Bip 0008-1-2014 4j1r43

Evidential weight and legal issibility of information stored el ectronically

Evidential weight and legal issibility of information stored electronically Code of practice for the implementation of BS 1 0008

Peter Howes and Alan Shipman

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i n fo rm a ti o n

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I n fo rm a t i o n

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1 03 a n a l ys i s a n d

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Evidential weight and legal issibility of information stored electronically

1 03 1 03 1 05

v

7 Improvement

1 08

7.1

G e n e ra l

1 08

7.2

N o n co n fo rm i t y a n d

7.3

C o n ti n u a l

co rre cti ve

a cti o n s

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Annex A Changes between the 2008 and 201 4 versions A. 1

G e n e ra l

A. 2

E d i to ri a l

A. 3

Te ch n i ca l

ch a n g e s

1 1 1

ch a n g e s

1 1 2

1 1 3

Annex C Definitions

1 1 5

Annex D Example information management policy statement Annex E Records management

1 29

Annex G References

1 34

Annex H Legal issues H .1

B a ckg ro u n d

H .2

I n fo rm a ti o n

H .3

We i g h t o f e vi d e n ce

1 38 1 38

m a n a g em en t a n d and

l eg a l

a d m i ssi b i l i ty

d o cu m e n t d e s t ru cti o n

H . 4 Au th e n t i ci ty O ri g i n a l s a n d

H .6

B o rn

H .7

D i g i ti z e d

cop i es

1 39

1 40

e n vi ro n m e n t

1 40

i m a g es

H . 8 P h o to co p i e s , I n fo rm a ti o n

1 38

1 39

H .5

d i g i ta l

1 24

1 28

Annex F Application of controls

1 41

m i cro fi l m

and

e l e ctro n i c i m a g e s

s to ra g e

H .1 0

S t o ra g e

H .1 1

R e tri e va l /vi e wi n g

H .1 2

U n i te d

vi

1 1 1 1 1 1

Annex B Development history

H .9

1 08 1 09

and

1 42

a c ce s s p ro ce d u re s

Ki n g d o m

1 41

1 42

s o ft wa re

1 43

l e g i s l a ti o n

1 43


Foreword

Evidential weight and legal issibility of information stored electronically — Code of practice for the implementation of BS 1 0008 (referred to i n th i s d ocu m en t a s ’th e Cod e’) i s pri m a ri l y con cern ed wi th th e a u th en ti ci ty, i n teg ri ty a n d a va i l a bi l i ty of el ectron i ca l l y stored i n form a ti on , to th e d em on stra bl e l evel s of certa i n ty req u i red by a n org a n i za ti on . I t i s pa rti cu l a rl y a ppl i ca bl e wh ere th i s stored i n form a ti on m a y be u sed a s evi d en ce i n d i spu tes i n si d e a n d ou tsi d e th e l eg a l system . Th i s i s th e fi fth ed i ti on of th e Cod e, wh i ch wa s fi rst pu bl i sh ed by B SI i n 1 9 9 6. Th i s ed i ti on i s a n ed i tori a l revi si on of th e fou rth ed i ti on (B I P 0008-1 (2 008) ) . I t i s tech n i ca l l y si m i l a r, wi th a n exten si on of i ts scope to i n cl u d e i n form a ti on stored i n d a ta ba ses a n d oth er el ectron i c system s. I t h a s a l so been restru ctu red i n recog n i ti on of th e pu bl i ca ti on of B S 1 0008: 2 01 4,

information — Specification

Evidential weight and legal issibility of electronic

a n d ca n be con si d ered to be a g u i d e to th e i m pl em en ta ti on of th e B ri ti sh

Sta n d a rd i n rel a ti on to i n form a ti on stored el ectron i ca l l y. U sers of th e previ ou s ed i ti on s sh ou l d con si d er th e a d va n ta g es of a ssessi n g th ei r i n form a ti on m a n a g em en t system s i n th e l i g h t of th i s n ew ed i ti on , a n d a m en d th ei r system s a n d /or d ocu m en ta ti on wh ere a ppropri a te. G u i d a n ce i s g i ven i n An n ex A of th i s pa rt of th e Cod e on th e m a j or d i fferen ces between th i s versi on a n d th e previ ou s versi on s. Th i s pu bl i ca ti on i s th e fi rst pa rt of B I P 0008, wh i ch i s m a d e u p of th e fol l owi n g :

• •

Evidential weight and legal issibility of information transferred electronically — Code of practice for the implementation of BS 1 0008; B I P 0008-3 (2 01 4) , Evidential weight and legal issibility of linking electronic identity to information — Code of practice for the implementation of BS 1 0008.

B I P 0008-2 (2 01 4) ,

Th e Cod e i s pu bl i sh ed by B SI i n recog n i ti on of th e l a rg e n u m ber of i m pl em en ta ti on s of el ectron i c i n form a ti on m a n a g em en t system s, a n d of th e con ti n u i n g u n certa i n ty a bou t th e l eg a l a ccepta bi l i ty of i n form a ti on stored on th ese system s. I t provi d es g ood pra cti ce g u i d a n ce for th e el ectron i c crea ti on , stora g e a n d retri eva l of i n form a ti on .


vi i

Acknowledgements The Editors would especially like to thank the BSI Legal issibility Editorial Board and and committees IDT/1 , Document management applications and IDT/1 /-/5, Revisions of BS 1 0008 for their contribution to the current and previous editions of this publication, in particular for their business foresight and tireless reading of the manuscript. Their suggestions for improvements added value to the final publications. The of IDT/1 are Martin Bailey, Ian Curington, Aandi Inston, Marc Fresko, Peter Howes, Philip Jones, Andrew Kenny, Bill Mayon-White, Roger S Poole, Nick Pope, Ian Walden, Leonie Watson, Andrew Pibworth, Neil Pitman, Alan Shipman and Tom Wilson. The of IDT/1 /-/5 are Elisabeth Belisle, Bernie Dyer, Peter Howes, Richard Jeffrey-Cook, Bill Mayon-White, Roger S Poole, Alan Shipman, Rod Stone and Tom Wilson In particular, we would like to thank Jennifer Carruth from BSI for her excellent advice and copy-editing work on BS 1 0008:201 4. Peter Howes Alan Shipman (Editors) Group 5 Training Limited The Editors would also like to thank the following organizations for reviewing the previous editions of this publication: Association of Chief Police Officers (AO); Association for Payment Clearing Services (APACS); British Computer Society (BCS) – Information Risk Management & Audit (IRMA) specialist group; National Audit Office (NAO); Police Information Technology Organisation (PITO); The National Archives (TNA). The first version of the Code, published in 1 996, was authored by the following: Rob Allen, Bernard Dyer, Ian Galbraith, Bill Mayon-White, Roger Peggram, Alan Shipman (Editor) and Malcolm Smith. The first version of the Code was sponsored by the leading information management s and trade organizations in the UK, namely: Computing Suppliers Federation, Information and Document Management Association, Legal Images Initiative consortium and UKAIIM Standards Committee. The first version of the Code was developed with the assistance of a group of leading UK companies, consultants and associations: Advent Imaging Limited, AMEC Construction, APACS, Ashford Borough Council, Association of Computer Telephone Integration s and Suppliers (ACTIUS), Autotrol Technology Limited, Bell and Howell, Bird and Bird, Blueprint, Brighton University, British Computer Society Computer Audit Specialist Group (BCS-CASG), British Standards Institution (BSI/DISC), Centre for Commercial Law Studies (University of London), Cheque and Credit Clearing Company Limited, Cimtech Limited, Concordium Software Limited, Document Image Technology, European Commission, European Electronic Messaging Association (EEMA), Fujitsu Europe Limited, Group 5 Training Limited, Headway Technology Group, Hewlett-Packard Limited, Imtec Group, Intergraph (UK) Limited, Kodak, Lloyds TSB Group, Lombard Document Systems Limited, London Borough of Enfield, London Transport, Marc Fresko Consultancy, Maxoptix Europe Limited, Microgen (UK) Limited, MR Group plc, National Westminster Bank, North Hampshire Hospital, Oki Systems (UK) Limited, OMS Services Limited, Q Star Limited, Registration Board for Assessors, Royal Bank of Scotland, SBC Warburg, Scottish Nuclear Limited, SNS Systems Inc., Society of Archivists, Sony (UK) Limited, SSI Microcad, Staffware plc, Tekdata

viii


Acknowledgements

Limited, Tower Technology, Trimco Enterprises Limited, UK Banks Credit Card Committee, Wicks and Wilson Limited, Workflow & Groupware Strategies, Workflow Management Coalition (WfMC), Xerox Imaging Systems and 3M (UK) plc. BSI would also like to thank the following who reviewed the fifth edition of this book: John Avallanet, Managing Director & Principal, Cerulean Associates LLC; Diane Shillito, Quality Systems Manager, CDS; Neil Maude, General Manager, Arena Group; Elisabeth Belisle, Managing Director, Scandox.


ix

I n trod u cti on

M a n a g e m e n t s u m m a ry

I t i s essen ti a l th a t org a n i za ti on s a re a wa re of th e va l u e of th e i n form a ti on th a t th ey store, a n d th a t th ey execu te th ei r respon si bi l i ti es u n d er th e ‘d u ty of ca re’ pri n ci pl e. Th i s Cod e of Pra cti ce g i ves d eta i l ed g u i d a n ce on th e i ssu es of i n form a ti on m a n a g em en t, i n form a ti on secu ri ty m a n a g em en t a n d l eg a l /reg u l a tory req u i rem en ts. Th e Cod e i s a rra n g ed ba sed on B S 1 0008,

issibility of electronic information — Specification ,

Evidential weight and legal

a n d ca n th u s be u sed a s a g u i d e to th e

i m pl em en ta ti on of th i s B ri ti sh sta n d a rd . I n form a ti on secu ri ty i s si g n i fi ca n t wh en d i scu ssi n g l eg a l a d m i ssi bi l i ty i ssu es. Wh ere l eg a l a d m i ssi bi l i ty i s bei n g a ssessed , th e m a i n d i scu ssi on i s l i kel y to be rel a ted to th e a u th en ti ci ty of th e stored i n form a ti on . Wh en th e el ectron i c i n form a ti on wa s ca ptu red by th e stora g e system , wa s th e process secu re? Wa s th e correct i n form a ti on ca ptu red , a n d wa s i t com pl ete a n d a ccu ra te? D u ri n g stora g e, wa s th e i n form a ti on ch a n g ed i n a n y wa y, ei th er a cci d en ta l l y or m a l i ci ou sl y? Wh en respon d i n g to th ese q u esti on s, i n form a ti on secu ri ty i m pl em en ta ti on a n d m on i tori n g wi l l be si g n i fi ca n t evi d en ce wh en a sked to d em on stra te a u th en ti ci ty.

I n fo rm a ti o n

as an

a s se t

Th e boa rd of d i rectors (or oth er eq u i va l en t g rou p) of a n y org a n i za ti on i s respon si bl e for th e con d u ct of th a t org a n i za ti on i n every wa y – fi n a n ci a l l y, opera ti on a l l y, l eg a l l y a n d eth i ca l l y. Speci fi ca l l y, i t h a s respon si bi l i ty for i ts a ssets a n d th ei r u se. M a n y respon si bi l i ti es of a boa rd of d i rectors con cern th e a cti vi ti es a n d processes of th e org a n i za ti on , for exa m pl e i n vestm en t for a n ew prod u ct, sel l i n g i n a n ew m a rket or bu i l d i n g a n ew pl a n t. B u t som e of th e m ost i m porta n t respon si bi l i ti es a re d efi n ed fu n cti on a l l y by su bj ect, for exa m pl e fi n a n ci a l a ffa i rs a n d h u m a n resou rces. O n e su ch su bj ect i s i n form a ti on – n ot i n form a ti on system s bu t th e stored i n form a ti on i tsel f. 1 O rg a n i za ti on s opera te by prod u ci n g , tra n sm i tti n g a n d d i g esti n g i n form a ti on . Th e ri g h t i n form a ti on a t th e ri g h t pl a ce a t th e ri g h t ti m e i s essen ti a l for effecti ve con d u ct of bu si n ess. E q u a l l y, th e m i su se, copyi n g , th eft, l oss a n d a bu se of i n form a ti on ca n be, a n d h a s very pu bl i cl y been , th e ca u se of sca n d a l s a n d bu si n ess fa i l u res. I n form a ti on i s req u i red i n every a cti vi ty a n d every fu n cti on , th u s proper con trol of i n form a ti on a n d ca re i n i ts u se h a s a l wa ys been a su bj ect of con cern . M od ern com pu ters a n d com m u n i ca ti on s system s ca n store i n form a ti on , process i t a n d m a ke i t a ccessi bl e i n wa ys n ever before a ch i eved . Th i s ca n be of g rea t a d d i ti on a l ben efi t to bu si n ess bu t ca n a l so en h a n ce opportu n i ti es for m i su se, th eft, l oss a n d a bu se a n d , i n pa rti cu l a r, i n d i scri m i n a te d i ssem i n a ti on of i n form a ti on . I n som e org a n i za ti on s, i t i s a ccepted th a t som e types of bu si n ess i n form a ti on a re a ssets, for exa m pl e, cu stom er a n d servi ces i n form a ti on a n d i n tel l ectu a l property su ch a s pa ten ts a n d copyri g h t. Al l i n form a ti on i n a n org a n i za ti on , reg a rd l ess of i ts pu rpose, sh ou l d be properl y i d en ti fi ed , even i f i d en ti fi ca ti on i s n ot req u i red for a ccou n ti n g pu rposes, for con si d era ti on a s a n a sset of th e bu si n ess. O n th e oth er h a n d , th e reten ti on of i n form a ti on pa st i ts reten ti on peri od ca n a l so be a bu si n ess l i a bi l i ty, for exa m pl e a n i n crea sed cost of stora g e. M ost org a n i za ti on s h a ve exten si ve experi en ce i n th e su bj ects a n d fu n cti on s th ey a d d ress. Rel a ti vel y few org a n i za ti on s h a ve experi en ce i n th e a cq u i si ti on , processi n g , stora g e a n d tra n sm i ssi on of i n form a ti on a n d fewer sti l l i n th e respon si bi l i ti es th a t a ri se wh en i n form a ti on i s con si d ered a bu si n ess a sset.

1

I n 1 99 5 , wi th th e su p port of th e KPM G I M PACT tea m , th e H a wl ey Com m i ttee prod u ced a rep ort, ‘

Information as an Asset’,

wi th

a n ob j ecti ve of crea ti n g a set o f g u i d el i n es for boa rd s of d i rectors on p ol i ci es a n d p ro ced u res fo r m a n a g i n g i n form a ti on .


1

Introduction

Purpose of the Code U sers of el ectron i c i n form a ti on m a n a g em en t system s a re bei n g a sked by th ei r com pa n i es, g overn m en t d epa rtm en ts a n d oth er em pl oyers to com m i t key record s a n d d ocu m en ts u n d er th ei r con trol to el ectron i c m ed i a . Th e a ppl i ca ti on of th ese system s i s ch a n g i n g th e wa y i n wh i ch m a n y a spects of bu si n ess a n d org a n i za ti on a l l i fe a re opera ted , a n d i s crea ti n g a n el ectron i c l eg a cy for th ei r su ccessors, a s pa per d ocu m en ts a re i n crea si n g l y repl a ced by m a n y form s of el ectron i c i n form a ti on stora g e. D i fferen t el ectron i c stora g e system s a n d d evi ces h a ve th ei r own i n h eren t a d va n ta g es a n d l i m i ta ti on s a n d exi sti n g system s wi l l , a t som e l a ter sta g e, be repl a ced or becom e obsol ete. Th e pu rpose of th e Cod e i s to a ssi st org a n i za ti on s i n d ea l i n g wi th th e i m pl i ca ti on s, speci fi ca l l y con cern i n g evi d en ti a l a n d l eg a l i ssu es, of th i s tech n ol og i ca l evol u ti on . Th e Cod e provi d es a fra m ework a n d g u i d el i n es, ba sed on th e provi si on s of B S 1 0008 th a t i d en ti fy key a rea s of g ood pra cti ce for th e i m pl em en ta ti on a n d opera ti on of su ch el ectron i c stora g e system s, wh eth er or n ot a n y i n form a ti on h el d th erei n i s ever req u i red a s evi d en ce i n th e even t of a d i spu te. As su ch , com pl i a n ce wi th th e Cod e (a n d th erefore wi th B S 1 0008) sh ou l d be reg a rd ed a s a d em on stra ti on of respon si bl e bu si n ess m a n a g em en t. A m ore d eta i l ed expl a n a ti on i s provi d ed i n An n ex B , to a ssi st rea d ers n ew to th e su bj ect or seeki n g ba ckg rou n d ra ti on a l e for th e g u i d a n ce to g ood pra cti ce i n th e rest of th e d ocu m en t.

Management framework Ch a pters 1 to 7 of th e Cod e a re stru ctu red a l on g th e l i n es of th e sta n d a rd i zed stru ctu re of th e I SO M a n a g em en t System Sta n d a rd s, su ch th a t i ts i m pl em en ta ti on ca n be syn ch ron i zed wi th oth er

m a n a g em en t system s su ch a s B S I SO /I E C 2 7 001 : 2 01 3 Information technology — Security techniques — Information security management systems — Requirements wh ere a ppropri a te. Previ ou s versi on s of th e Cod e were stru ctu red a ccord i n g to th e fou r ph a ses of th e Pl a n -D o-Ch eck-Act, or PD CA for sh ort, wh i ch h a d been a d opted by th e m a j ori ty of m a n a g em en t system s sta n d a rd s. Recen t ch a n g es to th e stru ctu re of th ese m a n a g em en t system sta n d a rd s (su ch a s th ose for q u a l i ty m a n a g em en t (B S E N I SO 9 001 : 2 008,

Quality management systems — Requirements) , en vi ron m en ta l m a n a g em en t Environmental management systems — Requirements with guidance for use )

(B S E N I SO 1 4001 : 2 004,

a n d i n form a ti on secu ri ty m a n a g em en t (B S I SO /I E C 2 7 001 ) ) h a ve ta ken pl a ce. Th e PD CA m od el em ph a si zes h ow cri ti ca l i t i s for effecti ve ri sk m a n a g em en t th a t a n on g oi n g m a n a g em en t process i s i n pl a ce, a n d i s exerci sed .

2


Introduction


3

G en eral Scope Th e Cod e d escri bes th e i m pl em en ta ti on a n d opera ti on of i n form a ti on m a n a g em en t system s th a t store i n form a ti on el ectron i ca l l y a n d wh ere th e i ssu es of a u th en ti ci ty, i n teg ri ty a n d a va i l a bi l i ty a s req u i red by l eg a l a d m i ssi bi l i ty a n d evi d en ti a l wei g h t a re i m porta n t.

DE FI N I TI O N S (see a l so An n ex C) Au th en ti ci ty – tru stworth i n ess of ori g i n a n d evi d en ti a l con ten t I n teg ri ty – reten ti on of th e evi d en ti a l con ten t of th e i n form a ti on Ava i l a bi l i ty – a ccessi bi l i ty of th e i n form a ti on a s req u i red N O TE : Wh ere th e term ‘system ’ i s u sed i n th i s d ocu m en t, i t sh ou l d be ta ken a s m ea n i n g th e ‘i n form a ti on m a n a g em en t system ’ th a t i s bei n g revi ewed , u n l ess oth erwi se sta ted .

Th e Cod e i s for u se wi th a n y i n form a ti on m a n a g em en t system th a t stores i n form a ti on el ectron i ca l l y, u si n g a n y type of el ectron i c stora g e m ed i u m i n cl u d i n g wri te-on ce-rea d -m a n y (WO RM ) a n d rewri ta bl e tech n ol og i es. Th e Cod e i s a l so for u se wi th a n y type of d a ta ba se or oth er el ectron i c system . D a ta ba se fi l es m a y poten ti a l l y con ta i n a n y type of d a ta : for exa m pl e, cod ed -ch a ra cter d a ta , form a tted text, i m a g es, com pu ter-a i d ed d esi g n (CAD ) d ra wi n g s, m ovi n g a n d sti l l vi d eo i m a g es or voi ce d a ta , or a n y com bi n a ti on of th ese. D a ta ba se fi l es m a y con ta i n d a ta of m ore th a n on e type, a n d /or of m ore th a n on e i m a g e. D a ta ba se fi l es m a y a l so i n cl u d e i n tern a l l y g en era ted fi l es, su ch a s l og fi l es a n d a u d i t tra i l s. D a ta ba se fi l es m a y be crea ted by th e i n form a ti on m a n a g em en t system i tsel f or by i ts u sers, or th ey m a y be i m ported i n to th e system . Th e Cod e covers a l l su ch d a ta ba se fi l es, wh eth er crea ted a n d /or i m ported d i rectl y or th rou g h a n etwork, from th e ti m e a t wh i ch th e system a ssu m es con trol of th e d a ta ba se fi l e. Th e Cod e d oes n ot cover processes u sed to eva l u a te th e a u th en ti ci ty of i n form a ti on pri or to i t bei n g i m ported i n to th e system . H owever, i t ca n be u sed to d em on stra te th a t ou tpu t from th e i n form a ti on m a n a g em en t system i s a tru e record of wh a t wa s i m ported . Th e Cod e i s a l so for u se i n th e i d en ti fi ca ti on a n d d evel opm en t of pol i ci es a n d proced u res a s speci fi ed i n B S 1 0008, i n rel a ti on to th e stora g e of el ectron i c i n form a ti on . A com pa n i on to th e B ri ti sh Sta n d a rd a n d to th e Cod e i s th e com pl i a n ce workbook, B I P 0009 (2 01 4) , Evidential weight and legal issibility of electronic information — Compliance workbook for use with BS 1 0008. Th i s workbook en a bl es a

com preh en si ve a ssessm en t to be m a d e of th e u ser’s i n form a ti on m a n a g em en t system for com pl i a n ce wi th th e B ri ti sh sta n d a rd . Com pl eti on of a copy of B I P 0009 for ea ch system a n d a ssoci a ted stora g e a n d retri eva l processes provi d es on e m ea n s of sa ti sfyi n g key el em en ts of th e a u d i t tra i l .

Voi ce, a u d i o a n d vi d eo d a ta D a ta fi l es m a y con ta i n voi ce, a u d i o a n d /or vi d eo i n form a ti on . Su ch fi l es ca n be m a n a g ed i n a ccord a n ce wi th th e Cod e. For a l l su ch fi l es, on ce th e record i n g i s frozen , th e fi l e n eed s to be trea ted i n th e sa m e wa y a s a n y oth er d a ta fi l e a s fa r a s th e Cod e i s con cern ed . Wh ere th e record i n g of voi ce, a u d i o a n d /or vi d eo d a ta i s n ot u n d er th e con trol of th e i n form a ti on m a n a g em en t system , th e record i n g system n eed s to h a ve con trol of fi l e i n teg ri ty th a t i s a t l ea st a s g ood a s th a t i m posed by th e Cod e for oth er types of i n form a ti on ca ptu re. Wh ere voi ce, a u d i o a n d /or vi d eo d a ta i s stored , proced u res for a u th en ti ca ti on of th e sou rce of th e d a ta n eed to be d ocu m en ted .


5

Introduction

Applicability Th e Cod e i s a ppl i ca bl e to a n y system th a t stores i n form a ti on el ectron i ca l l y. I t covers a spects of th e i n form a ti on m a n a g em en t processes th a t a ffect th e u se of i n form a ti on i n n orm a l bu si n ess tra n sa cti on s, even wh ere l eg a l a d m i ssi bi l i ty per se i s n ot a n i ssu e. Su ch a spects i n cl u d e th e l eg i bi l i ty, a ccu ra cy a n d com pl eten ess of th e stored i n form a ti on , a n d th e tra n sfer of th e i n form a ti on to oth er system s.

Technology I t i s i m porta n t to u ti l i ze rel i a bl e a n d tru stworth y tech n ol og y to store el ectron i c i n form a ti on over a l on g peri od of ti m e, poten ti a l l y wi th th e i m pl em en ta ti on of repl a cem en t tech n ol og i es. E a ch pa rt of th e system n eed s to be ch osen wi th ca re, ta ki n g i n to a ccou n t th e possi bl e n eed to d em on stra te ‘proper’ a n d ‘a ppropri a te’ worki n g of th e system som eti m e i n th e fu tu re. Th i s d em on stra ti on m a y n eed to en com pa ss both th e tech n ol og y i tsel f a n d th e m eth od s by wh i ch i t wa s con fi g u red a n d u sed . Th e tech n ol og y secti on s cover pa rti cu l a r a spects of tech n ol og y (e. g . th e stora g e m ed i a u sed ) a s wel l a s cri ti ca l a spects of con fi g u ra ti on (e. g . h ow a ccess to th e system i s m a n a g ed ) .

The s Th e Cod e i s i n ten d ed for:

•

en d u ser org a n i za ti on s th a t wi sh to en su re th a t i n form a ti on crea ted by, en tered i n to a n d /or stored wi th i n th ei r i n form a ti on m a n a g em en t system s m a y be u sed wi th con fi d en ce a s evi d en ce i n a n y d i spu te, wi th i n or ou tsi d e a cou rt of l a w;

•

i n teg ra tors a n d d evel opers of i n form a ti on m a n a g em en t system s th a t provi d e fa ci l i ti es to m eet u ser req u i rem en ts.

Objectives Th e obj ecti ves of th e Cod e a re to:

• • • •

i m prove rel i a bi l i ty of, a n d con fi d en ce i n , stored i n form a ti on ; m a xi m i ze th e evi d en ti a l wei g h t th a t a cou rt or oth er bod y m a y a ssi g n to presen ted i n form a ti on ; provi d e con fi d en ce i n i n ter-com pa n y tra d i n g ; provi d e con fi d en ce to extern a l i n spectors (e. g . reg u l a tors a n d a u d i tors) th a t th e org a n i za ti on ’s i n form a ti on a n d bu si n ess pra cti ces a re robu st a n d rel i a bl e.

Th e Cod e m a y be u sed a s a com m on referen ce for bu si n ess a cti vi ti es wi th i n a n d between org a n i za ti on s a n d for su bcon tra cti n g or procu rem en t of I T servi ces or prod u cts.

Compliance E a ch ch a pter of th e Cod e con ta i n s a g en era l d escri pti on of th e i ssu es bei n g a d d ressed , fol l owed by a l i st of ‘key i ssu es’. Th ese key i ssu es i n d i ca te th e cri ti ca l com pl i a n ce poi n ts th a t n eed to be ta ken i n to con si d era ti on , a n d a cted u pon wh ere a ppropri a te, before com pl i a n ce wi th th e recom m en d a ti on s of th e Cod e ca n be cl a i m ed . Com pl i a n ce i s cl a i m ed on a vol u n ta ry ba si s, by sel f-certi fi ca ti on . A com pl i a n ce workbook (B I P 0009 ) h a s been pu bl i sh ed by B SI to en a bl e a n a ssessm en t of com pl i a n ce wi th B S 1 0008 to be d em on stra ted . Wh ere cri ti ca l com pl i a n ce poi n ts from th e Cod e a re n ot speci fi ca l l y i n cl u d ed i n th e B ri ti sh sta n d a rd , th ese poi n ts a re i n cl u d ed a s a n opti on a l com pon en t i n th e com pl i a n ce workbook. Wh ere com pl i a n ce on a sel f-a ssessm en t ba si s i s cl a i m ed , recom m en d ed com pl i a n ce sta tem en ts a s sh own i n 6. 3 . 4 sh ou l d be u sed . See a l so 6. 3 for fu rth er i n form a ti on on com pl i a n ce a u d i ts.

6


General

I t sh o u l d

be

n ote d

n o rm a l l y re m a i n

th a t,

th e

wh e re

co m p l i a n ce

re s p o n s i b i l i ty o f th e

i s a sse sse d

by a

th i rd

p a rt y,

l i a b i l i ty fo r co m p l i a n ce

wi l l

o rg a n i z a ti o n .


7

1

Co n te xt o f th e o rg a n i za ti o n

1 .1

G e n e ra l

Th i s se cti o n o f th e Co d e re l a te s to Cl a u se 4 o f B S 1 0008, ‘ Co n te xt o f th e o rg a n i za ti o n ’ .

E ve ryth i n g a n o rg a n i za ti o n d o e s i n vo l ve s u si n g i n fo rm a ti o n i n so m e wa y. Th e q u a n ti ty o f i n fo rm a ti o n ca n b e va st, a n d th e re a re m a n y d i ffe re n t wa ys o f re p re se n ti n g a n d sto ri n g i t. Th e va l u e o f i n fo rm a ti o n u se d a n d th e m a n n e r i n wh i ch i t i s a p p l i e d a n d m o ve d wi th i n a n d b e twe e n o rg a n i za ti o n s m a y d e te rm i n e th e su cce ss o r fa i l u re o f th o se o rg a n i za ti o n s.

I n o rd e r to e n su re th a t th i s i n fo rm a ti o n i s we l l m a n a g e d , a n d to m e e t i ts b u si n e ss n ee d s, th e o rg a n i za ti o n n e e d s to d e fi n e a n d i m p l e m e n t g o o d m a n a g e m e n t p ra cti ce s. I n fo rm a ti o n , l i ke a n y o th e r a sse t, n e e d s to b e cl a ssi fi e d , stru ctu re d , va l i d a te d , va l u e d , se cu re d , m o n i to re d , m e a su re d , m a n a g e d a n d d i sp o se d o f wh e n a p p ro p ri a te , e ffi ci e n tl y a n d effe cti ve l y.

1 . 2 I s su e s Th e o rg a n i za ti o n n e e d s to d e term i n e th e e xte rn a l a n d i n te rn a l i ssu e s th a t a re re l e va n t to i ts p u rp o se a n d th a t m a y a ffe ct th e a u th e n ti ci ty a n d i n te g ri ty o f th e i n fo rm a ti o n th a t i t u se s.

Typ i ca l i ssu e s th a t m a y b e rel e va n t i n cl u d e :

a) b)

th e si ze a n d co m p l e xi ty o f th e o rg a n i za ti o n ; th e l e ve l o f b u si n e ss ri sk a tta ch e d to b e i n g u n a b l e to d e m o n stra te a u th e n ti ci ty a n d i n te g ri ty o f sto re d i n fo rm a ti o n ;

c)

d ri ve rs fo r b u si n e ss e ffi ci e n cy i m p ro ve m e n ts;

d)

sp e ci fi c sta ke h o l d e r re q u i re m e n ts;

e)

th e e xi sti n g tech n o l o g y a n d i n fra stru ctu re syste m s.

Po l i cy sta te m e n ts a s d e scri b e d i n 2 . 2 sh o u l d ta ke i n to a cco u n t th o se i ssu e s th a t a re a g re e d to b e re l e va n t to th e a b i l i ty to d e m o n stra te a u th e n ti ci ty a n d i n te g ri ty o f i n fo rm a ti o n sto re d e l e ctro n i ca l l y.

Wh e n re vi e wi n g th e re l e va n t i ssu e s, a ri sk m a n a g e m e n t p ro ce ss i s th e m o st a p p ro p ri a te to u se wh e n d e ci d i n g u p o n a cti o n s to b e u n d e rta ke n . B S I S O 3 1 000: 2 009 ,

guidelines

Risk management — Principles and

p ro vi d e s p ri n ci p l e s, fra m e wo rk a n d a p ro ce ss fo r m a n a g i n g ri sk. I t ca n b e u se d b y a n y

o rg a n i za ti o n re g a rd l e ss o f i ts si ze , a cti vi ty o r se cto r. U si n g B S I S O 3 1 000 ca n h e l p o rg a n i za ti o n s i n cre a se th e l i ke l i h o o d o f a ch i e vi n g o b j e cti ve s, i m p ro ve th e i d e n ti fi ca ti o n o f o p p o rtu n i ti e s a n d th re a ts a n d e ffe cti ve l y a l l o ca te a n d u se re so u rce s fo r ri sk tre a tm e n t.

1 . 3 Re q u i re m e n ts Wh e n esta b l i sh i n g o r re vi e wi n g th e syste m s a n d /o r p ro ce sse s th a t m a n a g e th e e vi d e n ti a l we i g h t o f i n fo rm a ti o n sto re d el e ctro n i ca l l y, th e o rg a n i za ti o n n e e d s to d e te rm i n e :

a)

sta ke h o l d e rs th a t a re re l e va n t to th e a u th e n ti ci ty a n d i n te g ri ty o f i n fo rm a ti o n ;

b)

th e re q u i re m e n ts o f th ese sta ke h o l d e rs re l e va n t to th a t i n fo rm a ti o n ;

c)

th e re q u i re m e n ts fo r i n fo rm a ti o n stewa rd sh i p wi th i n th e o rg a n i za ti o n .

