1、 Reference number ISO 16175-1:2010(E) ISO 2010INTERNATIONAL STANDARD ISO 16175-1 First edition 2010-12-01 Information and documentation Principles and functional requirements for records in electronic office environments Part 1: Overview and statement of principles Information et documentation Princ
2、ipes et exigences fonctionnelles pour les enregistrements dans les environnements lectroniques de bureau Partie 1: Aperu et dclaration de principes ISO 16175-1:2010(E) PDF disclaimer This PDF file may contain embedded typefaces. In accordance with Adobes licensing policy, this file may be printed or
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7、x + 41 22 749 09 47 E-mail copyrightiso.org Web www.iso.org Published in Switzerland ii ISO 2010 All rights reservedISO 16175-1:2010(E) ISO 2010 All rights reserved iiiForeword ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies (ISO member
8、 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
9、 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 Internation
10、al 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. Attention is drawn to the possibility that some of the elements of this document may be th
11、e subject of patent rights. ISO shall not be held responsible for identifying any or all such patent rights. ISO 16175-1 was prepared by the International Council on Archives (as International Council on Archives and the Australasian Digital Recordkeeping Initiative Principles and Functional Require
12、ments 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
13、 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 requirement
14、s for records in electronic office environments Part 3: Guidelines and functional requirements for records in business systems ISO 16175-1:2010(E) iv ISO 2010 All rights reservedBlank page International Council on Archives Principles and functional requirements for records in digital office environm
15、ents Module 1 Overview and statement of principles ISO 2010 All rights reserved vISO 16175-1:2010(E) Published by the International Council on Archives. This module was developed by a joint project team formed by members of the International Council on Archives and the Australasian Digital Recordkee
16、ping Initiative. International Council on Archives 2008 ISBN: 978-2-918004-00-4 Reproduction by translation or reprinting of the whole or of parts for non-commercial purposes is allowed on condition that due acknowledgement is made. vi ISO 2010 All rights reservedISO 16175-1:2010(E)International Cou
17、ncil on Archives Overview and statement of principles CONTENTS 1 INTRODUCTION 1 1.1 Scope and purpose 1 1.2 Audience 2 1.3 Related standards 2 1.4 Structure and use 3 2 GOOD PRACTICE: DIGITAL RECORDS AND THE ROLE OF SOFTWARE 4 3 GUIDING PRINCIPLES 3.1 Records-related principles 5 3.2 Systems-related
18、 principles 6 4 IMPLEMENTATION ISSUES 7 4.1 Components of successful digital business information management 7 4.2 Risks and mitigations 9 4.3 Financial and organisational sustainability of digital systems 11 5 OTHER FUNCTIONAL REQUIREMENTS REFERENCED AND EVALUATED 12 6 GLOSSARY 15 ISO 2010 All righ
19、ts reserved viiISO 16175-1:2010(E)International Council on Archives Overview and statement of principles 1 INTRODUCTION A variety of functional specifications for records management software has been developed in the international community. In 2006, the International Council on Archives agreed to d
20、evelop a harmonised, generic suite of functional requirements for software products for making and keeping records based on existing jurisdiction- specific specifications, and to do so in a manner consistent with the International Standard on Records Management, ISO 15489. It is hoped that this suit
21、e of guidelines and functional requirements will assist jurisdictions that are developing, or looking to adopt, their own functional specifications, as well as inform the update and revision of previously existing standards. The application of this set of functional requirements is meant to not only
22、 inform the development of electronic records management software, but also to aid in the incorporation of records functionality into generic business information systems software products, as well as specific line-of- business systems. These specifications can also be used by the private sector (fo
23、r example, multinational corporations) as a stand-alone tool. Principles and Functional Requirements for Records in Digital Office Environments was sponsored by the International Council on Archives as a project in its Electronic Records and Automation Priority Area, lead by George Mackenzie, Direct
24、or of the National Archives of Scotland. Adrian Cunningham (National Archives of Australia) was Project Coordinator. Archives New Zealand (Stephen Clarke) acted as the Secretariat for the project. Other participating countries included Cayman Islands (Sonya Sherman), United Kingdom England and Wales
25、 (Richard Blake), Germany (Andrea Hnger and Frank Bischoff), Malaysia (Mahfuzah Yusuf and Azimah Mohd Ali), Netherlands (Hans Hofman), Scotland (Rob Mildren and Steve Bordwell), South Africa (Louisa Venter), Sweden (Gran Kristiansson), France (Olivier de Solan) and the United States (Mark Giguere).
