ISO/TC 171 - Document management applications

This document specifies the minimum requirements necessary to maintain the authenticity, integrity and readability of documents managed by an electronic document management system. Clarifying the methods and procedures for appropriately handling electronic documents promotes the usability of the documents, in both a legal and business context. This document expresses a general business process as a document handling process. The document handling processes include receiving, processing and delivering the documents as follows: —   approving the receipt of a document in a manner that is appropriate for a work process; —   storing the formal document in the work process environment; —   delivery of the document to another organization. This document establishes the controls for execution of the work processes while maintaining the authenticity and integrity of the document received. This document establishes the policies for the storage of documents used as part of the work process. It also details the controls for performing the receipt and conversion process appropriately.

This document defines a set of ECMAScript object types for automating and interacting with PDF documents and the contents of such documents.

This document specifies a digital form for representing electronic documents to enable users to exchange and view electronic documents independent of the environment in which they were created or the environment in which they are viewed or printed. It is intended for developers of software that creates PDF files (PDF writers), software that reads existing PDF files and (usually) interprets their contents for display (PDF readers), software that reads and displays PDF content and interacts with the computer users to possibly modify and save the PDF file (interactive PDF processors) and PDF products that read and/or write PDF files for a variety of other purposes (PDF processors). (PDF writers and PDF readers are more specialised classifications of interactive PDF processors and all are PDF processors). This document does not specify the following: ? specific processes for converting paper or electronic documents to the PDF file format; ? specific technical design, user interface implementation, or operational details of rendering; ? specific physical methods of storing these documents such as media and storage conditions; ? methods for validating the conformance of PDF files or PDF processors; ? required computer hardware and/or operating system.

This document specifies the use of the Portable Document Format (PDF) 2.0, as formalized in ISO 32000-2:—, for preserving the static visual representation of page based electronic documents over time in addition to allowing any type of other content to be included as an embedded file or attachment. This document does not apply to: — specific processes for converting paper or electronic documents to the PDF/A format; — specific technical design, user interface, implementation, or operational details of rendering; — specific physical methods of storing these documents such as media and storage conditions; — required computer hardware and/or operating systems.

This document defines a subset of ISO 32000 suitable for storage, transport and exchange of multi-page raster-image documents, including but not limited to scanned documents. Bitonal, grayscale and RGB images are supported. Compression options for image data streams include JPEG, CCITT Group 4 Fax and uncompressed.

This document specifies an XML format for representing forms data and annotations in the Portable Document Format, ISO 32000-2 (PDF 2.0). This document does not change or add any definitions for any components of ISO 32000-2.

This document specifies Advanced Function Presentation (AFP) interchange as a container for document objects by defining the AFP file format [Mixed Object Document Content Architecture (MO:DCA)[1]]. It includes a means of identifying support for specifically including single and multi-page Portable Document Format (PDF) document objects as a container function set. It also includes a mechanism for pairing and managing resources associated with PDF. NOTE For an example of how PDF external file references map into AFP secondary resources, see Annex A. The use of AFP is applicable to AFP and PDF workflows where the final production is managed within an Intelligent Printer Data Stream (IPDS) environment. [1] The Architecture references shown (MO:DCA as an example) are copyright of the AFP Consortium. This information is given for the convenience of users of this document and does not constitute an endorsement by ISO of this product.

This document defines two essential components of XMP metadata: — Data model: The data model is the most fundamental aspect. This is an abstract model that defines the forms of XMP metadata items, essentially the structure of statements that XMP can make about resources. — Serialization: The serialization of XMP defines how any instance of the XMP data model can be recorded as XML. In addition, this document defines a collection of core properties, which are XMP metadata items that can be applied across a broad range of file formats and domains of usage. The embedding of XMP packets in specific file formats and domain-specific XMP properties are beyond the scope of this document.

This document specifies visual diffuse transmission densities for second generation silver-gelatin and diazo microforms and projection densities for second generation vesicular microforms. It also specifies methods of measurement. It does not apply to duplicates of microforms of technical drawings and other drawing office documents.

