1、 Reference number ISO 16175-2:2011(E) ISO 2011INTERNATIONAL STANDARD ISO 16175-2 First edition 2011-04-15 Information and documentation Principles and functional requirements for records in electronic office environments Part 2: Guidelines and functional requirements for digital records management s
2、ystems Information et documentation Principes et exigences fonctionnelles pour les enregistrements dans les environnements lectroniques de bureau Partie 2: Lignes directrices et exigences fonctionnelles pour les systmes de management des enregistrements numriques ISO 16175-2:2011(E) COPYRIGHT PROTEC
3、TED DOCUMENT ISO 2011 All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying and microfilm, without permission in writing from either ISO at the address below or ISOs mem
4、ber body in the country of the requester. ISO copyright office Case postale 56 CH-1211 Geneva 20 Tel. + 41 22 749 01 11 Fax + 41 22 749 09 47 E-mail copyrightiso.org Web www.iso.org Published in Switzerland ii ISO 2011 All rights reservedISO 16175-2:2011(E) ISO 2011 All rights reserved iiiForeword I
5、SO (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 c
6、ommittee 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 electr
7、otechnical 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 th
8、e member bodies casting a vote. Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. ISO shall not be held responsible for identifying any or all such patent rights. ISO 16175-2 was prepared by the International Council on Archives (as
9、 International Council on Archives and the Australasian Digital Recordkeeping Initiative Principles and functional requirements for records in electronic office environments Module 2: Guidelines and functional requirements for digital records management systems) and was adopted, under a special “fas
10、t-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 an
11、d functional requirements for records in electronic office environments: Part 1: Overview and statement of principles Part 2: Guidelines and functional requirements for digital records management systems Part 3: Guidelines and functional requirements for records in business systems ISO 16175-2:2011(
12、E) iv ISO 2011 All rights reserved(Blank page) International Council on Archives Information and documentation - Principles and functional requirements for records in electronic office environments Part 2 Guidelines and functional requirements for digital records management systems ISO 16175-2:2011(
13、E) ISO 2011 All rights reserved v Published by the International Council on Archives. This part was developed by Archives New Zealand in conjunction with a joint project team formed by members of the International Council on Archives and the Australasian Digital Recordkeeping Initiative. Internation
14、al Council on Archives 2008 ISBN: 978-2-918004-01-1 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 Function
15、al Requirements for Records in Electronic Office Environments Module 2: Guidelines and Functional Requirements for Electronic Records Management Systems, 2008, published at www.ica.org ISO 16175-2:2011(E) vi ISO 2011 All rights reservedICA/ADRI Guidelines and Functional Requirements for Digital Reco
16、rds Management Systems CONTENTS 1. SCOPE 2. RELATED STANDARDS 3. TERMS AND DEFINITIONS 4. GUIDELINES 9 4.3.1 Create 4.3.2 Maintain 4.3.3 Disseminate 20 4.3.4 Administer 20 5. FUNCTIONAL REQUIRMENTS 22 5.1 CREATE 23 5.1.1 Capture 23 5.2 Identification 5.3 Classification 30 5.4 MAINTAIN 5.4.1 Access a
17、nd security 5.5 Hybrid records management 42 5.6 Retention and disposition 44 5.7 DISSEMINATE 51 5.7.1 Search, retrieve and render 51 5.8 ADMINISTER 56 5.8.1 Administration 6. APPENDICES 59 Appendix A - Sample checklist of requirements for reviewing an existing digital records management system 59 A
18、ppendix B - Bibliography 61 ISO 16175-2:2011(E) ISO 2011 All rights reserved vii 1 2 3 14 14 14 18 29 35 30 35 56ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems INTRODUCTION Effective management of records and information is fundamental to a well-functioning or
19、ganisation as it supports business activity and provides a basis for efficient service delivery. It also provides the mechanism whereby organisations can account for their decisions and actions and retain corporate memory. Moreover, good records management is simply good business practice. Digital r
20、ecords management systems facilitate: a) efficiency, by making information readily available when needed for decision-making and operational activities; b) sound use of financial resources, by allowing timely disposition of non-current records; c) accountability, by enabling the creation of a comple
21、te and authoritative record of activities; d) compliance, by demonstrating that legal requirements have been met; and e) risk mitigation, by managing the risks associated with illegal loss or destruction of records, and from inappropriate or unauthorised access to records. A fundamental underlying p
22、rinciple for this document, Principles and functional requirements for records in electronic office environments Part 2: Guidelines and functional requirements for digital records management systems. (hereafter the term part is used) is the distinction between business systems (or business informati
23、on systems) and digital (or electronic) records management systems. Business systems contain data that is commonly subject to constant updates (dynamic), able to be transformed (manipulable) and contain data in current business use (non-redundant). By contrast, digital records management systems con
24、tain data that is not dynamically linked to business activity (fixed), unable to be altered (inviolable), and may be non- current (redundant). Therefore business systems are beyond the scope of this part (see ISO1617-3: 2010, Information and documentation - Principles and functional requirements for
25、 records in electronic office environments Part 3: Guidelines and functional requirements for records in business systems.). The records within a digital records management system are, however, still dynamic in the sense that they can be (re)used in new business activity/contexts, so new metadata wi
26、ll be added through the ongoing use of the record content. Digital records management systems provide the technological component of a framework for the systematic and structured management of records; they link digital and non-digital records to business activities, retain records of past actions,
27、and fix the content and structure of records over time. The primary audience for this document is staff responsible for designing, reviewing and/or implementing digital records management systems in organisations whether ISO 16175-2:2011(E) ISO 16175-2:2011(E) viii ISO 2011 All rights reservedICA/AD