N O TE : Th e re q u i re m e n ts o f sta ke h o l d e rs m a y i n cl u d e l eg a l a n d re g u l a to ry req u i re m e n ts a n d co n tra ctu a l o b l i g a ti o n s.

8


1.4

Bo u n da rie s

a n d a p p lica b ility

Typi ca l sta keh ol d ers m a y i n cl u d e:

• • • • • • • •

own ers, m a n a g ers a n d sta ff of th e org a n i za ti on ; th i rd pa rti es wi th con tra cts or si m i l a r a g reem en ts wi th th e org a n i za ti on ; cl i en ts a n d cu stom ers i n recei pt of servi ces provi d ed by th e org a n i za ti on ; th e pu bl i c wh ere pu bl i c servi ces a re i n vol ved ; reg u l a tory bod i es; g overn m en t bod i es; extern a l a u d i t bod i es; l eg a l a d vi sers.

Th e req u i rem en ts of ea ch sta keh ol d er n eed to be ta ken i n to con si d era ti on wh en prod u ci n g pol i cy sta tem en ts (see 2 . 2 ) . I n form a ti on stewa rd sh i p sh ou l d be m a n a g ed by th e i d en ti fi ca ti on of I n form a ti on Asset O wn ers (I AO s) wh o wi l l typi ca l l y be th ose respon si bl e for th e processes th a t g en era te th e i n form a ti on a sset i n q u esti on .

1 . 4 B o u n d a ri e s a n d

a p p l i ca b i l i ty

Th e org a n i za ti on n eed s to d eterm i n e th e bou n d a ri es a n d a ppl i ca bi l i ty of th e a u th en ti ci ty a n d i n teg ri ty of th e i n form a ti on i t u ses i n ord er to esta bl i sh i ts scope. Wh en d eterm i n i n g th i s scope, th e org a n i za ti on n eed s to con si d er: a)

th e extern a l a n d i n tern a l i ssu es referred to i n 1 . 2 ;

b)

th e req u i rem en ts referred to i n 1 . 3 ; a n d

c)

i n terfa ces a n d d epen d en ci es between a cti vi ti es perform ed by th e org a n i za ti on , a n d th ose th a t a re perform ed by oth er org a n i za ti on s.

Th e scope n eed s to be a va i l a bl e a s pa rt of th e pol i cy d ocu m en t. I n m a n y org a n i za ti on s, th e a u th en ti ci ty a n d i n teg ri ty of i n form a ti on wi l l on l y be of i m porta n ce to pa rt of th e overa l l i n form a ti on a sset. As pa rt of a proj ect to i m pl em en t B S 1 0008 a n d th e Cod e, i n d i vi d u a l i n form a ti on a ssets n eed to be i d en ti fi ed a n d a d eci si on ta ken a s to wh eth er ea ch sh ou l d be i n cl u d ed wi th i n th e scope of th e rel a ted pol i cy sta tem en t.

Evide n tia l we ig h t a n d le g a l a dm issib ility o f in fo rm a tio n

sto re d e le ctro n ica lly

9

2 Lea d ersh i p

2.1

Le a d e rsh i p a n d

co m m i tm e n t

Th i s secti on of th e Cod e rel a tes to Cl a u se 5 of B S 1 0008, ‘Lea d ersh i p’. Top m a n a g em en t n eed s to d em on stra te l ea d ersh i p a n d com m i tm en t wi th respect to th e m a n a g em en t of th e i n form a ti on a u th en ti ci ty a n d i n teg ri ty by: a)

en su ri n g th e i n form a ti on m a n a g em en t pol i ci es a n d obj ecti ves a re esta bl i sh ed a n d a re com pa ti bl e

b)

en su ri n g th e i n teg ra ti on of th e i n form a ti on m a n a g em en t system req u i rem en ts i n to th e

wi th th e stra teg i c d i recti on of th e org a n i za ti on ;

org a n i za ti on ’s processes; c)

en su ri n g th a t th e resou rces n eed ed for th e i n form a ti on m a n a g em en t system a re a va i l a bl e;

d)

com m u n i ca ti n g th e i m porta n ce of effecti ve i n form a ti on m a n a g em en t a n d of con form i n g to th e

e)

en su ri n g th a t th e i n form a ti on m a n a g em en t system a ch i eves i ts i n ten d ed ou tcom e(s) ;

f)

d i recti n g a n d su pporti n g person s to con tri bu te to th e effecti ven ess of th e i n form a ti on

i n form a ti on m a n a g em en t system req u i rem en ts;

m a n a g em en t system ; g)

prom oti n g con ti n u a l i m provem en t; a n d

h)

su pporti n g oth er rel eva n t m a n a g em en t rol es to d em on stra te th ei r l ea d ersh i p a s i t a ppl i es to th ei r a rea s of respon si bi l i ty.

2 . 2 Po l i cy sta te m e n ts

2.2.1

G e n e ra l

B S 1 0008 speci fi es th e con ten ts of a n el ectron i c stora g e pol i cy sta tem en t, wh i ch covers th e scope of th e pol i cy, req u i rem en ts for proced u res a n d tech n ol og y a n d th e respon si bi l i ti es of th e m a n a g em en t of th e system s. Th e sta n d a rd a l so speci fi es th e req u i rem en t for th e top m a n a g em en t tea m to set a cl ea r pol i cy d i recti on a n d d em on stra te su pport for, a n d com m i tm en t to, th e m a n a g em en t of th e el ectron i c i n form a ti on th rou g h th e i ssu e a n d m a i n ten a n ce of a n i n form a ti on m a n a g em en t pol i cy. Th e sta n d a rd a l so speci fi es th e con ten ts of a n i n form a ti on secu ri ty pol i cy wi th i n wh i ch th e i n form a ti on m a n a g em en t pol i cy opera tes. Pol i cy d ocu m en ta ti on n eed s to be reta i n ed i n com pl i a n ce wi th th e reten ti on sch ed u l e.

KE Y I S S U E

> Reta i n a pproved pol i cy d ocu m en ts i n l i n e wi th th e reten ti on sch ed u l e.

2 . 2 . 2 I n fo rm a ti o n

2. 2. 2. 1

m a n a g e m e n t p o l i cy s ta te m e n t

Stru ctu re

Th i s secti on d escri bes d ocu m en ta ti on th a t sta tes th e org a n i za ti on ’s i n form a ti on m a n a g em en t pol i cy. Ava i l a bi l i ty of th i s d ocu m en ta ti on sh ou l d , wh en com bi n ed wi th a ppropri a te proof of com pl i a n ce, d em on stra te (e. g . to a cou rt of l a w) th a t respon si bl e i n form a ti on m a n a g em en t i s pa rt of th e org a n i za ti on ’s n orm a l bu si n ess pra cti ce.

10

Evide n tia l we ig h t a n d le ga l a dm issib ility o f in fo rm a tio n


2. 2

Po licy sta te m e n ts

An i n form a ti on m a n a g em en t pol i cy sta tem en t (th e ‘pol i cy sta tem en t’) sh ou l d be prod u ced , d ocu m en ti n g th e org a n i za ti on ’s pol i cy on i n form a ti on m a n a g em en t a n d stora g e, a s a ppl i ca bl e to th e i n form a ti on m a n a g em en t system . Pol i cy obj ecti ves sh ou l d be cl ea rl y sta ted , su ch th a t th ey ca n be ea si l y i n terpreted a n d i m pl em en ted . N O TE : A fu n d a m en ta l recom m en d a ti on of th e Cod e i s th e form a l i za ti on , a g reem en t a n d i m pl em en ta ti on of a reten ti on sch ed u l e for stored i n form a ti on . Wh ere referen ce i s m a d e to th e pol i cy d ocu m en t i n th e rest of th e Cod e, th e reten ti on sch ed u l e i s i n cl u d ed i n su ch a referen ce.

Th e pol i cy sta tem en t sh ou l d be a pproved by th e top m a n a g em en t of th e org a n i za ti on , a n d sh ou l d be revi ewed for rel eva n ce a n d con ten t a t reg u l a r i n terva l s. Th e freq u en cy for revi ew sh ou l d be a ppropri a te to th e a ppl i ca ti on . Th i s peri od wi l l typi ca l l y be th e sa m e a s th e n orm a l proced u ra l a u d i t cycl e wi th i n th e org a n i za ti on (e. g . a n n u a l or i n th e even t of m a j or ch a n g es to th e system ) . An n ex D i n cl u d es a n exa m pl e pol i cy sta tem en t, wh i ch m a y be u sed d u ri n g th e d ra fti n g of a n org a n i za ti on ’s pol i cy sta tem en t. I t con ta i n s som e ‘typi ca l ’ sta tem en ts th a t m a y be a ppropri a te i n m a n y pol i cy sta tem en ts. Th e pol i cy sta tem en t sh ou l d con ta i n , a s a m i n i m u m , th e fol l owi n g . O th er secti on s m a y be a d d ed wh ere a ppropri a te.

Topi c

Con ten t

Secti on of B I P 0008-1

Scope

Speci fi es wh i ch i n form a ti on ‘types’ a re covered by

2.2.2.2

th e pol i cy

I n form a ti on

Sta tes th e pol i cy reg a rd i n g i n form a ti on

cl a ssi fi ca ti on

cl a ssi fi ca ti on (wh ere u sed )

Sta n d a rd s rel a ted to

Sta tes th e pol i cy reg a rd i n g rel eva n t i n form a ti on

i n form a ti on

m a n a g em en t sta n d a rd s

2.2.2.3

2.2.2.4

m a n a g em en t

Reten ti on a n d d i sposa l

D efi n es reten ti on peri od s a n d d i sposa l pol i ci es

2 . 2 . 2 . 4. 3 . 2

Leg a l a n d reg u l a tory

D efi n es th e req u i rem en ts for con su l ta ti on s wi th

2.2.2.5

con su l ta ti on s

a ppropri a te l eg a l a n d /or reg u l a tory bod i es, a n d

sch ed u l es

wi th oth ers wh ere n ecessa ry

Rol es a n d

D efi n es rol es a n d respon si bi l i ti es for i n form a ti on

respon si bi l i ti es

m a n a g em en t fu n cti on s a n d for com pl i a n ce

Stora g e tech n ol og y

Sta tes th e pol i cy reg a rd i n g th e type of

2.2.2.6

2.2.2.7

tech n ol og y to be u sed for stora g e

E l ectron i c fi l e form a ts

Sta tes th e pol i cy reg a rd i n g el ectron i c i n form a ti on

2.2.2.8

form a ts a n d versi on con trol ; th i s i n cl u d es el ectron i c fi l e form a ts a n d d a ta ba se m a n a g em en t system s a n d d a ta ba se sch em a s

Au d i ti n g

D efi n es req u i rem en ts for a u d i ti n g rel a ti ve to

2.2.2.9

pa rti cu l a r d ocu m en t types

Table 1 – In form ation m an agem ent policy topics



11

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KEY ISSUES > D evel op a n i n form a ti on m a n a g em en t pol i cy sta tem en t a n d h a ve i t a pproved by top m a n a g em en t. > E n su re i t i s revi ewed a t reg u l a r i n terva l s, a s a ppropri a te to th e a ppl i ca ti on .

2. 2. 2. 2

Sco p e

Th e pol i cy sta tem en ts d escri bed i n 2 . 2 . 2 . 1 m a y n ot cover a l l th e d i fferen t types of i n form a ti on th a t th e org a n i za ti on u ses. Th e i n form a ti on to be i n cl u d ed i n i ts scope sh ou l d be i d en ti fi ed a n d g rou ped i n to types, wi th th e pol i cy for a l l i n form a ti on wi th i n a type bei n g con si sten t. Wh ere a reten ti on a n d d i sposa l sch ed u l e (see 2 . 2 . 2 . 4. 3 . 2 ) exi sts, i t m a y be a ppropri a te to u se th e sa m e i n form a ti on type g rou ps. N O TE : Wh ere form a l record s m a n a g em en t proced u res a re i m pl em en ted , i n form a ti on types wi l l g en era l l y be u sed i n cl a ssi fi ca ti on sch em es (fi l e pl a n s) a n d /or ta xon om i es. Wh ere th i s i s th e ca se, th e sa m e fi l e g rou pi n g a n d n a m i n g con ven ti on s sh ou l d be u sed .

EXAMPLES of information types I n form a ti on types speci fi ed by referen ce to a ppl i ca ti on (e. g . ‘fi n a n ci a l proj ecti on s’, ‘i n voi ces’ or ‘cu stom er a d d ress l i st’) I n form a ti on types speci fi ed by referen ce to g en eri c g rou p (e. g . ‘a ccou n ti n g d a ta ’, ‘cu stom er d ocu m en ts’ or ‘m a n u fa ctu ri n g d ocu m en ts’)

Th e pol i cy sta tem en t sh ou l d i n cl u d e, a s on e or m ore i n form a ti on types, a l l d ocu m en ts prod u ced i n con form a n ce to B S 1 0008, a s wel l a s system a n d a ppl i ca ti on a u d i t tra i l s (see 4. 5. 3 ) .

KEY ISSUE > Al l i n form a ti on types sh ou l d be i n cl u d ed i n th e pol i cy sta tem en t. An a l tern a ti ve to th i s a pproa ch of i n cl u d i n g on l y i d en ti fi ed i n form a ti on types i n th e pol i cy scope ca n be a d opted , si n ce th ere i s a ri sk th a t th e org a n i za ti on m a y n eed to prod u ce a bsol u tel y a n y of i ts i n form a ti on a ssets i n th e even t of a d i spu te. Th e key con si d era ti on i s wh eth er th e org a n i za ti on sh ou l d h a ve a n y i n form a ti on th a t i s tota l l y u n m a n a g ed , even th e i n form a ti on th a t i s reg a rd ed a s of very l ow va l u e to th e org a n i za ti on . I n th i s ca se, i t i s worth con si d eri n g wh eth er th e pol i cy scope sh ou l d i n cl u d e a ’d efa u l t’ i n form a ti on type (wi th a ssoci a ted pol i cy a n d pol i cy i m pl em en ta ti on a n d com pl i a n ce req u i rem en ts) a s wel l a s th e expl i ci tl y i d en ti fi ed i n form a ti on types. I n form a ti on ou tsi d e th e scope of th e expl i ci tl y i d en ti fi ed types sh ou l d be m a n a g ed a ccord i n g to th e d efa u l t.

2. 2. 2. 3

In fo rm a tio n

cla ssifica tio n

I n som e a ppl i ca ti on s, i t i s a ppropri a te to i m pl em en t a n i n form a ti on cl a ssi fi ca ti on system , typi ca l l y u sed to i n d i ca te th e a ccessi bi l i ty of pa rti cu l a r d ocu m en ts to workers a n d oth er i n d i vi d u a l s. I n g overn m en t a n d oth er pu bl i c bod i es, th i s i s often i n d i ca ted by th e u se of secu ri ty ‘l a bel s’ su ch a s ‘top secret’, ‘cl a ssi fi ed ’ or ‘pu bl i cl y a va i l a bl e’. I n th e pri va te sector, secu ri ty cl a ssi fi ca ti on sch em es m a y be a l i g n ed to d epa rtm en ta l req u i rem en ts (su ch a s a ccou n ts, cred i t con trol or cu stom er servi ces) .

12



2. 2


I t i s i m porta n t to en su re th a t th e i n form a ti on cl a ssi fi ca ti on system i s si m pl e to u n d ersta n d , a n d th u s ea sy to i m pl em en t. I t sh ou l d be ba sed on n eed , pri ori ty a n d d eg ree of protecti on n eed ed . E xcessi ve cl a ssi fi ca ti on l evel s sh ou l d be a voi d ed . Wh ere a n i n form a ti on cl a ssi fi ca ti on system i s i m pl em en ted , th e pol i cy sta tem en t sh ou l d i n cl u d e wi th ea ch i n form a ti on type th e d eta i l s of i ts cl a ssi fi ca ti on .

KEY ISSUES > I n cl u d e i n th e pol i cy sta tem en t a g a i n st ea ch i n form a ti on type i ts i n form a ti on cl a ssi fi ca ti on (wh ere u sed ) . > Keep th e i n form a ti on cl a ssi fi ca ti on system si m pl e a n d u n d ersta n d a bl e to a l l u sers. 2

2. 2. 2. 4

Sta n da rds

re la te d to

in fo rm a tio n

m a n a gem en t

2 . 2 . 2 . 4. 1 G en era l Freq u en tl y, bu si n ess ben efi ts ca n be a ch i eved by com pl yi n g wi th rel eva n t n a ti on a l or i n tern a ti on a l sta n d a rd s, cod es of pra cti ce or oth er g u i d es. Th e pol i cy d ocu m en t sh ou l d sta te wh eth er a l l or speci fi c pa rts of a n y su ch pu bl i ca ti on (s) a re to be com pl i ed wi th .

KEY ISSUE > Wh ere bu si n ess ben efi ts ca n be d eri ved from com pl i a n ce, th e a ppropri a te sta n d a rd (s) (a n d oth er g u i d es) sh ou l d be i m pl em en ted . 2 . 2 . 2 . 4. 2 Q u a l i ty m a n a g em en t Wh ere th e org a n i za ti on opera tes a q u a l i ty m a n a g em en t system (su ch a s on e i n a ccord a n ce wi th B S E N I SO 9 001 ,

Q u a lity m a n a g e m e n t syste m s

—

R e q u ire m e n ts

) , wh ose scope i n cl u d es pa rt or a l l of th e

i n form a ti on m a n a g em en t system wi th i n th e scope of com pl i a n ce, th en i t i s recom m en d ed th a t a l l d ocu m en ta ti on th a t B S 1 0008 req u i res sh ou l d be i n cl u d ed i n th e q u a l i ty m a n a g em en t system .

KEY ISSUE > Wh ere a B S E N I SO 9 001 or oth er q u a l i ty m a n a g em en t system i s i m pl em en ted , i t i s recom m en d ed th a t a l l d ocu m en ta ti on a n d proced u res req u i red by B S 1 0008 sh ou l d be i n cl u d ed wi th i n i ts scope. 2 . 2 . 2 . 4. 3 Record s m a n a g em en t 2 . 2 . 2 . 4. 3 . 1 G en era l A B ri ti sh Sta n d a rd on th e su bj ect of record s m a n a g em en t wa s ori g i n a l l y pu bl i sh ed i n 2 001 . Th i s i s B S I SO 1 5 489 -1 : 2 001 ,

In fo rm a tio n

a n d do cu m e n ta tio n

—

R e co rds

m a n a gem en t —

Pa rt 1 :

, and

Ge n e ra l

i n cl u d es a n i n tern a ti on a l sta n d a rd a n d a rel a ted tech n i ca l report. At th e ti m e of pu bl i ca ti on of th i s Cod e, B S I SO 1 5 489 -1 i s u n d erg oi n g a si g n i fi ca n t revi si on . U sers sh ou l d en su re th a t th e l a test versi on of B S I SO 1 5 489 -1 i s u sed . M a n y of th e d ocu m en ts stored wi th i n th e i n form a ti on m a n a g em en t system wi l l be record s, a n d th u s sh ou l d be m a n a g ed i n a ccord a n ce wi th th e sta n d a rd . An n ex E con ta i n s a cross-referen ce l i sti n g ,

2

O n e su ch sch em e u sed wi th i n g o vern m en t i s th e G o vern m en t Secu ri ty Cl a ssi fi ca ti o n s. Fo r i n form a ti o n , see www. g ov. u k/g overn m en t/pu b l i ca ti o n s/g overn m en t-secu ri ty-cl a ssi fi ca ti on s



13

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d eta i l i n g th e va ri ou s req u i rem en ts of B S I SO 1 5 489 -1 a n d th ei r m a ppi n g to th e Cod e. Th i s wi l l a l l ow u sers of th e Cod e to i m pl em en t i ts recom m en d a ti on s wi th i n th e req u i rem en ts of th e record s m a n a g em en t reg i m e. D E FI N I TI O N S from BS I SO 1 5 489-1 : 2 001

Record s – ‘i n form a ti on crea ted , recei ved a n d m a i n ta i n ed a s evi d en ce a n d i n form a ti on by a n org a n i za ti on or person , i n pu rsu a n ce of l eg a l obl i g a ti on s or i n th e tra n sa cti on of bu si n ess’ Record s m a n a g em en t – ‘fi el d of m a n a g em en t respon si bl e for th e effi ci en t a n d system a ti c con trol of th e crea ti on , recei pt, m a i n ten a n ce, u se a n d d i sposi ti on of record s, i n cl u d i n g processes for ca ptu ri n g a n d m a i n ta i n i n g evi d en ce of a n d i n form a ti on a bou t bu si n ess a cti vi ti es a n d tra n sa cti on s i n th e form of record s’ 2 . 2 . 2 . 4. 3 . 2 Reten ti on a n d d i sposa l sch ed u l es A reten ti on sch ed u l e sh ou l d be esta bl i sh ed for ea ch i n form a ti on type i n cl u d ed i n th e pol i cy sta tem en t a n d a g reed wi th a l l rel eva n t d epa rtm en ts a n d person n el wi th i n th e org a n i za ti on . Th ey sh ou l d be revi ewed a t reg u l a r i n terva l s. Wh ere a ppropri a te, l eg a l a d vi ce m a y be req u i red to en su re th a t m i n i m u m l eg a l a n d /or reg u l a tory reten ti on peri od s, a s wel l a s bu si n ess req u i rem en ts, a re com pl i ed wi th . For fu rth er i n form a ti on a n d g u i d a n ce on reten ti on sch ed u l es, see:

• •

Th e N a ti on a l Arch i ves (previ ou sl y th e Pu bl i c Record O ffi ce) ; 3 Th e I n form a ti on a n d Record s M a n a g em en t Soci ety. 4

Al l d ocu m en ta ti on th a t B S 1 0008 a n d th e Cod e req u i re to be kept sh ou l d be covered by th e reten ti on sch ed u l e. Th ere sh ou l d a l so be a d i sposa l sch ed u l e, sta ti n g th e org a n i za ti on ’s pol i cy for th e con trol l ed d estru cti on (or oth er process su ch a s a rch i va l preserva ti on ) of i n form a ti on a t th e en d of i ts reten ti on peri od . I n m a n y i n sta n ces, th e d i sposa l process wi l l i n vol ve th e ph ysi ca l d estru cti on of th e i n form a ti on (i n cl u d i n g a l l copi es) . I n oth er ca ses, i n form a ti on m a y be pa ssed to a rch i ves (to a l l ow i t to be u sed for resea rch a n d /or sta ti sti ca l pu rposes) , i n wh i ch ca se pol i ci es a re n eed ed th a t d eta i l wh i ch d ocu m en ts (a n d m a ybe wh i ch i n form a ti on i n th ese d ocu m en ts) a re to be a rch i ved . Th ese sch ed u l es sh ou l d be i n cl u d ed i n , or referen ced by, th e pol i cy sta tem en t.

KE Y I SSU E > A reten ti on sch ed u l e a n d a d i sposa l sch ed u l e sh ou l d be esta bl i sh ed a n d i n cl u d ed i n , or referen ced by, th e pol i cy sta tem en t, coveri n g a l l i n form a ti on types i n cl u d ed i n th e pol i cy sta tem en t.

2. 2. 2. 5

L e g a l a n d re g u la to ry co n su lta tio n s

2 . 2 . 2 . 5 . 1 Con su l ta ti on s I t i s i m porta n t to be a wa re of th e va ri ou s l eg a l a n d reg u l a tory req u i rem en ts th a t th e org a n i za ti on n eed s to com pl y wi th . Som e (or m a ybe a l l ) of th ese req u i re th e keepi n g of i n form a ti on . Som e l eg a l a d vi sers or reg u l a tors m a y be u n fa m i l i a r wi th el ectron i c i n form a ti on m a n a g em en t system s, a n d so wi l l n eed to seek con su l ta ti on before a ‘m a i n l y el ectron i c’ process i s i m pl em en ted . Typi ca l bod i es th a t m a y n eed to be con su l ted a re:

3

www. n a ti on a l a rch i ves. g o v. u k/i n form a ti o n -m a n a g em en t/m a n a g e-i n fo rm a ti on /

4

www. i rm s. org . u k

14



2. 2

• • • •


regulatory bodies; government bodies; external audit bodies; legal advisers.

These consultations may need to include the following topics: • • •

legal issues (civil law and/or company law); government regulations; special regulations (applicable to particular sectors).

These consultations may be appropriate at different levels, which may include: • • • • • •

national and international law; industry sector regulation; community by-laws; organizational policies; departmental procedures; individuals’ rights.

The results of all consultations, including actions agreed, planned or implemented, should be referenced or included in the policy statement. KEY ISSUES

> Relevant consultations should be made to ensure that the organization is aware of, and thus can comply with, all appropriate legal and/or regulatory requirements. > The results of all consultations should be documented in (or referenced by) the policy statement. 2.2.2.5.2 UK legal and regulatory bodies When operating within the UK, particular bodies may need to be ed as part of the organization’s consultations. UK s of the Code may consider consulting the following organizations: • •

Companies House; HM Revenue & Customs.

In specialized industry sectors, organizations may need to comply with the requirements of bodies such as: • • • •

the Financial Conduct Authority (FCA); the Civil Aviation Authority; the Food Standards Agency (and possibly the US Food and Drug istration); industry regulators.

Where relevant, it may also be helpful to consult organizations and individuals such as: • • • • •

the company secretary; the records manager; internal and external legal advisers; internal and external auditors; other government bodies, for example: – The National Archives; – the Office of Government Commerce; – the e-Government Unit; – the Health and Safety Executive; – the National Audit Office (for public organizations audited by the NAO); – the Information Commissioner’s Office.



15

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2.2.2.5.3 Paper replacement systems Historically, the majority of information has been stored on paper. Organizations that carry out auditing activities, typically resulting from a legal or regulatory requirement, anticipate inspecting these paper records. Typical examples of such organizations are HM Revenue & Customs and the NAO. Where a change to electronic working is planned, prior permission will generally be required from the appropriate authorities. KEY ISSUE

> Ensure that prior permission to replace paper records with electronic records from all external bodies that carry out audit activities on the organization has been obtained. 2 . 2 . 2 . 6 R o le s

a n d re sp o n sib ilitie s

There are a number of information management responsibilities that should be identified, to ensure compliance with BS 1 0008 and the Code. For further guidance, see 2.3. 2 . 2 . 2 . 7 Sto ra g e

te ch n o lo g y

Different types of storage technology have different long-term storage characteristics. Most organizations will store information on a variety of media: paper, microform and/or electronic (write-once and rewritable/erasable). In some applications, specific pieces of information may, throughout their retention periods, be stored on different media at different times, for example, where hierarchical storage management (HSM) systems are used (see 5.8). In order to facilitate effective storage, the organization will need to have policies regarding the use of specific types of medium for different information storage requirements (e.g. access requirements, retention periods and security requirements). These policies should be used to decide the medium to be used for the storage of each information type. These policies should be included in the policy statement. KEY ISSUE

> Include the approved storage technology medium for each information type in the policy statement. 2. 2. 2. 8

Ele ctro n ic

file

fo rm a ts

2.2.2.8.1 General All information stored on a computer system requires software for retrieval and display. This software is subject to change, either by the implementation of new releases, or by changes to operating systems and/or hardware. By implementing a policy of approved storage formats, data migration procedures can be implemented to ensure long-term retrieval of the stored information (see 5.8.7). 2.2.2.8.2 Electronic file formats The policy statement should contain details of the approved electronic file formats that may be used for each information type. Where the electronic file may be subjected to compression techniques (see 5.1 0.3.2), their use should be documented.

16



2. 2


KE Y I S S U E

> I n cl u d e th e a pproved el ectron i c fi l e form a t a n d com pressi on pol i ci es for ea ch i n form a ti on type i n th e pol i cy sta tem en t. 2 . 2 . 2 . 8. 3 D a ta ba se m a n a g em en t system s a n d sch em a s Th e pol i cy sta tem en t sh ou l d con ta i n d eta i l s of th e a pproved d a ta ba se m a n a g em en t system s (D B M S) a n d d a ta ba se sch em a s. Ch a n g es to a pproved D B M S a n d d a ta ba se sch em a s sh ou l d be u n d er a n a pproved versi on con trol system (see 5 . 7 . 1 . 3 ) . I n th e even t of th e D B M S a n d sch em a for a pa rti cu l a r a ppl i ca ti on or servi ce bei n g u n a va i l a bl e or u n pu bl i sh ed propri eta ry i n tel l ectu a l property of a th i rd pa rty, th e org a n i za ti on wi l l n eed to a ssess th e i m pl i ca ti on s of th e u n a va i l a bi l i ty of th i s i n form a ti on a n d , i f d eem ed a ccepta bl e, d ocu m en t wi th i n th e pol i cy sta tem en t.

2. 2. 2. 9

A u ditin g

Record s sh ou l d be kept of i n form a ti on m a n a g em en t system h i stori ca l a cti vi ti es, ch a n g es, con fi g u ra ti on s, even ts or d eci si on s th a t m a y n eed to be a ccessed i n th e fu tu re, a s a d d i ti on a l evi d en ce to su pport stored i n form a ti on . Au d i t tra i l s wi l l n eed to con ta i n su ffi ci en t a n d n ecessa ry i n form a ti on to provi d e evi d en ce of th e a u th en ti ci ty of stored i n form a ti on , i n cl u d i n g d eta i l s of a n y ch a n g es to i t. Th e con ten t of th e a u d i t tra i l s sh ou l d be a g reed wi th a l l rel eva n t d epa rtm en ts wi th i n th e org a n i za ti on , i n cl u d i n g a u d i t, com pl i a n ce a n d l eg a l , a n d sh ou l d be d ocu m en ted or referen ced i n th e pol i cy sta tem en t.

KE Y I S S U E S

> Au d i t tra i l s sh ou l d con ta i n su ffi ci en t i n form a ti on to be a bl e to d em on stra te a l l n ecessa ry h i stori ca l a cti vi ti es rel a ti n g to th e system a n d to stored d a ta . > D eta i l s of a u d i t tra i l req u i rem en ts sh ou l d be i n cl u d ed i n th e pol i cy sta tem en t.

2 . 2 . 3 I n fo rm a ti o n

2 . 2 . 3. 1

s e cu ri ty p o l i cy

Se cu rity e le m e n ts

To fu l fi l th e d u ty of ca re obj ecti ve, th e org a n i za ti on n eed s to a cti on th e fol l owi n g .



17

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Topi c

Con ten t


Scope

Speci fi es th e i n form a ti on secu ri ty pol i cy

2.2.3.3

M a n a g em en t

Sta tes th e obj ecti ves of th e i n form a ti on

2.2.3.4

obj ecti ves

secu ri ty pol i cy

Secu ri ty cl a ssi fi ca ti on

Sta tes secu ri ty req u i rem en ts for d i fferen t

2.2.3.5

i n form a ti on ca teg ori es

Rol es a n d

D eta i l s rol es a n d respon si bi l i ti es i n rel a ti on to

respon si bi l i ti es

i n form a ti on secu ri ty m a n a g em en t

Seg reg a ti on of rol es

D eta i l s req u i rem en ts rel a ted to th e

2.2.3.6

2.2.3.7

seg reg a ti on of rol es

Access ri g h ts

D eta i l s pol i cy on sta ff a ccess to i n form a ti on

2.2.3.8

a n d on sh a ri n g i n form a ti on wi th th i rd pa rti es

Secu ri ty brea ch

D eta i l s pol i cy for d ea l i n g wi th a ctu a l or

m a n a g em en t

su spected secu ri ty brea ch es

I n form a ti on secu ri ty

Sta tes pol i cy for com pl i a n ce wi th i n form a ti on

m a n a g em en t

secu ri ty sta n d a rd s (su ch a s B S I SO /I E C 2 7 001 )

2.2.3.9

2.2.3.1 0

sta n d a rd s

Table 2 – Information security topics

2 . 2 . 3. 2

In fo rm a tio n

se cu rity m a n a ge m e n t fra m e wo rk

Wh ere a n a ppropri a te i n form a ti on secu ri ty m a n a g em en t fra m ework d oes n ot a l rea d y exi st, on e sh ou l d be esta bl i sh ed . I t sh ou l d con trol th e i n form a ti on secu ri ty m a n a g em en t system a s i m pl em en ted wi th i n th e org a n i za ti on . Th e fra m ework sh ou l d h a ve a s i ts obj ecti ves:

• • • •

a pprova l a n d revi ew of th e i n form a ti on secu ri ty m a n a g em en t pol i cy; m on i tori n g of th rea ts to i n form a ti on secu ri ty; m on i tori n g a n d revi ew of secu ri ty brea ch es; a pprova l of m a j or i n i ti a ti ves to en h a n ce i n form a ti on secu ri ty m a n a g em en t.

