la conception et l'exploitation d'un système électroniques

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1 Philippe NEW WORK ITEM PROPOSAL SC3 MARTIN Date of presentation Reference number 2008/07/29 (to be given by the Secretariat) Proposer ISO/TC / SC N Secretariat 170 A proposal for a new work item within the scope of an existing committee shall be submitted to the secretariat of that committee with a copy to the Central Secretariat and, in the case of a subcommittee, a copy to the secretariat of the parent technical committee. Proposals not within the scope of an existing committee shall be submitted to the secretariat of the ISO Technical Management Board. The proposer of a new work item may be a member body of ISO, the secretariat itself, another technical committee or subcommittee, or organization in liaison, the Technical Management Board or one of the advisory groups, or the Secretary-General. The proposal will be circulated to the P-members of the technical committee or subcommittee for voting, and to the O-members for information. Electronic See overleaf for guidance when to use this form. IMPORTANT NOTE: Proposals without adequate justification risk rejection or referral to originator. Guidelines for proposing and justifying a new work item are given overleaf. Archivage information archiving - Specifications concerning the design and the operation of an Proposal (to be completed by the proposer) Title of proposal d'information (in the case électronique system of an amendment, pour la for conservation electronic - Spécifications records pour preservation la conception et l'exploitation d'un système revision or a new part des of archives an existing document, électroniques show the reference number and current title) English title French title (if available) Scope of proposed project This standard applies to records produced by any kind of information systems, office automation software or converted from physical or analogical form. It describes the design and operation of an information management system which store electronically records where integrity, accessibility and trustworthiness is a main concern including legal, business, governmental, public interest, and other purposes. Records may contain any type of data, including digital born or image information, digital audio or video. This standard is for use with any type of electronic storage medium including logical or physical Worm and rewritable based systems. This standard is aimed to assist any organization which during the process of selection or implementation of an archiving system in order to help them in the specification phase of the system. More specifically, this standard gives specifications for: - bodies or companies which wish to implement information systems in which they will be able to store document imaging or digital born documents so as to ensure their conformity and integrity compared with the original documents; - service companies which are involved in development and integration of electronic records management systems (ERMS); - companies which design software and/or hardware sub-systems that will be integrated in end-user systems. This standard does not cover the processes used to evaluate the authenticity of information, to select the records and to organize the repository prior to capture, import or store it into the system. Concerns known patented items (see ISO/IEC Directives Part 1 for important guidance) Yes No If "Yes", provide full information as annex Envisaged publication type (indicate one of the following, if possible) International Standard Technical Specification Publicly Available Specification Technical Report FORM 4 (ISO) v Page 1 of 3

2 Project normative New work item proposal Results launched in 2005 during annual meeting of TC 171. Joint Working Group (JWG) created to analyse documents of documents the provide analysis recommandations existing presented in the in TC field concerning 171 annual archiving meeting policy of and The systems analysis requirements. showed that But a few there normative is a lack Purpose and justification (attach a separate page as annex, if necessary) of The and guidance for technical specifications and operation. long to proposal operate will an provide archiving both system private in companies order to guaranty and public integrity administrations and truthworthiness with clear of specifications documents stored design regulations. term. It may be used in any state and will help to design an archiving system addressing any local d on the The records. solution proposed proposed standard is will based contribute technical to open components the market already and to promote available the on use the and market. and records. Finally, this standard may strongly contribute to the development of a safer use the of exchange electronic c of documents electronic As documents London, stated above, the analysis presented to the previous TC 171 meeting took into account lot of normative analysis. the already annexe existing # 1 in the in the joined field. document Quoted from shows a presentation two slides which of the summerize NWI the the 2007 conclusions meeting held of this in Specific PDTR and the , fields focus covered is PDTR given by on these three The recent technical table tehnical of reports. annexe reports # 2 compares dealing with the long relative range scope preservation: of the standard PDTR 15801, proposed 2010 ISO IS 15489, PDTR 15801, PDTR , PDTR (see annexe # 2) Target date for availability (date by which publication is considered to be necessary) Proposed development track 1 (24 months) 2 (36 months - default) 3 (48 months) Relevant documents to be considered Relationship of project to activities of other international bodies September 2008 Liaison organizations Need for coordination with: IEC CEN Other (please specify) Philippe Preparatory work (at a minimum an outline should be included with the proposal) APROGED Martin A draft is attached An outline is attached. It is possible to supply a draft by The proposer or the proposer's organization is prepared to undertake the preparatory work required Yes No Proposed Project Leader (name and address) Name and signature of the Proposer (include contact information) phm@bvdic.com FORM 4 (ISO) v Page 2 of 3

