ISO/TR 15801:2017
Document management — Electronically stored information — Recommendations for trustworthiness and reliability
ISO/TR 15801:2017 describes the implementation and operation of information management systems that store and make available for use electronically stored information (ESI) in a trustworthy and reliable manner. Such ESI can be of any type, including "page based" information, information in databases and audio/video information.
ISO/TR 15801:2017 is for use by any organization that uses systems to store trustworthy ESI over time. Such systems incorporate policies, procedures, technology and audit requirements that ensure that trustworthiness of the ESI is maintained.
ISO/TR 15801:2017 does not cover processes used to evaluate whether ESI can be considered to be trustworthy prior to it being stored or imported into the system. However, it can be used to demonstrate that, once the electronic information is stored, output from the system will be a true and accurate reproduction of the ESI created and/or imported.
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Foreword
Introduction
1 Scope
2 Normative references
3 Terms and definitions
4 Information management policy
4.1 General
4.2 Information management policy document
4.2.1 Contents
4.2.2 ESI covered
4.2.3 ESI roles and responsibilities
4.2.4 ESI security classification
4.2.5 Storage media
4.2.6 Data file formats and compression
4.2.7 Outsourcing
4.2.8 Standards related to information management
4.2.9 Retention and disposal schedules
4.2.10 Information management responsibilities
4.2.11 Compliance with policy
5 Duty of care
5.1 General
5.1.1 Trusted system
5.1.2 Controls
5.1.3 Segregation of roles
5.2 Information security management
5.2.1 Information security policy
5.2.2 Risk assessment
5.2.3 Information security framework
5.3 Business continuity planning
5.4 Consultations
6 Procedures and processes
6.1 General
6.2 Procedures manual
6.2.1 Documentation
6.2.2 Content
6.2.3 Compliance with procedures
6.2.4 Updating and reviews
6.3 ESI capture
6.3.1 General
6.3.2 Creation and importing
6.3.3 Information loss
6.3.4 Metadata
6.4 Document image capture
6.4.1 General
6.4.2 Preparation of paper documents
6.4.3 Document batching
6.4.4 Photocopying
6.4.5 Scanning processes
6.4.6 Quality control
6.4.7 Rescanning
6.4.8 Image processing
6.5 Data capture
6.5.1 Data creation
6.5.2 Conversion and migration
6.6 Database considerations
6.6.1 General
6.6.2 Database systems
6.6.3 Database schemas
6.6.4 Master data management
6.6.5 Transactional vs. updating
6.7 Indexing
6.7.1 General
6.7.2 Manual indexing
6.7.3 Automatic indexing
6.7.4 Index storage
6.7.5 Index amendments
6.7.6 Index accuracy
6.8 Authenticated output procedures
6.9 ESI transmission
6.9.1 Intra-system ESI transfer
6.9.2 External transmission of files
6.10 Information retention
6.11 Information preservation
6.12 Information destruction
6.13 Backup and system recovery
6.14 System maintenance
6.14.1 General
6.14.2 Scanning systems
6.15 Security and protection
6.15.1 Security procedures
6.15.2 Encryption keys
6.16 Use of contracted services
6.16.1 General
6.16.2 Procedural considerations
6.16.3 Transportation of paper documents
6.16.4 Use of trusted third party
6.17 Workflow
6.18 Date and time stamps
6.19 Version control
6.19.1 Information
6.19.2 Documentation
6.19.3 Procedures and processes
6.20 Maintenance of documentation
7 Enabling technologies
7.1 General
7.2 System description manual
7.3 Storage media and sub-system considerations
7.4 Access levels
7.5 System integrity checks
7.5.1 General
7.5.2 Digital and electronic signatures (including biometric signatures)
7.6 Image processing
7.7 Compression techniques
