ISO 18829:2017

INTERNATIONAL ISO
STANDARD 18829
First edition
2017-06
Document management — Assessing
ECM/EDRM implementations —
Trustworthiness
Gestion de documents — Évaluation de la mise en oeuvre des ECM/
EDRM — Fiabilité
Reference number
©
ISO 2017
© ISO 2017, Published in Switzerland
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ii © ISO 2017 – All rights reserved

Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Trustworthy ECM system assessment . 2
4.1 General . 2
4.1.1 Assessment output . 2
4.1.2 Process review . 3
4.1.3 Fulfilling legal, government and regulatory requirements . 4
4.2 Assessment activities . 4
4.2.1 Review of existing business practice and other organizational documentation . 4
4.2.2 Evaluating information ingested into the system . 4
4.2.3 Readability . 5
4.3 Evaluating information retention, preservation and destruction . 6
4.3.1 Application interoperability . 6
4.3.2 Data migration between electronic storage media . 6
4.3.3 Data format conversion . . 6
4.3.4 Media monitoring program . 6
4.3.5 Data expunging/deletion . 6
4.4 System security . 6
4.4.1 Security-related information to be collected/reviewed . 6
4.4.2 Securing the information to prevent unauthorized modification or
deletion of ESI . 7
4.5 Evaluating information access . 7
4.5.1 General. 7
4.5.2 Managing authorized modification . 8
4.6 Evaluating history and audit trail information. 8
4.6.1 General. 8
4.6.2 Retrieval of previous document version required to be maintained . 8
4.6.3 Management of notes and annotations as part of a business record . 9
4.6.4 Management of ESI containing macros and/or external links . 9
4.7 Evaluating technical and data storage environments .10
4.7.1 Information security models .10
4.7.2 Storage technologies assessment .10
4.7.3 Technology standards being followed by organization .10
4.7.4 Primary and secondary storage .10
Bibliography .12
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
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electrotechnical standardization.
The procedures used to develop this document and those intended for its further maintenance are
described in the ISO/IEC Directives, Part 1. In particular the different approval criteria needed for the
different types of ISO documents should be noted. This document was drafted in accordance with the
editorial rules of the ISO/IEC Directives, Part 2 (see www .iso .org/ directives).
Attention is drawn to the possibility that some of the elements of this document may be the subject of
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URL: w w w . i s o .org/ iso/ foreword .html.
This document was prepared by Technical Committee ISO/TC 171, Document management applications,
Subcommittee SC 1, Quality, preservation and integrity of information.
iv © ISO 2017 – All rights reserved

Introduction
This document provides a methodology for organizations seeking to assess whether their ECM
environment complies with key concepts of trustworthiness and information reliability as identified in
ISO/TR 15801 and ISO/TR 22957.
Many organizations are now required to ensure their business-related electronically stored information
(ESI) is securely created, stored and eventually destroyed in order to establish the authenticity and
accuracy of the ESI and the security and trustworthiness of the organization.
This document identifies activities and operations an organization needs to follow in order to
— ensure that any electronically stored information (ESI) is created and maintained in a reliable and
trustworthy manner through the entire ESI lifecycle, and
— evaluate existing enterprise content management (ECM) systems or electronic document and
records management (EDRM) systems for compliance with applicable ISO standards.
ISO 15489, ISO/TR 15801 and ISO/TR 22957 provide organizations with guidance for the design of
their enterprise content management (ECM) systems; however, organizations may also be required to
provide auditable proof that these systems provide a secure environment for ESI that meets any legal,
technical and policy obligations of the organization and comply with applicable ISO standards.
Any trustworthy ECM/EDRM solution needs to be capable of being audited, with reproducible results.
There also needs to be a method of independently verifying the claims of the software and hardware
vendors that the information is safe and secure and being stored in a trustworthy fashion. Organizations
will need to ensure that their supporting documentation reflects these requirements.
Although standardized ECM solutions are likely to be auditable and can be easily verified, non-
standardized or proprietary storage solutions may not provide a full audit trail and claims for the
security of the ECM/EDRM solution made by vendors are difficult to independently verify. Regardless
of whether the storage technology is standardized or proprietary, the organization faces the same need
to be able to verify that the ECM/EDRM solution complies with all applicable requirements.
INTERNATIONAL STANDARD ISO 18829:2017(E)
Document management — Assessing ECM/EDRM
implementations — Trustworthiness
1 Scope
This document identifies activities and operations that an organization needs to perform, or have
performed, to evaluate whether the electronically stored information (ESI) is or was maintained in a
reliable and trustworthy environment(s). These environments utilize content or records management
technologies commonly referred to as either enterprise content management (ECM) or electronic
document and records management (EDRM) enforcing organizational records management policies
and schedules.
ISO/TR 15801 and ISO 15489 (all parts) established the standards and best practices associated with
implementing trustworthy records/document management environments. However, a standard is
necessary to define the methodology used to evaluate these types of records/document management
environments regardless of what technologies are currently employed by the organization. This
document establishes the assessment methodology to be followed to identify the level of organizational
compliance with these standards as related to trustworthiness and reliability of information stored in
these environments.
This document is applicable to existing or planned ECM systems. Establishing the existence of a
trustworthy system is an important step in documenting the reliability of ESI maintained within
that system or environment. This document is designed for use by organizations evaluating the
trustworthiness of existing record/document management environments. This document identifies all
of the mandatory activities and areas that need to be examined by a resource, or resources, with a
thorough technical and operational knowledge of the specific technologies and methodologies being
examined, along with understanding record management processes and activities.
2 Normative references
The following documents are referred to in the text in such a way that some or all of their content
constitutes requirements of this document. For dated references, only the edition cited applies. For
undated references, the latest edition of the referenced document (including any amendments) applies.
ISO 12651-1, Electronic document management — Vocabulary — Part 1: Electronic document imaging
ISO 15489-1, Information and documentation — Records management — Part 1: Concepts and principles
3 Terms and definitions
For the purposes of this document, the following terms and definitions given in ISO 12651-1, ISO 15489-1
and the following apply.
ISO and IEC maintain terminological databases for use in standardization at the following addresses:
— IEC Electropedia: available at http:// www .electropedia .org/
— ISO Online browsing platform: available at http:// www .iso .org/ obp
3.1
authentic record
record that can be proven
a) to be what it purports to be,
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