SIST ISO 16175-3:2013

INTERNATIONAL ISO
STANDARD 16175-3
First edition
2010-12-01
Information and documentation —
Principles and functional requirements
for records in electronic office
environments —
Part 3:
Guidelines and functional requirements
for records in business systems
Information et documentation — Principes et exigences fonctionnelles
pour les enregistrements dans les environnements électroniques de
bureau —
Partie 3: Lignes directrices et exigences fonctionnelles pour les
enregistrements dans les systèmes d'entreprise

Reference number
©
ISO 2010
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ii © ISO 2010 – All rights reserved

Foreword
ISO (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 committee 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 electrotechnical 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 the member bodies casting a vote.
ISO 16175-3 was prepared by the International Council on Archives (as International Council on Archives and
the Australasian Digital Recordkeeping Initiative Principles and Functional Requirements 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 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 requirements for records in electronic office environments
⎯ Part 3: Guidelines and functional requirements for records in business systems
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iv © ISO 2010 – All rights reserved

International Council on Archives

`
Principles and functional requirements for
records in digital office environments
Module 3
Guidelines and functional
requirements for records in
business systems
Published by the International Council on Archives. This module was developed by the National Archives of
Australia and Queensland State Archives in conjunction with a joint project team formed by members of the
International Council on Archives and the Australasian Digital Recordkeeping Initiative.
© International Council on Archives 2008
ISBN: 978-2-918004-02-8
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 Functional
Requirements for Records in Digital Office Environments – Module 3: Guidelines and Functional
Requirements for Records in Business Systems, 2008, published at www.ica.org.
vi © ISO 2010 – All rights reserved

International Council on Archives Records in Business Systems
CONTENTS
1 INTRODUCTION 1
1.1 Scope and purpose 1
1.2 Audience 2
1.3 Related standards 3
1.4 Terminology 3
1.5 Structure 4
2 GUIDELINES 5
2.1 Why is it important to have evidence of business processes and
activities? 5
2.2 The business systems landscape and records 6
2.3 Determining needs for evidence of events, transactions and decisions
in business systems 7
2.3.1 Analyse the work process 7
2.3.2 Identify requirements for evidence of the business 8
2.3.3 Identify the content and its associated management
information that record this evidence 9
2.3.4 Identify linkages and dependencies 15
2.3.5 Devise strategies to address core records processes based
on an options assessment 16
2.3.6 Risk and options assessment 20
2.3.7 Implementation 21
2.4 Using the functional requirements 23
2.4.1 Key outcomes 24
2.4.2 Developing a software design specification for a business
system with records management functionality 25
2.4.3 Reviewing, assessing and auditing existing business
systems 26
2.4.4 Undertaking the review process 27
2.5 Entity relationship models 29
2.5.1 Record categories and the records classification scheme 29
2.5.2 Aggregations of digital records 30
2.5.3 Digital records 31
2.5.4 Extracts 31
2.5.5 Components 31
3 FUNCTIONAL REQUIREMENTS 32
3.1 Creating records in context 34
3.1.1 Creating a fixed record 35
3.1.2 Record metadata 38
3.1.3 Managing of aggregations of digital records 39
3.1.4 Records classification 40
International Council on Archives Records in Business Systems
3.2 Managing and maintaining records 40
3.2.1 Metadata configuration 42
3.2.2 Record reassignment, reclassification, duplication and
extraction 43
3.2.3 Reporting on records 44
3.2.4 Online security processes 44
3.3 Supporting import, export and interoperability 47
3.3.1 Import 48
3.3.2 Export 48
3.4 Retaining and disposing of records as required 49
3.4.1 Compliance with disposition authorisation regimes 50
3.4.2 Disposition application 52
3.4.3 Review 54
3.4.4 Destruction 55
3.4.5 Disposition metadata 55
3.4.6 Reporting on disposition activity 56
4 APPENDICES 58
A Glossary 58
B Integrating records considerations into the systems development life
cycle 67
1 Project initiation 67
3 Requirements analysis 68
4 Design 68
5 Implementation 69
6 Maintenance 69
7 Review and evaluation 70
C Further reading 71
viii © ISO 2010 – All rights reserved

INTERNATIONAL STANDARD ISO 16175-3:2010(E)