3 New work item proposal Comments of the TC or SC Secretariat Supplementary information relating to the proposal Other: This proposal relates to a new ISO document; This proposal relates to the amendment/revision of an existing ISO document; This proposal relates to the adoption as an active project of an item currently registered as a Preliminary Work Item; This proposal relates to the re-establishment of a cancelled project as an active project. Voting information The ballot associated with this proposal comprises a vote on: A Adoption PDF document of the proposal containing as a new annexes project s # 1 and # 2 is submtitted together ther with this form Adoption of the associated draft as a committee draft (CD) Adoption of the associated draft for submission for the enquiry vote (DIS or equivalent) Other: M Maghar Annex(es) are included with this proposal (give details) Date of circulation Closing date for voting Signature of the TC or SC Secretary Use this form to propose: a) a new ISO document (including a new part to an existing document), or the amendment/revision of an existing ISO document; b) the establishment as an active project of a preliminary work item, or the re-establishment of a cancelled project; c) the change in the type of an existing document, e.g. conversion of a Technical Specification into an International Standard. This form is not intended for use to propose an action following a systematic review - use ISO Form 21 for that purpose. Proposals for correction (i.e. proposals for a Technical Corrigendum) should be submitted in writing directly to the secretariat concerned. Guidelines on the completion of a proposal for a new work item (see also the ISO/IEC Directives Part 1) a) Title: Indicate the subject of the proposed new work item. b) Scope: Give a clear indication of the coverage of the proposed new work item. Indicate, for example, if this is a proposal for a new document, or a proposed change (amendment/revision). It is often helpful to indicate what is not covered (exclusions). c) Envisaged publication type: Details of the types of ISO deliverable available are given in the ISO/IEC Directives, Part 1 and/or the associated ISO Supplement. d) Purpose and justification: Give details based on a critical study of the following elements wherever practicable. Wherever possible reference should be made to information contained in the related TC Business Plan. 1) The specific aims and reason for the standardization activity, with particular emphasis on the aspects of standardization to be covered, the problems it is expected to solve or the difficulties it is intended to overcome. 2) The main interests that might benefit from or be affected by the activity, such as industry, consumers, trade, governments, distributors. 3) Feasibility of the activity: Are there factors that could hinder the successful establishment or global application of the standard? 4) Timeliness of the standard to be produced: Is the technology reasonably stabilized? If not, how much time is likely to be available before advances in technology may render the proposed standard outdated? Is the proposed standard required as a basis for the future development of the technology in question? 5) Urgency of the activity, considering the needs of other fields or organizations. Indicate target date and, when a series of standards is proposed, suggest priorities. 6) The benefits to be gained by the implementation of the proposed standard; alternatively, the loss or disadvantage(s) if no standard is established within a reasonable time. Data such as product volume or value of trade should be included and quantified. 7) If the standardization activity is, or is likely to be, the subject of regulations or to require the harmonization of existing regulations, this should be indicated. If a series of new work items is proposed having a common purpose and justification, a common proposal may be drafted including all elements to be clarified and enumerating the titles and scopes of each individual item. e) Relevant documents and their effects on global relevancy: List any known relevant documents (such as standards and regulations), regardless of their source. When the proposer considers that an existing well-established document may be acceptable as a standard (with or without amendment), indicate this with appropriate justification and attach a copy to the proposal. f) Cooperation and liaison: List relevant organizations or bodies with which cooperation and liaison should exist. FORM 4 (ISO) v Page 3 of 3

4 Annexes to the NWI proposal ANNEXES TO ISO FORM Annexe # 1 : analysis of existing normative documents presented at the 2007 meeting of TC 171 held in London Preliminary conclusions Strategy, Policy, Management OK Level Process Functions Life Cycle Management Implementation Guidelines Weakness Technical Plenty ISO TC 171/SC3/JWG NWI Presentation London June Focus on the weakness Policy Strategy 3,0 2,5 servation Archiving 2,0 1,5 1,0 0,5 0,0 Process Function Distribution Technical Management Creation Classification Indexing ISO TC 171/SC3/JWG NWI Presentation London June Note: the shapes coloured in pale yellow show the fields not covered by existing normative documents. Coloured dots represent documents analysed in the core target. July 2007 version 1 Page 1/4

