1、 ISO 2017 Document management Electronically stored information Recommendations for trustworthiness and reliability Gestion de document Information stocke lectroniquement Recommandations pour contribuer lintgrit et la fiabilit des informations stockes TECHNICAL REPORT ISO/TR 15801 Reference number I
2、SO/TR 15801:2017(E) Third edition 2017-05 ISO/TR 15801:2017(E)ii ISO 2017 All rights reserved COPYRIGHT PROTECTED DOCUMENT ISO 2017, Published in Switzerland All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized otherwise in any form or by any mea
3、ns, electronic or mechanical, including photocopying, or posting on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address below or ISOs member body in the country of the requester. ISO copyright office Ch. de Blandonnet 8 CP 401 CH-
4、1214 Vernier, Geneva, Switzerland Tel. +41 22 749 01 11 Fax +41 22 749 09 47 copyrightiso.org www.iso.org ISO/TR 15801:2017(E)Foreword vi Introduction vii 1 Scope . 1 2 Normative references 1 3 T erms and definitions . 1 4 Information management policy . 2 4.1 General . 2 4.2 Information management
5、policy document 2 4.2.1 Contents . 2 4.2.2 ESI covered . 3 4.2.3 ESI roles and responsibilities 3 4.2.4 ESI security classification . 3 4.2.5 Storage media . 4 4.2.6 Data file formats and compression 4 4.2.7 Outsourcing 4 4.2.8 Standards related to information management 4 4.2.9 Retention and dispos
6、al schedules . 5 4.2.10 Information management responsibilities 5 4.2.11 Compliance with policy 5 5 Duty of care 5 5.1 General . 5 5.1.1 Trusted system 5 5.1.2 Controls 5 5.1.3 Segregation of roles . 6 5.2 Information security management 6 5.2.1 Information security policy 6 5.2.2 Risk assessment 7
7、5.2.3 Information security framework . 8 5.3 Business continuity planning . 8 5.4 Consultations 8 6 Procedures and processes 9 6.1 General . 9 6.2 Procedures manual . 9 6.2.1 Documentation 9 6.2.2 Content . 9 6.2.3 Compliance with procedures .10 6.2.4 Updating and reviews .10 6.3 ESI capture .10 6.3
8、.1 General.10 6.3.2 Creation and importing .11 6.3.3 Information loss 11 6.3.4 Metadata 12 6.4 Document image capture 12 6.4.1 General.12 6.4.2 Preparation of paper documents 12 6.4.3 Document batching .13 6.4.4 Photocopying .13 6.4.5 Scanning processes .14 6.4.6 Quality control 15 6.4.7 Rescanning
9、.17 6.4.8 Image processing 17 6.5 Data capture .17 ISO 2017 All rights reserved iii Contents Page ISO/TR 15801:2017(E)6.5.1 Data creation 17 6.5.2 Conversion and migration 18 6.6 Database considerations .18 6.6.1 General.18 6.6.2 Database systems .18 6.6.3 Database schemas 20 6.6.4 Master data manag
10、ement 20 6.6.5 Transactional vs. updating .21 6.7 Indexing .21 6.7.1 General.21 6.7.2 Manual indexing 21 6.7.3 Automatic indexing .21 6.7.4 Index storage 21 6.7.5 Index amendments .22 6.7.6 Index accuracy 22 6.8 Authenticated output procedures .22 6.9 ESI transmission .23 6.9.1 Intra-system ESI tran
11、sfer .23 6.9.2 External transmission of files 23 6.10 Information retention 24 6.11 Information preservation .25 6.12 Information destruction 25 6.13 Backup and system recovery .25 6.14 System maintenance .26 6.14.1 General.26 6.14.2 Scanning systems .26 6.15 Security and protection 27 6.15.1 Securi
12、ty procedures .27 6.15.2 Encryption keys .27 6.16 Use of contracted services . .28 6.16.1 General.28 6.16.2 Procedural considerations .28 6.16.3 Transportation of paper documents 29 6.16.4 Use of trusted third party 29 6.17 Workflow .29 6.18 Date and time stamps .30 6.19 Version control .30 6.19.1 I
13、nformation30 6.19.2 Documentation .30 6.19.3 Procedures and processes 31 6.20 Maintenance of documentation .31 7 Enabling technologies 31 7.1 General 31 7.2 System description manual .32 7.3 Storage media and sub-system considerations .32 7.4 Access levels .33 7.5 System integrity checks 33 7.5.1 Ge
14、neral.33 7.5.2 Digital and electronic signatures (including biometric signatures) .34 7.6 Image processing .34 7.7 Compression techniques .35 7.8 Form overlays and form removal .36 7.9 Environmental considerations .36 7.10 Migration .36 7.11 Information deletion and/or expungement .37 8 Audit trails
15、 .37 8.1 General 37 iv ISO 2017 All rights reserved ISO/TR 15801:2017(E)8.1.1 Audit trail data 37 8.1.2 Creation 38 8.1.3 Date and time .38 8.1.4 Storage .38 8.1.5 Access .39 8.1.6 Security and protection .39 8.2 System39 8.2.1 General.39 8.2.2 Audit trail information .40 8.2.3 Migration and convers
16、ion .40 8.3 ESI .40 8.3.1 General.40 8.3.2 ESI capture .40 8.3.3 Batch information 41 8.3.4 Indexing 42 8.3.5 Change control 42 8.3.6 Digital signatures 42 8.3.7 Destruction of information 43 8.3.8 Workflow .43 Bibliography .44 ISO 2017 All rights reserved v ISO/TR 15801:2017(E) Foreword ISO (the In