International Council on Archives Records in Business Systems
1 INTRODUCTION
Organisations implement business systems to automate business activities and
transactions. As a result, the digital information generated by a business system
increasingly serves as the only evidence or record of the process, despite the system
not being designed for this purpose. Without evidence of these activities,
organisations are exposed to risk and may be unable to meet legislative,
accountability, business and community expectations.
Because of the dynamic and manipulable nature of business systems, the capture of
fixed records and the ongoing management of their authenticity, reliability, usability
and integrity can be challenging. Organisations are therefore faced with a significant
risk of mismanagement, inefficiency and unnecessary expenditure.
While these same organisations may have an electronic records management
system (ERMS), it may not capture all records of the organisation. This document is
designed to address the records management gap caused by the increasing use of
business systems.
It provides guidelines on identifying and addressing the needs for records, and a set
of generic requirements for records management functionality within business
systems software. It aims to:
• help organizations understand digital records management requirements;
• assist organisations to improve digital records management practices;
• reduce the duplication of effort and associated costs in identifying a minimum
level of functionality for records in business systems; and
• establish greater standardisation of records management requirements for
software vendors.
The document does not prescribe a specific implementation approach. The intent of
these specifications can be realised through interfacing or integrating the business
system with an electronic records management system or by building the
functionality into the business system.
1.1 Scope and purpose
This document will help organisations to ensure that evidence (records) of business
activities transacted through business systems are appropriately identified and
managed. Specifically, it will assist organisations to:
• understand processes and requirements for identifying and managing records
in business systems;
An electronic records management system is a type of business system specifically
designed to manage records. However, in the interests of clarify and brevity, for the
purpose of this document, ‘business system’ should be taken as excluding an electronic
records management system.
International Council on Archives Records in Business Systems
• develop requirements for functionality for records to be included in a design
specification when building, upgrading or purchasing business system
software;
• evaluate the records management capability of proposed customised or
commercial off-the-shelf business system software; and
• review the functionality for records or assess compliance of existing business
systems.
It does not provide a complete specification but rather outlines a number of key
records management requirements, with recommended levels of obligation, which
can be used as a starting point for further development. As outlined in the document,
organisations will still need to assess, amend and select their requirements based on
their business, technical and jurisdictional environments and constraints.
This Module only addresses records management requirements and does not
include general system management. Design requirements such as usability,
reporting, searching, system administration and performance are beyond the scope
of this document. It also assumes a level of knowledge about developing design
specifications, procurement and evaluation processes, therefore these related issues
are not covered in any detail.
Requirements for the long-term preservation of digital records are not explicitly
covered within this document. However, the inclusion of requirements for export
supports preservation by allowing the export of records to a system that is capable of
long-term preservation activities, or for the ongoing migration of records into new
systems.
While the guidance presented in this Module should be applicable to records
management in highly integrated software environments based on service-oriented
architectures, such scenarios are not explicitly addressed. Similar principles and
processes will apply in such environments, but additional analysis will be required to
determine what processes and data constitute, across multiple systems, the required
evidence or record of any particular transaction.
Use of the term ’system’ in this document refers to a computer or IT system. This is
in contrast to the records management understanding of the term that encompasses
the broader aspects of people, policies, procedures and practices. Organisations will
need to consider these wider aspects, and to ensure that fundamental records
management supporting tools such as disposition authorities, information security
classifications and a records culture are in place, in order to ensure records from
business systems can be appropriately managed.
1.2 Audience
The primary audience for this document is staff responsible for designing, reviewing
and/or implementing business systems in organisations, such as business analysts

A formal instrument that defines the retention periods and consequent actions authorised
for classes of records described in the authority.

2 © ISO 2010 – All rights reserved

International Council on Archives Records in Business Systems
and groups overseeing information and communications technologies procurement
or investment decisions.
The audience also includes records professionals who are involved in advising or
assisting in such processes and software vendors and developers who wish to
incorporate records functionality within their products.
Given the target audience for this document, the use of specific records
management terminology has been kept to a minimum. Where the use of such
terminology is necessary, definitions can be found in the Glossary at Appendix A.
Some key definitions are also provided in Section 1.4: Key definitions.
1.3 Relat
...