaltered and usable.
2.2 The business systems landscape and records
Business systems are normally mapped against some form of business process.
Given that records are the product of transactions and transactions, collectively, form
business processes (for example, the transactions involved in processing an
application for a licence), it follows that the integration of records functionality in
business systems should be undertaken from the perspective of the business
process.
Business processes having the greatest potential for reflecting good records
management are those that are highly structured with well-defined transactions
where the identification of where in the business process records should be
generated and even what they should look like (for example, forms) is relatively
clear. Similarly it follows that records management has great potential for being
integrated successfully in the business systems supporting such business processes
because, by necessity, their design has to be mapped to the transactions supporting
the business processes. Furthermore, the development of business systems
supporting defined business processes normally proceeds through a series of
structured steps based on the use of generally accepted systems development tools
and techniques that address each phase of the systems development life cycle, from
planning and design to implementation and review. In addition, in well-managed
business systems development projects, accountability for the integrity of the design,
development, and maintenance of the systems (including the integrity of the data
generated by the systems) is clearly assigned across all of those communities in the
organisation that have a responsibility for the systems (that is, from business users
of the systems to the specialists responsible for developing the systems). All of these
factors heighten the potential for records considerations to be integrated in the
design of business systems supporting structured and well-defined business
processes.
Records management integration is challenged significantly in an environment where
business processes are poorly defined, where tools and techniques for
systematically designing and developing systems are weak, and where
accountability for the technologies supporting the environment (and especially the
information generated in the environment) has not been assigned clearly. In such an
environment individuals (often ‘office workers’ at all levels of the organisation) have a
high level of autonomy in deciding what information they create and share, how they
share it, where they put it, how they organise, describe and retain it, and how they
dispose of it. Such an environment is often dominated by email messages and their
attachments where there are few business rules to guide their creation, transmission
and management. The integration of records management in such an environment is
extremely difficult because the foundation of defined business processes (or
workflow in the parlance of the modern office), structured approaches to systems

6 © ISO 2010 – All rights reserved

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ISO 16175-3:2010(E)
International Council on Archives Records in Business Systems
development and assigned accountability are not in place (for more information, see
Appendix B).
2.3 Determining needs for evidence of events, transactions and
decisions in business systems
Not all information contained in a business system will necessarily be required to be
recorded as evidence. Prior to reviewing, designing, building or purchasing business
systems software, it is necessary to determine an organisation’s needs for records in
order to develop and implement appropriate strategies. This process is outlined in
Figure 1 and discussed in the following sections.
Figure 1: Steps to determine requirements for records


Step 1: Analyse the work process




Identification of Identification of

requirements
the information

for evidence of
that forms the
the business evidence

being
conducted in

the business
system



Step 2: Identify
linkages and

dependencies


Step 3: Devise

strategies, based on

options assessment


Step 4: Implement


2.3.1 Analyse the work process
Business systems typically store large volumes of data that are frequently updated.
Because of this, it can be difficult to know what information in the system needs to be
managed as a record to provide evidence of the business process or transaction.

© ISO 2010 – All rights reserved 7

---------------------- Page: 15 ----------------------
ISO 16175-3:2010(E)
International Council on Archives Records in Business Systems
Business systems may consist of:
• a collection of data elements (or structured data) that are linked and
7
controlled by the system, for example, entries in a database;
• distinct digital objects controlled by the system that have a clearly defined
data format (or unstructured/semi-structured information), for example,
documents, emails or spreadsheets; or
• a combination of the above.
The process of identifying records must commence by stepping back from the IT
system itself, and undertaking an analysis of the work processes, including related
regulatory and business requirements, to determine what evidence is required to be
8
kept.
As records are directly linked to business processes, identifying the records is
assisted by standard business process analysis techniques and tools, such as
9
activity diagrams, process decompositions and flowcharts.
It is important to work closely with the organisation’s records management and
archives professionals during this process, as much of this work may have been
undertaken when developing the organisation’s records management program
10
(including its disposition authority).
The process of identifying the records entails two main tasks. These are:
1 identification of requirements for evidence of the business being conducted in
the business system; and
2 identification of the information that records this evidence, that is, the ‘record’.
11
2.3.2 Identify requirements for evidence of the business
Step 1 – determine the broad business functions and specific activities and
transactions carried out, in full or in part, by the business system
This analysis may include consideration of business process documentation and
12
system inputs, outputs, and related policies and procedures. In highly integrated

7 This document primarily focuses on the management of records arising from structured
rather than unstructured data.

8
Refer to National Archives of Australia, DIRKS Manual: A Strategic Approach to
Managing Business Information, available at http://www.naa.gov.au/records-
management/publications/DIRKS-manual.aspx for further information.
9
For further information on modelling busin
...