This document gives guidelines for a set of procedures and activities to be considered and/or performed by organizations when planning, designing and implementing various enterprise content management (ECM) technologies. The aspects or project phases range from initial business analysis through to vendor/integrator selection and technology implementation. The implementation of processes to manage electronically stored information (ESI) requires significant participation from the affected business units, if the content is stored and managed when created/received and controlled through the information life cycle following organizational policies and/or records retention and control policies are applied. As these efforts require multiple people with different disciplines, including technical teams, records managers and organizational management, this document has been prepared taking those perspectives into account. This document is applicable to both in-house and outsourced systems, including cloud solutions. It can also be useful when dealing with specialized business systems. The term "enterprise content management (ECM)" (or "document management") used throughout this document is intended as an all-encompassing term referring to capture technologies [scanning, indexing, optical character recognition (OCR), forms, digital creation, etc.], management technologies (document services, workflow and other work management tools), and storage [primarily non-alterable or write once read many (WORM) technologies]. This document provides information to users related to the technical reports, guidelines and standards that have been developed for technologies commonly available in ECM systems. This document is not intended to be an all-inclusive paper on electronic document or content management and does not attempt to influence any single technology or provide legal guidance or legal opinions. While there are storage technologies other than optical/magnetic currently available (i.e. microfilm, microfiche and hybrid storage systems) that are not included in this document, those technologies can be reviewed if determined to be appropriate by the end-user organization.

This document gives guidelines for selecting the most appropriate file format(s) for the storage, usability, and exchange of data with a long-term management objective. It is applicable to the selection of file formats to be used to store electronic documents. It provides guidance that takes into account: — the durability of documents in a readable form; — fidelity to the original and data integrity; — interoperability, i.e. independence from creation applications, information systems and rendition platforms; — compliance with relevant laws and regulations; — compliance with format specifications; — reducing costs by reducing the number of conversions/migrations over time. This document is applicable to all office activities (e.g. text processing, spreadsheets, presentations), email and static web pages, as well as all types of electronic components, including images, video and sound. It does not apply to database formats.

This document specifies requirements for maintaining the authenticity, integrity and readability of documents during capture processes.

This document specifies requirements for maintaining the authenticity, integrity and readability of documents during storage processes.

This document specifies requirements for maintaining the authenticity, integrity and readability of documents during disposal processes.

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

ISO 32000-2:2017 specifies a digital form for representing electronic documents to enable users to exchange and view electronic documents independent of the environment in which they were created or the environment in which they are viewed or printed. It is intended for developers of software that creates PDF files (PDF writers), software that reads existing PDF files and (usually) interprets their contents for display (PDF readers), software that reads and displays PDF content and interacts with the computer users to possibly modify and save the PDF file (interactive PDF processors) and PDF products that read and/or write PDF files for a variety of other purposes (PDF processors). (PDF writers and PDF readers are more specialised classifications of interactive PDF processors and all are PDF processors). ISO 32000-2:2017 does not specify the following: - specific processes for converting paper or electronic documents to the PDF file format; - specific technical design, user interface implementation, or operational details of rendering; - specific physical methods of storing these documents such as media and storage conditions; - methods for validating the conformance of PDF files or PDF processors; - required computer hardware and/or operating system.

ISO 11506:2017 specifies techniques for archiving electronic data to ensure their long-term integrity, accessibility, usability, readability and reliability, in order to protect the evidential value of the data. In ISO 11506:2017, long term is considered to be a period of time lasting more than a century (see ISO 18911). Black-and-white microforms processed with liquid chemicals are used in ISO 11506:2017 because the result is always an irreversible record and because of the proven quality of microforms as a long-term preservation media. ISO 11506:2017 also specifies procedures for the parallel recording, by a single production unit, of COM and COLD output from the same data. It applies to many different types of electronic data, such as text and two-dimensional graphic data which can be represented as a black-and-white image. It is not applicable to the following: - animated images or sounds; - three-dimensional images; - images in shades of grey or in colour; - X-ray images. Neither is ISO 11506:2017 applicable to microforms created from dry thermal processes, since they offer insufficient guarantees in terms of irreversibility and longevity.

ISO 22938:2017 defines the interchange format for content/document management (CDM) data and all associated resources.

ISO 18829:2017 identifies activities and operations that an organization needs to perform, or have performed, to evaluate whether the electronically stored information (ESI) is or was maintained in a reliable and trustworthy environment(s). These environments utilize content or records management technologies commonly referred to as either enterprise content management (ECM) or electronic document and records management (EDRM) enforcing organizational records management policies and schedules. ISO/TR 15801 and ISO 15489 (all parts) established the standards and best practices associated with implementing trustworthy records/document management environments. However, a standard is necessary to define the methodology used to evaluate these types of records/document management environments regardless of what technologies are currently employed by the organization. ISO 18829:2017 establishes the assessment methodology to be followed to identify the level of organizational compliance with these standards as related to trustworthiness and reliability of information stored in these environments. ISO 18829:2017 is applicable to existing or planned ECM systems. Establishing the existence of a trustworthy system is an important step in documenting the reliability of ESI maintained within that system or environment. ISO 18829:2017 is designed for use by organizations evaluating the trustworthiness of existing record/document management environments. ISO 18829:2017 identifies all of the mandatory activities and areas that need to be examined by a resource, or resources, with a thorough technical and operational knowledge of the specific technologies and methodologies being examined, along with understanding record management processes and activities.