17、ternational 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 h
18、as 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
19、 standardization. The procedures used to develop this document and those intended for its further maintenance are described in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for the different types of ISO documents should be noted. This document was drafted in
20、accordance with the editorial rules of the ISO/IEC Directives, Part 2 (see www .iso .org/ directives). 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
21、. Details of any patent rights identified during the development of the document will be in the Introduction and/or on the ISO list of patent declarations received (see www .iso .org/ patents). Any trade name used in this document is information given for the convenience of users and does not consti
22、tute an endorsement. For an explanation on the voluntary nature of standards, the meaning of ISO specific terms and expressions related to conformity assessment, as well as information about ISOs adherence to the World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see
23、the following URL: w w w . i s o .org/ iso/ foreword .html. This document was prepared by Technical Committee ISO/TC 171, Document management applications, Subcommittee SC 1, Quality, preservation and integrity of information. This third edition cancels and replaces the second edition (ISO/TR 15801:
24、2009), which has been technically revised.vi ISO 2017 All rights reserved ISO/TR 15801:2017(E) Introduction This document defines recommended practices for electronic storage of business or other information in an electronic form. As such, complying with its recommendations is of value to organizati
25、ons even when the trustworthiness of the stored information is not being challenged, especially in jurisdictions with e-discovery legislation. Information originates from many sources. This document covers information in any form, from the traditional scanned images, word processed documents and spr
26、eadsheets to the more “modern” forms which include e-mail, web content, instant messages, CAD drawing files, blogs, wikis, etc. Also included is information stored in databases and other data storage systems. Recommendations in this document can be useful in systems that use local and/or cloud stora
27、ge. Users of this document should be aware that the implementation of these recommendations does not automatically ensure acceptability of the evidence contained within the information. Where electronically stored information (ESI) might be required in court or other adversarial situation, implement
28、ers of this document are advised to seek legal advice to ascertain the precise situation within their relevant legal environment. This document describes means by which it can be demonstrated, at any time, that the information created or existing within an information management system has not chang
29、ed since it was created within the system or imported into it. Regardless of the original format, it will be possible to demonstrate that information stored in a trustworthy information management system can be reliably reproduced in a consistent manner and accurately reflects what was originally st
30、ored without any material modification. Alternative versions of the information in a document might legitimately develop, e.g. revision of a contract. In these cases, the new versions are treated as new documents. The same principle can be applied when a significant change is made to a document in a
31、 workflow environment. Information technology based systems can store, in an electronic form, both documents and records. This document describes means for storing all types of ESI in a trustworthy and reliable manner, as part of an information governance strategy. Where records (as defined in ISO 1
32、5489-1) are stored, the requirements of this document can be used in conjunction with those specified in ISO 15489-1 to ensure that the policies and procedures described in this document work in conjunction with those specified in ISO 15489-1. When information preservation is considered, the require
33、ments of ISO 14641 can be used in conjunction with this document. Readers are advised to use this document in conjunction with other local sources, particularly with relevance to governmental and legal requirements in their respective jurisdictions. ISO 2017 All rights reserved vii Document manageme
34、nt Electronically stored information Recommendations for trustworthiness and reliability 1 Scope This document 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 mann