7.8 Form overlays and form removal
7.9 Environmental considerations
7.10 Migration
7.11 Information deletion and/or expungement
8 Audit trails
8.1 General
8.1.1 Audit trail data
8.1.2 Creation
8.1.3 Date and time
8.1.4 Storage
8.1.5 Access
8.1.6 Security and protection
8.2 System
8.2.1 General
8.2.2 Audit trail information
8.2.3 Migration and conversion
8.3 ESI
8.3.1 General
8.3.2 ESI capture
8.3.3 Batch information
8.3.4 Indexing
8.3.5 Change control
8.3.6 Digital signatures
8.3.7 Destruction of information
8.3.8 Workflow
Bibliography
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Foreword
Introduction
1 Scope
2 Normative references
3 Terms and definitions
4 Information management policy
4.1 General
4.2 Information management policy document
4.2.1 Contents
4.2.2 ESI covered
4.2.3 ESI roles and responsibilities
4.2.4 ESI security classification
4.2.5 Storage media
4.2.6 Data file formats and compression
4.2.7 Outsourcing
4.2.8 Standards related to information management
4.2.9 Retention and disposal schedules
4.2.10 Information management responsibilities
4.2.11 Compliance with policy
5 Duty of care
5.1 General
5.1.1 Trusted system
5.1.2 Controls
5.1.3 Segregation of roles
5.2 Information security management
5.2.1 Information security policy
5.2.2 Risk assessment
5.2.3 Information security framework
5.3 Business continuity planning
5.4 Consultations
6 Procedures and processes
6.1 General
6.2 Procedures manual
6.2.1 Documentation
6.2.2 Content
6.2.3 Compliance with procedures
6.2.4 Updating and reviews
6.3 ESI capture
6.3.1 General
6.3.2 Creation and importing
6.3.3 Information loss
6.3.4 Metadata
6.4 Document image capture
6.4.1 General
6.4.2 Preparation of paper documents
6.4.3 Document batching
6.4.4 Photocopying
6.4.5 Scanning processes
6.4.6 Quality control
6.4.7 Rescanning
6.4.8 Image processing
6.5 Data capture
6.5.1 Data creation
6.5.2 Conversion and migration
6.6 Database considerations
6.6.1 General
6.6.2 Database systems
6.6.3 Database schemas
6.6.4 Master data management
6.6.5 Transactional vs. updating
6.7 Indexing
6.7.1 General
6.7.2 Manual indexing
6.7.3 Automatic indexing
6.7.4 Index storage
6.7.5 Index amendments
6.7.6 Index accuracy
6.8 Authenticated output procedures
6.9 ESI transmission
6.9.1 Intra-system ESI transfer
6.9.2 External transmission of files
6.10 Information retention
6.11 Information preservation
6.12 Information destruction
6.13 Backup and system recovery
6.14 System maintenance
6.14.1 General
6.14.2 Scanning systems
6.15 Security and protection
6.15.1 Security procedures
6.15.2 Encryption keys
6.16 Use of contracted services
6.16.1 General
6.16.2 Procedural considerations
6.16.3 Transportation of paper documents
6.16.4 Use of trusted third party
6.17 Workflow
6.18 Date and time stamps
6.19 Version control
6.19.1 Information
6.19.2 Documentation
6.19.3 Procedures and processes
6.20 Maintenance of documentation
7 Enabling technologies
7.1 General
7.2 System description manual
7.3 Storage media and sub-system considerations
7.4 Access levels
7.5 System integrity checks
7.5.1 General
7.5.2 Digital and electronic signatures (including biometric signatures)
7.6 Image processing
7.7 Compression techniques
7.8 Form overlays and form removal
7.9 Environmental considerations
7.10 Migration
7.11 Information deletion and/or expungement
8 Audit trails
8.1 General
8.1.1 Audit trail data
8.1.2 Creation
8.1.3 Date and time
8.1.4 Storage
8.1.5 Access
8.1.6 Security and protection
8.2 System
8.2.1 General
8.2.2 Audit trail information
8.2.3 Migration and conversion
8.3 ESI
8.3.1 General
8.3.2 ESI capture
8.3.3 Batch information
8.3.4 Indexing
8.3.5 Change control
8.3.6 Digital signatures
8.3.7 Destruction of information
8.3.8 Workflow
Bibliography