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

ISO 5127:2017 provides a concept system and general vocabulary for the field of documentation within the whole information field. It has been created with a balanced representation of major work areas in mind: documentation, libraries, archives, media, museums, records management, conservation as well as legal aspects of documentation. The scope of the vocabulary provided in this document corresponds to that of ISO/TC 46: standardization of practices relating to libraries, documentation and information centres, publishing, archives, records management, museum documentation, indexing and abstracting services, and information science.

ISO 7098:2015 explains the principles of the Romanization of Modern Chinese Putonghua (Mandarin Chinese), the official language of the People's Republic of China as defined in the Directives for the Promotion of Putonghua, promulgated on 1956-02-06 by the State Council of China. This International Standard can be applied in documentation of bibliographies, catalogues, indices, toponymic lists, etc.

ISO 18565:2015 specifies the AFP document architecture by defining a subset appropriate for long-term preservation and retrieval. This subset will avoid ambiguity by assuring page independence and eliminating the use of resolution dependent fonts and images, device default fonts and external resources.

ISO/TR 18159:2015 provides information about environmental laws and regulations that can affect microfilm processing laboratories. These laws and regulations control the following microfilm processing activities: - storage and disposal of effluents; - storage and disposal of hazardous waste, employee safety training; - notification of the public regarding hazardous waste incidents. NOTE This Technical Report includes in an Annex, for information purposes, a discussion of The United States Environmental Protection Agency (EPA) Guidance Manual on the Development and Implementation of Local Discharge Limitations Under Pretreatment Programme and that guidance manual's relationship with state and local requirements in the United States. Also included in this Technical Report are examples of typical discharge limitations.

ISO 17469-1:2015 specifies an Extensible Markup Language (XML) vocabulary and schema (XSD) for the elements that are common and considered to be part of the essential core of the strategic plans of all organizations worldwide. This International Standard will not address - how the information contained in strategic and performance plans and reports should be presented, - specify font sizes or colours, page margins or numbering, or how graphics should be displayed, and - provide guidance on how to compile high-quality plans, beyond specifying the basic elements that they should contain.

ISO 14289-1:2014 specifies the use of ISO 32000‑1:2008 to produce accessible electronic documents. This part of ISO 14289 is not applicable to: - specific processes for converting paper or electronic documents to the PDF/UA format; - specific technical design, user interface, implementation, or operational details of rendering; - specific physical methods of storing these documents, such as media and storage conditions; - required computer hardware and/or operating systems.

ISO 14739-1:2014 describes PRC 10001 of a product representation compact (PRC) file format for three dimensional (3D) content data. This format is designed to be included in PDF (ISO 32000) and other similar document formats for the purpose of 3D visualization and exchange. It can be used for creating, viewing, and distributing 3D data in document exchange workflows. It is optimized to store, load, and display various kinds of 3D data, especially that coming from computer aided design (CAD) systems. This International Standard does not apply to: Method of electronic distribution Converting CAD system generated datasets to the PRC format Specific technical design, user interface, implementation, or operational details of rendering Required computer hardware and/or operating systems

ISO 12651-2:2014 defines terms and concepts relevant to electronic document workflow management. It is intended to facilitate communication in the field of electronic document management and translation of the terms and concepts it contains into other languages. It identifies the terminology used to describe the concepts and general structure of a workflow management system for electronic images and other electronic documents, its major functional components, and their interfaces. It also provides a list of synonyms variously used within the industry as alternative terms to the preferred terminology

ISO 16684-2:2014 specifies the use of RELAX NG to describe serialized XMP metadata. This applies to how conforming schemas can use the features of RELAX NG.

ISO/TR 17797:2014 gives guidelines on a selection of the most appropriate storage media for use in long-term electronic storage solutions. It includes a discussion on magnetic, optical, and electronic storage.