35、er. Such ESI can be of any type, including “page based” information, information in databases and audio/video information. This document is for use by any organization that uses systems to store trustworthy ESI over time. Such systems incorporate policies, procedures, technology and audit requiremen
36、ts that ensure that trustworthiness of the ESI is maintained. This document 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
37、stored, output from the system will be a true and accurate reproduction of the ESI created and/or imported. 2 Normative references The following documents are referred to in the text in such a way that some or all of their content constitutes requirements of this document. For dated references, only
38、 the edition cited applies. For undated references, the latest edition of the referenced document (including any amendments) applies. ISO 12651 (all parts), Electronic document management Vocabulary 3 T erms a nd definiti ons For the purposes of this document, the terms and definitions given in ISO
39、12651 (all parts) and the following apply. ISO and IEC maintain terminological databases for use in standardization at the following addresses: IEC Electropedia: available at h t t p :/ www .electropedia .org/ ISO Online browsing platform: available at h t t p :/ www .iso .org/ obp 3.1 electronicall
40、y stored information ESI data or information of any kind and from any source, whose temporal existence is evidenced by being stored in or on any electronic medium Note 1 to entry: ESI includes traditional e-mail, memos, letters, spreadsheets, databases, office documents, presentations and other elec
41、tronic formats commonly found on a computer. ESI also includes system, application and file-associated metadata such as timestamps, revision history, file type, etc. Note 2 to entry: Electronic medium can take the form of, but is not limited to, storage devices and storage elements. SOURCE: ISO/IEC
42、27040:2015, 3.16 TECHNICAL REPORT ISO/TR 15801:2017(E) ISO 2017 All rights reserved 1 ISO/TR 15801:2017(E) 3.2 information type groups of related information Note 1 to entry: In specific applications, “groups” can be identified as “sets”, “files”, “collections” or other similar terms. EXAMPLE Invoic
43、es, financial documents, data sheets, correspondence. 3.3 trustworthy ability to demonstrate authenticity, integrity and availability of ESI (3.1) over time 3.4 trusted system information technology system with the capability of managing ESI (3.1) in a trustworthy (3.3) manner 4 Information manageme
44、nt policy 4.1 General Information is one of the most important assets that any organization has at its disposal. Everything an organization does involve using information in some way. The quantity of information can be vast and there are many different ways of representing and storing it. The value
45、of information used and the manner in which it is applied and moved within and between organizations can determine the success or failure of those organizations. Information, like any other asset, needs to be classified, structured, validated, valued, secured, monitored, measured and managed efficie
46、ntly and effectively. This clause describes documentation that states the organizations policy for the management of ESI. Additionally, this clause provides guidance to organizations with respect to the level of documentation required to enable an organization to clearly establish how the ESI contai
47、ned in a trusted system is reliable, accurate and trustworthy. Availability of this documentation can also be used to demonstrate that ESI management is part of normal business procedures. Where an information management system manages ESI that might be used as evidence in any legal or business proc
48、ess, the appropriate legal advisors should be consulted (see 5.4) to ensure that compliance with relevant legal or regulatory requirements is demonstrable. As legal and regulatory requirements vary from country to country (and sometimes within a country), legal advice should cover all relevant juris
49、dictions. 4.2 Information management policy document 4.2.1 Contents An information management policy document (the policy document) should be produced, documenting the organizations policy on the storage of ESI, as applicable to the trusted system. The policy document should contain sections which: specify what ESI is covered (see 4.2.2); state policy regarding roles and responsibilities for ESI (see 4.2.3); state ESI security classification policies (see 4.2.4); state policy regarding storage media (see 4.2.5); st
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