SIST ISO 16175-2:2013

INTERNATIONAL ISO
STANDARD 16175-2
First edition
2011-04-15
Information and documentation —
Principles and functional requirements
for records in electronic office
environments —
Part 2:
Guidelines and functional requirements
for digital records management systems
Information et documentation — Principes et exigences fonctionnelles
pour les enregistrements dans les environnements électroniques de
bureau —
Partie 2: Lignes directrices et exigences fonctionnelles pour les
systèmes de management des enregistrements numériques

Reference number
©
ISO 2011
©  ISO 2011
All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any means,
electronic or mechanical, including photocopying and microfilm, without permission in writing from either ISO at the address below or
ISO's member body in the country of the requester.
ISO copyright office
Case postale 56 • CH-1211 Geneva 20
Tel. + 41 22 749 01 11
Fax + 41 22 749 09 47
E-mail copyright@iso.org
Web www.iso.org
Published in Switzerland
ii © ISO 2011 – 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.
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 16175-2 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 2: Guidelines and functional requirements for digital records
management systems) 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 digital records management systems
⎯ Part 3: Guidelines and functional requirements for records in business systems
(Blank page)
iv © ISO 2011 – All rights reserved

International Council on Archives

Information and documentation - Principles
and functional requirements for records in
electronic office environments

Part 2
Guidelines and functional
requirements for digital
records management
systems
Published by the International Council on Archives. This part was developed by Archives New Zealand 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: 978-2-918004-01-1
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 Electronic Office Environments – Module 2: Guidelines and Functional
Requirements for Electronic Records Management Systems, 2008, published at www.ica.org
vi © ISO 2011 – All rights reserved

ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems
CONTENTS
1. SCOPE
2. RELATED STANDARDS 2
3. TERMS AND DEFINITIONS 3
4. GUIDELINES 9
4.3.1 Create 141414
4.3.2 Maintain 18
4.3.3 Disseminate 20
4.3.4 Administer 20
5. FUNCTIONAL REQUIRMENTS 22
5.1 CREATE 23
5.1.1 Capture 23
5.2 Identification 29
5.3 Classification 3030
5.4 MAINTAIN
5.4.1 Access and security 35
5.5 Hybrid records management 42
5.6 Retention and disposition 44
5.7 DISSEMINATE 51
5.7.1 Search, retrieve and render 51
5.8 ADMINISTER 56
5.8.1 Administration 56
6. APPENDICES                                                    59
Appendix A - Sample checklist of requirements for reviewing an existing
digital records management system                     59
Appendix B - Bibliography 61
ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems
INTRODUCTION
Effective management of records and information is fundamental to a well-functioning
organisation as it supports business activity and provides a basis for efficient service
delivery. It also provides the mechanism whereby organisations can account for their
decisions and actions and retain corporate memory. Moreover, good records
management is simply good business practice.
Digital records management systems facilitate:
a) efficiency, by making information readily available when needed
for decision-making and operational activities;
b) sound use of financial resources, by allowing timely disposition of
non-current records;
c) accountability, by enabling the creation of a complete and
authoritative record of activities;
d) compliance, by demonstrating that legal requirements have been
met; and
e) risk mitigation, by managing the risks associated with illegal loss or
destruction of records, and from inappropriate or unauthorised
access to records.
A fundamental underlying principle for this document, Principles and functional
requirements for records in electronic office environments – Part 2: Guidelines and
functional requirements for digital records management systems. (hereafter the term
‘part’ is used) is the distinction between business systems (or business information
systems) and digital (or electronic) records management systems. Business systems
contain data that is commonly subject to constant updates (dynamic), able to be
transformed (manipulable) and contain data in current business use (non-redundant).
By contrast, digital records management systems contain data that is not dynamically
linked to business activity (fixed), unable to be altered (inviolable), and may be non-
current (redundant). Therefore business systems are beyond the scope of this part
(see ISO1617-3: 2010, Information and documentation - Principles and functional
requirements for records in electronic office environments – Part 3: Guidelines and
functional requirements for records in business systems.).
The records within a digital records management system are, however, still dynamic
in the sense that they can be (re)used in new business activity/contexts, so new
metadata will be added through the ongoing use of the record content. Digital records
management systems provide the technological component of a framework for the
systematic and structured management of records; they link digital and non-digital
records to business activities, retain records of past actions, and fix the content and
structure of records over time.
The primary audience for this document is staff responsible for designing, reviewing
and/or implementing digital records management systems in organisations – whether
viii © ISO 2011 – All rights reserved

ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems
those systems are commercial off-the-shelf digital records management software
applications, or custom-built applications.
This part primarily addresses the requirements of organisational records/information
managers or system procurement project leaders, but will be relevant for
jurisdictional standard-setters and the wider records management community.
Another key audience is software vendors and developers who market and/or
develop digital records management system products. This part is intended to inform
their decision-making when designing records management functionality within digital
records management products.
ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems
1. SCOPE
The scope of this part is limited to products that are often termed ‘electronic records
management systems’ or ‘enterprise content management systems’. This part will
use the term digital records management systems for those software applications
whose primary function is records management. It does not seek to set requirements
for records still in use and held within business systems. Digital objects created by
email, word processing, spreadsheet and imaging applications (such as text
documents, and still or moving images), where they are identified to be of business
value, should be managed within digital records management systems which meet
the functional requirements set out in this part.
Records managed by a digital records management system may be stored on a
variety of different media formats, and may be managed in hybrid record
aggregations that include both digital and non-digital elements.
This part does not attempt to include requirements that are not specific to, or
necessary for, records management, for example, general system management and
design requirements. Nor does it include requirements common to all software
applications, such as performance, scalability and usability. Given the target
audience of this document, it also assumes a level of knowledge about developing
design specifications, procurement and evaluation processes, and therefore these
issues are not covered in this part. Although not included in this part’s requirements,
the importance of non-records management functional requirements for records
management systems is recognised through their inclusion in the high-level model
outlined in Section 4.2: Overview of functional requirements.
Specifications for the long-term preservation of digital records are also beyond the
scope of this part; this issue should be addressed separately within a dedicated
framework for digital preservation or ‘digital archiving’ at a strategic level. These
digital preservation considerations transcend the life of systems and are system
independent; they should be assessed in a specific migration and conversion plan at
the tactical level. However, recognition of the need to maintain records for as long as
they are required shall be addressed, and potential format obsolescence issues
should also be considered when applying the functional requirements.
This part articulates a set of functional requirements for digital records management
systems. These requirements apply to records irrespective of the media in which they
were created and/or stored. The requirements are intended to:
a) set out the processes and requirements for identifying and managing
records in digital records management systems;
b) set out the records management functionality to be included in a design
specification when building, upgrading or purchasing digital records
management systems software;
c) inform records management functional requirements in the selection of
commercially available digital records management systems; and
d) review the records management functionality of, or assess the compliance
of, an existing digital records management system.
ICA/ADRI Guidelines and Functional Requirements for Digital Records Management Systems
2. RELATED STANDARDS
The following documents are referenced for the application of this document.

ISO 15489-1:2001, Information and documentation — Records management — Part
1: General
ISO/TR 15801:2009, Document management — Information stored electronically —
Part 2: Recommendations for trustworthiness and reliability
ISO16175-1:2010, Information and documentation — Principles and functional
requirements for records in electronic office environments — Part 1: Overview and
statement of principles.
ISO1617-3:2010, Information and documentation - Principles and functional
requirements for records in electronic office environments – Part 3: Guidelines and
functional requirements for records in business systems.
ISO 23081-1:2006, Information and documentation — Records management
processes — Metadata for records — Part 1: Principles
ISO 23081-2:2009, Information and documentation — Managing metadata for
records — Part 2: Conceptual and implementation issues.
ISO 2788:1986, Documentation — Guidelines for the establishment and
development of monolingual thesauri.
ISO 5964:1985, Documentation — Guidelines for the establishment and
development of multilingual thesauri.
International Council on Archives, Principles and Functional Requirements for
Records in Electronic Office Environments, Part 1 — Overview and Statement of
Principles, 2008.
International Council on Archives, Principles and Functional requirements for
Records in Electronic Office Environments, Part 3 — Guidelines and Functional
Requirements for Records in Business information systems, 2008.
...