KEY ISSUE > Pl a n a n d i m pl em en t a n i n form a ti on secu ri ty m a n a g em en t fra m ework.

2 . 2 . 3. 3

Sco p e

To d ocu m en t th e org a n i za ti on ’s secu ri ty req u i rem en ts, th e org a n i za ti on sh ou l d a d opt a n i n form a ti on secu ri ty m a n a g em en t pol i cy, coveri n g a l l el em en ts of th e i n form a ti on m a n a g em en t system . Wh ere th e org a n i za ti on h a s a n i n form a ti on secu ri ty m a n a g em en t pol i cy for oth er system s, th en th e u se of th e i n form a ti on m a n a g em en t system sh ou l d be i n corpora ted wi th i n i ts scope. Th e i n form a ti on secu ri ty m a n a g em en t pol i cy d ocu m en t sh ou l d con ta i n , a s a m i n i m u m :

18



2. 2

• • • • • • • •


th e scope of th e i n form a ti on secu ri ty pol i cy; a sta tem en t of th e m a n a g em en t obj ecti ves i n respect to secu ri ty; speci fi c pol i cy sta tem en ts; req u i rem en ts for d i fferen t i n form a ti on cl a ssi fi ca ti on ca teg ori es; th e d efi n i ti on a n d a l l oca ti on of i n form a ti on secu ri ty respon si bi l i ti es; a pol i cy for d ea l i n g wi th brea ch es of secu ri ty; a pol i cy reg a rd i n g com pl i a n ce wi th rel eva n t sta n d a rd s; a pol i cy for u pd a ti n g th e pol i cy.

Th e i n form a ti on secu ri ty m a n a g em en t pol i cy d ocu m en t sh ou l d be a pproved by th e org a n i za ti on ’s top m a n a g em en t. Th e org a n i za ti on sh ou l d th en a g ree a n d d ocu m en t a ppropri a te l evel s of secu ri ty for m a n a g i n g i ts i n form a ti on , i n com pl i a n ce wi th i ts sta ted i n form a ti on secu ri ty pol i cy.

KEY ISSUES > D evel op, a u th ori ze a n d i m pl em en t a n i n form a ti on secu ri ty m a n a g em en t pol i cy. > E n su re th a t th e pol i cy’s scope i n cl u d es th e i n form a ti on m a n a g em en t a n d stora g e system s.

2 . 2 . 3. 4

Ma n a g e m e n t o b je ctive s

Al l i n form a ti on , i rrespecti ve of th e stora g e tech n ol og y, i s vu l n era bl e to l oss or ch a n g e, wh eth er a cci d en ta l or m a l i ci ou s. To protect i n form a ti on stored el ectron i ca l l y, secu ri ty m ea su res n eed to be d evel oped a n d i m pl em en ted to red u ce th e ri sk of a su ccessfu l ch a l l en g e to i ts a u th en ti ci ty. Th ese secu ri ty m ea su res n eed to be a l i g n ed to a n y i n form a ti on cl a ssi fi ca ti on ca teg ori es (see 2 . 2 . 3 . 5 ) th a t a re u sed . Tra d i ti on a l l y, i n form a ti on secu ri ty i s con si d ered a m a tter of con fi d en ti a l i ty, to en su re th a t i n form a ti on i s n ot a va i l a bl e for vi ewi n g ou tsi d e th e req u i rem en ts of th e org a n i za ti on . H owever, wh i l st th i s i s i m porta n t (i n som e ca ses vi ta l ) to th e opera ti on of th e org a n i za ti on , i t i s n ot th e m ost i m porta n t secu ri ty i ssu e rel eva n t to com pl i a n ce req u i rem en ts. A key recom m en d a ti on of B S 1 0008 a n d th e Cod e i s to protect th e i n teg ri ty of stored i n form a ti on . Wh en d evel opi n g secu ri ty m ea su res, i t i s n ecessa ry to com pa re th e ri sk of i n teg ri ty bei n g com prom i sed wi th th e cost of th e i m pl em en ta ti on of su ch m ea su res. Secu ri ty m ea su res n eed to i n cl u d e ba cku p a n d oth er copi es of stored i n form a ti on , a s th ei r i n teg ri ty i s of i m porta n ce i n ci rcu m sta n ces i n wh i ch th ey h a ve been u sed a s repl a cem en ts for ‘l i ve’ d a ta , or for u se a s ‘l eg a l ’ a rch i ves. Th ere i s a l so th e i m porta n t i ssu e of a va i l a bi l i ty. I n som e ca ses i t m a y be n ecessa ry to be a bl e to d em on stra te th a t a l l i n form a ti on on a speci fi c topi c i s a va i l a bl e for revi ew a t a n y ti m e. I n su ch i n sta n ces, i ssu es su ch a s i n d exi n g a ccu ra cy a n d bu si n ess con ti n u i ty pl a n n i n g a re i m porta n t. Secu ri ty i s n ot si n g u l a rl y a con cern wi th com pu ter system s. Secu ri ty a n d a va i l a bi l i ty of th e opera ti n g en vi ron m en t (i n cl u d i n g bu i l d i n g s, tem pera tu re con trol s, n etwork l i n ks, ph ysi ca l m ed i a , etc. ) a n d th e a u d i ta bl e i m pl em en ta ti on of proced u res by a l l sta ff a re a l l key el em en ts. A m a n a g em en t sta tem en t sh ou l d be prod u ced , d eta i l i n g th e org a n i za ti on ’s stra teg y for i n form a ti on secu ri ty m a n a g em en t, u pon wh i ch th e i n form a ti on secu ri ty pol i cy (see 2 . 2 . 3 ) i s ba sed .



19

2

L e a de rsh ip

E XAM PLE An exa m pl e of a m a n a g em en t sta tem en t i n rel a ti on to i n form a ti on secu ri ty m a n a g em en t i s a s fol l ows. Th e m a n a g em en t obj ecti ves of th i s i n form a ti on secu ri ty pol i cy a re to:

• • •

en su re th a t i n form a ti on i s a ccu ra te, com pl ete a n d a va i l a bl e a s req u i red ; d em on stra te con ti n u i ty of i n form a ti on m a n a g em en t servi ces; m i n i m i ze bu si n ess d a m a g e by preven ti n g or m i n i m i zi n g th e i m pa ct of i n form a ti on secu ri ty i n ci d en ts.

2 . 2 . 3. 5

Se cu rity cla ssifica tio n

As d i scu ssed i n 2 . 2 . 2 . 3 , a n i n form a ti on cl a ssi fi ca ti on system m a y be i n u se. Wh ere th i s i s th e ca se, th e i n form a ti on secu ri ty pol i cy sh ou l d referen ce th e cl a ssi fi ca ti on system , a n d sh ou l d a l i g n secu ri ty m ea su res to th a t system .

KEY ISSUE > Wh ere a n i n form a ti on cl a ssi fi ca ti on system i s i n u se, th e i n form a ti on secu ri ty pol i cy sh ou l d be a l i g n ed to th a t system .

2 . 2 . 3. 6 R o le s

a n d re sp o n sib ilitie s

Th ere a re a n u m ber of i n form a ti on secu ri ty respon si bi l i ti es th a t sh ou l d be i d en ti fi ed to en su re com pl i a n ce wi th B S 1 0008 a n d th e Cod e. For fu rth er g u i d a n ce, see 2 . 3 .

2 . 2 . 3. 7 Se g re g a tio n

o f ro le s

Th e seg reg a ti on of rol es i s a fu n d a m en ta l a spect of d u ty of ca re. I t provi d es a ch eck on errors a n d on th e d el i bera te fa l si fi ca ti on of record s (i n th i s respect, seg reg a ti on of rol es i s pa rti cu l a rl y i m porta n t i n system s wh ere th ere i s ri sk of fra u d or oth er m a l i ci ou s a cti on ) . Th ere a re severa l a spects of i n form a ti on m a n a g em en t wh ere a seg reg a ti on of rol es sh ou l d be con si d ered :

• • • • •

i n pu t recon ci l i a ti on ; q u a l i ty con trol ; d a ta en try; i n form a ti on d i sposa l ; i n form a ti on secu ri ty.

I t i s a l so i m porta n t to en su re th a t th e ph ysi ca l a n d m a n a g eri a l seg reg a ti on th a t exi sts a rou n d a system i s m i rrored by th e l og i ca l a ccess con trol s wi th i n i t. I n som e i n sta n ces, seg reg a ti on of two rol es m a y n ot be fea si bl e, d u e for exa m pl e to th e l a ck of a va i l a bi l i ty of a l tern a te workers. A j u sti fi ca ti on n eed s to be d ocu m en ted .

20



2. 2


E XAM P LE

Wh e re

th e

s e co n d

q u a l i t y co n tro l

s ca n n e r o p e ra to r ch e cks th e

re s p o n s i b l e

fo r th e

p ro ce d u re

s ca n n i n g .

q u a l i t y o f i m a g e s d u ri n g

sh ou l d

be

Th i s s e c o n d

u n d e rta ke n

th e

s ca n n i n g

b y p e rs o n n e l

q u a l i ty ch e ck m a y i n vo l ve

p ro ce d u re s ,

o t h e r th a n

a

th o s e

s ys te m a t i c s a m p l i n g .

KEY ISSUES >

I d e n ti fy a n y p ro ce d u re

t h a t i s s e l f- ch e cki n g ,

and

wh e re

th e re

is a

p ote n ti a l

ri s k to

th e

i n te g ri ty o f

p ro ce d u re s .

>

M o d i fy p ro ce d u re s wh e re

2 . 2 . 3. 8

A cce ss

• • • • • •

In

an

e n s u re

re l i a b l e

s ys te m s .

rig h ts

I t i s i m p o rta n t to s ys te m .

n e ce s s a ry to

co n tro l

a cce s s to

i n fo rm a ti o n

s ys te m

m a n a g e r;

s ys te m

a d m i n i s tra t o r;

s ys te m

m a i n t e n a n ce ;

e l e ct ro n i c d a ta

m a n a g e m e n t s ys te m ,

fi l e s ,

typ i ca l

b y th e

i m p l e m e n ta ti o n

of a n

a cc e s s ri g h ts l e ve l s m a y b e

a cce s s co n t ro l

a s fo l l o ws :

a u t h o rs o r o ri g i n a to rs ;

Th e

i n fo rm a t i o n

s to ra g e

i n fo rm a t i o n

re tri e va l .

i n fo rm a t i o n

s e cu ri ty p o l i cy s h o u l d

ba sed

on

j ob

and

i n d e xi n g ;

s t a te

th e

re q u i re m e n t fo r a n

a cce s s l e ve l

m a n a g e m e n t s ys te m ,

fu n cti o n s .

KEY ISSUE >

Th e

i n fo rm a ti o n

s ys t e m s ,

2 . 2 . 3. 9

F ro m

ti m e

e n s u re

to

and

S u ch

ti m e , th e se

s e cu ri ty p o l i cy s h o u l d j ob

so m e

s e cu ri t y b re a ch e s ,

th e

p o l i cy fo r th e

wh e th e r a ctu a l

o r s u s p e cte d ,

e m e rg e n cy p ro ce d u re s to th e

i n te g ri ty o f i n fo rm a ti o n

i n s ta n ce s ,

H o we ve r,

a

te m p o ra ry u s e

s e cu ri t y b re a ch be

made

to

i s n o t co m p ro m i s e d

m a y n o t a p p e a r to

d e m o n s t ra te

be

a ri s e

d u ri n g

sh o u l d

h a ve

th a t th e

wi th

i n fo rm a ti o n

i m p l e m e n te d

o f a d d i ti o n a l

s e cu ri ty i n ci d e n t m a n a g e m e n t p l a n

c h e cks s h o u l d

m a n a g e m e n t o f a cce s s to

IT

m a n a gem en t

b re a ch e s re q u i re

i n fo rm a ti o n

i n cl u d e

ro l e .

p ro ce d u re s m a y i n vo l ve

th a t t h e

a p p ro ve d

In

on

Se cu rity b re a ch

s ys te m s , th e m .

b a se d

in

m a n a g em en t

o rd e r to

re co ve r fro m

o r th i rd - p a rty re s o u rce s . re co ve ry o p e ra ti o n s ,

be

an

In

o rd e r t o

a g re e d

and

i m p l e m e n te d .

a ffe ct e d

th e

i n t e g ri ty o f th e

s to re d

i n fo rm a ti o n .

i n fo rm a ti o n

h a s n ot been

co m p ro m i s e d .

In

o rd e r to

e n s u re

e n vi ro n m e n ta l i m p l e m e n te d

and

n o t co m p ro m i s e d

Wh e re

co m p l e te

o r p o te n t i a l

th a t re co ve ry fro m

o r p e rs o n n e l

fa i l u re

m a i n ta i n e d . d u ri n g

S u ch

s e c u ri ty b re a c h

th a t re s u l te d

s u cce s s fu l ,

p ro ce d u re s s h o u l d

in

m a j o r e q u i pm e n t,


e n s u re

t h a t th e

be

d e ve l o p e d ,

i n t e g ri ty o f s to re d

te s t e d , i n fo rm a ti o n

is

th e i r i m p l e m e n ta ti o n .

re co ve ry fro m

co m p ro m i s e

a

h a s been

to

th e

th e

re s u l ts o f a

s to re d

s e cu ri ty b re a ch

i n fo rm a ti o n

sh ou l d


be

ca n n o t b e

a s s u re d ,

d e ta i l s o f a l l

a ctu a l

d o cu m e n te d .


21

2

L e a de rsh ip

KEY ISSUE > Secu ri ty brea ch es sh ou l d be m a n a g ed i n a con trol l ed m a n n er, u si n g proced u res th a t en su re (or h i g h l i g h t a n y a ctu a l or poten ti a l i ssu es con cern i n g ) th e m a i n ten a n ce of th e i n teg ri ty of stored i n form a ti on , d u ri n g a n d a fter a n i n ci d en t.

2 . 2 . 3. 1 0

In fo rm a tio n

B S I SO /I E C 2 7 002 : 2 01 3 , in fo rm a tio n

se cu rity m a n a g e m e n t sta n da rds

In fo rm a tio n

se cu rity co n tro ls

te ch n o lo gy —

Se cu rity te ch n iq u e s

—

Co de

o f p ra ctice

fo r

, i s th e U K referen ce d ocu m en t for i n form a ti on secu ri ty m a n a g em en t.

Proof of com pl i a n ce wi th th e recom m en d a ti on s of th i s sta n d a rd wh en i m pl em en ted wi th i n th e bou n d a ri es covered by th e Cod e m a y provi d e h el pfu l , su pporti n g evi d en ce i n cou rt or oth er d i spu te. I t wi l l i n d i ca te th a t th e org a n i za ti on h a s exerci sed i ts d u ty of ca re, a n d i t wi l l a ssi st th e a d j u d i ca tor i n a ssessi n g th e a u th en ti ci ty a n d i n teg ri ty of th e i n form a ti on . B S I SO /I E C 2 7 001 i s a n a u d i ta bl e speci fi ca ti on for u se i n th e certi fi ca ti on of a n i n form a ti on secu ri ty m a n a g em en t system a g a i n st th e sta n d a rd . Com pl i a n ce wi th th e recom m en d a ti on s of B S I SO /I E C 2 7 002 or certi fi ca ti on a g a i n st B S I SO /I E C 2 7 001 sh ou l d n ot be reg a rd ed a s a n a l tern a ti ve to com pl i a n ce wi th th e recom m en d a ti on s of th e Cod e. Com pl i a n ce wi th th e req u i rem en ts of B S I SO /I E C 2 7 001 i s pred i ca ted u pon th e proven q u a l i ty m a n a g em en t a pproa ch of d em on stra bl y m eeti n g a sta ted req u i rem en t, a s d efi n ed by th e org a n i za ti on i n q u esti on . As su ch , th i s en a bl es B S I SO /I E C 2 7 001 to be a ppl i ed to org a n i za ti on s a s va ri ed a s a g overn m en t d epa rtm en t, a h i g h street ba n k a n d a con su l ta n cy em pl oyi n g on e or two peopl e. Cl ea rl y th e ri sks a ssoci a ted wi th th ese bu si n esses a re d i fferen t a n d th e i n form a ti on secu ri ty m ea su res a d opted wi l l , th erefore, a l so be d i fferen t. Th e Cod e works on a d i fferen t prem i se. Wh en i n form a ti on i s u sed a s evi d en ce i n th e even t of a d i spu te, th e m a xi m u m wei g h t of evi d en ce i s n ot a ffected by th e si ze or sh a pe of th e org a n i za ti on a n d i ts own vi ew of secu ri ty ri sks. I t freq u en tl y d epen d s u pon th e opi n i on of a n i n d epen d en t a rbi ter. Th a t vi ew m a y wel l be a ffected by th e opposi n g pa rty i n th e d i spu te a ttem pti n g to d i scred i t th e evi d en ti a l va l u e. Th erefore, th e Cod e i s ba sed u pon m ore prescri pti ve, l ess i n terpreta ti ve pri n ci pl es, a n d com pl i a n ce wi th i ts recom m en d a ti on s i s si g n i fi ca n tl y m ore a bsol u te th a n com pl i a n ce wi th th e req u i rem en ts of B S I SO /I E C 2 7 001 . B I P 007 1 –007 4 g i ve g u i d a n ce on th e i m pl em en ta ti on of B S I SO /I E C 2 7 001 :

•

B I P 007 1 (2 01 3 ) , ISO /IEC 2 7001

• •

B I P 007 2 (2 01 3 ) ,

A re

B I P 007 3 (2 01 3 ) ,

Gu ide

ISO /IEC 2 7001

•

Gu ide lin e s

on

re q u ire m e n ts

a n d p re p a ra tio n

fo r ISMS

ce rtifica tio n

b a se d o n

; yo u

re a dy fo r a n

to

th e

ISMS

a u dit b a se d o n

im p le m e n ta tio n

ISO /IEC 2 7001 ?

a n d a u ditin g

o f ISMS

co n tro ls

b a se d o n

;

B I P 007 4 (2 006) ,

Me a su rin g

th e

e ffe ctive n e ss

o f yo u r ISMS

im p le m e n ta tio n s

b a se d o n

ISO /IEC 2 7001

.

Wh ere I T servi ces a re bei n g su bcon tra cted to a n oth er org a n i za ti on (or a n oth er com pa n y wi th i n th e sa m e g rou p) , i t wou l d a d d i ti on a l l y be a ppropri a te to i m pl em en t B I P 0005 (2 01 1 ) , se rvice

A

m a n a g e r’s

g u ide

to

, wh i ch g i ves g u i d a n ce on servi ce m a n a g em en t.

m a n a gem en t

KEY ISSUE > I n form a ti on secu ri ty sta n d a rd s provi d e a u d i ta bl e system s th a t en a bl e org a n i za ti on s to d em on stra te a d u ty of ca re i n rel a ti on to stored i n form a ti on .

22

Evide n tia l we igh t a n d le g a l a dm issib ility o f in fo rm a tio n


2. 4

2 . 3 Ro l e s a n d

L e g a l a n d re gu la to ry e n viro n m e n t

re sp o n s i b i l i ti e s o f wo rke rs

Rol es a n d respon si bi l i ti es for i n form a ti on m a n a g em en t a n d i n form a ti on secu ri ty m a n a g em en t sh ou l d be d efi n ed i n th e rel eva n t pol i cy sta tem en ts. Th ese rol es a n d respon si bi l i ti es m a y exten d ou tsi d e th e org a n i za ti on , wh ere th i rd pa rti es h a ve a ccess to system s. Th e respon si bi l i ti es i n rel a ti on to i n form a ti on m a n a g em en t m a y be i n d i ca ted wi th referen ce to a j ob fu n cti on (e. g . th e I T m a n a g er) . Respon si bi l i ti es sh ou l d be a ssi g n ed for:

• • • • • •

pol i cy sta tem en t con ten t; pol i cy sta tem en t a pprova l (typi ca l l y th e sen i or boa rd m em ber) ; pol i cy sta tem en t peri od i c revi ew; i n form a ti on con ten t of ea ch i n form a ti on type d efi n ed ; th e i n form a ti on m a n a g em en t system ; en su ri n g con ti n u ed com pl i a n ce.

Th e respon si bi l i ti es i n rel a ti on to i n form a ti on secu ri ty m a n a g em en t m a y a l so be i n d i ca ted wi th referen ce to a j ob fu n cti on (e. g . th e i n form a ti on secu ri ty m a n a g er) . Respon si bi l i ti es sh ou l d be a ssi g n ed for:

• • • • • •

secu ri ty pol i cy con ten t; secu ri ty pol i cy a pprova l (typi ca l l y th e sen i or boa rd m em ber) ; secu ri ty pol i cy peri od i c revi ew; secu ri ty cl a ssi fi ca ti on for ea ch i n form a ti on type d efi n ed ; th e i n form a ti on secu ri ty m a n a g em en t system ; en su ri n g con ti n u ed com pl i a n ce.

KE Y I S S U E S

> I d en ti fy respon si bi l i ti es for i n form a ti on m a n a g em en t (by m ea n s of referen ce to th e rel eva n t j ob fu n cti on ) i n th e pol i cy sta tem en t. > I d en ti fy respon si bi l i ti es for i n form a ti on secu ri ty m a n a g em en t (by m ea n s of referen ce to th e rel eva n t j ob fu n cti on ) i n th e i n form a ti on secu ri ty pol i cy.

2 . 4 Le g a l

and

re g u l a to ry e n vi ro n m e n t

Th i s topi c i s d i scu ssed i n An n ex H .



23

3 Pl a n n i n g

3.1

Acti o n s to a d d re s s ri sks a n d

3.1 .1

o p p o rtu n i ti e s

G e n e ra l

Th i s secti on of th e Cod e rel a tes to Cl a u se 6 of B S 1 0008, ‘Pl a n n i n g ’. Wh en pl a n n i n g for th e m a n a g em en t of th e a u th en ti ci ty a n d i n teg ri ty of i n form a ti on , th e org a n i za ti on n eed s to con si d er th e i ssu es referred to i n 1 . 2 a n d th e req u i rem en ts referred to i n 1 . 3 a n d d eterm i n e th e ri sks a n d opportu n i ti es th a t n eed to be a d d ressed to: a)

en su re th e i n form a ti on m a n a g em en t system ca n a ch i eve i ts i n ten d ed ou tcom e(s) ;

b)

preven t, or red u ce, u n d esi red effects; a n d

c)

a ch i eve con ti n u a l i m provem en t.

Th e org a n i za ti on a l so n eed s to pl a n : a)

a cti on s to a d d ress th ese ri sks a n d opportu n i ti es; a n d

b)

h ow to: 1.

i n teg ra te a n d i m pl em en t th e a cti on s i n to i ts i n form a ti on m a n a g em en t system processes; a n d

2.

eva l u a te th e effecti ven ess of th ese a cti on s.

3 . 1 . 2 Ri s k a s se ss m e n t

I n form a ti on m a n a g em en t proced u res a re often d evel oped i n a n u n stru ctu red wa y, by rea cti n g to u ser req u i rem en ts, secu ri ty i n ci d en ts a n d /or to a va i l a bl e com pu ter softwa re tool s. Th i s a pproa ch on i ts own ca n ea si l y l ea ve g a ps i n i n form a ti on m a n a g em en t, wh i ch a re on l y fi l l ed a t som e l a ter d a te, typi ca l l y a fter a secu ri ty brea ch . A m ore stru ctu red a pproa ch i s to revi ew th e i n form a ti on a ssets of th e org a n i za ti on a n d a ssi g n ri sk fa ctors (ba sed on a sset va l u e, poten ti a l th rea ts, system vu l n era bi l i ty a n d l i kel i h ood of a tta ck) , on th e ba si s of wh i ch a ppropri a te, cost-effecti ve i n form a ti on m a n a g em en t proced u res ca n be i d en ti fi ed . An essen ti a l pa rt of i n form a ti on m a n a g em en t i s th e i m pl em en ta ti on of a n a ppropri a te secu ri ty pol i cy, wh i ch sh ou l d be prod u ced a n d a pproved , ba sed on th e ri sk a ssessm en t, a n d a g a i n st wh i ch secu ri ty m ea su res ca n be d evel oped a n d i m pl em en ted . N O TE : A revi ew of th i s type g en era l l y req u i res secu ri ty experti se a n d a ra n g e of a ppropri a te tech n i ca l ski l l s.

Th e org a n i za ti on sh ou l d u n d erta ke a n i n form a ti on secu ri ty ri sk a ssessm en t a l on g th ese l i n es, a n d d ocu m en t th e resu l ts obta i n ed . O f pa rti cu l a r i m porta n ce a re th e secu ri ty m ea su res i m pl em en ted to con trol th e i n form a ti on stora g e m ed i a , both th e ‘l i ve’ m ed i a a n d th e ‘ba cku p’ m ed i a . Th e ri sk a n a l ysi s n eed s to i n cl u d e vu l n era bi l i ty ri sk fa ctors con si sten t wi th th e type of m ed i u m bei n g u sed (e. g . WO RM or rewri ta bl e) . O n th e ba si s of th e resu l ts of th e ri sk a ssessm en t, exi sti n g secu ri ty m ea su res sh ou l d be revi ewed for effecti ven ess. Fa ctors su ch a s th e ba l a n ce between th e cost of i m pl em en ta ti on a n d th e secu ri ty a ch i eved n eed to be ta ken i n to con si d era ti on d u ri n g th e revi ew process. Wh ere th e revi ew i n d i ca tes th a t ch a n g es to secu ri ty m ea su res a re a ppropri a te, a n a cti on pl a n sh ou l d be d ra wn u p wi th n ew or a m en d ed secu ri ty m ea su res pri ori ti zed for i m pl em en ta ti on .

KE Y I S S U E

> Perform a ri sk a ssessm en t of exi sti n g secu ri ty m ea su res, a n d i m pl em en t cost-effecti ve tech n ol og y a n d /or proced u res to fi l l a n y g a ps fou n d .

24


3. 2

Th e

ri s k a s s e s s m e n t wi l l

re p o rts ,

b a cke d

up

re p o rts ,

m a y p ro vi d e

l ea d

b y th e

to

th e

a cq u i s i ti o n

i n fo rm a ti o n

u s e fu l

e vi d e n ce

u se d

in

to

o f i n fo rm a ti o n d e ve l o p

re l a t i o n

to

th e

and

th e

O b je ctive s

cre a ti o n

co n cl u s i o n s a n d

i n fo rm a ti o n

a n d a ch ie ve m e n ts

o f ri s k re p o rts .

Th e s e

re co m m e n d a ti o n s i n

m a n a g e m e n t d e ci s i o n s m a d e

th e

b y th e

b u si n e ss.

C o n s e q u e n tl y, i n fo rm a ti o n

BS

I SO

3 1 000

p u b l i c, th e

l i fe

re t a i n

of a n

re l a te d

g e n e ri c g u i d e l i n e s o n

o r co m m u n i ty e n te rp ri s e ,

o rg a n i z a ti o n ,

p ro ce s s e s ,

i n fo rm a ti o n

to

ri s k a s s e s s m e n ts i n

line

wi th

an

s ch e d u l e .

p ro vi d e s p ri n ci p l e s a n d

p ri va t e

o p e ra ti o n s , ri s k,

i t i s t h u s i m p o rt a n t to

re t e n t i o n

and

to

fu n cti o n s ,

wh a te ve r i ts n a t u re ,

a

a s s o ci a ti o n ,

wi d e

p ro j e c ts ,

wh e t h e r h a vi n g

ra n g e

ri s k m a n a g e m e n t.

g ro u p

o r i n d i vi d u a l .

o f a cti vi ti e s ,

p ro d u cts , p o s i t i ve

i n cl u d i n g

s e rvi ce s a n d

o r n e g a ti ve

I t ca n

I t ca n

be

be

s t ra te g i e s a n d

a s s e ts .

I t ca n

be

u se d

a ppl i ed

by a n y

th ro u g h o u t

d e ci s i o n s ,

a ppl i ed

to

a n y typ e

of

co n s e q u e n ce s .

KE Y I S S U E

>

R e ta i n

re co rd s o f ri s k a s s e s s m e n t m e t h o d s a n d

re s u l ts i n

line

wi th

th e

re te n ti o n

s ch e d u l e .

3 . 1 . 3 Ri s k tre a tm e n t

Th e

re s u l t s o f t h e

a cti o n

and

a g a i n st th o se

BS

ri s k a s s e s s m e n t s h o u l d

p ri o ri ti e s fo r m a n a g i n g

I S O /I E C 2 7 0 0 5 : 2 0 1 1 ,

BS

to

te ch n o lo gy —

guide

and

d e te rm i n e

i m p l e m e n ti n g

o f co n tro l s to

be

Se cu rity te ch n iq u e s

i n p u t to

a

ri s k co m m u n i ca ti o n ,

th e

a p p ro p ri a te

co n tro l s s e l e cte d

—

re d u ce ,


re ta i n ,

by on e

cri t e ri a .

a vo i d

o r m o re

In fo rm a tio n

i n cl u d i n g

ri s k m o n i t o ri n g

ri s k t re a tm e n t p ro ce s s a s a

o rg a n i z a t i o n ’ s ri s k e va l u a ti o n

Ri s k t re a tm e n t ca n

to

m a n a g em en t p ro te ct

and

l i s t o f i d e n ti fi e d

R i s k tre a tm e n t i n cl u d e s th e

o r s h a re

o f th e

th e

i d e n ti fi e d

fo l l o wi n g

se cu rity risk

a d vi ce

on

ri s k

ri s k re vi e w.

ri s ks ,

p ri o ri t i z e d

i d e n ti fi c a t i o n

and

ri s ks .

n o n - e xcl u s i ve

p ro ce s s e s :

ri s k m o d i fi ca ti o n ; ri s k re te n ti o n ; ri s k a vo i d a n ce ; ri s k s h a ri n g .

Ri s k m o d i fi ca t i o n re s i d u a l

ri s ks ca n

Ri s k re te n ti o n wh e re

th e

p re s e n t.

i n vo l ve s th e be

i s th e

i d e n t i fi e d

Ri s k a vo i d a n ce

Ri s k s h a ri n g

a d d i ti o n ,

re m o va l

o r m o d i fi ca ti o n

o f e xi s ti n g

co n t ro l s s u ch

th a t th e

re - e va l u a te d .

p ro ce s s o f re ta i n i n g ri s k i s wi th i n

i n vo l ve s t h e

Th i s m a y b e

u se d

i n vo l ve s th e

s u b co n tra ct i n g

th e

re m o va l

wh e re

s h a ri n g

an

i d e n t i fi e d

a g re e d

ri s k wi th o u t fu rth e r a cti o n .

o f p ro ce s s e s re l a t e d

th e

to

th e

ri s k,

s u ch

th a t th e

co s t o f o th e r fo rm s o f ri s k tre a tm e n t a re

o f th e

Th i s i s a cce p t a b l e

ri s k cri te ri a .

i d e n t i fi e d

ri s ks wi th

o th e r p a rti e s ,

s u ch

too

ri s k i s n o c o s tl y to

l on g er i m p l e m e n t.

a s b y i n s u ra n ce

or by

p a rti cu l a r p ro ce s s e s .

3 . 2 O b j e cti ve s a n d Th e

to

ri s k a n d

s e cu ri t y ri s k m a n a g e m e n t g u i d a n ce ,

ri s k a cce p t a n ce ,

d e s cri b e s th e

th e


• • • •

In fo rm a tio n

i n fo rm a ti o n

ri s k tre a tm e n t ,

I S O /I E C 2 7 0 0 5

a cco rd i n g

u sed

ri s ks .

m a n a ge m e n t p ro vi d e s

a s s e s s m e n t,

be

i n fo rm a ti o n

o rg a n i z a ti o n

n e e d s to

a ch i e ve m e n ts e s ta b l i s h

i n fo rm a ti o n

m a n a g e m e n t o b j e ct i ve s a t re l e va n t fu n cti o n s a n d

l e ve l s .



25

3 Planning

Th e i n form a ti on m a n a g em en t obj ecti ves n eed to: a)

be con si sten t wi th th e i n form a ti on m a n a g em en t pol i cy;

b)

be m ea su ra bl e (i f pra cti ca bl e) ;

c)

ta ke i n to a ccou n t a ppl i ca bl e i n form a ti on m a n a g em en t req u i rem en ts, a n d resu l ts from ri sk a ssessm en t a n d ri sk trea tm en t;

d)

be com m u n i ca ted ; a n d

e)

be u pd a ted a s a ppropri a te.

