BS ISO 13008-2012 Information and documentation Digital records conversion and migration process《信息和文献 数字记录转换和迁移规程》.pdf

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1、raising standards worldwideNO COPYING WITHOUT BSI PERMISSION EXCEPT AS PERMITTED BY COPYRIGHT LAWBSI Standards PublicationBS ISO 13008:2012Information anddocumentation Digitalrecords conversion andmigration processBS ISO 13008:2012 BRITISH STANDARDNational forewordThis British Standard is the UK imp

2、lementation of ISO 13008:2012.The UK participation in its preparation was entrusted to TechnicalCommittee IDT/2/17, Archives/records management.A list of organizations represented on this committee can beobtained on request to its secretary.This publication does not purport to include all the necess

3、aryprovisions of a contract. Users are responsible for its correctapplication. The British Standards Institution 2012. Published by BSI StandardsLimited 2012ISBN 978 0 580 67471 6ICS 01.140.20Compliance with a British Standard cannot confer immunity fromlegal obligations.This British Standard was pu

4、blished under the authority of theStandards Policy and Strategy Committee on 30 June 2012.Amendments issued since publicationDate Text affectedBS ISO 13008:2012 ISO 2012Information and documentation Digital records conversion and migration processInformation et documentation Processus de conversion

5、et migration des documents dactivit numriquesINTERNATIONAL STANDARDISO13008First edition2012-06-15Reference numberISO 13008:2012(E)BS ISO 13008:2012ISO 13008:2012(E)ii ISO 2012 All rights reservedCOPYRIGHT PROTECTED DOCUMENT ISO 2012All rights reserved. Unless otherwise specified, no part of this pu

6、blication 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 member body in the country of the requester.ISO copyright officeCase postale 56 CH-1211 Gene

7、va 20Tel. + 41 22 749 01 11Fax + 41 22 749 09 47E-mail copyrightiso.orgWeb www.iso.orgPublished in SwitzerlandBS ISO 13008:2012ISO 13008:2012(E) ISO 2012 All rights reserved iiiContents PageForeword ivIntroduction v1 Scope 12 Normative references . 13 Terms and definitions . 14 Organizational and bu

8、siness framework 44.1 General . 44.2 Conversion and migration drivers 44.3 Planning for the conversion and migration process . 54.4 Establishing a conversion and migration program . 65 Recordkeeping requirements . 85.1 General . 85.2 Conversion and migration requirements 85.3 Conversion/migration pr

9、ocess metadata . 95.4 Recordkeeping process metadata implementation issues 96 Conversion and migration planning .106.1 General .106.2 Business requirements 106.3 General administrative planning . 116.4 Technology planning requirements 127 Conversion and migration procedures .127.1 General .127.2 Pro

10、cedures 137.3 Conversion/migration project planning 157.4 Testing 187.5 Conversion/migration .207.6 Validating .228 Monitoring .24Bibliography .25BS ISO 13008:2012ISO 13008:2012(E)ForewordISO (the International Organization for Standardization) is a worldwide federation of national standards bodies

11、(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, g

12、overnmental and non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization.International Standards are drafted in accordance with the rules given in the ISO/IE

13、C Directives, Part 2.The main task of technical committees is to prepare International Standards. Draft International Standards adopted by the technical committees are circulated to the member bodies for voting. Publication as an International Standard requires approval by at least 75 % of the membe

14、r bodies casting a vote.Attention is drawn to the possibility that some of the elements of this International Standard may be the subject of patent rights. ISO shall not be held responsible for identifying any or all such patent rights.ISO 13008 was prepared by Technical Committee ISO/TC 46, Informa

15、tion and documentation, Subcommittee SC 11, Archives/records management.iv ISO 2012 All rights reservedBS ISO 13008:2012ISO 13008:2012(E)IntroductionThis International Standard provides guidance for the conversion of records from one format to another and the migration of records from one hardware o

16、r software configuration to another. It contains applicable records management requirements, the organizational and business framework for conducting the conversion and migration process, technology planning issues, and monitoring/controls for the process. It also identifies the steps, components an