26、The project was also supported by the Australasian Digital Recordkeeping Initiative, a collaborative venture sponsored by the Council of Australasian Archives and Records Authorities. ADRI member Queensland State Archives (Rowena Loo and Anna Morris) contributed to the drafting of Module 3. 1.1 Scop
27、e and purpose The aim of the Principles and Functional Requirements for Records in Digital Office Environments project is to produce globally harmonised principles and functional requirements for software used to create and manage digital records in office environments. There currently exist a numbe
28、r of jurisdiction-specific functional requirements and software specifications. The projects objective is to synthesise this existing work into requirements and guidelines to meet the needs of the international archives, records and information management community and to enable that community to li
29、aise, in a consolidated manner, with the global software industry. The objectives of the project are to: enable better management of records in organisations; ISO 2010 All rights reserved 1 INTERNATIONAL STANDARD ISO 16175-1:2010(E)International Council on Archives Overview and statement of principl
30、es support the business needs of an organisation by enabling greater effectiveness and efficiency of the operations; provide, through wider deployment of automated records functionality, enhanced abilities to support auditing activities; improve capabilities to comply with statutory mandates specifi
31、ed in various information-related legislation (for example, data protection and privacy); ensure good governance (for example, accountability, transparency and enhanced service delivery) through good management of records; increase general awareness of automated records management capabilities via t
32、he dissemination of key principles; and maximise cross-jurisdictional consistency regarding the articulation of functional requirements for managing records and to enable the global archives, records and information management community to speak with one voice to the software vendor community. The p
33、rimary focus of this suite of guidelines and requirements is the creation and management of digital records. While the modules support the long-term preservation of digital records, processes to achieve this are beyond the scope of the project. It is anticipated that the application of the requireme
34、nts will be global in nature. Therefore, it is impossible, given the wide juridical range of potential applications, to include detailed implementation guidelines. In addition, as the ultimate testing environment for the basis of these modules is yet to be determined, inclusion of specific software
35、test cases or scripts was deemed beyond the scope of the modules. 1.2 Audience There are four key audiences for these modules: software developers and vendors including non-records management software, so this document can serve as a universal benchmark for records management compliance; jurisdictio
36、nal standard-setters so these modules can serve as either the baseline for nascent standards development efforts, or as a basis for evaluating the already existing digital records management standards; government agencies so that all business functions can be evaluated against, and facilitated via,
37、the incorporation of automated records management capabilities; and private-sector organisations so that they can incorporate automated digital records management into their business operations. 1.3 Related standards The requirements are aligned with the records management principles in the Internat
38、ional Standard on Information and Documentation Records Management Part 1: General, ISO 15489, which sets out the records management requirements ISO 16175-1:2010(E) 2 ISO 2010 All rights reservedInternational Council on Archives Overview and statement of principles that also apply when records are
39、captured and managed within electronic records management systems. The reference metadata standard for these requirements is ISO 23081 1: 2006, Information and Documentation Records Management Processes Metadata for Records, Part 1 Principles. The high-level metadata element set found in ISO 23081 2
40、 2009, Information and Documentation Records Management Processes Metadata for Records, Part 2 Conceptual and Implementation Issues provides the basis for the requirements. Useful implementation guidance can be found in ISO/TR 15489 2: 2001, Information and Documentation Records Management Part 2:
41、Guidelines and in ISO/TR 26122:2008 Information and Documentation Work Process Analysis for Records. The requirements are core, high-level and generic requirements for records. Readers seeking guidance in other areas of software functionality not addressed in this document should refer to other more
42、 detailed specifications such as US DoD 5015.2 and MoReq2. Readers should also take account of other relevant jurisdiction-specific standards, statements of requirements and specifications. 1.4 Structure and use The suite of guidelines and functional requirements is organised into three modules: Mod
43、ule 1: Overview and Statement of Principles: background information, organisation, fundamental principles and additional context; Module 2: Guidelines and Functional Requirements for Records in Digital Office Environments: a global high-level statement of core and optional requirements, including ap
44、plication guidelines and a compliance checklist; and Module 3: Guidelines and Functional Requirements for Records in Business Systems: guidelines and generic core and optional functional requirements for records in business systems. Module 2 is intended for use by organisations seeking to implement
45、dedicated electronic records management systems. It is meant to be read in conjunction with Module 1. Module 3 is intended for use by organisations wishing to incorporate records functionality into business systems. It is meant to be read in conjunction with Module 1. Several non-mutually exclusive
46、use scenarios are presented below to exemplify how these modules might be used: Reviewing records functionality in existing software an organisation could use these modules as a checklist to establish which required and desirable records management functions are present in deployed, non-records mana
47、gement software. ISO 16175-1:2010(E) ISO 2010 All rights reserved 3International Council on Archives Overview and statement of principles Integrating electronic records management software into a business system an organisation could use Module 3 to selectively incorporate specific records managemen
48、t functionality into existing business systems. Using a design specification for in-house software development an organisations IT staff could use Module 3 during their software design and testing documentation of software development efforts. Evaluating software considered for purchase an organisat
49、ion could use Module 2 as a basis for evaluating and comparing capabilities of commercial, off-the-shelf electronic records management software. Procuring, deploying and configuring electronic records management software an organisation could use Module 2 to form the basis of a functional requirements statement in formulating a request for proposal for electronic records management software procurement and implementation. The requiremen
