SIST ISO 16175-1:2013

INTERNATIONAL ISO
STANDARD 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 — Principes et exigences fonctionnelles
pour les enregistrements dans les environnements électroniques de
bureau —
Partie 1: Aperçu et déclaration de principes

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
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established has the right to be represented on that committee. International organizations, governmental and
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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.
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 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 1
Overview and statement
of principles
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 Recordkeeping
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 reserved

International Council 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 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
INTERNATIONAL STANDARD      ISO 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 develop 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 suite 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 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 (for
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, Director 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 (Richard Blake), Germany
(Andrea Hänger and Frank Bischoff), Malaysia (Mahfuzah Yusuf and Azimah Mohd
Ali), Netherlands (Hans Hofman), Scotland (Rob Mildren and Steve Bordwell), South
Africa (Louisa Venter), Sweden (Göran Kristiansson), France (Olivier de Solan) and
the United States (Mark Giguere). 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 Scope 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 number of jurisdiction-specific functional
requirements and software specifications. The project’s 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 liaise, in a consolidated manner, with the global software industry.
The objectives of the project are to:
• enable better management of records in organisations;

International Council on Archives Overview and statement of principles
• 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 specified 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 the 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 primary 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 requirements 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 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;
• jurisdictional 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, 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
International Standard on Information and Documentation – Records Management –
Part 1: General, ISO 15489, which sets out the records management requirements

2 © ISO 2010 – All rights reserved

International Council on Archives Overview and statement of principles
that also apply when records are 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: 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: 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 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:
• Module 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 application 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 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 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
management software.
International Council on Archives Overview and statement of principles
• In
...