5 Focus on the weakness Policy Strategy 3,0 2,5 servation Archiving 2,0 1,5 1,0 0,5 0,0 Process Function Distribution Technical Management Creation Classification Indexing ISO TC 171/SC3/JWG NWI Presentation London June

6 Annexes to the NWI proposal Annexe # 2 : comparison of the relative scope of the standard proposed and the existing technical reports Proposed standard PDTR PDTR PDTR Version New Draft submitted in 2007 (previous version 2004) Title Electronic archiving - Specifications concerning the design and the operation of an information system for electronic records preservation Scope Archiving policy Objectives Requirements Archiving system is specified to provide: - long term access for electronic documents - evidence for both integrity and authenticity for legal purposes - to cope with different types of information: textual, vocal, video Terms of reference addressed in an annexe Long range preservation, Integrity, Reliability, Monitoring Depending on needs, two application levels are specified: - standard application level - additional requirements to address specific cases Document management Information stored electronically Recommendations for trustworthiness and reliability Document management. The whole life cycle o f a stored electronic document is covered Chapter 4: Information management policy The scope of this section is far wider than the archiving policy issue. It includes information management in addition to records storage Trustworthiness, Reliability, Authenticity (previous version 2004) Records Management Requirements for long term preservation of electronic records This TR aims at providing guidance to apply the principles of ISO according to ISO (OAIS Model) Chapter 6 : Policy and responsibility Authenticity, Reliability, Integrity, Usability Chapter 7: Electronic records preservation requirement : records content, migration policy Electronic imaging Ensuring long-term access to documentbased information Guidance for the long-term retention of accessible and authentic electronic document based-information Not addressed Document based information should remains : readable, intelligible, retrievable, understandable authentic (= integrity) Chapter 5 Long-term access : goals specifications July 2007 version 1 Page 2/4

7 Annexes to the NWI proposal Proposed standard PDTR PDTR PDTR System design System description required. Three types of storage media are specified (see below). Safety items: access control to the system, dual recording in separate media and/or in systems located on distant sites, back-up and recovery plan. External contractors may provide some components : scanning, indexing, storage in digital safe, certificates Preservation formats Differents options specified : rendition formats, tagged or logical structured formats Storage media System operation Three types of media may be used: Physical Worm (true Worm), Logiciel Worm, Rewritable media with cryptographic protection (hash coding + time stamping and/or digitale signature). In adtion, both removable and none removable media are considered Procedures and processes: document capture either by digitization (but scanning operations are not described in full details) or capture of digital sources, indexing process and Chapter 7: Enabling technologies: system description manual, media management, access control, image processing, compression techniques, form and overlay management, data migration Chapter 7 : media management Section 7.3. Storage media and sub system considerations. This issue is not addressed at the technical level Chapter 6: Procedures and processes : processes description, document image capture (digitalisation description), authenticated output, preservation of source Section 8.3 Software file formats and Section 8.4. Storage specify more requirements than technical solution See above See above This issue is not addressed at the technical level Chapter 8: Preservation management process and controls: appraisal, system migration, metadata management, access control, Not addressed A single list of neutral formats is provided Not addressed in details Chapter 6: Element of strategy - media renewal with reformatting files or only copying files - migrating information (detailed July 2007 version 1 Page 3/4

8 Annexes to the NWI proposal Monitoring and auditing Others issues Scope overview Limits Proposed standard PDTR PDTR PDTR metadata management, access control, delation (but retention table building is outside of the scope), documents, system maintenance, use of contracted services, date and time stamp, back-up and recovery, security and protection Section 6.4. Document image capture provides a very accurate description of the whole process documenting process description of the process) Audit trails both for systems events and for archives life cycle Integration of subcontractorts and trusted third parties Specifications both for system design and operation at the technical level Archiving policy is only defined, specific standards are referred to. Chapter 8 : Audit trails : 8.2. System activities, 8.3. Stored information Requirements and proposals for the design and operation of an archiving system Technical design issues of the system are addressed in general terms Chapter 10: reference to ISO 15489, 15801, Chapter 11 : staff training Recommendations to apply ISO Describe mainly requirements Neither technical specifications nor operation specifications are addressed Not addressed Requirements for long term preservation. Strategies available to fulfil the requirements July 2007 version 1 Page 4/4