Th e org a n i za ti on sh ou l d reta i n i n form a ti on on th e i n form a ti on m a n a g em en t obj ecti ves. Wh en pl a n n i n g h ow to a ch i eve i ts i n form a ti on m a n a g em en t obj ecti ves, th e org a n i za ti on n eed s to d eterm i n e: a)

wh a t wi l l be d on e;

b)

wh a t resou rces wi l l be req u i red ;

c)

wh o wi l l be respon si bl e;

d)

wh en i t wi l l be com pl eted ; a n d

e)

h ow th e resu l ts wi l l be eva l u a ted .

26


4 Su pport

4. 1

Re s o u rce s

Th i s secti on of th e Cod e rel a tes to Cl a u se 7 of B S 1 0008, ‘Su pport’. Th e org a n i za ti on n eed s to d eterm i n e a n d provi d e th e resou rces n eed ed for th e esta bl i sh m en t, i m pl em en ta ti on , m a i n ten a n ce a n d con ti n u a l i m provem en t of th e i n form a ti on m a n a g em en t system .

4. 2 Co m p e te n ce

Th e org a n i za ti on n eed s to: a)

d eterm i n e th e n ecessa ry com peten ce of person (s) d oi n g work u n d er i ts con trol th a t a ffects i ts i n form a ti on m a n a g em en t perform a n ce;

b)

en su re th a t th ese person s a re com peten t on th e ba si s of a ppropri a te ed u ca ti on , tra i n i n g or experi en ce;

c)

wh ere a ppl i ca bl e, ta ke a cti on s to a cq u i re th e n ecessa ry com peten ce, a n d eva l u a te th e effecti ven ess of th e a cti on s ta ken ; a n d

d)

reta i n a ppropri a te d ocu m en ted i n form a ti on a s evi d en ce of com peten ce.

N O TE : Appl i ca bl e a cti on s m a y i n cl u d e, for exa m pl e: th e provi si on of tra i n i n g to, th e m en tori n g of, or th e rea ssi g n m en t of cu rren t workers; or th e h i ri n g or con tra cti n g of com peten t person s.

4. 3 Awa re n e ss

Workers d oi n g work u n d er th e org a n i za ti on ’s con trol sh ou l d be a wa re of: a) b)

th e i n form a ti on m a n a g em en t pol i cy; th ei r con tri bu ti on to th e effecti ven ess of th e i n form a ti on m a n a g em en t system , i n cl u d i n g th e ben efi ts of i m proved i n form a ti on m a n a g em en t perform a n ce; a n d

c)

th e i m pl i ca ti on s of n ot con form i n g to th e i n form a ti on m a n a g em en t system req u i rem en ts.

4. 4 Re p o rti n g

and

co m m u n i ca ti o n s

I t i s i m porta n t wh en d evel opi n g pol i ci es a n d proced u res to en su re th a t:

•

i n form a ti on rel a ted to th e pol i ci es a n d proced u res i s m a d e a va i l a bl e to th ose th a t a re or m a y be a ffected by th em ;

• • •

d eta i l s of a n y ch a l l en g es to th e a u th en ti ci ty a n d /or i n teg ri ty of stored i n form a ti on i s fed ba ck to

•

th e m eth od s u sed for th ese com m u n i ca ti on s a re reg u l a rl y a ssessed for effecti ven ess, a n d u pd a ted

th ere i s a m ech a n i sm for feed ba ck from th e i m pl em en ters of th e pol i ci es a n d proced u res; th ere i s a m ech a n i sm for revi ewi n g ri sks rel a ted to th e pol i ci es a n d proced u res;

th ose respon si bl e for com pl i a n ce wi th B S 1 0008 a n d th e Cod e;

wh ere n ecessa ry.

KE Y I S S U E

> E n su re th a t a reporti n g a n d com m u n i ca ti on s m ech a n i sm i s i n pl a ce, to en su re th a t n ew or u pd a ted pol i ci es a n d proced u res a re i m pl em en ted by a l l a ppropri a te workers. Th i s d ocu m en ta ti on sh ou l d be reta i n ed i n com pl i a n ce wi th th e reten ti on sch ed u l e.


27

4

Su p p o rt

KE Y I S S U E

> Reta i n d ocu m en ta ti on rel a ted to reporti n g a n d com m u n i ca ti on s proced u res i n l i n e wi th th e reten ti on sch ed u l e.

4. 5 D o cu m e n te d

4. 5 . 1

i n fo rm a ti o n

G e n e ra l

D ocu m en ted i n form a ti on (a l so kn own a s record s) rel a ted to th e process of m a n a g i n g i n form a ti on stored el ectron i ca l l y n eed s to be crea ted a n d reta i n ed for a s l on g a s n ecessa ry. Secti on 4. 5 . 2 d eta i l s proced u ra l d ocu m en ta ti on th a t n eed s to be crea ted a n d reta i n ed . Th i s secti on a l so i n cl u d es i n form a ti on rel a ted to th e m a n a g em en t of th i s i n form a ti on , i n cl u d i n g th e req u i rem en t for versi on con trol a n d a ppropri a te reten ti on peri od s.

4. 5 . 2 Pro ce d u ra l

4. 5. 2 . 1

d o cu m e n ta ti o n

Ge n e ra l

Com pl i a n ce wi th B S 1 0008 a n d th e Cod e req u i res th e a va i l a bi l i ty a n d u se of speci fi ed d ocu m en ta ti on . Th i s d ocu m en ta ti on con si sts of th e:

• • • • •

i n form a ti on m a n a g em en t pol i cy sta tem en t (see 2 . 2 . 2 ) ; i n form a ti on reten ti on sch ed u l e (see 2 . 2 . 2 . 4. 3 . 2 ) ; i n form a ti on secu ri ty pol i cy d ocu m en t (see 2 . 2 . 3 ) ; proced u res m a n u a l (see 4. 5 . 2 . 2 ) ; system d escri pti on m a n u a l (see 4. 5 . 2 . 3 ) .

Th e a va i l a bi l i ty of th ese d ocu m en ts, a n d d em on stra bl e a d h eren ce to th e proced u res th ey d escri be, sh ou l d , i f effecti vel y con stru cted , provi d e th e a u d i t tra i l th a t m a y be u sed to d em on stra te th e a u th en ti ci ty of i n form a ti on stored , a n d so en h a n ce i ts evi d en ti a l wei g h t. N ote th a t ea ch of th e d ocu m en ts m en ti on ed a bove m a y a ctu a l l y be m a i n ta i n ed a s m u l ti pl e d ocu m en ts, or th ese d ocu m en ts m a y be com bi n ed . Th e key recom m en d a ti on i s th a t th e d ocu m en ta ti on exi sts, i s m a i n ta i n ed a n d i s rea d i l y a ccessi bl e to th ose a u th ori zed wi th i n th e org a n i za ti on to a ccess i t a n d to a n y a u th ori zed th i rd pa rty wh o m a y req u i re a ccess. Al l d ocu m en ta ti on n eed s to be m a i n ta i n ed i n l i n e wi th exi sti n g worki n g pra cti ces, a n d so sh ou l d be m a i n ta i n ed u n d er a versi on con trol system (see 5 . 7 ) . Ad d i ti on a l d ocu m en ta ti on m a y be req u i red to su pport th e d a i l y opera ti on of th e system , for exa m pl e:

• • • •

th e q u a l i ty con trol l og (see 5 . 2 . 3 . 7 ) ; th e system m a i n ten a n ce l og (see 5 . 1 5 ) ; a n a u d i t tra i l (see 4. 5 . 3 ) ; com pl i a n ce sta tem en ts (see 6. 3 . 4) .

Th e con ten t of th e d ocu m en ta ti on d escri bed a bove ca n ea si l y becom e u n rel i a bl e wh ere th ere a re n o proced u res i n pl a ce to en su re th a t th ey keep pa ce wi th both org a n i za ti on a l a n d system ch a n g es. U n rel i a bl e d ocu m en ta ti on m a y a d versel y a ffect l eg a l a rg u m en ts rel a ti n g to th e correct opera ti on of a n i n form a ti on m a n a g em en t system . I t i s th erefore i m porta n t to en su re th a t th e d efi n i ti ve versi on s of system d ocu m en ts a re brou g h t u n d er con fi g u ra ti on m a n a g em en t con trol , a n d a re fi rm l y l i n ked to th e org a n i za ti on ’s ch a n g e m a n a g em en t proced u res. Wh ere com pl i a n ce wi th B S 1 0008 a n d th e Cod e i s cl a i m ed over a peri od of ti m e d u ri n g wh i ch d i fferen t ed i ti on s of th e a bove d ocu m en ta ti on were a ppropri a te, th en a l l ed i ti on s of th i s d ocu m en ta ti on sh ou l d

28



4. 5

D o cu m e n te d in fo rm a tio n

be kept, i n com pl i a n ce wi th th e pol i cy d ocu m en t. Th i s i s to en su re th a t, wh ere i n form a ti on reg a rd i n g th e system a t a poi n t i n th e pa st i s req u i red , i t ca n be obta i n ed from th i s d ocu m en t store.

KEY ISSUE > D ocu m en ta ti on i s essen ti a l evi d en ce for th e pol i ci es, proced u res a n d tech n ol og y u sed . I t i s pa rt of th e system a u d i t tra i l .

4. 5. 2 . 2

In fo rm a tio n

m a n a g e m e n t syste m

p ro ce du re s

4. 5 . 2 . 2 . 1 G en era l Th e org a n i za ti on sh ou l d m a i n ta i n d ocu m en ta ti on (a proced u res m a n u a l ) for ea ch i n form a ti on m a n a g em en t system con form i n g to B S 1 0008 a n d th e Cod e, d escri bi n g a l l proced u res rel a ted to th e opera ti on a n d u se of th e system , i n cl u d i n g i n pu t to, opera ti on of a n d ou tpu t from th e system . Th i s m a n u a l m a y i n cl u d e referen ces to oth er con trol l ed d ocu m en ta ti on a s a ppropri a te. For con ven i en ce th e proced u res m a n u a l m a y be m a i n ta i n ed a s a n u m ber of sepa ra te ph ysi ca l d ocu m en ts, rel a ti n g to d i fferen t i n form a ti on m a n a g em en t a rea s. Wh ere th e org a n i za ti on h a s m u l ti pl e i n form a ti on m a n a g em en t system s, th e d ocu m en ta ti on m a y com pri se a si n g l e proced u res m a n u a l or m u l ti pl e proced u res m a n u a l s. Th i s proced u res m a n u a l sh ou l d be rea d i l y a ccessi bl e to a l l a ppropri a te u sers of th e system .

KEY ISSUE > A proced u res m a n u a l sh ou l d be m a d e a va i l a bl e, con ta i n i n g d eta i l s of (or referen ce to) oth er rel eva n t d ocu m en ta ti on con cern i n g a l l proced u res rel eva n t to th e i n form a ti on m a n a g em en t system . 4. 5 . 2 . 2 . 2 Con ten t Th e proced u res m a n u a l sh ou l d i n cl u d e th e topi cs l i sted bel ow.

Topi c

Con ten t


I n form a ti on ca ptu re

I m porti n g or crea ti n g i n form a ti on to be

5.2

stored

Sel f-m od i fyi n g fi l es

M a n a g i n g fi l es th a t ca n a u tom a ti ca l l y m od i fy

5.3

th em sel ves

Com pou n d d ocu m en ts

M a n a g i n g m u l ti -fi l e d ocu m en ts

5.4

I n form a ti on i n

M a n a g i n g i n form a ti on stored i n stru ctu red

5.5

stru ctu red d a ta ba ses

d a ta ba ses or oth er el ectron i c system s

B i g d a ta

M a n a g i n g very l a rg e a m ou n ts of d a ta i n

con si d era ti on s

m u l ti pl e com pu ter system s

Versi on con trol

M a n a g i n g m u l ti pl e versi on s of a d ocu m en t



5.6

5.7

29

4

Su p p o rt

Stora g e system s

Tech n ol og y u sed to store el ectron i c

5. 8

i n form a ti on

I n form a ti on reten ti on

I n form a ti on d i sposa l

I m pl em en ti n g th e reten ti on sch ed u l e

5 . 9. 1

I m pl em en ti n g th e reten ti on sch ed u l e a n d

5 . 9. 2

m a n a g i n g th e i n form a ti on d i sposa l proced u res

I n form a ti on tra n sfer

M a n a g i n g i n teg ri ty d u ri n g fi l e

5. 1 0

tra n sm i ssi on /tra n sporta ti on

I n d exi n g

Crea ti n g i n d ex en tri es for ca ptu red

5. 1 1

i n form a ti on

O u tpu t

Crea ti n g a u th en ti ca ted ou tpu t from th e

5. 1 2

system

I d en ti ty

M a n a g i n g th e i d en ti ty of i n d i vi d u a l s a n d

5. 1 3

system s

I n form a ti on secu ri ty

M a n a g i n g th e secu ri ty of i n form a ti on a n d

proced u res

system s

5. 1 4

System m a i n ten a n ce

M a i n ta i n i n g ph ysi ca l eq u i pm en t

5.1 5

E xtern a l servi ce

U si n g th i rd pa rti es for ou tsou rci n g

5.1 6

E n su ri n g system s m eet bu si n ess n eed s

5.1 7

provi si on

I n form a ti on m a n a g em en t testi n g

Table 3 – Procedures manual topics

4. 5. 2 . 3

Ke y te ch n o lo g y co m p o n e n ts

4. 5 . 2 . 3 . 1 G en era l A d escri pti on of h a rd wa re, softwa re a n d n etwork el em en ts th a t com pri se th e system a n d h ow th ey i n tera ct, i n cl u d i n g d eta i l s of system con fi g u ra ti on , i s n eed ed . I t sh ou l d be stru ctu red so th a t d eta i l s of th e system a t a n y ti m e d u ri n g th e peri od of i ts u se m a y be rea d i l y a ccessed . Th i s m a y be a ch i eved by crea ti n g a n ew versi on of th e m a n u a l every ti m e th ere i s a ch a n g e, or by i n cl u d i n g a ‘ch a n g e con trol ’ secti on i n th e m a n u a l . Wh a t i s i m porta n t i s th a t th ere i s a cl ea r d escri pti on of th e system a s i t wa s a t a pa rti cu l a r ti m e i n th e pa st. For system s a l rea d y i n opera ti on , i n form a ti on stored on th e system pri or to th e i n trod u cti on of B S 1 0008 a n d th e Cod e ca n n ot be con si d ered a s m eeti n g i ts provi si on s u n l ess th e con trol s a n d proced u res d escri bed i n B S 1 0008 a n d th e Cod e h a ve been i n pl a ce from th e ti m e of stori n g th a t i n form a ti on . Wh ere th e i n form a ti on m a n a g em en t pol i cy req u i res com pl i a n ce wi th pa rti cu l a r n a ti on a l a n d /or i n tern a ti on a l sta n d a rd s (see 2 . 2 . 2 . 4) , th e system d escri pti on m a n u a l sh ou l d i n cl u d e a secti on d em on stra ti n g com pl i a n ce wi th th ose sta n d a rd s. Th i s en a bl es system a u d i tors to ch eck th e perform a n ce a n d rel i a bi l i ty of th e system a g a i n st th ese sta n d a rd s.

30



4. 5


KEY ISSUES > A system d escri pti on m a n u a l sh ou l d be m a d e a va i l a bl e, con ta i n i n g d eta i l s of (or referen ce to oth er rel eva n t d ocu m en ta ti on th a t con ta i n s d eta i l s of) a l l tech n ol og y-rel a ted i ssu es rel eva n t to th e i n form a ti on m a n a g em en t system a t a n y poi n t i n ti m e. > D ocu m en t a n y com pl i a n ce to sta n d a rd s m eth od ol og y i m pl em en ted . 4. 5 . 2 . 3 . 2 Con ten t Th e system d escri pti on m a n u a l sh ou l d i n cl u d e th e topi cs l i sted bel ow.

Topi c

Con ten t


I m a g e processi n g

U se of i m a g e processi n g tech n ol og y

5.2.4

U se of form overl a ys a n d el ectron i c

5 . 2 . 4. 6/5 . 2 . 4. 7

Form s

form s system s

Stora g e system s

Types of stora g e m ed i u m a n d form a t i n

5.8

u se

E n vi ron m en ta l

E n vi ron m en t of tech n ol og y i n sta l l a ti on s

5 . 8. 5

M ovi n g stored i n form a ti on between

5 . 8. 7

con si d era ti on s

M ed i a m i g ra ti on

stora g e system s

Form a t con versi on

Ch a n g i n g stored i n form a ti on from on e

5 . 8. 8

fi l e form a t to a n oth er

Com pressi on

U se of com pressi on tech n i q u es

5 . 1 0. 3 . 2

M a n a g i n g workfl ow system s

5 . 1 0. 5

Con fi g u ra ti on of u ser a ccess

5 . 1 4. 2

tech n i q u es

B u si n ess process m a n a g em en t a n d workfl ow system s

Access ri g h ts

m a n a g em en t tool s

E n crypti on

U se of en crypti on tech n ol og y

5 . 1 4. 3

D i g i ta l si g n a tu res

U se of d i g i ta l si g n a tu res

5 . 1 4. 4

O th er a u th en ti ca ti on

U se of oth er a u th en ti ca ti on tech n i q u es

5 . 1 4. 5

D eta i l s of a va i l a bl e a u d i t tra i l

4. 5 . 3

tech n i q u es

Au d i t tra i l s

i n form a ti on

D a te a n d ti m e

Accu ra cy of d a te a n d ti m e

4. 5 . 3 . 9

sta m ps

Table 4 – System description manual topics



31

4

Su p p o rt

4. 5. 2 . 4

Ma in te n a n ce

o f do cu m e n ta tio n

Com pl i a n ce wi th B S 1 0008 a n d th e Cod e req u i res th e a va i l a bi l i ty a n d u se of speci fi ed d ocu m en ta ti on . M a i n ten a n ce of th i s d ocu m en ta ti on sh ou l d be i n a ccord a n ce wi th th e req u i rem en ts of B S 1 0008 a n d th e recom m en d a ti on s of th e Cod e, i n cl u d i n g th e keepi n g of record s of th i s m a i n ten a n ce. Th i s d ocu m en ta ti on sh ou l d be su bj ect to record s m a n a g em en t d i sci pl i n es th a t a re a t l ea st a s g ood a s th ose a ppl i ed to th e org a n i za ti on ’s oth er vi ta l bu si n ess record s. M a i n ten a n ce i s req u i red beca u se, over ti m e, req u i rem en ts wi l l evol ve a n d tech n ol og i es a n d l eg i sl a ti on wi l l ch a n g e. I n som e ca ses, i t wi l l su ffi ce for m a i n ten a n ce efforts to be d ri ven by recog n i ti on of ch a n g es, on a n a d h oc ba si s. Ad d i ti on a l l y, typi ca l l y for m ore i m porta n t d ocu m en ts, a rou ti n e reg u l a r revi ew wi l l be a ppropri a te. I n m ost ca ses i t wi l l be d esi ra bl e for ch a n g es to be d ocu m en ted i n a wa y th a t a l l ows a sta keh ol d er to tra ck th e ch a n g es between versi on s. Th i s ca n be i m pl em en ted by record i n g a si m pl e ch a n g e h i story for ea ch pa rt of th e d ocu m en ta ti on . D ocu m en ta ti on m a y be stored el ectron i ca l l y i n th e i n form a ti on m a n a g em en t system , su bj ect to th e sa m e con trol s a s i n cl u d ed i n B S 1 0008 a n d th e Cod e, a s pa per or m i croform i n secu re l oca ti on s, or a s a n y com bi n a ti on of th ese.

KE Y I S S U E S

> Th ere sh ou l d be d ocu m en ted proced u res for en su ri n g th a t d ocu m en ta ti on i s u p to d a te. > E n su re th a t th e versi on a ppropri a te a t a pa rti cu l a r poi n t i n ti m e i n th e pa st ca n be i d en ti fi ed a n d a ccessed .

4. 5. 2 . 5

Up da tin g

a n d re vie ws

I t i s i m porta n t to en su re th a t th e proced u res i m pl em en ted a t a n y ti m e d u ri n g th e stora g e l i fe of a n y speci fi c pi ece of i n form a ti on ca n be d eterm i n ed . Th i s i s a ch i eved by en su ri n g th a t th e proced u res m a n u a l (see 4. 5 . 2 . 2 ) i s kept u p to d a te, a n d th a t a l l previ ou s versi on s a re kept i n com pl i a n ce wi th th e pol i cy d ocu m en t (see 2 . 2 . 2 ) .

KE Y I S S U E S

> Al l ch a n g es to opera ti on a l proced u res sh ou l d be m a n a g ed by a ch a n g e con trol proced u re, a n d i n cl u d e u pd a ti n g th e proced u res m a n u a l . > Su persed ed versi on s of th e proced u res m a n u a l sh ou l d be kept i n com pl i a n ce wi th th e reten ti on sch ed u l e, tog eth er wi th th e d a tes d u ri n g wh i ch th ey were i n opera ti on . > Th e proced u res m a n u a l sh ou l d be reg u l a rl y revi ewed , to en su re th a t i t i s u p to d a te. > Al l ch a n g es sh ou l d be revi ewed to en su re th a t com pl i a n ce wi th B S 1 0008 a n d th e Cod e i s n ot com prom i sed .

4. 5 . 3 Au d i t tra i l s

4. 5. 3. 1

Ge n e ra l

Wh en prepa ri n g i n form a ti on for u se a s evi d en ce, i t i s often n ecessa ry to provi d e fu rth er su pporti n g i n form a ti on . Th i s i n form a ti on m a y i n cl u d e d eta i l s su ch a s d a te of stora g e of th e i n form a ti on , d eta i l s of m ovem en t of th e i n form a ti on from m ed i u m to m ed i u m , a n d evi d en ce of th e con trol l ed opera ti on of th e system . Th ese d eta i l s a re kn own a s ‘a u d i t tra i l ’ i n form a ti on .

32



4. 5


Th i s a u d i t tra i l i n form a ti on i s n eed ed to en a bl e th e worki n g of th e system to be d em on stra ted , a s wel l a s th e prog ress of i n form a ti on th rou g h th e system , from recei pt to fi n a l d el eti on . Au d i t tra i l s n eed to be com preh en si ve a n d properl y l ooked a fter, a s wi th ou t th em th e i n teg ri ty a n d a u th en ti ci ty, a n d th u s th e evi d en ti a l wei g h t, of th e i n form a ti on stored i n th e system cou l d be ca l l ed i n to q u esti on . Au d i t tra i l s m a y be bu t d o n ot n eed to be a u tom a ti ca l l y prod u ced . Th ey n eed to be d esi g n ed so th a t a n i n d epen d en t pa rty (su ch a s a n a u d i tor) i s a bl e to tra ce th e h i story of a n i n d i vi d u a l d ocu m en t, or th e opera ti on a n d m a n a g em en t of th e tech n ol og y.

4. 5. 3. 2

Pu rp o se

Th e a u d i t tra i l a s d efi n ed for B S 1 0008 a n d th e Cod e con si sts of th e a g g reg a te of th e i n form a ti on n ecessa ry to provi d e a h i stori ca l record of a l l si g n i fi ca n t even ts a ssoci a ted wi th th e stored i n form a ti on a n d th e i n form a ti on m a n a g em en t system . As su ch i t covers th e a n swers to a l l th e cl a ssi c q u esti on s con cern i n g th e proven a n ce of a n y pi ece of i n form a ti on stored wi th i n th e i n form a ti on m a n a g em en t system :

• • • • • •

Wh o? Wh a t? Wh ere? Wh en ? Wh y? H ow?

Th ese a u d i t tra i l d eta i l s ca n be spl i t i n to two ca teg ori es: 1.

system (i n cl u d i n g th e h a rd wa re pl a tform (s) , a ppl i ca ti on s a n d opera ti n g softwa re, con fi g u ra ti on , a n d processes a n d proced u res) ;

2.

stored i n form a ti on .

I n m ost org a n i za ti on s, th e a u d i t tra i l wi l l con si st of a col l ecti on of system - a n d opera tor-g en era ted l og s. I t i s essen ti a l th a t system cl ocks be syn ch ron i zed wi th a n a ccu ra te ti m e sou rce 5 to en su re th a t ti m es record ed i n a u d i t tra i l s a re con si sten t a n d rel i a bl e. For fu rth er a d vi ce on a u d i t tra i l s a n d on bu i l d i n g i n form a ti on m a n a g em en t system s ‘fi t for a u d i t’, see PD 001 8: 2 001 ,

4. 5. 3. 3

In fo rm a tio n

m a n a ge m e n t syste m s

—

Bu ildin g

syste m s

.

fit fo r a u dit

Ge n e ra tio n

Au d i t tra i l d a ta sh ou l d , a s fa r a s pra cti ca bl e, be g en era ted a u tom a ti ca l l y by th e system , a n d th e system d escri pti on m a n u a l (see 4. 5 . 2 . 3 ) sh ou l d d escri be th e processes. I n th i s ca se, th e d a ta sh ou l d be crea ted a n d stored i m m ed i a tel y fol l owi n g th e even t th a t i s bei n g a u d i ted . Wh ere a u d i t tra i l d a ta a re n ot g en era ted a u tom a ti ca l l y by th e system , proced u res for th ei r m a n u a l (or oth er) g en era ti on sh ou l d be i m pl em en ted . I n th i s ca se, th e d a ta sh ou l d be crea ted a s soon a s possi bl e a fter th e even t th a t i s bei n g d ocu m en ted . For exa m pl e, i f th e record i s of wh en a n opera tor sta rted work, th e ti m e sh ou l d be record ed before work a ctu a l l y sta rts. I f th e record i s of wh en prepa ra ti on of a pa rti cu l a r ba tch of d ocu m en ts wa s sta rted , th e ti m e sh ou l d be record ed j u st before th e prepa ra ti on of th a t ba tch com m en ces. I t sh ou l d n ot be possi bl e to m a ke a n y ch a n g es to th e system or th e i n form a ti on wi th i n th e system wi th ou t crea ti on of a n a u d i t tra i l en try. I t sh ou l d n ot be possi bl e to a m en d a u d i t tra i l d a ta . D el eti on sh ou l d on l y be possi bl e i n a ccord a n ce wi th th e org a n i za ti on ’s reten ti on pol i cy.

5

See secti o n on ’Tru sted Ti m e’ i n B I P 0008-3 (2 01 4) .



33

4

Su p p o rt

KEY ISSUES > Au d i t tra i l d a ta sh ou l d be g en era ted a u tom a ti ca l l y wh erever possi bl e, a n d sh ou l d i n cl u d e en tri es for a l l system a n d d a ta ch a n g es. > I t sh ou l d n ot be possi bl e to a l ter a u d i t tra i l s.

4. 5. 3. 4

Co n te n t

4. 5 . 3 . 4. 1 G en era l Th e a u d i t tra i l con ten t i s cri ti ca l , a s i t ca n be u sed to d eterm i n e th e rel eva n ce a n d i m porta n ce of pa rti cu l a r d ocu m en t types. Au d i t tra i l s m a y a l so be n eed ed to a u d i t su ch a cti vi ti es a s crea ti on , a ccess a n d d el eti on . Th u s, th e a u d i t tra i l n eed s to i n cl u d e a record of a l l rel eva n t occu rren ces. I f a n y si g n i fi ca n t occu rren ce i s n ot a u d i ted , th en th e wh ol e a u d i t tra i l ca n be d i scred i ted a n d , a s a d i rect resu l t, a l l or a n y i n form a ti on h el d wi th i n th e system wi l l a l so be a bl e to be d i scred i ted . Th u s, tech n ol og i es for el ectron i c i n form a ti on stora g e sh ou l d be ch osen wi th a u d i t tra i l req u i rem en ts i n m i n d . Th i s m a y resu l t i n tech n ol og i es bei n g rej ected th a t m a y oth erwi se h a ve a ppea red su i ta bl e for a pa rti cu l a r a ppl i ca ti on .

KEY ISSUE > Wh en ch oosi n g el ectron i c i n form a ti on stora g e system s, con si d er su i ta bl e a u d i t tra i l fu n cti on a l i ty a s a ba si c system req u i rem en t. Au d i t tra i l s sh ou l d i n cl u d e d eta i l s rel a ted to th e fol l owi n g proced u res:

• • • • •

i n form a ti on ca ptu re (see 5 . 2 ) ; ba tch processi n g (see 5 . 2 . 3 . 9 ) ; i n d exi n g (see 5 . 1 1 ) ; versi on con trol (see 5 . 7 ) ; d i sposa l of i n form a ti on (see 5 . 9 . 2 ) .

Al l a u d i t tra i l s sh ou l d i n cl u d e d eta i l s of wh o th e i n d i vi d u a l wa s or wh a t a ppl i ca ti on /system com pon en t wa s respon si bl e for th e a u d i ted even t. 4. 5 . 3 . 4. 2 I n form a ti on ca ptu re Au d i t tra i l d a ta a bou t th e i n form a ti on ca ptu re process provi d es i n va l u a bl e i n form a ti on to a ssi st i n th e a u th en ti ca ti on of stored i n form a ti on . D eta i l s su ch a s ca ptu re ti m e, opera tor a n d ca ptu re d evi ce m a y prove vi ta l wh en a u th en ti ci ty i s ch a l l en g ed . I n form a ti on th a t m a y be stored i n th e a u d i t tra i l wi l l typi ca l l y i n cl u d e:

• • • • • • • •

d ocu m en t or fi l e i d en ti fi ca ti on ; process d a te a n d ti m e sta m p; ba tch referen ce (for ba tch i n pu t) ; n u m ber of pa g es (for d ocu m en t sca n n i n g ) or d a ta record s (d a ta ca ptu re) ; q u a l i ty con trol ch eck a pprova l ; a n i d en ti fi er for ea ch d ocu m en t or fi l e th a t wa s i n d exed ; worker a n d worksta ti on i d en ti fi er; fi n a l wri te to stora g e.

Th e ch oi ce of a ctu a l d a ta to be stored i n th e a u d i t tra i l wi l l d epen d u pon th e a ppl i ca ti on a n d th e system .

34



4. 5


KEY ISSUE > Record s sh ou l d be kept i n th e a u d i t tra i l of key i n form a ti on con cern i n g i n form a ti on ca ptu red by or i m ported i n to th e system . I n form a ti on m a y be ca ptu red by th e system on a fi l e-by-fi l e ba si s. Th i s i s pa rti cu l a rl y rel eva n t wh ere d a ta fi l es a re i m ported i n to th e system . I n th i s ca se, th e fol l owi n g a u d i t tra i l i n form a ti on m a y be stored :

• • • •

a u n i q u e fi l e i d en ti fi er; n u m ber of d ocu m en ts/pa g es/d a ta record s wi th i n th e fi l e; si ze of th e fi l e (e. g . ki l obytes) ; fi l e form a t.

Wh ere com pou n d fi l es a re ca ptu red , a u d i t tra i l d a ta sh ou l d i n cl u d e th e rel a ti on sh i p between th e pa rts.

KEY ISSUE > Wh ere i n d i vi d u a l fi l es a re ca ptu red , a u d i t tra i l d a ta sh ou l d be kept on a fi l e-by-fi l e ba si s. 4. 5 . 3 . 4. 3 B a tch processi n g Wh ere ba tch processes a re i n vol ved , i t i s com m on to u se ba tch con trol d ocu m en ts to record a n d recon ci l e ba tch con ten t a n d process com pl eti on . Th ese form a n i n teg ra l pa rt of th e overa l l a u d i t tra i l . Wh ere d a ta a re ca ptu red on a ba tch ba si s, pa rti cu l a rl y i n d ocu m en t sca n n i n g a ppl i ca ti on s, th e fol l owi n g a u d i t tra i l i n form a ti on sh ou l d be stored :

• • • •

u n i q u e ba tch i d en ti fi er; opera tor i d en ti fi er; type of m a teri a l sca n n ed (e. g . pa per d ocu m en ts, rol l m i crofi l m a n d /or a pertu re ca rd s) ; q u a n ti ty of m a teri a l i n th e ba tch (e. g . n u m ber of d ocu m en ts, n u m ber of pa g es (si n g l e/d ou bl e-si d ed ) or n u m ber of m i crofi l m fra m es) ;

•

d eta i l s of i m a g e processi n g perform ed d u ri n g th e sca n n i n g process, wh ere th i s i s d i fferen t from a n y d efa u l t i m a g e processi n g d escri bed i n th e system d escri pti on m a n u a l .