ISO/TR 18160:2014 recommends test methods for evaluating the consistency of the digital images recorded onto black and white silver microfilm using input from both digitally born documents as well as digital documents created from document scanners. Quality control procedures to be used for optimizing and maintaining output quality onto film over time are described. ISO/TR 18160:2014 stresses the use of both commercial and ISO approved standard test targets. The test methods are based on the visual examination of the output of office document scanners and digitally born test targets on film image recorders. It is applicable to assessing the output quality of document scanners used in the office and film image recorders used to record the resultant scanned images to microfilm. Microforms can be any common formats including 16 mm, 35 mm, and 105 mm roll microfilm, as well as microfiche depending on the film image recorder capability.

ISO/TR 18128:2014 intends to assist organizations in assessing risks to records processes and systems so they can ensure records continue to meet identified business needs as long as required. ISO/TR 18128:2014: a) establishes a method of analysis for identifying risks related to records processes and systems, b) provides a method of analysing the potential effects of adverse events on records processes and systems, c) provides guidelines for conducting an assessment of risks related to records processes and systems, and d) provides guidelines for documenting identified and assessed risks in preparation for mitigation. ISO/TR 18128:2014 can be used by all organizations regardless of size, nature of their activities, or complexity of their functions and structure. These factors, and the regulatory regime in which the organization operates which prescribes the creation and control of its records, are taken into account when identifying and assessing risk related to records and records systems. ISO/TR 18128:2014 can be used by records professionals or people who have responsibility for records in their organizations and by auditors or managers who have responsibility for risk management programs in their organizations.

ISO 12653-3:2014 specifies a test target for assessing the consistency of the output quality over time from lower resolution reflection scanning systems. It is applicable to assessing the output quality of black-and-white and colour scanners used for black-and-white or colour office documents, with or without half tone.

ISO 19005-3:2012 specifies the use of the Portable Document Format (PDF) 1.7, as formalized in ISO 32000-1, for preserving the static visual representation of page-based electronic documents over time in addition to allowing any type of other content to be included as an embedded file or attachment.

ISO 12651-1:2012 defines terms and concepts relevant to electronic document management. It is intended to facilitate communication in the field of electronic document management and translation of the terms it contains into other languages. The term "electronic document management" used throughout ISO 12651-1:2012 is intended as an all-encompassing term referring to inputting technologies, management technologies and storage technologies.

ISO 19005-2:2011 specifies the use of the Portable Document Format (PDF) 1.7, as formalized in ISO 32000-1, for preserving the static visual representation of page-based electronic documents over time. ISO 19005-2:2011 is not applicable to specific processes for converting paper or electronic documents to the PDF/A format, specific technical design, user interface, implementation, or operational details of rendering, specific physical methods of storing these documents, such as media and storage conditions, required computer hardware and/or operating systems.

ISO/TR 14105:2011 defines the cognitive, physical, organizational, and human factors as they apply to usability criteria for electronic document management systems (EDMS) development, selection and implementation. ISO/TR 14105:2011 provides a framework for understanding the basic issues and concepts of organizational and human factors associated with implementing EDMS technologies. It describes the principles of human factors and ergonomics in their application to usability criteria for the planning and implementation of EDMS technologies, to environmental and implementation issues, and to training for long-term productivity benefits.

ISO 12029:2010 specifies requirements concerning the design of forms for user friendliness, with optimal machine readability for processing by electronic document management systems (EDMS). These requirements are limited to forms using roman characters.

ISO 10244:2010 specifies the detailed information associated with the activities organizations perform when documenting existing work or business processes (business process baselining), defining the level of information required to be gathered, methods of documenting the work or business processes, and the procedures used when evaluating or analyzing the work - business processes. ISO 10244:2010 provides tools for organizations to identify relevant aspects of work - business processes and to document them in a standardized format, thus permitting them to facilitate detailed analysis and identification of relevant technology(ies) so as to improve the processes or procedures.

ISO/TR 12033:2009 gives information to enable a user or electronic image management (EIM) integrator to make an informed decision on selecting compression methods for digital images of business documents. It provides technical guidance to analyse the type of documents and which compression methods are most suitable for particular documents in order to optimize their storage and use. For the user, ISO/TR 12033:2009 provides information on image compression methods incorporated in hardware or software in order to help the user during the selection of equipment in which the methods are embedded. For the equipment or software designer, ISO/TR 12033:2009 provides planning information. ISO/TR 12033:2009 is applicable only to still images in bit map mode. It only takes into account compression algorithms based on well-tested mathematical work.

