SIST ISO 13008:2013

INTERNATIONAL ISO
STANDARD 13008
First edition
2012-06-15
Information and documentation — Digital
records conversion and migration process
Information et documentation — Processus de conversion et migration
des documents d’activité numériques
Reference number
©
ISO 2012
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ii © ISO 2012 – All rights reserved

Contents Page
Foreword .iv
Introduction . v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Organizational and business framework . 4
4.1 General . 4
4.2 Conversion and migration drivers . 4
4.3 Planning for the conversion and migration process . 5
4.4 Establishing a conversion and migration program . 6
5 Recordkeeping requirements . 8
5.1 General . 8
5.2 Conversion and migration requirements . 8
5.3 Conversion/migration process metadata . 9
5.4 Recordkeeping process metadata implementation issues . 9
6 Conversion and migration planning .10
6.1 General .10
6.2 Business requirements .10
6.3 General administrative planning . 11
6.4 Technology planning requirements .12
7 Conversion and migration procedures .12
7.1 General .12
7.2 Procedures .13
7.3 Conversion/migration project planning .15
7.4 Testing .18
7.5 Conversion/migration .20
7.6 Validating .22
8 Monitoring .24
Bibliography .25
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.
International Standards are drafted in accordance with the rules given in the ISO/IEC 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 member 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, Information and documentation, Subcommittee
SC 11, Archives/records management.
iv © ISO 2012 – All rights reserved

Introduction
This International Standard provides guidance for the conversion of records from one format to another and
the migration of records from one hardware or 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 and 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, 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 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 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 had 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.
Conversion 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 15489-1:2001, 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 continue 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 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
electronic 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 principles 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 record’s standing as evidence of business activity is not compromised. The
principles apply regardless of how long the record is retained.
This International Standard does not specifically address conversions and migrations as a routine, ongoing
business-as-usual work.
INTERNATIONAL STANDARD ISO 13008:2012(E)
Information and documentation — Digital records conversion
and migration process
1 Scope
This 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 of 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 vice versa.
2 Normative references
The 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, Information and documentation — Records management — Part 1: General
ISO 23081-2, Information and documentation — Managing metadata for records — Part 2: Conceptual and
implementation issues
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO 15489-1 and the following apply.
3.1
access
right, opportunity, means of finding, using, or retrieving information
[ISO 15489-1:2001, definition 3.1]
3.2
attribute
characteristic of an object or entity
NOTE Adapted from ISO/IEC 11179-3:2003.
3.3
authenticity
record that can be proven to be what it purports to be, to have been created or sent by the person purported to
have created or sent it, and to have been created or sent at the time purported
NOTE This term is further described in ISO 15489-1:2001, 7.2.2.
3.4
content
subject information of a document
[IEC 82045-1:2001, definition 3.2.2]
3.5
conversion
〈record〉 process of changing records from one format to another while maintaining the characteristics of the records
3.6
data cleansing
process of reviewing and correcting data to ensure data are in a standardized format
NOTE Correction may 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.
3.7
data object
discrete data, considered as a unit, representing an instance of a data structure that is known or assumed to
be known
[ISO/IEC 2382-17:1999, definition 17.01.11]
3.8
emulation
use 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 system
NOTE Adapted from ISO/IEC 2382-1:1993.
3.9
encryption
(reversible) transformation of data by a cryptographic algorithm to produce ciphertext, i.e. to hide the information
content of the data
NOTE Adapted from ISO/IEC 18033-1:2005.
3.10
file format
encoding of a file type that can be rendered or interpreted in a consistent, expected and meaningful way through
the intervention of a particular piece of software or hardware which has been designed to handle that format
NOTE 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 reference software system. Many file formats exist in forms with minor variations
and many a
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