Au d i t tra i l d a ta sh ou l d be stored so th a t i t i s ea sy to con fi rm th a t:

• •

a l l req u i red a cti vi ty h a s been perform ed for th a t ba tch ; d eta i l s of a n y a n om a l i es or d i screpa n ci es th a t h a ve been en cou n tered (e. g . n u m ber of pa g es wri tten to stora g e n ot a g reei n g wi th n u m ber of pa g es sca n n ed ) h a ve been record ed a n d d ea l t wi th ;

• •

q u a l i ty con trol proced u res h a ve been com pl eted ; req u i red excepti on processi n g h a s been com pl eted .

KEY ISSUE > Wh en worki n g i n ba tch es, a u d i t tra i l d a ta sh ou l d i n cl u d e rel eva n t i n form a ti on a bou t ba tch recon ci l i a ti on . 4. 5 . 3 . 4. 4 I n d exi n g I n d exi n g i n form a ti on i s vi ta l to th e i n form a ti on retri eva l process, a n d so i ts a ccu ra cy i s key to esta bl i sh i n g th e a u th en ti ci ty of stored i n form a ti on . Au d i t tra i l i n form a ti on d eta i l i n g th e crea ti on a n d m od i fi ca ti on of i n d exes ca n be u sed to d em on stra te th a t i n d exi n g proced u res h a ve been correctl y fol l owed .



35

4

Su p p o rt

I t m a y be a ppropri a te, d epen d i n g u pon th e a ppl i ca ti on , to keep ‘before’ a n d ‘a fter’ record s of i n d ex en tri es th a t a re a m en d ed or d el eted . Wh ere a n i n d ex i tem rel a tes to d el eted i n form a ti on , th i s fa ct sh ou l d be d ocu m en ted .

KEY ISSUES > A record sh ou l d be kept i n th e a u d i t tra i l of th e d a te a n d ti m e of th e crea ti on , a m en d m en t a n d d el eti on of every i n d ex fi l e. > Au d i t tra i l d a ta sh ou l d i n cl u d e a n i d en ti fi er for ea ch d ocu m en t or d a ta fi l e th a t i s i n d exed . 4. 5 . 3 . 4. 5 Versi on con trol Wh ere a ch a n g e i s m a d e to a d a ta fi l e, a u d i t tra i l d a ta sh ou l d be crea ted a n d stored , i d en ti fyi n g th e n a tu re a n d d eta i l s of th e ch a n g e. Su ch ch a n g es cou l d h a ve been m a d e by a n i n d i vi d u a l , or a u tom a ti ca l l y by th e system . Wh ere a ppropri a te, previ ou s versi on s of d a ta fi l es sh ou l d be referen ced i n th e a u d i t tra i l d a ta , to i d en ti fy th e n a tu re of th e ch a n g e.

KEY ISSUES > Wh ere ch a n g es a re m a d e to stored i n form a ti on , a u d i t tra i l d a ta sh ou l d be stored d eta i l i n g th e ch a n g e. > I t m a y be a ppropri a te to keep a copy of th e i n form a ti on before th e ch a n g e, to d ocu m en t th e process th a t h a s been ca rri ed ou t. 4. 5 . 3 . 4. 6 D i sposa l of i n form a ti on Record s sh ou l d be kept i n a n a u d i t tra i l of th e d i sposa l of i n form a ti on a t th e en d of th e rel eva n t reten ti on peri od . Th i s i s pa rti cu l a rl y si g n i fi ca n t i f i t i s n ecessa ry to d em on stra te th a t i n form a ti on d i sposa l wa s i n a ccord a n ce wi th th e reten ti on a n d d i sposa l pol i cy a n d wa s n ot u n d erta ken to h i d e i n form a ti on th a t cou l d h a ve been i n cri m i n a ti n g evi d en ce. Wh ere ori g i n a l d ocu m en ts a re d estroyed fol l owi n g a sca n n i n g process, record s sh ou l d be kept i n a n a u d i t tra i l of th e d estru cti on of th e ori g i n a l d ocu m en ts.

KEY ISSUE > Keep record s of a n y i n form a ti on d i sposa l proced u res ca rri ed ou t.

4. 5. 3. 5

Se cu rity o f a u dit tra ils

I f th e a u th en ti ci ty of stored i n form a ti on i s q u esti on ed , th e i n teg ri ty of th e a u d i t tra i l m a y be fu n d a m en ta l i n esta bl i sh i n g th e a u th en ti ci ty, a n d th u s th e evi d en ti a l wei g h t, of th e stored i n form a ti on . I f th e possi bi l i ty exi sts th a t th e a u d i t tra i l d a ta cou l d be m od i fi ed , th i s wi l l red u ce th e evi d en ti a l wei g h t of a n y i n form a ti on to wh i ch th ese record s a ppl y. Th e a u d i t tra i l sh ou l d be kept a t th e l evel of secu ri ty a ppropri a te to preven ti n g a n y ch a n g e to a n y d a ta wi th i n i t, a n d i n a ccord a n ce wi th th e org a n i za ti on ’s i n form a ti on secu ri ty pol i cy (a s wel l a s th e reten ti on pol i cy) . Th e a u d i t tra i l sh ou l d be su bj ect to i n tern a l record s m a n a g em en t pol i ci es a n d proced u res th a t a re a t l ea st a s g ood a s oth er ‘vi ta l record s’ of th e org a n i za ti on .

36



4. 5


Secu re ba cku p copi es of th e a u d i t tra i l sh ou l d be kept, i n cl u d i n g a u tom a ted a n d m a n u a l a u d i t tra i l d a ta . Wh ere fi l e recovery proced u res h a ve been i m pl em en ted , su ffi ci en t a u d i t tra i l d a ta sh ou l d be stored to d em on stra te th a t th e recovery d i d n ot a ffect i n form a ti on a u th en ti ci ty. For l ea st ri sk, store a u d i t tra i l d a ta on WO RM m ed i a . I f a rewri ta bl e m ed i u m i s u sed , th en a d d i ti on a l proced u res n eed to be i m pl em en ted to red u ce th e ri sk of ch a n g es bei n g m a d e. Th e u se of m a g n eti c ta pe wi l l m a ke i t rel a ti vel y d i ffi cu l t to m od i fy d a ta , a s m a g n eti c ta pe i s n orm a l l y a seri a l l y wri tten m ed i u m . I f a u d i t tra i l d a ta h a s been m od i fi ed , th en a n y su ch m od i fi ca ti on sh ou l d be a u d i ted . Pa per d ocu m en ts u sed for a u d i t tra i l d a ta sh ou l d be freq u en tl y rem oved from th e pl a ce of u se a n d stored secu rel y. Th e l on g er a d ocu m en t u sed for a u d i t tra i l d a ta (e. g . opera tor l og s) i s l eft i n a rel a ti vel y i n secu re pl a ce, for exa m pl e, a t a worksta ti on , th e h i g h er th e ri sk of ta m peri n g . U sers n eed to a ssess su ch ri sk wh en u si n g pa per for a u d i t tra i l record s. Wh ere pa per d ocu m en ts a re u sed , stori n g copi es of th em on th e i n form a ti on m a n a g em en t system i s recom m en d ed .

KEY ISSUES > Wh erever possi bl e, store a u d i t tra i l d a ta i n a n u n m od i fi a bl e form . > Wh ere th i s i s n ot possi bl e, u se secu ri ty m ea su res to en su re th a t i t i s n ot m od i fi ed .

4. 5. 3. 6 Ma n a g e m e n t

Au d i t tra i l i n form a ti on n eed s to be properl y m a n a g ed , a s i t m a y be of cri ti ca l i m porta n ce to th e org a n i za ti on . Al l cl a i m s of com pl i a n ce wi th org a n i za ti on a l pol i ci es m a y be d i scred i ted i f th e a u d i t tra i l i s n ot trea ted correctl y a n d ca n n ot be i n terpreted u n a m bi g u ou sl y. Wh ere a u d i t tra i l d a ta a re stored m a n u a l l y by a n opera tor, i t m a y be i m pra cti ca l a n d u n n ecessa ry to crea te a u d i t tra i l d a ta on a per d ocu m en t ba si s. For exa m pl e, wh en u n d erta ki n g d ocu m en t prepa ra ti on for sca n n i n g , i t m a y be su ffi ci en t to d ocu m en t th e d a te a n d , wh ere a ppropri a te, ti m e a t wh i ch prepa ra ti on of a ba tch of d ocu m en ts sta rted a n d en d ed . I t m a y su ffi ce to d ocu m en t si m pl y wh en th e opera tor sta rted a n d en d ed work, provi d ed i t i s possi bl e to i d en ti fy su bseq u en tl y wh i ch opera tor prepa red wh i ch d ocu m en ts.

KEY ISSUES > E n su re th a t th e a u d i t tra i l d a ta a re a u th en ti c, a ccessi bl e, su ffi ci en tl y com preh en si ve a n d u n d ersta n d a bl e. > Au d i t tra i l d a ta sh ou l d i n cl u d e a d a te a n d (wh ere a ppropri a te) ti m e sta m p. > I t m a y be a ppropri a te to a u d i t a t th e ba tch l evel ra th er th a n th e i n d i vi d u a l d ocu m en t l evel , i n som e pa rts of th e ca ptu re a n d stora g e processes.

4. 5. 3. 7 Sto ra g e

a n d re te n tio n

Th e stora g e of a u d i t tra i l d a ta i s a topi c often n ot i n cl u d ed i n a n org a n i za ti on ’s i n form a ti on m a n a g em en t pol i ci es. As th ey a re freq u en tl y crea ted a u tom a ti ca l l y, a n d i n freq u en tl y a ccessed , th ey a re u su a l l y forg otten , a n d th u s n ot su bj ect to a d eq u a te con trol .



37

4

Su p p o rt

To en su re th a t a l l rel eva n t a u d i t tra i l d a ta a re stored , ‘a u d i t tra i l d a ta ’ sh ou l d be i n cl u d ed a s a speci fi c d ocu m en t type i n th e pol i cy d ocu m en t. I t sh ou l d be stored for a t l ea st a s l on g a s th e i n form a ti on to wh i ch i t refers. Som e system s con trol th e si ze of a u d i t tra i l d a ta fi l es by th e u se of ‘l oopi n g ’, wh i ch sets th e m a xi m u m si ze for th e d a ta fi l e, a n d wh en th i s si ze i s rea ch ed n ew d a ta overwri te th e ol d est d a ta i n th e fi l e. Th u s, ol d a u d i t tra i l d a ta a re l ost. Th i s process m a y n ot be i n con form a n ce to req u i red reten ti on peri od s. Th ere sh ou l d be proced u res th a t i d en ti fy ci rcu m sta n ces wh en a n a u d i t tra i l d a ta fi l e becom es fu l l , a n d a cti on i s ta ken to reta i n d a ta a s req u i red by th e reten ti on pol i cy. Wh ere a n org a n i za ti on i s worki n g wi th i n a B S E N I SO 9 001 en vi ron m en t, typi ca l l y a u d i t tra i l d a ta rel a ti n g to com pl i a n ce wi th th e q u a l i ty m a n a g em en t system a re d estroyed a fter a sh ort peri od of ti m e. Th i s i s n ot th e ca se wi th a u d i t tra i l d a ta from i n form a ti on m a n a g em en t system s, wh i ch sh ou l d be stored for th e sa m e peri od a s th a t of th e d a ta to wh i ch i t rel a tes.

KEY ISSUE > E n su re th a t a u d i t tra i l d a ta a re reta i n ed for a t l ea st th e sa m e peri od a s th a t of th e d a ta to wh i ch th ey rel a te.

4. 5. 3. 8

Fo rm a t

Th e form a t of a u d i t tra i l d a ta i s a topi c often n ot i n cl u d ed i n a n org a n i za ti on ’s i n form a ti on m a n a g em en t pol i ci es. Freq u en tl y, wh en a n org a n i za ti on wa n ts to a u tom a te i ts com pu ter opera ti on s en vi ron m en t, i t m a kes u se of opera ti n g system l og s to m on i tor th e system for speci fi c even ts or error con d i ti on s. At a n a ppl i ca ti on l evel , en su ri n g th a t th e a ppl i ca ti on provi d er u ses sta n d a rd error m essa g es, typi ca l l y a g reed wi th th e org a n i za ti on d u ri n g th e d esi g n sta g e, a l so en a bl es a ppl i ca ti on sta tu s con d i ti on s to be m on i tored . For exa m pl e, i f a n a ppl i ca ti on rea d s i n va l i d d a ta from a fi l e, ra th er th a n j u st a borti n g th e prog ra m wi th n obod y a wa re of wh a t h a s h a ppen ed (u n ti l th e u sers ra i se a su pport ca l l ) , i f th e prog ra m wri tes a sta tu s m essa g e to a n error/system l og , i n a n a g reed form a t, th e m on i tori n g softwa re wi l l d etect th i s a n d n oti fy th e u ser a n d /or su pport sta ff. Th ese n oti fi ca ti on s a re a n i m porta n t tri g g er to i n vesti g a te th e con ti n u ed , proper opera ti on of th e system . Th e en tri es i n to th e error/system l og th a t ca u sed th e m on i tori n g softwa re to ra i se th e a l ert sh ou l d be pa rt of th e a u d i t tra i l a n d sh ou l d be con trol l ed i n a ccord a n ce wi th B S 1 0008 a n d th e Cod e.

KEY ISSUE > U se a u d i t tra i l form a ts th a t en a bl e ea sy i n terpreta ti on , both by system u sers a n d by a u tom a ted m on i tori n g tool s.

4. 5. 3. 9

D a te

a n d tim e

sta m p s

B ei n g a bl e to d eterm i n e th e d a te a n d /or ti m e of a n even t (su ch a s th e ca ptu re of a d ocu m en t by th e system ) ca n be a n i m porta n t pi ece of evi d en ce. Th u s, a l l a ppropri a te even ts sh ou l d be d a te- a n d /or ti m e-sta m ped . D epen d i n g on i ts i m porta n ce, d a te a n d ti m e i n form a ti on m a y be stored on a ba tch or i n d i vi d u a l even t ba si s.

38



4. 5


Wh ere a ccu ra cy of d a te a n d /or ti m e cl ocks i s i m porta n t, reg u l a r ch ecki n g of system cl ocks sh ou l d be ca rri ed ou t. An y errors sh ou l d be corrected a n d a n y a cti on s ta ken d ocu m en ted . O n l y a u th ori zed person n el sh ou l d be a bl e to ch a n g e system cl ocks. Wh ere cl ocks a re ch a n g ed on a sea son a l ba si s, for exa m pl e ‘su m m er ti m e’, th en proced u res to be fol l owed sh ou l d be d ocu m en ted . Cl ock ch a n g es m a y be a u tom a ted , bu t i t i s i m porta n t to ch eck th a t th e a ppropri a te a cti on h a s been com pl eted a t th e ri g h t ti m e. I n som e a ppl i ca ti on s, th e cl ock m a y be con fu sed by m u l ti pl e ti m e zon es. Wh ere th i s m a y be a n i ssu e, rel eva n t proced u res sh ou l d be i m pl em en ted to en su re th a t th e a ppropri a te ti m e i n form a ti on i s a ccessed . Wh ere th ere i s a pa rti cu l a r n eed to d em on stra te th e a ccu ra cy of d a te a n d ti m e sta m ps, th e u se of tru sted th i rd -pa rty servi ces for th i s m a y be con si d ered . Su ch servi ces ca n a l so be u sed to d em on stra te th a t system cl ocks h a ve n ot been ta m pered wi th . Wh ere Tru sted Ti m e i s u sed , proced u res for d em on stra ti n g th e i n teg ri ty a n d a u th en ti ci ty of a ti m e sta m p a n d i ts bi n d i n g to a pa rti cu l a r pi ece of i n form a ti on sh ou l d be d ocu m en ted .

KEY ISSUES > M a rk a l l a ppropri a te even ts wi th d a te a n d /or ti m e sta m ps. Ch eck system cl ock a ccu ra cy from ti m e to ti m e. > Wh ere m u l ti pl e ti m e zon es a re i n u se, rel eva n t con trol s n eed to be i m pl em en ted to m a n a g e ti m e sta m ps/cl ocks i n a n a ppropri a te m a n n er. > Assess th e va l u e of Tru sted Ti m e, a n d u se wh ere a ppropri a te.

4. 5. 3. 1 0

A cce ss

a n d in te rp re ta tio n

Access to th e a u d i t tra i l i n form a ti on n eed s to be con trol l ed . I n som e a ppl i ca ti on s, a ccess m a y on l y be n eed ed i n freq u en tl y, a n d th u s i t i s i m porta n t th a t th e i n terpreta ti on proced u res a re d ocu m en ted . As a u d i t tra i l d a ta m a y be i n spected by a u th ori zed extern a l person n el (su ch a s a u d i tors) wh o h a ve l i ttl e or n o fa m i l i a ri ty wi th th e system , i n terpreta ti on proced u res sh ou l d be u n d ersta n d a bl e by n on -tech n i ca l u sers. Th ere a re freq u en tl y a n u m ber of d epa rtm en ts (or i n d i vi d u a l s) wi th i n a n org a n i za ti on (or extern a l to th e org a n i za ti on ) , i n cl u d i n g th ose represen ti n g u ser, a u d i t a n d l eg a l fu n cti on s, th a t m a y n eed a ccess to speci fi c pa rts of a u d i t tra i l i n form a ti on . Th i s a ccess sh ou l d be con trol l ed , to red u ce th e possi bi l i ty of com prom i se. Access to th e a u d i t tra i l sh ou l d i tsel f be record ed i n th e a u d i t tra i l .

KEY ISSUES > Rel eva n t person n el sh ou l d h a ve a ccess to a u d i t tra i l d a ta com m en su ra te to th ei r rol e. > Th ere sh ou l d be d ocu m en ted proced u res th a t a re fol l owed wh en a u d i t tra i l d a ta n eed s to be a ccessed a n d i n terpreted .



39

5 O pera ti on

5.1

M a n a g e m e n t o ve rvi e w

Th i s secti on of th e Cod e rel a tes to Cl a u se 8 of B S 1 0008, ‘O pera ti on ’. Wh en respon d i n g to q u esti on s a bou t th e a u th en ti ci ty of stored i n form a ti on , on e of th e m a j or i ssu es th a t wi l l n eed to be resol ved i s ‘Wa s th e system opera ted correctl y a t a l l rel eva n t ti m es?’ I n ord er to be a bl e to d ea l con fi d en tl y wi th th i s i ssu e, a l l rel eva n t proced u ra l a n d tech n ol og y i ssu es wi l l n eed to be wel l th ou g h t ou t, be com pl ete i n th ei r scope, a n d be opera ted by com peten t i n d i vi d u a l s. I t i s a l so essen ti a l th a t, beca u se of th e l on g ti m e i n terva l s i n vol ved , a l l rel eva n t proced u res a re d ocu m en ted . Th i s d ocu m en ta ti on i s d escri bed i n B S 1 0008 a n d th e Cod e a s th e proced u res m a n u a l a n d th e system d escri pti on m a n u a l , wh i ch d ocu m en t a l l th e opera ti n g proced u res a n d tech n ol og y th a t th e org a n i za ti on n eed s, wh ere a ppropri a te, to i m pl em en t.

5 . 2 I n fo rm a ti o n

5.2.1

I n fo rm a ti o n

ca p tu re

l oss

Wh en ever i n form a ti on i s ‘copi ed ’, ‘con verted ’, ‘m oved ’, ’u pd a ted ’ or ‘ca ptu red ’ wi th i n a process, th ere i s th e poten ti a l for l oss of som e of th e i n form a ti on . For exa m pl e, wh en a pa per d ocu m en t i s sca n n ed or ph otocopi ed , resol u ti on m a y be l ost, resu l ti n g i n th e i l l eg i bi l i ty of sm a l l pri n t. O r wh en a n el ectron i c d ocu m en t i s con verted from on e form a t to a n oth er, som e m eta d a ta m a y be l ost. I n som e a ppl i ca ti on s, wh ere ori g i n a l pa per d ocu m en ts a re sca n n ed a s pa rt of a n el ectron i c stora g e system , th ere m a y be a process to d estroy th e ori g i n a l d ocu m en t. Th i s process wi l l a l so resu l t i n i n form a ti on l oss. I n th i s ca se, th e i n form a ti on m a y be th e type of pa per u sed , th e i n k i n th e pen u sed to si g n th e d ocu m en t or a fi n g erpri n t on th e pa g e. I n a l l th ese ca ses, th e org a n i za ti on sh ou l d revi ew th e i n form a ti on l oss (poten ti a l or a ctu a l ) resu l ti n g from ea ch type of tra n sform a ti on process, a n d m a ke a d eci si on a s to wh eth er th e l oss i s ‘a ccepta bl e’, a n d th a t n o ‘m a teri a l ’ i n form a ti on i s l ost. Th i s d eci si on wi l l n eed to be ba sed on a ri sk a ssessm en t, revi ewi n g th e i m pa ct of th e poten ti a l l oss of evi d en ce a g a i n st th e cost of reta i n i n g th a t evi d en ce.

KE Y I S S U E

> Revi ew a n y i n form a ti on l oss by ea ch tra n sform a ti on process, a n d m a ke a bu si n ess d eci si on on th e a ccepta bi l i ty of th e resu l ta n t d ocu m en ts, ba sed on a ri sk a ssessm en t.

5 . 2 . 2 Cre a ti o n

and

i m p o rti n g

D ocu m en ts con ta i n i n g i n form a ti on m a y be crea ted by th e i n form a ti on m a n a g em en t system , or i m ported i n to i t. Th e a u th en ti ci ty of d ocu m en ts a t th e ti m e th ey a re i m ported i s of cri ti ca l i m porta n ce wh en th ey a re l a ter ca l l ed u pon a n d th ei r a u th en ti ci ty a n d i n teg ri ty a re su bj ect to scru ti n y. D ocu m en ts ca n be stored i n two form s, i n ei th er i m a g e or d a ta form a t. I n ei th er form , th ey ca n be i m ported i n to th e i n form a ti on m a n a g em en t system i n a va ri ety of form a ts.

40


5. 2

In fo rm a tio n

ca p tu re

I m a g e form a ts a re typi ca l l y obta i n ed from :

• • •

pa per d ocu m en ts (ori g i n a l s, ph otocopi es a n d fa xes) ; a u tom a ti c fa csi m i l e en try (vi a a fa x server) ; m i crofi l m a n d m i crofi ch e.

I m a g e form a ts a re typi ca l l y bi tm a ps of a n ori g i n a l d ocu m en t. I m a g e form a ts ca n a l so be obta i n ed from d ocu m en ts i n d a ta form a t. D eta i l s of proced u res for ca ptu ri n g d ocu m en ts i n i m a g e form a t a re d i scu ssed i n 5 . 2 . 3 . D a ta form a ts store i n form a ti on i n th e ori g i n a l form a t, typi ca l l y req u i ri n g th e ori g i n a l softwa re to retri eve th e i n form a ti on . Th ere a re a n u m ber of ‘sta n d a rd ’ form a ts th a t ca n be retri eved by m a n y softwa re pa cka g es (e. g . text fi l es or com m a sepa ra ted d el i m i ted fi l es) . E xa m pl es of d a ta form a ts a re:

• • • • • • • • • •

offi ce system s su ch a s word processors a n d sprea d sh eets; ’sta n d a rd ’ fi l e form a ts su ch a s PD F; CAD d ra wi n g s; em a i l m essa g es; el ectron i c d a ta i n terch a n g e (E D I ) fi l es; H TM L a n d web pa g es (i n tra n et a n d i n tern et) ; i n sta n t a n d SM S m essa g es; E xten si bl e M a rku p La n g u a g e (XM L) m essa g es; d a ta ba ses a n d oth er d a ta stores; prog ra m to prog ra m d a ta fi l es.

I n a l l ca ses, th e i n form a ti on con ta i n ed i n th e d a ta ca n be d i rectl y a ccessed by th e rea d softwa re. D eta i l s of proced u res for ca ptu ri n g d ocu m en ts i n d a ta form a t a re d i scu ssed i n 5 . 2 . 5 . N O TE : I t i s a l so possi bl e to h a ve el ectron i c d ocu m en ts i n m i xed i m a g e a n d d a ta form a ts (e. g . a l etter i n a text form a t wi th a n em bed d ed bi tm a pped si g n a tu re) .

Wh ere a n i m a g e or d a ta fi l e ori g i n a tes from ou tsi d e th e bou n d a ri es of con trol of th e org a n i za ti on em pl oyi n g th e i n form a ti on m a n a g em en t system , th ere m a y be l i ttl e or n o con trol over, or kn owl ed g e of, th e proced u res or processes i n vol ved i n th e prod u cti on or a u th ori za ti on of th e i m a g e or d a ta fi l e. I n th ese ci rcu m sta n ces, th e org a n i za ti on wi l l n eed to ta ke ca re th a t th e d ocu m en t i s wh a t i t pu rports to be, th a t i t h a s n ot been ta m pered wi th a n d th a t th e i d en ti ty of th e ori g i n a tor i s g en u i n e. Th e l evel of ch ecki n g of th ese cri teri a wi l l d epen d u pon th e n a tu re of th e pa rti cu l a r d ocu m en t i n q u esti on . Su ch bou n d a ry si tu a ti on s ca n a l so exi st wi th i n a n org a n i za ti on . I n th ese ci rcu m sta n ces, th e pa rt of th e org a n i za ti on wi th th e i n form a ti on m a n a g em en t system sh ou l d n ot a ssu m e th a t a n i m a g e or a d a ta fi l e i s wh a t i t pu rports to be, si m pl y beca u se i t ca m e from a n oth er pa rt of th e sa m e org a n i za ti on .

KEY ISSUES > Th ere sh ou l d be d ocu m en ted proced u res for th e crea ti on or i m porta ti on of i m a g e or d a ta fi l es i n to th e system . > Th ere sh ou l d be d ocu m en ted proced u res for th e con fi rm a ti on of th e i n teg ri ty a n d a u th en ti ci ty of i m a g e or d a ta fi l es th a t a re crea ted by or i m ported i n to th e system , a t th e ti m e of crea ti on or i m porta ti on .



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5

O p e ra tio n

5 . 2 . 3 D o cu m e n t i m a g e ca p tu re

5. 2 . 3. 1

In tro du ctio n

D ocu m en t i m a g es m a y be obta i n ed from ori g i n a l (or copy) d ocu m en ts stored on m a n y d i fferen t m ed i a types. Pa per or m i croform d ocu m en ts a re com m on , bu t i m a g es ca n be i m ported i n to th e i n form a ti on m a n a g em en t system i n a wi d e va ri ety of wa ys (e. g . fa csi m i l e, m i croform , em a i l , em a i l a tta ch m en t or fi l e tra n sfer) . I f th e i n form a ti on m a n a g em en t system i s u sed for stori n g d ocu m en t i m a g es, th e proced u res i n vol ved i n th e ca ptu re of th ose i m a g es sh ou l d be d ocu m en ted . Th i s secti on con ta i n s recom m en d a ti on s rel a ti n g to th e proced u res rel eva n t to d ocu m en t i m a g e ca ptu re u si n g sca n n i n g system s. Wh ere pa per d ocu m en t i n pu t i s con cern ed , th ese proced u res m a y i n cl u d e:

• • • • •

d ocu m en t prepa ra ti on ; d ocu m en t ba tch i n g ; ph otocopyi n g ; sca n n i n g ; i m a g e q u a l i ty con trol .

5. 2 . 3. 2

Pre p a ra tio n

o f p a p e r do cu m e n ts

Al l pa per d ocu m en ts n eed to be exa m i n ed pri or to th e sca n n i n g process, to en su re th a t a s h i g h a q u a l i ty i m a g e a s possi bl e i s obta i n ed . Attri bu tes su ch a s th ei r ph ysi ca l sta te (th i n pa per, crea sed or sta pl ed , etc. ) , a ttri bu tes of th e i n form a ti on (bl a ck a n d wh i te, col ou r or ton a l ra n g e, etc. ) , pa per si ze, wei g h t a n d bi n d i n g , a n d pri n t col ou r ca n a l l a ffect th e ph ysi ca l sca n n i n g process. Wh ere d ocu m en ts a re fou n d th a t a re u n l i kel y to be a ccepted by th e sca n n er, th ere a re a n u m ber of tech n i q u es th a t ca n be u sed . For exa m pl e, th e ori g i n a l cou l d be ph otocopi ed (see 5 . 2 . 3 . 1 0) or tra n spa ren t wa l l ets cou l d be u sed . Wh en rem ovi n g sta pl es, cl i ps or oth er d ocu m en t bi n d i n g s, en su re th a t n o d a m a g e i s ca u sed to th e ori g i n a l th a t m a y a ffect th e ca ptu re of th e i n form a ti on from th e d ocu m en t. Wh ere a n ori g i n a l d ocu m en t h a s ph ysi ca l a tta ch m en ts, for exa m pl e, sti ck-on n otes, a proced u re for h a n d l i n g th ese, m a ki n g su re th a t a l l rel eva n t i n form a ti on i s ca ptu red , sh ou l d be i m pl em en ted . Th i s m i g h t be a ch i eved , for exa m pl e, by ca ptu ri n g a sepa ra te i m a g e of th e a tta ch m en t, wi th a ppropri a te i n d ex d a ta to a ssoci a te i t wi th th e sou rce pa g e. I f on l y a si n g l e i m a g e i s ca ptu red wi th th e a tta ch m en t i n pl a ce, th e i n d ex d a ta m i g h t record th e fa ct th a t th ere i s a n a tta ch m en t. Wh ere th ere i s a ri sk th a t a n a tta ch m en t m i g h t obscu re or be con si d ered to obscu re i n form a ti on on th e ori g i n a l d ocu m en t, i t m i g h t be prefera bl e to en su re th a t a n i m a g e of th e ori g i n a l d ocu m en t wi th ou t th e a tta ch m en t i s ca ptu red . Wh ere a n ori g i n a l d ocu m en t h a s ph ysi ca l a m en d m en ts, for exa m pl e wh ere correcti on fl u i d h a s been u sed , th e i n form a ti on m a n a g em en t system sh ou l d en su re th a t th e presen ce of su ch a m en d m en ts i s n oted . Wh ere i t i s evi d en t th a t th e d ocu m en t bei n g prepa red for sca n n i n g i s a ph otocopy, a n d th i s fa ct m a y be i m porta n t i n th e fu tu re, i t sh ou l d be cl ea r to a u ser on a n y su bseq u en t retri eva l of th e sca n n ed i m a g e th a t th i s wa s th e ca se. Th i s i s freq u en tl y th e ca se wh en proced u re wou l d n orm a l l y req u i re recei pt of or a ccess to th e ori g i n a l d ocu m en t (e. g . a bi rth certi fi ca te) , bu t i n a pa rti cu l a r ca se a ph otocopy wa s a ccepted . Th ere sh ou l d be proced u res i n pl a ce to en su re th a t a l l pa g es of a m u l ti -pa g e d ocu m en t a re kept tog eth er a n d i n th e a ppropri a te ord er before, d u ri n g a n d a fter sca n n i n g .

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5. 2

In fo rm a tio n

ca p tu re

KEY ISSUES > Th ere sh ou l d be d ocu m en ted proced u res for th e exa m i n a ti on of pa per d ocu m en ts pri or to sca n n i n g . > Th ere sh ou l d be d ocu m en ted proced u res for th e h a n d l i n g of pa per d ocu m en ts th a t m a y ca u se sca n n i n g d i ffi cu l ti es. > Th ere sh ou l d be d ocu m en ted proced u res for th e rem ova l of sta pl es a n d oth er bi n d i n g m eth od s. > Th ere sh ou l d be d ocu m en ted proced u res for d ea l i n g wi th sti ck-on n otes or oth er a tta ch m en ts. > Th ere sh ou l d be d ocu m en ted proced u res for d ea l i n g wi th pa per d ocu m en ts th a t h a ve been ph ysi ca l l y a m en d ed . > Th ere sh ou l d be d ocu m en ted proced u res for m a rki n g d ocu m en ts th a t a re evi d en tl y ph otocopi es. > Th ere sh ou l d be d ocu m en ted proced u res for en su ri n g th a t th e i n teg ri ty of m u l ti -pa g e d ocu m en ts i s m a i n ta i n ed .

