It gives guidelines to understand processes and requirements for identifying and managing records in business systems; to develop requirements for functionality for records to be included in a design specification when building, upgrading or purchasing business system software; to evaluate the records management capability of proposed customized or commercial off-the-shelf business system software; to review the functionality for records or assess compliance of existing business systems. ISO specifies 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. It does not specify requirements for the long-term preservation of digital records. ISO is not applicable to records management in highly integrated software environments based on service-oriented architectures. ISO does not specify a general system management, nor the design requirements such as usability, reporting, searching, system administration and performance.
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ISO — what you need to know ISO — what you need to know Principles and functional requirements for records in electronic office environments ISO provides internationally agreed principles and functional requirements for software used to create and manage digital information in office environments. The standard is divided into three parts. Overview and statement of principles: sets out the fundamental principles for the management of records in a digital environment.
Guidelines and functional requirements for digital records management systems: sets out the functional requirements for software systems that are designed principally to manage records. Guidelines and functional requirements for records in business systems: sets out the functional requirements for the management of information held in business systems.
Use of the standard in the Australian Government We endorse the use of this standard by Australian Government agencies. This helps to maximize consistency across agencies in software used to create and manage digital information and records. The standard assists agencies to: review the information and records management functionality, or assess the compliance of an existing system identify information and records management functionality to include in a design specification when building, upgrading or acquiring new systems.
The principles and functional requirements in the standard enable agencies to better manage their business information through: supporting business needs by enabling greater effectiveness and efficiency of operations ensuring greater accountability, transparency and enhanced service delivery increasing general awareness of automated records management capabilities providing a foundation for government agencies, the National Archives and the wider information management profession to engage with the software vendor community.
We encourage software vendors to self-assess their products against this standard. Getting the most from ISO The functional requirements set out in the standard are based on the minimum requirements for records functionality defined in the Australian and international standard for records management, AS ISO The standard does not include the specifications for the long term preservation of digital records.
These requirements should be addressed separately within a digital preservation framework. More detailed advice on understanding how to apply the standard is provided below: Getting the most from ISO Module 2 — Guidelines and functional requirements for records in digital records managements systems ISO Part 2 should be read in conjunction with Part 1 of the standard, which contains an overview of the basic principles for managing records in a digital environment.
What is a digital records management system? A digital records management system is a software application whose primary function is to manage information as records.
This also includes enterprise content management systems where the primary function is records management. These systems are specifically designed to manage the capture, maintenance and disposal of records.
They maintain the content, context, structure and links among records to enable their accessibility and support their value as evidence. Not all digital records management systems are limited to the management of records in digital format. Some are specifically designed to provide for the management of physical records such as paper-based files or both physical and digital records.
Functional requirements for digital records management systems ISO Part 2 sets out the requirements for digital records management systems. These requirements are: to create and capture the content, structure, context and format of records. This includes requirements for the identification, classification and aggregation of records. This includes requirements for access and security, retention and disposal, maintaining metadata, hybrid records management and support for migration and export.
Getting the most from ISO Module 3 — Guidelines and functional requirements for records in business systems ISO Part 3 should be read in conjunction with Part 1 of the standard, which contains an overview of basic principles for managing records in a digital environment. What is a business system? Business systems differ from electronic document and records management systems EDRMS or electronic records management systems ERMS in that their primary function is to facilitate business transactions.
Examples of common business systems include line-of-business, case management, content management, human resource management and financial management systems. Business systems typically store large volumes of information that are frequently updated.
Not all information in a business system will need to be kept. For example, data may be duplicated or the data may have been drawn together and kept elsewhere. A record in a business system may consist of dispersed elements in a database that, when drawn together for a transaction, provide evidence of a business activity.
Functional requirements for information management in business systems ISO Part 3 provides an overview of the high level functional requirements for records that may be incorporated into a business system.
Functional requirements are broken down into four categories, each representing a different records management concept. These requirements are: to create records in context: the functionality required to create and keep records that are valid, accurate and protected from both accidental and deliberate unauthorised change. The functional requirements will be influenced by whether records are managed within the business system or are managed externally by export to or integration with a dedicated records management system.
The Business System Assessment Framework will assist with determining the appropriate functionality for your agency. This Framework is based on Part 3 of ISO which provides a streamlined, risk-based approach to the assessment of information management functionality in business systems.
The three modules of ICA-req are available for reference purposes.
ISO 16175 – what you need to know
ISO uses 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, are managed within digital records management systems which meet the functional requirements established in ISO Records managed by a digital records management system can be stored on a variety of different media formats, and can be managed in hybrid record aggregations that include both digital and non-digital elements. ISO does not attempt to include requirements that are not specific to, or necessary for, records management, for example, general system management and design requirements.
What is ISO 16175?
What is ISO ? ISO articulates a set of functional requirements for digital records management systems. The requirements are intended to: define the processes and requirements for identifying and managing records in digital records management systems; define the records management functionality to be included in a design specification when building, upgrading or purchasing digital records management systems software; inform records management functional requirements in the selection of commercially available digital records management systems; and review the records management functionality of, or assess the compliance of, an existing digital records management system. It gives guidelines: to understand processes and requirements for identifying and managing records in business systems; to develop requirements for functionality for records to be included in a design specification when building, upgrading or purchasing business system software; to evaluate the records management capability of proposed customized or commercial off-the-shelf business system software; to review the functionality for records or assess compliance of existing business systems. ISO lists recordkeeping requirements for business systems, and applications, and can be used as a checklist to assess system functionality.