ISO 29861:2009 specifies test methods for evaluating the consistency of the colour output quality over time from the colour reflection scanning of office documents. It is applicable to assessing the output quality of colour scanners used in the office. It is particularly applicable where office documents containing half-tone and/or continuous tone colour areas are being scanned. The test methods do not require specialist equipment that is not normally available in the office for the evaluation of the results. The test methods are based on the visual examination of the output of an office document scanner in comparison to the original test target. It is not applicable to black-and-white only scanners or scanners used for the scanning of transparent or translucent documents. ISO 29861:2009 is to be used in conjunction with ISO 12653, which specifies a test method for the evaluation of the quality of output from black-and-white office document scanners.

ISO/TR 10255:2009 gives recommendations and provides guidance for maintaining archival optical disk collections. It describes the various services that would be necessary for the management of an optical media‑based system to ensure a successful implementation of this technology. ISO/TR 10255:2009 also provides guidance in the maintenance of data residing on on-line, off-line, and near-line digital optical storage devices; establishes a plan to ensure the migration path of digital information from early and current technology and optical media to future technologies and media; provides guidance for the short- and long-term effect of the finite life of digital optical storage devices. ISO/TR 10255:2009 also describes all forms of optical disk media including write-once-read-many (WORM), magneto-optical (MO), compact disk (CD), digital versatile disk (DVD) and newer technologies.

ISO 23868:2008 specifies test methods to determine the quality of data on recorded media and provides specifications enabling end-user organizations to monitor data quality and ongoing conformance with the error limits required for its class identified by the manufacturer of the drive/media. ISO 23868:2008 defines error rate monitoring capabilities and procedures associated with 130 mm optical media while being used in a production environment to ensure that data is still readable throughout the expected life of the media.

ISO 32000-1:2008 specifies a digital form for representing electronic documents to enable users to exchange and view electronic documents independent of the environment in which they were created or the environment in which they are viewed or printed. It is intended for the developer of software that creates PDF files (conforming writers), software that reads existing PDF files and interprets their contents for display and interaction (conforming readers) and PDF products that read and/or write PDF files for a variety of other purposes (conforming products). ISO 32000-1:2008 does not specify the following: • specific processes for converting paper or electronic documents to the PDF format; • specific technical design, user interface or implementation or operational details of rendering; • specific physical methods of storing these documents such as media and storage conditions; • methods for validating the conformance of PDF files or readers; • required computer hardware and/or operating system.

ISO 24517-:2008 specifies the use of the Portable Document Format (PDF) Version 1.6 for the creation of documents used in engineering workflows. ISO 24517-:2008 does not define the following: method of electronic distribution; method of creation or conversion from paper or electronic documents to the PDF/E format; specific technical design, user interface, or implementation; required computer hardware and/operating systems; or methods for validating the conformance of PDF/E files or readers.

ISO 24537:2007 covers the essential dimensions of lightweight reels, made of plastic or metal, used for the storage and retrieval of processed 16 mm and 35 mm microfilm that is used in manually threaded equipment. Reels intended for use in 16 mm automated retrieval systems are outside the scope of ISO 24537:2007. The dimensions of these reels are specified in ISO 7761. Camera spools are also frequently used for storing processed microfilm. The dimensions of these spools are outside the scope of ISO 24537:2007, but they are specified in ISO 6148.

ISO 10594:2006 specifies a test target and a method for checking the optical and mechanical performances of rotary cameras used for producing 16 mm microfilm. This test target and method can be used for evaluating the performance of cameras (e.g. before purchase to establish initial reference), acceptance tests (e.g. confirming purchase specifications after maintenance), and routine checking (e.g. weekly or monthly). NOTE The characteristics of a rotary camera are also indicated.

ISO 3334:2006 specifies a method of determining resolution by measuring the minimum size of detail recognizable in a processed microform. It describes the test patterns and ISO resolution test chart No. 2, and gives the method of expressing resolving power. ISO resolution test chart No. 2 is designed for use as part of a test target, as required in other International Standards for micrographics. ISO 3334:2006 applies to the determination of the resolving power of a camera, film and processing combination used in a microfilming system or the resolution achieved in microforms therefrom. In this form it does not apply to the determination of the resolving power of microform readers, reader-printers or computer output microform (COM) imaging systems.

ISO 19005-1:2005 specifies how to use the Portable Document Format (PDF) 1.4 for long-term preservation of electronic documents. It is applicable to documents containing combinations of character, raster and vector data.