17、d particular methodologies for each of these processes, covering such topics as workflow, testing, version control and validation.The development of this International Standard was derived from Reference 13.With the rapid pace of technological change, many records in digital form will, at some point

18、, need to be converted from one format to another, or migrated from one system to another to ensure their continued accessibility and processability.This is not to suggest that conversion and migration are the only approaches to preserving digital records. Other methods, such as emulation, do exist

19、or are under development. Conversion and migration are, however, two of the more prevalent methods of digital preservation at this time. While this International Standard does not address digital preservation per se, the conversion and migration processes can have an impact on a digital preservation

20、 strategy. How an organization chooses to set up the conversion and migration processes (which format to employ, the level of control needed, and so on) largely influences its view of the record. At the time of the development of this International Standard, no single preferred preservation method h

21、ad been identified. However, institutions recognize the benefit of standardized procedures; many test beds and task forces have been established to explore and research conversion, migration, emulation and refreshment, among other preservation procedures, to determine what should work best.Conversio

22、n and migration represent separate approaches to preserving digital records. It is important to implement them in a managed way to prevent any degradation or loss in the authenticity, reliability, integrity and usability of the records, thus ensuring an “authoritative record” as described in ISO 154

23、89-1:2001, 7.2.2 to 7.2.5. This International Standard outlines the program components, planning issues, recordkeeping requirements and procedures for performing the conversion and migration of digital records so as to preserve their authenticity, reliability, integrity and usability so that they co

24、ntinue to act as evidence of business transactions.From the outset, note that it is not necessary to adopt all of the procedures recommended in this International Standard to ensure that records management requirements are met. The decision regarding which procedures to adopt depends on such factors

25、 as the type of conversion or migration to be performed and the level of risk the organization is willing to accept. In addition, organizations would be well advised to incorporate future planning for further conversion and/or migration of records among requirements for managing enterprise electroni

26、c recordkeeping systems.Before starting a conversion or migration project, individuals designated as “key” to the process need to be aware of records management requirements. The term “recordkeeping criteria/requirements” in records and information management means an adherence to a set of principle

27、s that relate to record integrity, authenticity, reliability and usability. Adherence to these principles ensures that record content, context and structure are maintained and that a given records standing as evidence of business activity is not compromised. The principles apply regardless of how lo

28、ng the record is retained.This International Standard does not specifically address conversions and migrations as a routine, ongoing business-as-usual work. ISO 2012 All rights reserved vBS ISO 13008:2012BS ISO 13008:2012Information and documentation Digital records conversion and migration process1

29、 ScopeThis International Standard specifies the planning issues, requirements and procedures for the conversion and/or migration of digital records (which includes digital objects plus metadata) in order to preserve the authenticity, reliability, integrity and usability of such records as evidence o

30、f business transactions. These digital records can be active or residing in a repository.These procedures do not comprehensively cover: backup systems; preservation of digital records; functionality of trusted digital repositories; the process of converting analogue formats to digital formats and vi

31、ce versa.2 Normative referencesThe following referenced documents are indispensable for the application of this document. For dated references, only the edition cited applies. For undated references, the latest edition of the referenced document (including any amendments) applies. ISO 15489-1, Infor

32、mation and documentation Records management Part 1: GeneralISO 23081-2, Information and documentation Managing metadata for records Part 2: Conceptual and implementation issues3 Terms and definitionsFor the purposes of this document, the terms and definitions given in ISO 15489-1 and the following a

33、pply.3.1accessright, opportunity, means of finding, using, or retrieving informationISO 15489-1:2001, definition 3.13.2attributecharacteristic of an object or entityNOTE Adapted from ISO/IEC 11179-3:2003.3.3authenticityrecord that can be proven to be what it purports to be, to have been created or s

34、ent by the person purported to have created or sent it, and to have been created or sent at the time purportedNOTE This term is further described in ISO 15489-1:2001, 7.2.2.INTERNATIONAL STANDARD ISO 13008:2012(E) ISO 2012 All rights reserved 1BS ISO 13008:2012ISO 13008:2012(E)3.4contentsubject info