5. 2 . 3. 3

Pa p e r do cu m e n t fo rm a ts

5 . 2 . 3 . 3 . 1 Li n e d ra wi n g s/a rt For l i n e d ra wi n g s/a rt th a t form pa rt of oth erwi se text-ori en ted d ocu m en ts, th e sca n n i n g resol u ti on s a ppl i ca bl e to text a re typi ca l l y a l so sa ti sfa ctory for th e d ra wi n g s. Wi th pri n ted m a teri a l , wh ere fi n e l i n es a re u sed i n th e a rtwork, 2 00 d ots per i n ch (d pi ) m a y be too l ow, bu t th i s ca n on l y be d eterm i n ed vi a tests on sa m pl e d ocu m en ts. 5 . 2 . 3 . 3 . 2 H a n d wri tten m a teri a l Wi th m a teri a l wh ere a m od ern ba l l -poi n t pen or pen ci l wa s u sed , often 2 00 or 3 00 d pi wi l l be a d eq u a te, bu t l ower resol u ti on s m a y be a ccepta bl e. B u t for ol d er m a teri a l wh ere a steel -n i bbed pen wa s u sed (e. g . to prod u ce ‘copperpl a te’ h a n d wri ti n g ) , th e th i n n ess of th e u pstrokes m a y often be su ch th a t h i g h er resol u ti on s (su ch a s 400 d pi ) wi l l be th e m i n i m u m th a t wi l l sa ti sfa ctori l y ca ptu re th e text wi th ou t fi n e d eta i l i n th e u pstrokes bei n g l ost. H a n d wri ti n g (or h a n d d ra wi n g ) u si n g pen ci l s ca n be fa i n t, a n d d i ffi cu l t to reprod u ce. Ca re sh ou l d be ta ken wh en sca n n i n g to en su re th a t i m a g e bri g h tn ess a n d con tra st a re a ppropri a te for th ese i m a g es. 5 . 2 . 3 . 3 . 3 Pl a n s a n d d ra wi n g s For h a n d -d ra wn a rch i tectu ra l a n d en g i n eeri n g d ra wi n g s, th ere m a y be fi n er l i n es presen t th a n wou l d be th e ca se wi th a typi ca l ‘fu l l -si zed ’ CAD d ra wi n g a n d , a l th ou g h 2 00 d pi wi l l u su a l l y be a sa ti sfa ctory resol u ti on , tests sh ou l d be d on e to en su re th a t th e fi n est d eta i l i s ca ptu red . I t m a y prove n ecessa ry to u se 3 00 or even 400 d pi . Wi th pl a n s a n d d ra wi n g s, l i n e th i ckn ess wi l l va ry d epen d i n g on th e si ze of th e ou tpu t. Wi th th e l a rg er form a ts, A0 or A1 (or U S or i m peri a l eq u i va l en ts) , l i n e th i ckn ess ten d s n ot to be a s fi n e a s wi th som e h a n d -d ra wn m a teri a l . Tests sh ou l d be u n d erta ken to d eterm i n e th e a ppropri a te pa ra m eters for sca n n i n g , wi th th e a ppropri a te d pi ch osen to en su re a sa ti sfa ctory reprod u cti on of th e d ra wi n g . O ften i t wi l l be sa ti sfa ctory to sca n a t 2 00 d pi ; h owever, wi th sm a l l er pl a n s a n d d ra wi n g s, h i g h er resol u ti on s m a y be req u i red . I f th e sca n n i n g i s to be d on e from l ow q u a l i ty copi es of th e ori g i n a l s, a n d i f th ese copi es h a ve been red u ced from th e ori g i n a l s (wh i ch i s q u i te com m on ) , th en a h i g h er resol u ti on m a y be req u i red th a n wou l d oth erwi se h a ve been sa ti sfa ctory.



43

5 Operation

Wi th d ra wi n g s, d i m en si on a l a ccu ra cy m a y be i m porta n t. B eca u se d ra wi n g s a re often l a rg e, th e pa per or fi l m m a y u n d erg o d i m en si on a l ch a n g e (d u e m a i n l y to va ri a ti on s i n m oi stu re con ten t) . For worki n g d ra wi n g s i t i s often a req u i rem en t wh en sca n n i n g th a t d i m en si on a l i n a ccu ra ci es a re corrected , th a t i s th e sca n n ed i m a g e m a y be post-processed to correct sca l e i n a ccu ra ci es, skew or l a ck of orth og on a l i ty. Su ch correcti on s m ea n th a t th e su bseq u en t i m a g e i s n ot a tru e fa csi m i l e of th e ori g i n a l . I n ca ses wh ere th e l eg a l a d m i ssi bi l i ty of su ch i m a g es m i g h t be ca l l ed i n to q u esti on , i t wou l d be pru d en t to preserve a n u n corrected versi on of th e sca n n ed i m a g e a s wel l a s th e corrected versi on . 5 . 2 . 3 . 3 . 4 M a ps Wi th m a ps, a m i n i m u m resol u ti on of 400 d pi wi l l often be req u i red , bu t m u ch h i g h er resol u ti on s (e. g . u p to 1 , 000 d pi ) m a y be req u i red wi th som e m a teri a l . Tests sh ou l d be perform ed to i d en ti fy th e a ppropri a te resol u ti on th a t wi l l prod u ce th e a ppropri a te q u a l i ty resu l ts. As wi th d ra wi n g s, sca n n ed i m a g es of m a ps a re freq u en tl y corrected for sca l e i n a ccu ra ci es a n d l a ck of orth og on a l i ty a fter sca n n i n g . Wh ere col ou red m a ps a re bei n g sca n n ed , a n d th e col ou r i s to be preserved , th e sca n n er sh ou l d be ca pa bl e of ca ptu ri n g i n d i vi d u a l col ou rs wi th th e req u i red d i scri m i n a ti on . Wh i l e th e n u m ber of col ou rs su bj ecti vel y presen t m a y be q u i te sm a l l , 8-bi t col ou r (2 5 6 col ou rs) m a y be i n a d eq u a te a n d i t m a y be n ecessa ry to sca n wi th 2 4-bi t col ou r i n ord er to provi d e th e req u i red col ou r d i scri m i n a ti on . Tests sh ou l d be d on e to d eterm i n e h ow m a n y ‘bi ts’ of col ou r a re req u i red . 5 . 2 . 3 . 3 . 5 H a l f-ton e m a teri a l Wh ere h a l f-ton e m a teri a l (bl a ck a n d wh i te or col ou r sepa ra ted ) i s presen t on a pa g e a l on g wi th text a n d /or l i n e a rt, th e obj ecti ves of th e sca n n i n g sh ou l d be a d d ressed . I f th e obj ecti ve i s to prod u ce a sca n n ed i m a g e th a t i s com pa ra bl e i n q u a l i ty to a ‘n orm a l ’ bl a cka n d -wh i te ph otocopy, th en a sca n n er th a t prod u ces a d i g i ta l i m a g e i n bl a ck a n d wh i te wi l l su ffi ce. Th e resol u ti on m a y h a ve to be h i g h er th a n th a t wh i ch wou l d be a ccepta bl e for text on l y: wh ere 2 00 d pi prod u ces a poor q u a l i ty i m a g e of th e h a l f-ton e m a teri a l ; 3 00 d pi wi l l g i ve a better q u a l i ty i m a g e; wh i l st i n som e a ppl i ca ti on s 400 d pi m a y be a ppropri a te. M ost sca n n ers h a ve d i fferen t setti n g s for text or l i n e a rt ori g i n a l s a n d for ori g i n a l s wi th h a l f-ton es. Th e sca n n er setti n g s th a t a re opti m a l for text or l i n e a rt ori g i n a l s a re fa r from opti m a l for th ose wi th h a l f-ton es, a n d vi ce versa . Wh ere i t i s i m porta n t to reprod u ce h a l f-ton es, th e h a l f-ton e sca n n er setti n g s sh ou l d be u sed . Wh ere h a l f-ton e con ten t h a s ‘cosm eti c’ va l u e on l y a n d d oes n ot con tri bu te to th e essen ti a l i n form a ti on con ten t of th e ori g i n a l , th en th e text or l i n e a rt sca n n er setti n g s sh ou l d be u sed . I f th e h a l f-ton e m a teri a l i s to be ca ptu red to a q u a l i ty l evel com pa ra bl e to th a t of a typi ca l (g ood q u a l i ty) ph otocopy, th en th ere a re two opti on s. O n e opti on i s to sca n th e d ocu m en t wi th th e sca n n er setti n g s set a t ‘n orm a l ’, a t a h i g h er resol u ti on th a n wou l d be n ecessa ry for th e text a l on e. Th e oth er opti on i s to sca n th e d ocu m en t twi ce, to crea te two i m a g es, on e wh ere th e text/l i n e a rt i s ca ptu red to sa ti sfa ctory q u a l i ty a n d th e oth er wh ere th e h a l f-ton e m a teri a l i s sa ti sfa ctori l y ca ptu red . I n th e l a tter ca se a record sh ou l d be kept th a t th e prod u cti on of th e two i m a g es i n vol ved d i fferen t sca n n er setti n g s (a ffecti n g th e processi n g perform ed on th e i m a g es) . I f th e h a l f-ton e m a teri a l i s to be reprod u ced to a q u a l i ty com pa ra bl e to th a t of th e ori g i n a l , th en i t sh ou l d be processed a ccord i n g to th e recom m en d a ti on s for ph otog ra ph s. 5 . 2 . 3 . 3 . 6 Con ti n u ou s-ton e i m a g es Con ti n u ou s-ton e i m a g es i n cl u d e ph otog ra ph s, m ed i ca l a n d i n d u stri a l ra d i og ra ph s (X-ra ys) a n d i m a g es g en era ted by com pu ter a s ph otog ra ph i c styl e i m a g es, i n cl u d i n g u l tra sou n d , com pu ted tom og ra ph y (CT) a n d m a g n eti c reson a n ce (M R) i m a g es.

44


5. 2

In fo rm a tio n

ca p tu re

With material containing continuous-tone areas (grey scale or colour), where the tonal information should be preserved, scanning should be performed with a scanner capable of capturing the required number of grey levels and/or colour. The number of levels that is appropriate should be determined by benchmark tests on the sample set of documents. For images from photographic material, the number of grey levels will typically be 1 6, 64 or 256 (i.e. 4, 6 or 8 bits per pixel). For very high quality images, 256 levels are normally used, and for X-rays, up to 1 ,024 levels of grey (i.e. 1 0 bits per pixel) may be necessary. For colour photographs, 24 bits per pixel of colour information is used in most applications, but for very high quality images, up to 36 bits per pixel may be necessary. Typically, 1 5 or 1 6 bits of colour are used; for source material containing only a small palette of colours, 256 levels may suffice. Tests should be performed to determine how many colour levels are required. With continuous-tone colour, most scanners capture 8 bits of colour information in three different regions of the colour spectrum: red, green and blue (‘RGB’), resulting in 24 bits per pixel, or the ability to reproduce over 1 6 million colour variations. With only 8 bits of colour information (256 levels), however, there may be a noticeable ‘blockiness’ in the image if the original contains a broad range of colours. Scanning resolution requirements for documents containing colour are normally similar to those for black-and-white material, particularly if there is text present on the original. Thus scanning may be performed at 1 00 to 400 dpi. If there is no text present on the original, satisfactory images may be achieved at lower resolutions, down to television quality levels (about 350 lines per image frame); this would typically be satisfactory for identity photographs and similar applications. To assess image quality, in general it is satisfactory to compare the screen image with the original. If there is likely to be use of high quality hard copy images then the comparison should be made between hard copies of the images, produced on a high quality colour printer, and the originals. Care should be taken when comparing screen colours with an original that the colours were correctly balanced at the time of image capture, and that the display system has also been calibrated correctly. Otherwise the displayed colours may be different from the colours on the original. Care should also be taken that the colours were correctly balanced at the time of image capture, when comparing the original with hard copies of the captured image. Where colour accuracy is important, a standard colour gamut test chart should be scanned at the same time as the original (or batch of originals scanned at the same time), and the image of this chart stored along with the original. 6 5.2.3.3.7 Mixed mode documents Mixed mode documents comprise more than one document type inside a single document (e.g. photograph and text). From a scanning perspective, documents containing half-tone material are essentially of this type, even though the original has been created in a single print operation. As described in 5.2.3.3.5, the use of scanner settings optimized for one type of material can result in the loss of information in material of other types. As previously suggested, one solution is to capture multiple images, with scanner settings (or even scanner type) selected to optimize the image quality for each material type. One option is to use a scanning system that can scan mixed mode documents automatically, with automatic detection of each type of material and automatic optimization of the settings for each type. These systems can also be set to select the most appropriate compression algorithm for each type of material. Benchmark testing should be done to ensure that the results are acceptable.

6

Rochester Institute of Technology, Process Ink Gamut Chart. Available from Rochester Institute of Technology, T & E Center, One Lomb Memorial Drive, Rochester, New York 1 4623, USA



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5

O p e ra tio n

5 . 2 . 3 . 3 . 8 D ocu m en ts wi th n ote sh eets a tta ch ed Som e d ocu m en ts m a y h a ve n ote sh eets or n otel ets a tta ch ed . Ca re sh ou l d be ta ken wh en sca n n i n g su ch d ocu m en ts. I t m a y be n ecessa ry to rem ove th e a tta ch m en t wh ere, for exa m pl e, i t obscu res i n form a ti on on th e d ocu m en t. I f rem ova l i s req u i red , th e n ote sh ou l d be m a rked or sta m ped a s bei n g a pa rt or pa g e of th e d ocu m en t to wh i ch i t wa s a tta ch ed , a n d sca n n ed a n d i n d exed sepa ra tel y. Th e ori g i n a l pa g e sh ou l d a l so be i n d exed to i n d i ca te th a t i t h a s a n a tta ch m en t. Wh ere a system h a s a fa ci l i ty to i n d i ca te th a t a d ocu m en t h a s a rel a ted i m a g e, th i s fa ci l i ty sh ou l d be u sed . 5 . 2 . 3 . 3 . 9 M i croform d ocu m en ts M i croform s sh ou l d be exa m i n ed ca refu l l y pri or to d eci d i n g u pon th e sca n n i n g a pproa ch . Wi th i n m u l ti -fra m e m i crofi l m m ed i a (rol l fi l m , m i crofi ch e, m i crofi ch e j a ckets a n d m u l ti -fra m e a pertu re ca rd s) , u n l ess th e i n ter-fra m e g a p ca n be d etected u n a m bi g u ou sl y, a u tom a ted fra m e d etecti on sh ou l d n ot be u sed . I f th e g a p i s n ot d etected , m u l ti pl e fra m es m a y m erg e i n to on e i m a g e. D epen d i n g on th e ph ysi ca l ch a ra cteri sti cs of th e sca n n i n g system i t i s possi bl e th a t som e pa rt(s) of th e d i g i ti zed i m a g e m a y be l ost. Wi th j a cketed fi l m , fi l m stri ps m a y overl a p. Th e processi n g proced u res sh ou l d en su re th a t su ch overl a ps a re d etected a n d corrected before sca n n i n g , oth erwi se som e pa g e i m a g es wi l l be m i ssi n g or i l l eg i bl e, i n wh ol e or i n pa rt. Wh ere a rota ry ca m era h a s been u sed , i m a g es on th e fi l m m a y n ot h a ve a on e-to-on e correspon d en ce wi th th e ori g i n a l d ocu m en ts. For exa m pl e, two pa g es m a y h a ve been fed a t on ce, so th a t on th e fi l m , pa rt or a l l of a n ori g i n a l pa g e m a y be m i ssi n g .

5. 2 . 3. 4

Sca n n in g

p ro ce sse s

D eta i l s of proced u res u sed i n d ocu m en t sca n n i n g sh ou l d be i n cl u d ed i n th e proced u res m a n u a l . Wh ere sca n n i n g proced u res m a y be va ri ed for pa rti cu l a r d ocu m en ts, th ere sh ou l d be m eth od s for en su ri n g th a t th e a ppropri a te sca n n er setti n g s a re u sed for ea ch d ocu m en t. E xa m pl es of d ocu m en t a ttri bu tes th a t m a y req u i re d i fferen t sca n n er setti n g s a re:

• • •

d ou bl e-si d ed vs. si n g l e-si d ed ; col ou r sca n n i n g vs. bl a ck-a n d -wh i te sca n n i n g ; va ri ou s text a n d /or ba ckg rou n d col ou rs.

I n m a n y a ppl i ca ti on s, i t i s i m porta n t th a t a l l ori g i n a l d ocu m en ts i n a pa rti cu l a r ba tch a re sca n n ed . Th i s m a y be a ch i eved by com pa ri n g a cou n t of i m a g es crea ted wi th th e n u m ber of d ocu m en ts i n th e ba tch . Al tern a ti vel y, ea ch ori g i n a l d ocu m en t cou l d be m a rked d u ri n g th e sca n n i n g process. Th ese m a rks n eed to be ch ecked to en su re th ey a re presen t on every d ocu m en t. Wh ere ba tch i n g i s n ot u sed , a l tern a ti ve proced u res for en su ri n g th a t a l l d ocu m en ts a re sca n n ed m a y be n eed ed . Wh en u si n g th e cou n t of i m a g es crea ted , ta ke i n to con si d era ti on a n y bl a n k pa g es th a t m a y be rem oved by a u tom a ted processes (see 5 . 2 . 4) . I t i s prefera bl e to u se a cou n t of i m a g es before th e bl a n k pa g es a re rem oved . M a n y sca n n ers h a ve a u tom a ti c d ocu m en t feed ers (AD F) th a t ca n rel i a bl y d etect d ocu m en t m i s-feed s, so m i n i m i zi n g th e ri sk th a t a d ocu m en t m a y pa ss th rou g h th e sca n n er wi th ou t bei n g sca n n ed . I f su ch d evi ces a re n ot u sed , proced u res a re req u i red to en su re th a t th e sca n n er opera tor m a n u a l l y h a n d l es every d ocu m en t i n ord er to red u ce th e proba bi l i ty of speci fi c d ocu m en ts n ot bei n g sca n n ed . Wh ere si m pl ex sca n n ers (i . e. on es th a t sca n on l y on e si d e of a d ocu m en t a t a ti m e) a re u sed to sca n d ou bl e-si d ed d ocu m en ts, ca re sh ou l d be ta ken to en su re th a t every d ou bl e-si d ed d ocu m en t i s reversed a n d th e oth er si d e sca n n ed .

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In fo rm a tio n

ca p tu re

E XAM PLE An org a n i za ti on h a s d eci d ed to sca n i n com i n g post. O n e of th e ch a ra cteri sti cs req u i red of th e sca n n i n g process i s to be a bl e to d em on stra te th a t a l l post h a s been sca n n ed . H en ce, a process of open i n g ea ch en vel ope ca refu l l y, ba tch i n g th e d ocu m en ts wi th th e rel eva n t sepa ra tors i n serted , a n d cou n ti n g th e pa g es to be sca n n ed wa s u sed . Th i s cou n t wa s th en com pa red wi th th e i m a g e cou n t from th e sca n n ers. I n ord er to red u ce th e ri sk of m a n u a l cou n ti n g errors, a n d to ea se th e i d en ti fi ca ti on of speci fi c errors, a sm a l l ba tch si ze wa s u sed (a bou t 5 0 sh eets) . I n pra cti ce, i t wa s d eterm i n ed th a t th e m a n u a l cou n t wa s m ore l i kel y to be i n correct wh en a m i sm a tch occu rred . H owever, th e i m porta n ce of th e req u i rem en t to be a bl e to d em on stra te th a t a l l d ocu m en ts h a d been sca n n ed m ea n t th a t th e process of cou n ti n g pa g es wa s con ti n u ed .

Wh ere l a rg e ori g i n a l d ocu m en ts a re sca n n ed i n secti on s so th a t m u l ti pl e i m a g es a re ca ptu red , th ese secti on s sh ou l d be overl a pped to en su re th ere i s n o l oss of i n form a ti on a t th e ed g es between a d j oi n i n g i m a g es. Th e sca n n i n g system sh ou l d en a bl e ea ch d ocu m en t to be u n i q u el y i d en ti fi ed , i n su ch a wa y th a t i ts i d en ti ty ca n n ot be ch a n g ed or rem oved , except a s perm i tted i n th e secti on of th e Cod e on expu n g em en t (see 5 . 9 . 2 ) . Th i s u n i q u e i d en ti ty cou l d be a system -g en era ted seq u en ce n u m ber, wh i ch m a y be u sed for i n tern a l con trol pu rposes on l y.

E XAM PLE D ou bl e-si d ed a ppl i ca ti on form s were bei n g sca n n ed by a fi n a n ci a l i n sti tu ti on , on a d ou bl e-si d ed sca n n er. To a voi d ca ptu ri n g ‘bl a n k’ pa g es, a process wa s pu t i n to pl a ce to ch eck th e reverse si d e of every form m a n u a l l y pri or to sca n n i n g a n d to sepa ra te th ose ou t wi th ou t a n yth i n g en tered . Th e form s were th en sca n n ed ei th er si n g l e- or d ou bl e-si d ed a s a ppropri a te. O n i n vesti g a ti n g th i s process, i t wa s d i scovered th a t th e occa si on a l reverse si d e of a form wi th a sm a l l a m ou n t of a d d ed i n form a ti on wa s bei n g pu t i n to th e si n g l e-si d ed sel ecti on . Th u s, th i s i n form a ti on wa s l ost on th e el ectron i c copy. I t wa s a l so n oted th a t a l ot of resou rce wa s bei n g u sed i n th e spl i tti n g exerci se. I t wa s d eci d ed to sca n a l l form s d ou bl e-si d ed , to en su re th a t a l l a ppropri a te evi d en ce wa s ca ptu red . Th e el ectron i c stora g e overh ea d wa s con si d ered to be a ccepta bl e i n th i s ca se.

KEY ISSUES > Th ere sh ou l d be d ocu m en ted proced u res for sca n n i n g , i n cl u d i n g wh ere sca n n er setti n g s a re va ri ed for d i fferen t d ocu m en t a ttri bu tes. > Ch ecks sh ou l d be m a d e to en su re th a t every d ocu m en t i s sca n n ed , i n cl u d i n g wh en sca n n i n g d ou bl e-si d ed d ocu m en ts wi th si m pl ex sca n n ers. > Th ere sh ou l d be d ocu m en ted proced u res for sca n n i n g l a rg e d ocu m en ts, so th a t n o i n form a ti on i s l ost. > Th ere sh ou l d be d ocu m en ted proced u res th a t a l l oca te a u n i q u e u n a l tera bl e referen ce (e. g . a seq u en ce n u m ber) to ea ch sca n n ed i m a g e.



47

5

O p e ra tio n

5. 2 . 3. 5

Sca n n e r re so lu tio n

Sca n n er resol u ti on i s typi ca l l y m ea su red i n d pi . Th e h i g h er th e resol u ti on , th e fi n er th e d eta i l ca ptu red (i . e. th e sm a l l er th e ch a ra cter th a t ca n be ca ptu red ) . H owever, th e h i g h er th e resol u ti on , th e l a rg er th e i m a g e fi l e si ze wi l l be. Wh en ch oosi n g th e sca n n er resol u ti on , a ba l a n ce wi l l n eed to be a ch i eved between l evel s of d eta i l a n d fi l e si ze. Wh ere a u tom a ted d a ta ca ptu re i s u sed (see 5 . 2 . 6) , h i g h er resol u ti on i m a g es wi l l typi ca l l y l ea d to h i g h er a ccu ra cy l evel s. So, wh en d eci d i n g u pon th e resol u ti on th a t i s req u i red , on e of th e fa ctors to ta ke i n to a ccou n t i s th e a ccu ra cy l evel s obta i n a bl e. Th e resol u ti on req u i red for a ccu ra te opti ca l ch a ra cter recog n i ti on (O CR) m a y n eed to be h i g h er for col ou r or g rey sca l e i m a g es th a n th a t for bl a ck-a n d -wh i te text on l y d ocu m en ts. Al so, th e req u i red resol u ti on wi l l d epen d u pon th e fon t styl e a n d fon t si ze u sed i n pri n ted text. Wh ere l ossy com pressi on i s u sed (see 5 . 1 0. 3 . 2 ) th e com pressi on ra ti o u sed wi l l n eed to be ta ken i n to a ccou n t.

E XAM PLE An org a n i za ti on d eci d ed to sca n a l l d ocu m en ts a t 3 00 d pi , i n ord er to obta i n h i g h a ccu ra cy l evel s wi th i ts O CR tech n ol og y. B efore stora g e to th e d ocu m en t reposi tory, th e i m a g es were ‘d eg ra d ed ’ to 2 00 d pi , to red u ce fi l e si zes. Tests of th e d eg ra d a ti on process (wh i ch were kept) d em on stra ted th a t n o l oss of h u m a n rea d a bi l i ty occu rred .

KEY ISSUES > Ch oose th e sca n n er resol u ti on (d pi ) to be u sed wi th ca re, ba l a n ci n g fi n e d eta i l ca ptu re wi th fi l e si ze. Ru n tests on typi ca l d ocu m en ts to i d en ti fy th e a ppropri a te resol u ti on setti n g . > Wh ere tech n i q u es su ch a s O CR a re u sed , i n crea si n g th e sca n n er resol u ti on wi l l u su a l l y i m prove recog n i ti on ra tes. U si n g g rey sca l e or col ou r sca n n i n g m a y a l so i m prove resu l ts.

5. 2 . 3. 6 Te xt

Typi ca l l y, a sca n n er resol u ti on of l ess th a n 1 00 d pi wi l l n ot prod u ce a n i m a g e of a ccepta bl e q u a l i ty. D eta i l m a y be m i ssi n g from som e ch a ra cters, pa rti cu l a rl y i f th ey con ta i n th i n el em en ts, i n cl u d i n g seri fs. Fon ts u n d er 6 poi n t on th e ori g i n a l m a y n ot be a d eq u a tel y reprod u ced . Wi th m a teri a l con ta i n i n g pa rti cu l a rl y sm a l l type si zes (e. g . su perscri pts a n d su bscri pts) , a resol u ti on of 2 00 d pi , 3 00 d pi or h i g h er m a y be n ecessa ry. For m a teri a l th a t m a y be processed u si n g opti ca l (or ‘i n tel l i g en t’) ch a ra cter recog n i ti on (O CR/I CR) , i t m a y be ben efi ci a l to sca n a t a h i g h er resol u ti on th a n wou l d be sa ti sfa ctory for vi su a l l eg i bi l i ty. For exa m pl e, wh i l e for m u ch m a teri a l , 2 00 d pi wou l d be sa ti sfa ctory for vi su a l represen ta ti on , i t m a y be prefera bl e to u se 3 00 d pi resol u ti on i f O CR/I CR i s to be u sed ; si m i l a rl y, wh ere 3 00 d pi m a y be vi su a l l y sa ti sfa ctory, 400 d pi m a y be better for O CR. N o d eci si on s sh ou l d be m a d e reg a rd i n g ch oi ce or resol u ti on wi th ou t con d u cti n g tests. D epen d i n g on th e sca n n er, th e i m a g e q u a l i ty a ch i eved from sca n n i n g a t 1 00 d pi m a y n ot be g rea tl y i n feri or to th e q u a l i ty a t 2 00 d pi or 3 00 d pi . I t i s i m porta n t to bea r i n m i n d th a t a typi ca l screen u sed for vi ewi n g d ocu m en t i m a g es h a s a n effecti ve resol u ti on of a bou t 1 00 d pi , or even l ess. Th i s i s n orm a l l y a d eq u a te for m u ch typed m a teri a l , bu t ‘zoom i n g ’ m a y be req u i red wh en vi ewi n g i m a g es wi th sm a l l pri n t, a n d th i s i n tu rn req u i res th a t th e sca n n i n g resol u ti on sh ou l d be su bsta n ti a l l y g rea ter th a n th e ba si c d i spl a y resol u ti on .

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ca p tu re

Wh i l e post-sca n i m a g e en h a n cem en t m a y i m prove th e su bj ecti ve i m a g e q u a l i ty a n d l eg i bi l i ty, th i s sh ou l d on l y be perform ed a fter ca refu l tests to en su re th a t th e resu l ti n g i m a g e rem a i n s a n effecti vel y ‘tru e’ fa csi m i l e of th e ori g i n a l . Th ese tests sh ou l d u se a sa m pl e set of d ocu m en ts, a n d h a rd copi es sh ou l d be m a d e of sca n n ed i m a g es wi th a n d wi th ou t i m a g e en h a n cem en t bei n g u sed . Th ere sh ou l d be n o a n om a l i es i n trod u ced i n to th e en h a n ced i m a g e th a t a re vi si bl e u n d er n orm a l offi ce l i g h ti n g con d i ti on s. As i t m a y be n ecessa ry to refer ba ck to th e test resu l ts i n th e fu tu re, th e resu l ts sh ou l d be stored i n a n a ppropri a te m a n n er.

5. 2 . 3. 7 Q u a lity co n tro l

5 . 2 . 3 . 7 . 1 G en era l Proced u res a re req u i red th a t red u ce th e ri sk of sca n n ed i m a g es bei n g of u n sa ti sfa ctory q u a l i ty. Th e evi d en ti a l wei g h t of sca n n ed i m a g es wi l l be i n crea sed i f i t ca n be d em on stra ted th a t th e i m a g es a re of g ood q u a l i ty, a n d th a t th e sca n n er wa s worki n g to a g reed sta n d a rd s a t th e ti m e of sca n n i n g . Th i s ca n be a ch i eved by:

• •

en su ri n g th a t th e sca n n er i s worki n g properl y, by u si n g test m eth od s; ch ecki n g th e q u a l i ty of every sca n n ed i m a g e.

5 . 2 . 3 . 7 . 2 Sca n n er testi n g D ocu m en t sca n n ers ca n be tested by u si n g speci fi c ori g i n a l d ocu m en ts, a n d exa m i n i n g va ri ou s a ttri bu tes on th e sca n n ed i m a g e. Th ese ori g i n a l d ocu m en ts ca n be ei th er ‘typi ca l ’ d ocu m en ts i d en ti fi ed by th e org a n i za ti on , or ca n be speci fi c test ta rg ets d esi g n ed for th e pu rpose. Q u a l i ty con trol cri teri a m a y cover:

• •

overa l l l eg i bi l i ty; sm a l l est d eta i l l eg i bi l i ty (e. g . sm a l l est type si ze for text; cl a ri ty of pu n ctu a ti on m a rks, i n cl u d i n g d eci m a l poi n ts) ;

• •

com pl eten ess of d eta i l (e. g . a ccepta bi l i ty of broken ch a ra cters, m i ssi n g seg m en ts of l i n es) ; d i m en si on a l a ccu ra cy com pa red wi th th e ori g i n a l , a n d sca n n er-g en era ted speckl e (i . e. speckl e n ot presen t on th e ori g i n a l ) ;

• • •

com pl eten ess of overa l l i m a g e a rea (i . e. m i ssi n g i n form a ti on a t th e ed g es of th e i m a g e a rea ) ; d en si ty of sol i d ‘bl a ck’ a rea s; col ou r fi d el i ty.

Q u a l i ty con trol cri teri a sh ou l d be d ocu m en ted a n d a g reed by a l l pa rti es wh ose u se of i m a g es i s l i kel y to be a ffected by i m a g e q u a l i ty, i n cl u d i n g i n tern a l a n d extern a l u sers. Th e a g reed cri teri a sh ou l d be rea l i sti c g i ven th e n a tu re of th e ori g i n a l d ocu m en ts a n d th e ch a ra cteri sti cs of th e sca n n i n g eq u i pm en t. Wh ere th e q u a l i ty con trol proced u res i n vol ve sa m pl i n g of th e sca n n ed i m a g es, th e proporti on sa m pl ed n eed n ot be fi xed bu t m a y va ry from ti m e to ti m e d epen d i n g on th e freq u en cy of probl em s en cou n tered or th e n a tu re of th e ori g i n a l d ocu m en ts. Th e proporti on sa m pl ed sh ou l d be i d en ti fi ed ba sed on a ri sk a ssessm en t. For exa m pl e, wh en sta rti n g sca n n i n g i n i ti a l l y a rel a ti vel y l a rg e sa m pl e m a y be sel ected (e. g . 1 0 per cen t) , wh i ch m a y be red u ced (e. g . to 5 per cen t or even l ower) on ce th e con si sten cy of m eeti n g th e req u i red q u a l i ty sta n d a rd s h a s been d em on stra ted . Sca n n er q u a l i ty con trol ch ecks sh ou l d be u sed reg u l a rl y to ch eck th a t ou tpu t i m a g e q u a l i ty i s a ccepta bl e. Th e freq u en cy of sca n n er q u a l i ty con trol ch ecks sh ou l d be d epen d en t u pon system u sa g e, a n d rel a ted to expected d eteri ora ti on i n system perform a n ce. Th i s m a y req u i re recom m en d a ti on s from th e system su ppl i er a n d a l so experi en ce i n th e u se of th e sca n n i n g system . I n i ti a l l y, i t m a y be a ppropri a te to sca n a test ta rg et a fter every few th ou sa n d pa g es sca n n ed .