28、RI Guidelines and Functional Requirements for Digital Records Management Systems those systems are commercial off-the-shelf digital records management software applications, or custom-built applications. This part primarily addresses the requirements of organisational records/information managers or
29、 system procurement project leaders, but will be relevant for jurisdictional standard-setters and the wider records management community. Another key audience is software vendors and developers who market and/or develop digital records management system products. This part is intended to inform thei
30、r decision-making when designing records management functionality within digital records management products. ISO 16175-2:2011(E) ISO 2011 All rights reserved ixICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems 1. SCOPE The scope of this part is limited to produc
31、ts that are often termed electronic records management systems or enterprise content management systems. This part will use the term digital records management systems for those software applications whose primary function is records management. It does not seek to set requirements for records still
32、 in use and held within business systems. Digital objects created by email, word processing, spreadsheet and imaging applications (such as text documents, and still or moving images), where they are identified to be of business value, should be managed within digital records management systems which
33、 meet the functional requirements set out in this part. Records managed by a digital records management system may be stored on a variety of different media formats, and may be managed in hybrid record aggregations that include both digital and non-digital elements. This part does not attempt to inc
34、lude requirements that are not specific to, or necessary for, records management, for example, general system management and design requirements. Nor does it include requirements common to all software applications, such as performance, scalability and usability. Given the target audience of this do
35、cument, it also assumes a level of knowledge about developing design specifications, procurement and evaluation processes, and therefore these issues are not covered in this part. Although not included in this parts requirements, the importance of non-records management functional requirements for r
36、ecords management systems is recognised through their inclusion in the high-level model outlined in Section 4.2: Overview of functional requirements. Specifications for the long-term preservation of digital records are also beyond the scope of this part; this issue should be addressed separately wit
37、hin a dedicated framework for digital preservation or digital archiving at a strategic level. These digital preservation considerations transcend the life of systems and are system independent; they should be assessed in a specific migration and conversion plan at the tactical level. However, recogn
38、ition of the need to maintain records for as long as they are required shall be addressed, and potential format obsolescence issues should also be considered when applying the functional requirements. This part articulates a set of functional requirements for digital records management systems. Thes
39、e requirements apply to records irrespective of the media in which they were created and/or stored. The requirements are intended to: a) set out the processes and requirements for identifying and managing records in digital records management systems; b) set out the records management functionality
40、to be included in a design specification when building, upgrading or purchasing digital records management systems software; c) inform records management functional requirements in the selection of commercially available digital records management systems; and d) review the records management functi
41、onality of, or assess the compliance of, an existing digital records management system. ISO 16175-2:2011(E) 1 ISO 2011 All rights reservedICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems 2. RELATED STANDARDS The following documents are referenced for the applica
42、tion of this document. ISO 15489-1:2001, Information and documentation Records management Part 1: General ISO/TR 15801:2009, Document management Information stored electronically Part 2: Recommendations for trustworthiness and reliability ISO16175-1:2010, Information and documentation Principles and
43、 functional requirements for records in electronic office environments Part 1: Overview and statement of principles. ISO1617-3:2010, Information and documentation - Principles and functional requirements for records in electronic office environments Part 3: Guidelines and functional requirements for
44、 records in business systems. ISO 23081-1:2006, Information and documentation Records management processes Metadata for records Part 1: Principles ISO 23081-2:2009, Information and documentation Managing metadata for records Part 2: Conceptual and implementation issues. ISO 2788:1986, Documentation
45、Guidelines for the establishment and development of monolingual thesauri. ISO 5964:1985, Documentation Guidelines for the establishment and development of multilingual thesauri. International Council on Archives, Principles and Functional Requirements for Records in Electronic Office Environments, P
46、art 1 Overview and Statement of Principles, 2008. International Council on Archives, Principles and Functional requirements for Records in Electronic Office Environments, Part 3 Guidelines and Functional Requirements for Records in Business information systems, 2008. ISO 16175-2:2011(E) 2 ISO 2011 A
47、ll rights reservedICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems 3. TERMS AND DEFINITIONS For the purposes of this document, the terms and definitions in ISO 15489-1:2001, ISO/TR 15801:2009, ISO 23081-1:2006 and ISO 23081-2:2009, and the following apply. Term
48、Definition Activity (business activity) The second level of a business classification scheme. NOTE 1 Activities are the major tasks performed by an organisation to accomplish each of its functions. An activity is identified by the name it is given and its scope note. The scope of the activity encomp
49、asses all the transactions that take place in relation to it. Depending on the nature of the transactions involved, an activity may be performed in relation to one function, or it may be performed in relation to many functions. Aggregation Any accumulation of record entities at a level above record object. Business classification scheme (BCS) Business classification scheme The conceptual, hierarchical, representation of the functions and acti