35、rmation of a documentIEC 82045-1:2001, definition 3.2.23.5conversionrecord process of changing records from one format to another while maintaining the characteristics of the records3.6data cleansingprocess of reviewing and correcting data to ensure data are in a standardized formatNOTE Correction m

36、ay be carried out for incompleteness, incorrect formatting, obsolescence, duplication, etc. It is often done prior to merging data sets or converting data from one system/database to another.3.7data objectdiscrete data, considered as a unit, representing an instance of a data structure that is known

37、 or assumed to be knownISO/IEC 2382-17:1999, definition 17.01.113.8emulationuse of a data processing system to imitate another data processing system, so that the imitating system accepts the same data, executes the same programs, and achieves the same results as the imitated systemNOTE Adapted from

38、 ISO/IEC 2382-1:1993.3.9encryption(reversible) transformation of data by a cryptographic algorithm to produce ciphertext, i.e. to hide the information content of the dataNOTE Adapted from ISO/IEC 18033-1:2005.3.10file formatencoding of a file type that can be rendered or interpreted in a consistent,

39、 expected and meaningful way through the intervention of a particular piece of software or hardware which has been designed to handle that formatNOTE A file may (or may not) be a container containing zero or more files of various formats. File formats may be defined by a specification, or by a refer

40、ence software system. Many file formats exist in forms with minor variations and many also in more than one version. Typing of file formats should be interpreted generously rather than strictly, but sufficiently precisely to distinguish versions where such distinctions have significant interpretive

41、consequences.PRONOM3.11integrityquality of being complete and unalteredNOTE This term is further described in ISO 15489-1:2001, 7.2.4.3.12metadatarecords data describing context, content, and structure of records and their management through timeISO 15489-1:2001, definition 3.122 ISO 2012 All rights

42、 reservedBS ISO 13008:2012ISO 13008:2012(E)3.13migrationrecords process of moving records, including their existing characteristics, from one hardware or software configuration to another without changing the format3.14originatinginitial manifestation of something3.15preservationprocesses and operat

43、ions involved in ensuring the technical and intellectual survival of authentic records through timeISO 15489-1:2001, definition 3.143.16preservation metadatametadata that supports the viability, renderability, understandability, authenticity and identity of digital objects in a preservation contextP

44、REMIS Data Dictionary for Preservation Metadata, version 2.0, March 20083.17recordinformation created, received, and maintained as evidence and/or as an asset by an organization or person, in pursuance of legal obligations or in the transaction of business, regardless of medium, form or formatNOTE A

45、dapted from ISO 15489-1:2001.3.18refreshmentdata migration where the media is replaced with equivalent media such that all storage hardware and software functionality is unchangedNOTE Adapted from ISO 14721:2003.3.19reliabilitymeasure of the completeness and accuracy of the representation of transac

46、tions and activities, or of the facts to which they attestNOTE This term is further described in ISO 15489-1:2001, 7.2.3.3.20replicationdigital migration where there is no change to the packaging information, the content information, and the preservation description informationNOTE The bits used to

47、represent these information objects are preserved in the transfer to the same or new media instance.NOTE Adapted from ISO 14721:2003.3.21usabilityrecords property of being able to be located, retrieved, presented and interpretedNOTE This term is further described in ISO 15489-1:2001, 7.2.5. ISO 2012

48、 All rights reserved 3BS ISO 13008:2012ISO 13008:2012(E)3.22validationconfirmation, through the provision of objective evidence, that the requirements for a specific intended use or application have been fulfilledNOTE Adapted from ISO 9000:2005.4 Organizational and business framework4.1 GeneralThis

49、clause addresses the drivers that often prompt the need for the conversion or migration of digital records, the issues that organizations should consider when evaluating the need for conversion or migration of their records, and the steps taken in developing a conversion and migration program. It discusses the decision making and resource allocation associated with the conversion or migration within the organizational framework, as well as the technical infrastructure that supports the conversion and migration proc