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5 Operation

5 . 2 . 3 . 7 . 3 E va l u a ti n g i m a g e q u a l i ty Proced u res for th e eva l u a ti on of i m a g e q u a l i ty on a d a y-to-d a y ba si s sh ou l d be d ocu m en ted . Th ese proced u res sh ou l d i n cl u d e d eta i l s of th e eva l u a ti on a n d d ocu m en ta ti on of resu l ts. Wh ere a ppropri a te, resu l ts of q u a l i ty con trol ch ecks cou l d be stored i n a q u a l i ty con trol l og . Ca re sh ou l d be ta ken wh en a ssessi n g th e q u a l i ty of a n i m a g e, a s th e vi ewi n g m eth od (screen or pri n t) ca n si g n i fi ca n tl y a ffect th e resu l ts obta i n ed . Wh en d esi g n i n g q u a l i ty a ssessm en t proced u res, sta n d a rd vi ewi n g con d i ti on s sh ou l d be u sed for q u a l i ty a ssessm en t. I f a pri n ter i s to be u sed for q u a l i ty con trol proced u res, th e pri n ter resol u ti on sh ou l d be eq u a l to or g rea ter th a n th e resol u ti on of th e sca n n ed i m a g es. I t sh ou l d be ca pa bl e of a ccu ra te reprod u cti on of g rey sca l e or col ou r i n a ppl i ca ti on s wh ere th i s i s rel eva n t. Wh ere d i m en si on a l a ccu ra cy i s i m porta n t, proced u res sh ou l d be d ocu m en ted for ch ecki n g th a t d i m en si on a l i n form a ti on i s reprod u ced wi th i n a ccepta bl e tol era n ces. Th i s m a y i n vol ve, for exa m pl e, ch ecki n g th a t th e n om i n a l resol u ti on of th e sca n n er i s a ccu ra te, so th a t th e d i m en si on s i n th e d i g i ta l i m a g e m a y be d eterm i n ed by cou n ti n g th e n u m ber of pi xel s between speci fi c poi n ts i n th e i m a g e. Wh ere ba tch i n g i s u sed i n th e sca n n i n g process, th ere a re a d va n ta g es i n rel a ti n g q u a l i ty con trol proced u res to th e ba tch i n g process, en a bl i n g a ccepta n ce or rej ecti on of on e ba tch i n d epen d en tl y of a n y oth er ba tch . I n workfl ow en vi ron m en ts, wh ere every d ocu m en t i s vi ewed wi th i n a workfl ow process a n d a cti vi ti es i m pl i ci tl y ch eck i m a g es for q u a l i ty a n d rej ect u n a ccepta bl e on es, th ese a cti vi ti es m a y be con si d ered to be a q u a l i ty con trol process. 5 . 2 . 3 . 7 . 4 Sa m pl e set A sa m pl e set of ori g i n a l d ocu m en ts, or of d ocu m en ts eq u i va l en t i n ch a ra cteri sti cs to th e ori g i n a l d ocu m en ts, sh ou l d be a ssem bl ed for th e pu rposes of eva l u a ti n g sca n n er resu l ts a g a i n st a g reed q u a l i ty con trol cri teri a . Th e ch osen d ocu m en ts sh ou l d be represen ta ti ve of th e opera ti on a l d ocu m en ts to be sca n n ed . Th ey sh ou l d i n cl u d e exa m pl es of ori g i n a l d ocu m en ts wh ose q u a l i ty i s poor rel a ti ve to th ose of th e m a j ori ty of th e d ocu m en ts. I m a g e q u a l i ty cri teri a wh en u si n g a sa m pl e set of d ocu m en ts wi l l m a i n l y rel y u pon a su bj ecti ve a ssessm en t of rea d a bi l i ty. Test d ocu m en ts wi th a ra n g e of ch a ra cter si zes typi ca l of opera ti on a l d ocu m en ts sh ou l d be u sed wh erever possi bl e. 5 . 2 . 3 . 7 . 5 Sca n n er test ta rg ets Sca n n er test ta rg ets h a ve a n a d va n ta g e over sa m pl e ori g i n a l d ocu m en ts wh en ch ecki n g q u a l i ty, a s th ey a re d esi g n ed to be obj ecti ve ra th er th a n su bj ecti ve. I t i s th u s possi bl e to a g ree speci fi c a ttri bu tes of a test i m a g e th a t wi l l resu l t i n g ood q u a l i ty sca n n ed i m a g es from opera ti on a l d ocu m en ts. I f d ou bl e-si d ed (d u pl ex) sca n n ers a re u sed , d ou bl e-si d ed test ta rg ets sh ou l d prefera bl y be u sed . Si n g l e-si d ed test ta rg ets sh ou l d on l y be u sed wi th d u pl ex sca n n ers i f d ou bl e-si d ed test ta rg ets ca n n ot be obta i n ed . Test ta rg ets wi l l n ot be represen ta ti ve of th e d ocu m en ts a ctu a l l y bei n g sca n n ed a n d a re n ot to be reg a rd ed a s a su bsti tu te for th e sa m pl e set of d ocu m en ts. Reg u l a r u se of test ta rg ets ca n sh ow wh eth er th e sca n n er i s perform i n g con si sten tl y a n d i n a ccord a n ce wi th i ts speci fi ca ti on . Th e freq u en cy of testi n g wi l l d epen d u pon th e vol u m e of d ocu m en ts bei n g sca n n ed , th e type a n d ph ysi ca l sta te of th e ori g i n a l d ocu m en ts, a n d th e type of sca n n er bei n g u sed . For h i g h vol u m e a ppl i ca ti on s, d a i l y or m ore freq u en t testi n g sh ou l d be u sed . Testi n g freq u en cy sh ou l d be i n crea sed i f perform a n ce a n d /or q u a l i ty i ssu es a re fou n d . B y stori n g th e test ta rg et i m a g es, ta ken a t speci fi c d a tes a n d ti m es, on th e i n form a ti on m a n a g em en t system , q u a l i ty cri teri a ca n be rea ssessed a t a n y ti m e i n th e fu tu re, sh ou l d th e n eed a ri se.

50


5. 2 In form a tion ca pture

An exa m pl e of a sca n n er test ta rg et i s g i ven i n B S I SO 1 2 65 3 seri es, Electron ic im a gin g — Test ta rget for th e bla ck-a n d-wh ite sca n n in g of office docum en ts. B S I SO 1 2 65 3 -1 speci fi es h ow a ta rg et i s to be

m a n u fa ctu red . B S I SO 1 2 65 3 -2 d eta i l s th e sca n n er a ttri bu tes a n a l ysed by th e ta rg et. B S I SO 1 2 65 3 -3 d eta i l s a test ta rg et for u se wi th sca n n i n g system s u sed a t 3 00 d pi or l ower. Th ese i n cl u d e:

• • • • • •

l eg i bi l i ty; resol u ti on ; th i n l i n e d etecti on ; covera g e of a n A4 pa g e; g rey sca l e reprod u cti on ; d i m en si on a l a ccu ra cy.

H a rd copy pri n ts m a y be m a d e of th e sca n n ed i m a g es of th e test ta rg ets a n d com pa red wi th th e test ta rg ets th em sel ves to d eterm i n e wh eth er th e q u a l i ty cri teri a a re m et.

KEY ISSUES > Q u a l i ty con trol proced u res sh ou l d be u sed to en su re g ood q u a l i ty sca n n ed i m a g es. > Ag ree q u a l i ty con trol cri teri a wi th a l l rel eva n t peopl e. U se sa m pl e d ocu m en ts or sca n n er test ta rg ets. > Record resu l ts of q u a l i ty tests (or store i m a g es of test ta rg ets) . > Ta ke ca re wi th vi ewi n g con d i ti on s of test i m a g es, a s th ese ca n si g n i fi ca n tl y a ffect th e resu l ts obta i n ed .

5. 2. 3. 8 Resca n n in g Som e sca n n ed i m a g es wi l l n eed to be repl a ced , typi ca l l y d u e to poor q u a l i ty. Proced u res for resca n n i n g d ocu m en ts sh ou l d be d evel oped th a t en su re th a t i m a g es resu l ti n g from resca n n i n g repl a ce th e ori g i n a l sca n n ed i m a g e, a n d th a t ba tch n u m beri n g a n d a u d i t tra i l proced u res a re n ot com prom i sed .

KEY ISSUE > D evel op resca n n i n g proced u res to en su re th a t th e a u d i t tra i l i s n ot com prom i sed .

5. 2. 3. 9 Docum en t ba tch in g Th ere m a y be a d va n ta g es i n m a n a g i n g th e sca n n i n g of pa per d ocu m en ts u si n g a ba tch i n g process. Th i s m a y m a ke i t ea si er to con trol i n d i vi d u a l d ocu m en ts, a n d to be a bl e to perform q u a l i ty con trol a n d oth er proced u res on a sa m pl i n g ba si s. D ocu m en t ba tch i n g ca n a l so be u sed for ch ecki n g proced u res, for exa m pl e, to ch eck th a t th e n u m ber of i m a g es obta i n ed from a ba tch eq u a l s th e n u m ber of ori g i n a l d ocu m en ts sca n n ed (see 5 . 2 . 3 . 4) . Th e n u m ber of d ocu m en ts i n a ba tch wi l l be a ppl i ca ti on d epen d en t. For exa m pl e, i f th e d ocu m en ts a re i n fi l e covers, a n d th e a vera g e n u m ber of d ocu m en ts per fi l e cover i s rel a ti vel y l a rg e, sa y 1 00 pa g es, th en th e d ocu m en ts i n a si n g l e fi l e cover m a y con sti tu te a ba tch . I f th e fi l e covers con ta i n rel a ti vel y few d ocu m en ts, sa y on a vera g e 1 0 pa g es, th en a ba tch m a y con si st of d ocu m en ts from m ore th a n on e fi l e cover. Ch oose th e ba tch si ze so th a t i t i s n ot bi g g er th a n ca n be ea si l y m a n a g ed , n or sm a l l er so th a t ch ecki n g q u a l i ty by sa m pl i n g on a ba tch ba si s wou l d resu l t i n si g n i fi ca n t process i n effi ci en ci es.

Eviden tia l weight a n d lega l a dm issibility of inform a tion stored electronica lly

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5

O p e ra tio n

For som e a ppl i ca ti on s, h owever, th e si ze of a ba tch m a y n ot be ea si l y d efi n a bl e. I n th ese ca ses, a ba tch m a y be d efi n ed i n term s of h ow m a n y d ocu m en ts h a ve been sca n n ed d u ri n g a speci fi ed ti m e peri od . Th u s, for exa m pl e, on e ba tch cou l d con si st of a l l d ocu m en ts i n pu t d u ri n g a n h ou r or a d a y. For som e a ppl i ca ti on s (especi a l l y wh ere a workfl ow i s i m pl em en ted ) , wh ere ba tch i n g ca n n ot be a ppl i ed , a l tern a ti ve m eth od s for con trol l i n g th e sca n n i n g processes sh ou l d be esta bl i sh ed . I n th ese ca ses, every d ocu m en t m a y h a ve to be con trol l ed sepa ra tel y, to en su re th a t i t i s sca n n ed to a ccepta bl e q u a l i ty sta n d a rd s.

E XAM PLE Wh en sca n n i n g m a i l recei ved , to en su re th a t a l l recei ved d ocu m en ts were sca n n ed , a d ocu m en t ba tch i n g process wa s i n trod u ced , wi th a ‘ba tch ’ si ze of a pproxi m a tel y 5 0 sh eets of pa per. A sepa ra tor sh eet (con ta i n i n g a ‘n ew d ocu m en t’ ba r cod e) wa s i n serted a t th e beg i n n i n g of th e con ten ts of ea ch d ocu m en t (wh ere i n th i s ca se a d ocu m en t wa s a l l th e con ten ts of a n en vel ope) . Th e n u m ber of sh eets of pa per i n ea ch ba tch wa s cou n ted , a n d wri tten on a ba tch h ea d er sh eet, tog eth er wi th opera tor n a m e a n d d a te/ti m e i n form a ti on . Th i s va l u e wa s u sed l a ter to ch eck th a t th e correct n u m ber of i m a g es wa s obta i n ed d u ri n g sca n n i n g .

KEY ISSUE > Pa per d ocu m en ts sh ou l d be g rou ped i n to ba tch es of a kn own ba tch si ze (si ze to be a ssessed by experi m en ta ti on ) .

5. 2 . 3. 1 0

Ph o to co p yin g

I t m a y be h el pfu l for som e d ocu m en ts to be ph otocopi ed , a n d th e ph otocopy to be sca n n ed . Wh ere th i s h a s been d on e, u sers of th e sca n n ed i m a g e sh ou l d be m a d e a wa re th a t th e i m a g e wa s obta i n ed from a ph otocopy of a n ori g i n a l d ocu m en t. Th i s i s to en su re th a t a n i m a g e m a y be correctl y i d en ti fi ed a s a tru e fa csi m i l e of a n ori g i n a l d ocu m en t, even i f a n i n term ed i a te ph otocopy h a s been ta ken a s pa rt of th e prepa ra ti on proced u res, a n d to d i sti n g u i sh su ch i m a g es from i m a g es of ph otocopi es m a d e u n d er u n kn own con d i ti on s. Sta m pi n g or m a rki n g th e d ocu m en t a s a ‘ph otocopy’ before i t i s sca n n ed m a y a ch i eve th i s, for exa m pl e. E xa m pl es of d ocu m en ts th a t m i g h t ben efi t from bei n g ph otocopi ed before sca n n i n g i n cl u d e:

•

d ocu m en ts th a t m a y be a d versel y a ffected by th e sca n n i n g process, su ch a s d a m a g ed or d el i ca te d ocu m en ts (a fl a t-bed sca n n er ra th er th a n a n AD F m a y h el p i n th i s si tu a ti on ) ;

•

d ocu m en ts wh ere th ere a re su bsta n ti a l con tra st or d en si ty va ri a ti on s over th e a rea of th e ori g i n a l , a n d wh ere ph otocopyi n g d em on stra bl y i m proves th e i m a g e q u a l i ty;

•

d ocu m en ts con ta i n i n g pa per or i n k col ou rs th a t d o n ot prod u ce l eg i bl e sca n n ed i m a g es (ph otocopi ers a n d sca n n ers m a y respon d d i fferen tl y to d i fferen t col ou rs, a n d i t i s on l y i n excepti on a l ca ses th a t th e tech n i q u e of ph otocopyi n g pri or to sca n n i n g d oes n ot prod u ce sa ti sfa ctory resu l ts) ;

•

d ocu m en ts th a t a re too l a rg e to be sca n n ed a s a si n g l e fu l l -si zed i m a g e (ph oto red u cti on s m a y be m a d e wh i ch a re th en sca n n ed , a n d /or m u l ti pl e sca n n ed i m a g es m a y be ca ptu red from th e ori g i n a l ) .

Ph otocopi es sh ou l d be exa m i n ed before sca n n i n g to en su re th a t th ere i s n o si g n i fi ca n t l oss of i n form a ti on (see 5 . 2 . 1 ) com pa red wi th th e ori g i n a l d ocu m en t. Wh ere ph oto red u cti on s a re m a d e, ch ecks sh ou l d be m a d e to en su re th a t th ere i s n o si g n i fi ca n t l oss of d eta i l (see 5 . 2 . 1 ) i n th e sca n n ed i m a g es com pa red wi th th e ori g i n a l , ca u sed by th e effecti ve resol u ti on of th e i m a g e (com pa red wi th th e ori g i n a l ) bei n g red u ced .

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5. 2

In fo rm a tio n

ca p tu re

Wh ere m u l ti pl e i m a g es a re ca ptu red from l a rg e d ocu m en ts, th e i m a g es sh ou l d be overl a pped to en su re th a t th ere i s n o si g n i fi ca n t l oss of i n form a ti on (see 5 . 2 . 1 ) a t th e ed g es between a d j oi n i n g i m a g es.

E XAM PLE A sta m p con ta i n i n g th e word ‘PH O TO CO PY’ wa s pu rch a sed a n d pl a ced n ea r ea ch ph otocopi er. Proced u res were i n trod u ced to en su re th a t a l l ph otocopi es m a d e were sta m ped a s soon a s th e ph otocopi es were m a d e, a n d ch ecked for g ood q u a l i ty.

KEY ISSUES > Th ere sh ou l d be d ocu m en ted proced u res for th e ph otocopyi n g of pa per d ocu m en ts pri or to th e sca n n i n g process. > Wh ere ph otocopyi n g h a s been d on e, su bseq u en t u sers sh ou l d be m a d e a wa re of th i s fa ct. > Th ere sh ou l d be d ocu m en ted proced u res for ch ecki n g th e q u a l i ty of ph otocopi es. > Wh ere a l a rg e d ocu m en t i s sca n n ed a s m u l ti pl e i m a g es, th ere sh ou l d be d ocu m en ted proced u res to en su re th a t th e wh ol e d ocu m en t i s ca ptu red .

5. 2 . 3. 1 1

Fa x in p u t

Fa xes ca n be recei ved by a n org a n i za ti on ei th er i n pa per form a t (u si n g a con ven ti on a l fa x m a ch i n e) or i n el ectron i c form (vi a a fa x server h a rd wa re/softwa re sol u ti on ) . Th e effecti ve sca n n i n g resol u ti on of a fa x wi l l be d epen d en t on th e ca pa bi l i ti es of both th e sen d i n g a n d th e recei vi n g fa x system s. E ffecti ve resol u ti on wi l l n orm a l l y be ei th er th e l owest com m on d en om i n a tor between th e two system s or l ower, d epen d i n g on th e setti n g s of ei th er system . Th i s ca n d ra m a ti ca l l y a ffect i m a g e q u a l i ty. Wh en pa per fa xes a re i n vol ved , a l l th e i ssu es reg a rd i n g pa per ori g i n a l s i n B S 1 0008 a n d th e Cod e n eed to be ta ken i n to a ccou n t wh en d evel opi n g a n d i m pl em en ti n g sca n n i n g system s. Wh ere fa x i n pu t i s en ti rel y el ectron i c, th en th e i ssu es reg a rd i n g d a ta fi l e i n pu t sh ou l d be ta ken i n to a ccou n t (see 5 . 2 . 6) . I n som e a ppl i ca ti on s, wh ere th e ori g i n of th e fa x i n pu t i s i m porta n t, secu ri ty m ea su res sh ou l d be i n trod u ced to ch eck th e sou rce. I t m a y be i m porta n t, a t a l a ter d a te, to be a bl e to a scerta i n wh eth er a pa rti cu l a r d ocu m en t wa s recei ved by fa x. Th u s, a su i ta bl e i n d i ca tor of th i s fa ct sh ou l d be crea ted a n d stored .

KEY ISSUES > Wh ere pa per fa xes a re i n pu t i n to a n i n form a ti on m a n a g em en t system , ta ke i n to a ccou n t ori g i n a l pa per d ocu m en t h a n d l i n g proced u res. > Wh ere el ectron i c fa xes ca n be recei ved , ch eck th ei r a u th en ti ci ty pri or to th em bei n g i m ported i n to th e system . > Keep a record of wh i ch d ocu m en ts were recei ved by fa x.



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5 . 2 . 4 I m a g e p ro ce ss i n g

5. 2 . 4. 1

Ge n e ra l

I m a g e processi n g tech n i q u es a re often u sed to i m prove th e q u a l i ty of a n i m a g e. Th ei r u se sh ou l d be ca refu l l y con trol l ed , a s th ey ca n a ffect th e q u a l i ty of th e i m a g e prod u ced , a n d th erefore th e evi d en ti a l wei g h t of th e stored i m a g es. Wi th m a n y m od ern sca n n i n g system s, a si g n i fi ca n t a m ou n t of i m a g e processi n g m a y be a u tom a ted wi th i n th e sca n n er. Wh ere opera tor con trol l ed i m a g e processi n g fa ci l i ti es a re a va i l a bl e for u se wi th i n th e sca n n i n g system , d eta i l s of wh i ch fa ci l i ti es a re to be u sed for a pa rti cu l a r d ocu m en t sh ou l d be stored a n d m a d e a va i l a bl e to u sers on req u est. Th e term ‘post-sca n n i n g processes’ i s u sed to d escri be va ri ou s i m a g e en h a n cem en t tech n i q u es u si n g h a rd wa re a n d /or softwa re th a t ca n si n g u l a rl y or i n d epen d en tl y h a ve a n effect on th e presen ta ti on of i m a g e ou tpu t a n d th e si ze of th e stored fi l e. Th ey ca n be i n sta l l ed a n d u sed ei th er on a sca n n er worksta ti on or on a sepa ra te d evi ce. Th e m ore com m on tech n i q u es i n cl u d e:

• • • •

d e-skew; d especkl e/ba ckg rou n d cl ea n -u p; bl a ck bord er rem ova l ; form rem ova l .

To provi d e opti m u m i m a g e ou tpu t, or to i m prove recog n i ti on ra tes for a n a u tom a ted d a ta ca ptu re process, post-sca n n i n g processes m a y be perform ed . I m a g e processi n g fa ci l i ti es sh ou l d on l y be u sed wi th ca re, a s th ey ca n h a ve a n eg a ti ve effect on th e i n form a ti on con ten t of a n i m a g e. An y processi n g perform ed on th e d i g i ti zed i m a g e sh ou l d n ot a ffect th e i n teg ri ty of th e i m a g e a s a tru e fa csi m i l e of th e ori g i n a l . For ea ch d i fferen t process, th e effect on th e i m a g e sh ou l d be record ed . Th i s ch eck sh ou l d be perform ed on a sa m pl e set of d ocu m en ts, wh i ch sh ou l d be sca n n ed wi th th e i m a g e processi n g tu rn ed on . Resu l ti n g i m a g es sh ou l d be com pa red wi th th e ori g i n a l d ocu m en ts, a n d a n y d i fferen ces d ocu m en ted . Th e effect of processi n g perform ed on a g rey sca l e i m a g e pri or to con versi on to a bl a ck-a n d -wh i te i m a g e sh ou l d be ch ecked to en su re th a t i n form a ti on con ten t i s n ot com prom i sed . Wh ere i m a g e processi n g tech n i q u es a re u sed , con si d era ti on sh ou l d be g i ven to stori n g i m a g es of th e sa m pl e set of d ocu m en ts wi th a n d wi th ou t i m a g e processi n g . Wh ere i t i s i m porta n t th a t th ere sh ou l d be n o l oss of i n form a ti on i n th e sca n n ed i m a g e, oth er th a n th a t d u e to th e sca n n i n g resol u ti on , th ere sh ou l d be n o i m a g e processi n g su bseq u en t to th e i n i ti a l crea ti on of th e i m a g e fi l e.

KE Y I S S U E S

> Th ere sh ou l d be a d escri pti on of h ow i m a g e processi n g a ffects i n form a ti on con ten t. > For ea ch d i fferen t i m a g e processi n g process th a t m a y be u sed , th e effect on a n i m a g e sh ou l d be record ed . > I m a g e processi n g tech n i q u es ca n a ffect evi d en ti a l wei g h t.

5. 2 . 4. 2

D o cu m e n t ske w

D ocu m en t skew i s a term u sed to d escri be th e ph en om en on of poor d ocu m en t a l i g n m en t (rota ti on ) d u ri n g th e sca n n i n g processes. I n i ts m ost pron ou n ced form , i m a g es ca n a ppea r on a vi ewi n g screen a s crooked or sl a n ted . E ven a sm a l l a n g l e of skew i s l i kel y to a ffect d a ta ca ptu re processes a n d th u s red u ce d a ta recog n i ti on ra tes.

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5. 2

In fo rm a tio n

ca p tu re

Pa ssi n g i m a g es th rou g h d e-skewi n g processes m a y correct th i s probl em .

5. 2 . 4. 3

Sp e ckle ,

n o ise

a n d b a ckg ro u n d m a rks

Ra n d om bl a ck m a rks (speckl es) th a t a ppea r on a n i m a g e m a y h a ve been g en era ted d u ri n g th e sca n n i n g process or m a y be presen t on th e ori g i n a l d ocu m en t. Th ese speckl es m a y be rem oved by system s i n vol vi n g speci a l a l g ori th m s. Th ese a l g ori th m s a ssu m e th a t sm a l l i sol a ted cl u sters of pi xel s con ta i n n o i n form a ti on , a n d m a y be d el eted . Ca re sh ou l d be ta ken wh en sca n n i n g a poor q u a l i ty ori g i n a l to a voi d a n i n com pl ete ch a ra cter bei n g m i sta ken l y trea ted a s speckl e. I n m ore soph i sti ca ted processes, pi xel pa ttern s a re a n a l ysed for si ze a n d presen ta ti on i n a fi l teri n g process.

5. 2 . 4. 4

Sp e ckle

re m o va l

Speckl e rem ova l sh ou l d on l y be u sed wi th ca re, a s i t resu l ts i n th e el i m i n a ti on of si n g l e pi xel s or sm a l l g rou ps of pi xel s from a d i g i ta l i m a g e, g i vi n g a su bj ecti vel y ‘cl ea n er’ i m a g e, bu t i t ca n n ot be rel i ed u pon j u st to rem ove ‘n oi se’ from th e i m a g e. Wi th som e ki n d s of d ocu m en t th ere i s a h i g h ri sk th a t i n form a ti on m a y be rem oved , for exa m pl e pa rts of a l rea d y broken ch a ra cters, pu n ctu a ti on m a rks or pa rts of fi n e d eta i l i n d ra wi n g s.

E XAM PLE A d especkl e process i s sh own ra n d om l y to rem ove d eci m a l poi n ts, th u s a l teri n g th e va l u e of n u m bers wi th i n a n i m a g e. I f speckl e rem ova l i s u sed rou ti n el y on i m a g es, th en wi th ou t expl i ci t i n form a ti on on th e i d en ti ty of i m a g es to wh i ch i t h a s been a ppl i ed , i t m a y be a ssu m ed su bseq u en tl y th a t a l l i m a g es h a ve h a d speckl e rem ova l a ppl i ed . Th i s cou l d a ffect th e su bseq u en t evi d en ti a l wei g h t of th ese i m a g es, i f a n y d ou bt wa s ra i sed a bou t th e com pl eten ess of th e i m a g es.

Wh ere speckl e rem ova l i s u sed on l y on pa rti cu l a r i m a g es, th i s fa ct m a y be d ocu m en ted i n a n opera tor l og , or el sewh ere i n th e a u d i t tra i l , or by u si n g i n d ex d a ta for th e rel eva n t i m a g e.

KEY ISSUE > U se th e d especkl e process wi th ca re, a n d on l y a fter exten si ve tests, to en su re i m a g e i n teg ri ty.

5. 2 . 4. 5 B la ck b o rde r re m o va l

Wh en sca n n i n g d ocu m en ts of m i xed si zes u si n g certa i n sca n n er types (su ch a s rota ry sca n n ers) , bl a ck bord ers m a y be l eft a rou n d th e ed g es of sm a l l er d ocu m en ts. B l a ck bord er rem ova l en ta i l s th e d el eti on of th ese l a rg e a rea s of bl a ck pi xel s.

5. 2 . 4. 6 Ph ysica l fo rm s

Th e sca n n i n g of textu a l i n form a ti on on a pre-pri n ted form i s com m on wh en a u tom a ted d a ta ca ptu re processes su ch a s O CR a n d opti ca l m a rk recog n i ti on (O M R) repl a ce a l a rg e keyboa rd i n g opera ti on . To i n crea se th e a ccu ra cy of th e recog n i ti on ra te, i m a g es ca n be pa ssed th rou g h a post-sca n n i n g process



55

5

O p e ra tio n

th a t wi l l rem ove boxes, l i n es a n d pre-pri n ted text. System set-u p proced u res a re u sed to esta bl i sh th e si ze a n d posi ti on of boxes a n d l i n es th a t a re i n ten d ed to be rem oved . I n oth er a ppl i ca ti on s, th ese form s a re h el d sepa ra tel y pri or to th e con stru cti on of a n i m a g e of a n ori g i n a l d ocu m en t. Wh ere th ese tech n i q u es a re u sed , th e form fi l e sh ou l d be con trol l ed a s i f i t wa s pa rt of th e d a ta fi l e. I n m a n y a ppl i ca ti on s, form d esi g n va ri es wi th ti m e, a s form s a re i m proved a n d m od i fi ed . Wh ere th i s i s th e ca se, form d esi g n s sh ou l d be kept of a l l versi on s of th e form rel eva n t to th e d a ta fi l es bei n g stored . Wh ere form rem ova l softwa re i s u sed , a record sh ou l d be m a d e th a t th e resu l ti n g i m a g e (th e ‘stri pped form ’) h a s been th e su bj ect of form rem ova l a n d a n i d en ti fi er of th e tem pl a te u sed for th a t rem ova l sh ou l d a l so be kept. Th i s i n form a ti on sh ou l d be stored i n con j u n cti on wi th th e resu l ti n g i m a g e. A copy of th e tem pl a te sh ou l d a l so be stored . A fa csi m i l e m a d e by m erg i n g th e tem pl a te wi th th e ‘stri pped ’ form m a y n ot be a tru e fa csi m i l e of th e ori g i n a l , a l th ou g h i t m a y be su ffi ci en tl y a ccu ra te for a ppl i ca ti on u se. I t m a y be a ppropri a te to reta i n tru e fa csi m i l es of th e ori g i n a l form s, by reta i n i n g th e ori g i n a l s, m a ki n g a m i crofi l m copy or reta i n i n g a com pl ete i m a g e of th e form .

KEY ISSUE > E n su re th a t th e rel eva n t versi on of a form i s u sed wh en recon stru cti n g a d ocu m en t wi th a ‘stri pped ’ form .

5. 2 . 4. 7 Ele ctro n ic

fo rm s

E l ectron i c eq u i va l en ts of pa per form s i n cl u d e H TM L form s a n d oth er, m ore fu n cti on a l l y ri ch types; th ese ca n be reg a rd ed a s el ectron i c form s (e-form s) . An H TM L form i s a secti on of a d ocu m en t con ta i n i n g n orm a l con ten t, m a rk-u p, speci a l el em en ts ca l l ed con trol s (ch eckboxes, ra d i o bu tton s, m en u s, etc. ) , a n d l a bel s on th ose con trol s. U sers g en era l l y ’com pl ete’ a n H TM L form by m od i fyi n g i ts con trol s (en teri n g text, sel ecti n g m en u i tem s, etc. ) , before su bm i tti n g th e form to a n a g en t for processi n g (e. g . to a web server or m a i l server, etc. ) . N O TE : For fu rth er i n form a ti on , see www. w3 . org /TR/h tm l 401 /i n tera ct/form s. h tm l

M ore fu n cti on a l l y ri ch e-form s provi d e a u ser i n terfa ce to d a ta a n d servi ces, typi ca l l y th rou g h a browser-ba sed i n terfa ce. E -form s en a bl e u sers to i n tera ct wi th en terpri se a ppl i ca ti on s a n d th e ba ck-en d system s l i n ked to th em . N O TE : For fu rth er i n form a ti on , see www. g a rtn er. com /i t-g l ossa ry/el ectron i c-form s-e-form s/

Th ese e-form s su pport ri ch er a n d m ore d yn a m i c i n tera cti on s th a n H TM L form s. Su ch a d va n ced e-form a ppl i ca ti on s i n cl u d e:

• • • •

XM L con ten t i d en ti fi ca ti on ; m u l ti pl e d a ta ca l l ou ts; fi el d -l evel va l i d a ti on ; em bed d ed process l og i c.

Wh en e-form s a re u sed , i t i s i m porta n t th a t:

• • •

56

i n form a ti on from a l l th e rel eva n t secti on s of th e form i s processed ; i n form a ti on from a l l th e rel eva n t secti on s of th e form were correctl y m i g ra ted to oth er system s; processi n g a n d l og i c u ti l i zed i n com pl eti on of th e form i s d ocu m en ted ;



5. 2

•

In fo rm a tio n

ca p tu re

i n form a ti on a ccessed from oth er d a ta sou rces d u ri n g th e com pl eti on of th e form i s d ocu m en ted (th i s m a y i n cl u d e i n form a ti on i n con stra i n ed va l u e sel ecti on l i sts, textu a l g u i d a n ce for form com pl eti on , etc. ) .

Th ese n eed to be wi th i n th e scope of th e org a n i za ti on a l versi on con trol a s th e e-form , th e i n form a ti on ca ptu red a n d extern a l d a ta sou rces a re l i kel y to ch a n g e d u ri n g th e l i feti m e of u sa g e a n d i n form a ti on reten ti on .

5 . 2 . 5 D a ta fi l e ca p tu re

5. 2 . 5. 1

A u th e n ticity

Wh en i m porti n g d a ta fi l es i n to a n i n form a ti on m a n a g em en t system , th e a u th en ti ci ty of th e d a ta fi l e sh ou l d be esta bl i sh ed . Proced u res for th i s sh ou l d be d ocu m en ted . Wh ere a u th en ti ci ty ca n n ot be esta bl i sh ed wi th su ffi ci en t a ssu ra n ce, a l l a ppropri a te i n form a ti on sh ou l d be stored .

KE Y I S S U E

> Th e a u th en ti ci ty of d a ta fi l es sh ou l d be esta bl i sh ed pri or to (or a s pa rt of) th e i m porti n g process.

5. 2 . 5. 2

Fo rm a t co n ve rsio n

D a ta fi l es a re typi ca l l y i m ported d i rectl y i n to i n form a ti on m a n a g em en t system s, ei th er wi th ou t form a t con versi on or i n cl u d i n g a con versi on to a ‘sta n d a rd ’ form a t. D eta i l s of th i s i m porta ti on process sh ou l d be d ocu m en ted , a l on g wi th d eta i l s of a n y form a t con versi on s u n d erta ken . Wh en i m porti n g wi th ou t con versi on , d eta i l s of th e ori g i n a ti n g softwa re, i n cl u d i n g softwa re n a m e a n d versi on , sh ou l d be stored . Th i s i n form a ti on m a y be stored wi th i n th e d a ta fi l e or extern a l to i t. Wh ere i t i s stored i n tern a l l y, d eta i l s of h ow th e i n form a ti on ca n be a ccessed sh ou l d be stored . Wh en i m porti n g wi th con versi on , th e con versi on process sh ou l d be revi ewed for poten ti a l l oss or a d d i ti on of i n form a ti on . Th e con versi on process m a y, for exa m pl e, l ose m eta d a ta stored i n th e ori g i n a l fi l e. Th i s m a y h a ppen wh en con verti n g from a n offi ce softwa re prod u ct to (sa y) a text fi l e form a t. Con versi on processes m a y a l so a d d d a ta , for exa m pl e, to d ocu m en t a spects of th e con versi on process.

KE Y I S S U E

> Wh en i m porti n g d a ta fi l es i n to a n i n form a ti on m a n a g em en t system , d eta i l s of th e con versi on processes, i n cl u d i n g d escri pti on s of a n y l oss or a d d i ti on of i n form a ti on , sh ou l d be d ocu m en ted .

5. 2 . 5. 3

D yn a m ic

da ta

file s

Th ere a re a n u m ber of d a ta fi l es wh i ch store d a ta th a t ch a n g es from ti m e to ti m e. Th e freq u en cy of ch a n g e wi l l d epen d u pon th e a ppl i ca ti on , a n d ca n ra n g e from con sta n t u pd a te (e. g . d a ta ba ses) to occa si on a l u pd a te (e. g . web pa g es) . Wh ere d yn a m i c d a ta fi l es a re ca ptu red , th e freq u en cy a n d ti m i n g of th e ca ptu re opera ti on sh ou l d be ch osen so th a t i t en su res th a t a l l a ppropri a te evi d en ce i s stored . Th i s cou l d be ei th er a t set ti m e i n terva l s or pri or to a ch a n g e of d a ta .



57

5

O p e ra tio n

E XAM PLE A m a j or su perm a rket offers i n tern et-ba sed sh oppi n g . I ts websi te con ta i n s d eta i l s of prod u cts on sa l e a n d offer pri ces. Pri or to a n y ch a n g e of pri ce or prod u ct d escri pti on , a copy of th e rel eva n t web pa g e (or pa rt of th e pa g e) i s ca ptu red a l on g wi th th e ti m e of u pd a te. Th i s a l l ows th e su perm a rket to d em on stra te i ts offer d eta i l s sh ou l d th ere be a d i spu te.

KE Y I S S U E

> Ch oose th e freq u en cy a n d ti m i n g of d a ta ca ptu re wi th ca re, to m eet th e req u i rem en ts of th e a ppl i ca ti on i n q u esti on .

5 . 2 . 6 D a ta ca p tu re

5. 2 . 6. 1

D a ta

e xtra ctio n

D a ta m a y be extra cted from d ocu m en ts a l rea d y stored on th e system (or i n th e process of bei n g stored ) a n d en tered i n to a com pu ter i n a n u m ber of wa ys, i n cl u d i n g m a n u a l system s (i . e. d i rect keyboa rd en try) a n d a u tom a ted processes (e. g . ba r cod e a n d /or Q R (q u i ck respon se) cod e rea d i n g , O M R a n d O CR/I CR. For m ore i n form a ti on on O CR, see 5 . 2 . 6. 2 ) . D a ta ca ptu re ca n a l so be sem i -a u tom a ted (e. g . wh ere d a ta ca ptu red a u tom a ti ca l l y, for exa m pl e by O CR, i s con fi rm ed by m a n u a l scru ti n y a n d ed i ti n g ) . I n ea ch ca se, th e i ssu e i s to con vey con fi d en ce th a t th e correct d a ta h a ve been ca ptu red . I n pra cti ce, 1 00 per cen t a ccu ra cy i n ca ptu red d a ta u si n g O CR or I CR tech n ol og y ca n n ot be g u a ra n teed . As i t i s n ot u n com m on for O CR tech n ol og y to m i srea d perfectl y va l i d d a ta or even to a d d n on -exi sten t d a ta , som e l evel of m a n u a l a ccu ra cy ch ecki n g m a y be n ecessa ry i n evi d en ti a l a ppl i ca ti on s. Th e u ser h a s to a ssess th e ri sk a ssoci a ted wi th th e exi sten ce of errors. Al th ou g h th e a ccu ra cy of O CR/I CR en g i n es h a s i m proved si g n i fi ca n tl y i n recen t yea rs a n d 1 00 per cen t a ccu ra cy m a y often be cl a i m ed by system su ppl i ers, i t i s sti l l recom m en d ed th a t a l tern a ti ve a i d s to en su re th e req u i red a ccu ra cy l evel s a re i m pl em en ted . Th e sa m e proced u res for ch ecki n g a ccu ra cy sh ou l d be u sed wh en ba r cod e, Q R cod e or O M R tech n i q u es a re u sed for d a ta en try. Th e a ccepta bl e a ccu ra cy l evel s m a y va ry d epen d i n g on th e a ppl i ca ti on a n d th e i m porta n ce of ea ch pa rti cu l a r d a ta i tem . I m provi n g a ccu ra cy l evel s wi l l i n evi ta bl y l ea d to i n crea sed costs, wh i ch m a y be j u sti fi a bl e d epen d i n g u pon th e a ppl i ca ti on . Wh ere i m a g e-m a n i pu l a ti n g processes a re u sed to i m prove th e a ccu ra cy of extra cted d a ta , th ei r u se a n d effect on a ccu ra cy sh ou l d be d ocu m en ted . I m a g e m a n i pu l a ti on m a y req u i re a d d i n g i n form a ti on to, or d el eti n g i n form a ti on from , th e sca n n ed i m a g e. Th i s m a y n ot be evi d en ti a l l y a ccepta bl e i n a l l ca ses – su ch m a n i pu l a ti on m i g h t be con si d ered a s i m a g e ‘ta m peri n g ’. I n th i s ca se, th e i m a g e before m a n i pu l a ti on sh ou l d be reta i n ed a n d a n y m a n i pu l a ti on sh ou l d be perform ed on a n oth er copy of th e i m a g e. Accu ra cy ch ecki n g proced u res wi l l typi ca l l y be ba sed on ra n d om or q u a si -ra n d om sa m pl i n g of ba tch es of ca ptu red d a ta , wi th com pa ri son a g a i n st th e ori g i n a l m a teri a l . I n som e a ppl i ca ti on s, i t m a y be n ecessa ry to a ssess th e sta ti sti ca l ‘con fi d en ce l evel ’ of su ch ch ecki n g . B a tch es th a t fa i l to m eet th e req u i red a ccu ra cy l evel s sh ou l d g en era l l y be reprocessed a n d th e resu l ts ch ecked a g a i n to en su re th a t th e req u i red a ccu ra cy l evel s a re m et. I n a l l ca ses wh ere d a ta a re ca ptu red from a stored d ocu m en t, th e ori g i n a l d a ta fi l e or sca n n ed i m a g e sh ou l d be reta i n ed .

58



5. 2

In fo rm a tio n

ca p tu re

KEY ISSUES >

Wh e re

e xt e rn a l

d a ta

a re

ca p tu re d

fo r e n t ry i n t o

th e

s ys te m ,

re q u i re d

a ccu ra cy l e ve l s s h o u l d

be

s p e ci fi e d .

>

Accu ra cy ch e cki n g

>

Manual

5. 2 . 6. 2

Th e

ch e cki n g


o f e xtra ct e d

fu n d a m e n ta l

ra n d o m

fo rm ,

u n s p e ci fi e d

a

sh a pe

and

o f th e

p ro ce s s o f i d e n ti fyi n g

p ri n t e d

a

u se

of a n

S ca n n i n g

i m a g e,

be

p u rch a s e

re q u i re d

i m p ro ve

l e ve l s .

a ccu ra cy l e ve l s .

o f I CR,

e xa m p l e

Th e

ra n d o m

i d e n ti fy th e and

th e

th i s i s o ft e n

th e

co n t o u rs o f a

d i ffe re n ce s b e twe e n

fo rm

e xi s te n ce

th e

co n t o u rs o f ch a ra cte rs a n d

a s fo n t typ e

fi l e

th e

has no

re fe rre d

a

p re - s p e ci fi e d

o r n o n e xi s te n ce to

co n ta i n i n g

p ro ce s s o r.

In

and

s e a rch a b l e

h a n d - co m p l e t e d

b o u n d a ri e s i n d i ca te s th e

ch a ra cte rs th a t h a ve

n e u ra l

and

wi th

s o ftwa re ,

to

and

been

sh a p e

of a n

a s O M R.

p ri n te d

p ri n ci p l e ,

te xt i n to th i s i s a

to

th e m

i ts AS C I I

th e

to

co m p a re d

ke y t h e

t wo - s t a g e

s e co n d l y p ro ce s s i n g co m p u te r d a ta

a re

Th i s e n a b l e s th e

n eed

fo rm :

p l a ye r’s ch o i ce

m a t ch i n g

e xt ra cte d

fo n t s i z e .

wi th o u t th e

and

p re s e n t.

n e two rks ca n

t h i s ca s e ,

th a t o f a wi t h

s p e ci fi e d

b i tm a p s th a t

p ro ce s s o f a u to m a ti ca l l y

d a ta

m a n u a l l y.

te xt fo rm p ro ce s s ,

image

in

o f n u m b e rs .

th a t ca n

A t yp i ca l th e n

fi rs t a cq u i ri n g

th ro u g h

u se

be an

O CR s o ftwa re ,

image

th e

fi l e .

e xt ra cti n g

‘n n ’.

An

fo rm ,

re co g n i z e

i m p o ssi b l e

aid

to

to

th e

d a ta

fo r a u t o m a te d

u se to

te ch n i q u e s wh e re

on

I C R i s o ft e n

i m p o rta n t to

i t i s o fte n

s e p a ra ti o n

re fe re n ce

d e te rm i n e ,

a s s e m i - s p e ci fi e d

i t i s t h e re fo re

i s wh e re

e n fo rce s a

to

fo rm .

d i ffe re n t i a te

d i s ti n g u i s h

o f l o tt e ry n u m b e rs fro m

i n vo i ce s re ce i ve d

ch a ra c te rs a re

ch a ra cte rs ‘ m ’

a b i l i ty to

e n try i n to

an

s ys t e m .

cl a s s i fi e d

a d va n ce d

ca s e

wo rd

e d i ta b l e ,

co n ve rs i o n

wh i ch

i s th e

b o u n d a ry,

co m p u te r s ys te m

I C R i s fre q u e n tl y u s e d

th e

th a t ca n on

th e

o f O CR

a cco u n t i n g

in

to

i m p o rt a n t to

i s re q u i re d

s p e ci fi e d

s ca n n e r o r ca m e ra ,

is an

E XAM P LE

a

Th e

image

s ta n d a rd

of a

re s u l t o f wh i ch

te rm

b i tm a p s .

te xt i n to

co n ve rs i o n u si n g

a

ch o i ce

s p e ci fi c ch a ra cte ri s t i cs s u ch

Th e

a ch i e ve

re q u i re d

s e m i - s p e ci fi e d

o f m a rks a t p re - s p e ci fi e d

h a ve

u sed

to

of OM R

o r p re - s t o re d

th e

a

en g i n e

fo rm

e n t e ri n g

I t i s th e re fo re

o r m a rk wi t h i n

e xi s te n ce

O C R i s th e

fo rm

A re co g n i t i o n

re co g n i ti o n

th e

e d i te d

m a y be

o f ch a ra cte r re co g n i ti o n

b a ckg ro u n d .

s p e ci fi e d

E XAM P LE

Th e

p ri n ci p l e

th e

o r d e s cri p t i o n .

wi t h

u se d

O p tica l re co g n itio n

ch a ra cte r fro m

i s th e

d a ta

be

th e

a s s o ci a t e d

s i n ce

wi t h

i t fo l l o ws n o

p a t te rn s a s s o ci a te d m u l ti p l e

be

to

d e g re e

a i d s to

re co g n i z i n g

s p e ci fi c fo n t . wi th

i m p ro ve

co n s i s te n tl y d i s t i n g u i s h

th i s wo u l d

so m e

o f ‘i n te l l i g e n ce’

b a s i s o f va ri o u s ch a ra cte ri s ti cs o f t h e

p ro vi d e

‘ typ i c a l ’ th e

th e

ch a ra cte rs

a l g o ri th m s b a s e d

h a n d wri tte n

re co g n i ti o n

b e twe e n

i n d i vi d u a l

h a n d wri t te n H o we ve r,

ra t e .

te xt.

In

th e

A t yp i ca l

h a n d wri tt e n

b o xe s fo r e a ch

is

‘b i tm a p pe d ’

cu rs i ve

ch a ra cte r,

wh i ch

o f ch a ra cte rs .



59

5

O p e ra tio n

E XAM PLE of I CR Rea d i n g th e h a n d wri tten text from th e N a ti on a l Cen su s 2 001 , a n d con verti n g th i s i n to m a ch i n e-rea d a bl e text.

Som e n ewer form s of d a ta ca ptu re a re bei n g d evel oped , ba sed on a rti fi ci a l i n tel l i g en ce (AI ) a n d on th e a u tom a ted d ra wi n g of i n feren ces, for u se wi th i n i n form a ti on m a n a g em en t system s. U se of su ch system s sh ou l d fol l ow th e proced u res d i scu ssed i n con j u n cti on wi th th e ol d er tech n ol og i es d eta i l ed i n th i s secti on .

5. 2 . 6. 3

O p e ra tio n a l co n side ra tio n s

I t i s pa rti cu l a rl y i m porta n t to en su re th a t th e q u a l i ty of i n pu t i s opti m a l a n d i s free from a n y u n i n ten d ed d a ta or m a rk. For exa m pl e, i t i s cru ci a l to en su re th a t th e sca n n ed i m a g es or ph otocopi es d o n ot con ta i n a n y m a rk d u e to th e presen ce of d i rt on th e sca n n er or ph otocopi er pa n el , especi a l l y i n th e a rea s wh ere th e recog n i ti on en g i n e i s to be u sed . To perform a t i ts best, O CR softwa re sh ou l d be presen ted wi th a g ood q u a l i ty i m a g e free from skew, wi th th e ch a ra cters sepa ra ted from ea ch oth er a n d com pl ete i n ou tl i n e. Th e i m a g e sh ou l d be of a h i g h en ou g h resol u ti on to provi d e su ffi ci en t d eta i l for a ccu ra te recog n i ti on , bu t n ot so g rea t th a t a n excessi ve a m ou n t of com pu ter power i s req u i red to h a n d l e i t. As a ru l e of th u m b, th e si ze of th e text m ea su red i n poi n ts (pt) m u l ti pl i ed by th e resol u ti on i n d pi sh ou l d eq u a l 2 , 400 or g rea ter, th a t i s 3 00 d pi i s g en era l l y sa ti sfa ctory for type si zes d own to 8 pt, wh i l e for type si zes d own to 6 pt, 400 d pi i s m ore a ppropri a te. M ost O CR en g i n es a re ba sed on th e a n a l ysi s of bi ton a l (or, i n som e ca ses, g rey sca l e) d a ta . M ost en g i n es a re a l so opti m i zed for 2 00 d pi . Th erefore, m ost col ou r i m a g es a re th resh ol d ed before a n a l ysi s. As th e fon t col ou r a g a i n st th e pa per col ou r a ffects th e O CR d a ta q u a l i ty, i t i s a l so i m porta n t to keep i n m i n d th e com pressi on ra ti o a n d fon t si ze. Al th ou g h som e O CR en g i n es h a ve been a va i l a bl e for a l on g ti m e, th e tech n ol og y h a s becom e a ccu ra te a n d ti m e-effi ci en t en ou g h to be a va l u a bl e a d d i ti on for a u tom a ti c i n d exi n g . H owever, th e pa rti cu l a r tech n ol og y u sed n eed s to be a ssessed pri or to i ts u se to en su re th a t th e a ppropri a te a ccu ra cy ca n be a ch i eved . I n th e ca se of I CR, con stra i n t boxes a re u sed to sepa ra te ch a ra cters, a n d u sers a re often a sked to pri n t i n u pper ca se l etters a n d n u m bers. Th e boxes a re often ca l l ed ‘d rop ou t boxes’, pri n ted i n a n a ppropri a te col ou r th a t i s a u tom a ti ca l l y fi l tered by th e sca n n i n g system . Th e sca n n i n g system fi l ters th e boxes ou t a n d l ea ves on l y th e text en tered vi si bl e to th e recog n i ti on en g i n e. ‘Reg i stra ti on ’ a n d ‘a n ch or poi n ts’ a re u sed to a l i g n a n d i d en ti fy form s. I n som e ca ses, th ese a re a l so u sed to d e-skew th e form s. Th e i d en ti fi ed fi el d s often h a ve som e con stra i n ts a d d ed to i n terpret th e correct ch a ra cter. D epen d i n g on th e softwa re u sed , i t i s a l so possi bl e to a tta ch d i cti on a ri es to i m prove a ccu ra cy. Al so, som e fi el d i n pu ts a re cross-veri fi ed a g a i n st d a ta from oth er system s to a scerta i n d a ta va l i d i ty. M ost sca n n ers on th e m a rket tod a y a re m ore th a n ca pa bl e of prod u ci n g a n i m a g e of u sa bl e q u a l i ty for th e pu rpose of O CR, bu t th ere a re som e poi n ts th a t sh ou l d be con si d ered i n sca n n er sel ecti on .

•

I f i t i s i n ten d ed to sca n a n d u se O CR on l a rg e vol u m es of text, th en a sca n n er wi th a n AD F – a m u l ti -pa g e sh eet feed er – m i g h t be a ppropri a te.

•

I f th e O CR vol u m e i s l ow, th en a h a n d sca n n er m i g h t be su ffi ci en t, bu t i t sh ou l d be n oted th a t i t ta kes a stea d y, pra cti sed h a n d to g i ve a n even i m a g e. An A4 pa g e wi l l often ta ke two or th ree pa sses wh i ch wi l l req u i re ‘sti tch i n g ’ tog eth er before recog n i ti on ca n ta ke pl a ce.

•

Th ere a re m a n y sm a l l er sh eet feed sca n n ers a ppea ri n g on th e m a rket th a t a re i d ea l l y su i ted to O CR u se. Th ey provi d e very a ccepta bl e i m a g e q u a l i ty, a n d a re sm a l l . O ften th ey a re eq u i pped wi th a 1 0or 2 0-pa g e sh eet feed er for l ow to m ed i u m vol u m e j obs.

60



5. 2

•

In fo rm a tio n

ca p tu re

Th e u se of col ou r sca n n ers m a y i m prove th e a ccu ra cy of th e O CR process, pa rti cu l a rl y wh ere i t i s possi bl e to sel ect th e col ou r of th e l a m p (or th e fi l ter over th e i m a g e sen sor) . I f th i s i s possi bl e th en i t ca n be a n a d va n ta g e i n si tu a ti on s wi th text on col ou red ba ckg rou n d s. Sca n n i n g wi th a red l a m p or fi l ter wi l l ‘d rop ou t’ or red u ce a red or pi n k ba ckg rou n d to wh i te, g i vi n g a better d i fferen ti a l between th e text a n d i ts ba ckg rou n d . Th ese resu l ts m a y a l so be a ch i eved by th e u se of i m a g e processi n g system s a s pa rt of th e sca n n i n g softwa re.

Th e resu l t of a n O CR process i s u n l i kel y to be 1 00 per cen t a ccu ra te. Th erefore, i t i s a ppropri a te to u se th i s tech n ol og y for ca ptu ri n g i n d ex d a ta on l y, i n a ppl i ca ti on s th a t u se m u l ti pl e i n d ex keys. Th e u se of th i s tech n ol og y i s becom i n g com m on a s a d a ta ca ptu re m eth od for ‘free text retri eva l ’ system s. Th e text fi l e th a t resu l ts from th e O CR process ou tpu t i s a n u n form a tted textu a l copy of th e ori g i n a l . I n term s of i ts wei g h t a s l eg a l evi d en ce, i t i s m ost l i kel y to be i n a d m i ssi bl e. Th i s tech n ol og y i s th erefore a ppropri a te on l y a s a m eth od for fa ci l i ta ti n g th e sea rch of d ocu m en ts. Wh ere O CR tech n ol og y i s u sed to a ssi st i n d exi n g a n d sea rch i n g , th e i m a g e i n pu t fi l e sh ou l d be th e en ti ty th a t i s retri eved a n d u sed a s ’th e d ocu m en t’. An y text fi l e prod u ced i s l i kel y to be of red u ced evi d en ti a l va l u e com pa red wi th th a t of th e ori g i n a l i m a g e fi l e. Th i s ca vea t wi l l a ppl y even to si tu a ti on s i n wh i ch th e con versi on softwa re l ea ves pa rts of th e ou tpu t a s i m a g es, wh ere th e softwa re ca n n ot i d en ti fy wi th con fi d en ce wh a t th e ch a ra cters sh ou l d be. I n su ch ca ses, th ere m a y sti l l be som e d ou bt a bou t th e a ccu ra cy of th ose pa rts of th e d ocu m en t th a t h a ve been con verted to ch a ra cter (a s opposed to i m a g e) form a t. Wh ere evi d en ti a l va l u e i s i m porta n t, i t i s a d vi sa bl e to keep d i g i ti zed i m a g es of d ocu m en ts, ra th er th a n to a ssu m e th a t versi on s con verted to fu l l or pa rti a l text wi l l be sa ti sfa ctory wh en presen ted i n a cou rt of l a w. Th i s d oes n ot m ea n th a t su ch versi on s sh ou l d n ot be u sed wi th i n a n a ppl i ca ti on , on l y th a t th e ori g i n a l sca n n ed i m a g es sh ou l d a l so be preserved .

5 . 2 . 7 M e ta d a ta ca p tu re

D E FI N I TI O N

M eta d a ta – d a ta a bou t d a ta For exa m pl e, m eta d a ta m a y be i n form a ti on a bou t con text a n d /or th e rel a ti on sh i p wi th oth er d a ta . M eta d a ta m a y ren d er th e d a ta u n d ersta n d a bl e a n d m ea n i n g fu l Wh en d a ta fi l es a n d d ocu m en ts a re crea ted or i m ported , ca re sh ou l d be ta ken to en su re th a t a l l th e rel eva n t m eta d a ta a re a l so tra n sferred . Ca re sh ou l d be ta ken to en su re th a t a l l n ecessa ry m eta d a ta a re ca ptu red , to en su re th a t th e d a ta fi l es a n d d ocu m en ts h a ve th e correct i n terpreta ti on pl a ced on th em . Th e con ten t of m eta d a ta i n form a ti on m a y n eed to be revi ewed for com pl eten ess a n d a ppropri a ten ess. Th e a va i l a bi l i ty of a fu l l m eta d a ta set, wi th a n a ppropri a te con ten t, wi l l i n crea se th e evi d en ti a l va l u e of th e i n form a ti on to wh i ch i t perta i n s. Th e u se of a n a ppropri a te m eta d a ta sch em a sh ou l d be con si d ered .

E XAM PLE A d efi n i ti on of ‘pa ym en t d u e d a te’ cou l d be a speci fi ed n u m ber of d a ys a fter a n ord er i s pl a ced , a s opposed to a speci fi ed n u m ber of d a ys a fter a n i n voi ce i s i ssu ed .



61

5 Operation

KE Y I SSU E S > M eta d a ta con ten t sh ou l d be a ppropri a te wi th i n th e con text of th e i n form a ti on to wh i ch i t rel a tes, wi th i n th e a ppl i ca ti on bei n g processed . > Th ere sh ou l d be d ocu m en ted proced u res d esi g n ed to en su re a n d prove th a t a l l rel eva n t m eta d a ta a re ca ptu red a t th e a ppropri a te ti m e.

5. 3 S el f-m od i fyi n g fi l es 5. 3 . 1 D a ta fi l es Som e d a ta fi l es, pa rti cu l a rl y th ose g en era ted by word processor, presen ta ti on or sprea d sh eet prog ra m s, m a y con ta i n a u tom a ti ca l l y execu ta bl e cod e (often referred to a s ‘m a cros’) , wh i ch ca n h a ve th e effect of m od i fyi n g th e fi l e ea ch ti m e i t i s retri eved , vi ewed or pri n ted ou t.

E XAM PLE A word -processed fi l e con ta i n i n g a ‘cu rren t d a te’ fi el d i s sel f-m od i fyi n g . Wh en ever th e d ocu m en t i s d i spl a yed a n d /or pri n ted , ‘tod a y’s d a te’ wi l l be d i spl a yed , th u s th e evi d en ce of th e d a te on th e d ocu m en t th a t wa s sen t ou t of th e org a n i za ti on wi l l be l ost.

Th e exi sten ce of su ch cod e wi th i n a fi l e m ea n s th a t th e fi l e ca n n ot be frozen i n th e sen se u sed i n B S 1 0008 a n d th e Cod e. E a ch ti m e th e fi l e i s retri eved , i t m a y a ppea r to be d i fferen t, even i f th e stored fi l e h a s n ot been ch a n g ed i n a n y wa y. Th i s i s poten ti a l l y probl em a ti c, i n th a t i t m a y be very d i ffi cu l t to d eterm i n e wh a t ch a n g es a re a ctu a l l y bei n g m a d e i n th e retri eved fi l e or wh a t th e ori g i n a l d a ta fi l e con ta i n ed . I t m a y be d i ffi cu l t to a ssess wh a t evi d en ti a l wei g h t wi l l be a tta ch ed to su ch a fi l e. I t i s a l so possi bl e th a t a n a cti on m a y be ta ken on th e ba si s of th e i n form a ti on d i spl a yed wh en a fi l e i s retri eved on on e occa si on , bu t th a t i n form a ti on cou l d a ppea r to be d i fferen t on a n oth er occa si on . Wh ere th e u se of su ch fa ci l i ti es i s u n a voi d a bl e, proced u res n eed to be i n pl a ce to en su re th a t a u th en ti c copi es of th e ori g i n a l i n form a ti on ca n be prod u ced . Wh ere a d a ta fi l e th a t con ta i n s sel f-m od i fyi n g cod e cou l d be d i stri bu ted to oth er pa rti es, or stored for a rch i va l pu rposes, a m ech a n i sm th a t rem oves th e cod e sh ou l d be i m pl em en ted before d i stri bu ti on or a rch i vi n g .

KE Y I SSU E S > Ta ke ca re wi th fi l es con ta i n i n g sel f-m od i fyi n g cod e. > Wh erever possi bl e, a voi d u si n g th ese fa ci l i ti es.

5. 3 . 2 D a ta ba ses Th e eq u i va l en t u se of m a cros on stru ctu red i n form a ti on h el d i n d a ta ba ses i s l ess com m on th a n for execu ta bl es wi th i n u n stru ctu red or sem i -stru ctu red i n form a ti on l i ke sprea d sh eets, presen ta ti on s etc. H owever, si n ce a stru ctu red d a ta ba se ca n con ta i n a n y of th ese fi l e types ca re sh ou l d be exerci sed i n th e even t of th ese bei n g presen t.

62


5. 4

Co m p o u n d do cu m e n ts

I t i s m ore u su a l wi th i n d a ta ba ses to crea te n ew fi el d i n form a ti on con ten t a s a resu l t of a n a u tom a ted proced u re th a n to si m pl y ch a n g e th e vi su a l i za ti on a t th e poi n t of ren d eri n g a s wi th th e execu ta bl e i n th e sprea d sh eet, presen ta ti on etc. As su ch , i t i s m ore a ppropri a tel y a d d ressed u n d er th e ca teg ory of versi on con trol (see 5 . 7 . 1 . 3 ) ra th er th a n a s a sel f-m od i fi ca ti on . Ca re sh ou l d be ta ken to en su re th a t th e proced u res, ei th er sel f-m od i fi ca ti on or versi on con trol s, a re cl ea r, u n d erstood , d ocu m en ted a n d a ppl i ed .

5 . 4 Co m p o u n d

5 . 4. 1

Co m p o u n d

d o cu m e n ts

d a ta fi l e s

I n form a ti on m a y be con stru cted from a n u m ber of sepa ra te, stored d a ta fi l es, to crea te a com pou n d d a ta fi l e.

E XAM PLE S A word processi n g d ocu m en t i n cl u d i n g a l i n ked (i . e. n ot i n corpora ted ) sprea d sh eet. Li n ked voi ce record i n g a n d vi d eo cl i p.

Th e i m porta n t i ssu e i n th ese ca ses i s to be a bl e to recon stru ct a speci fi c pi ece of com pou n d i n form a ti on a t som e ti m e i n th e fu tu re. Su ch a recon stru cti on wi l l req u i re kn owl ed g e of th e sta tu s of a l l pa rts of th e com pou n d d ocu m en t a t a n y g i ven poi n t i n i ts h i story. I t i s i m porta n t th a t a l l pa rts of a com pou n d d a ta fi l e a re stored i n com pl i a n ce wi th B S 1 0008 a n d th e Cod e.

KE Y I S S U E

> Wh ere com pou n d d a ta fi l es a re u sed , a u d i t tra i l s sh ou l d be su ch th a t th e h i stori ca l con ten t of th e d a ta fi l e ca n be a ssessed a t a n y rel eva n t ti m e.

5 . 4. 2 Co m p o u n d

i m a g e fi l e s

Wh ere a n i m a g e i s ca ptu red a s a n i n d i vi d u a l fi l e on a sca n n i n g system , a n d pa rts a re el ectron i ca l l y sepa ra ted to be processed i n d i fferen t wa ys, th ese pa rts sh ou l d be stored a fter processi n g , a l on g wi th i n form a ti on i d en ti fyi n g th ei r respecti ve l oca ti on s wi th i n th e ori g i n a l i m a g e, to a l l ow a ccu ra te a n d u n a m bi g u ou s recon sti tu ti on of a n a u th en ti c fa csi m i l e of th e com pl ete i m a g e. Th i s sepa ra ti on i n to pa rts m a y be d on e u n d er opera tor con trol (i . e. on screen ) or vi a softwa re d esi g n ed to sepa ra te ou t pa rts of a n i m a g e.

E XAM PLE An i m a g e con ta i n s ph otog ra ph i c m a teri a l a n d text. Th ese a re sepa ra ted by a n opera tor. Th e ph otog ra ph i c pa rt i s kept a s a fu l l col ou r i m a g e, wh i l e th e text pa rt i s stored a s a bl a ck-a n d -wh i te i m a g e.



63

5

O p e ra tio n

KE Y I S S U E

> Th ere sh ou l d be a d escri pti on of h ow com pou n d i m a g e d ocu m en ts a re m a n a g ed by th e system , wh i ch cou l d be a ch i eved by l i n ki n g sh a red m eta d a ta rel a ted to th e rel eva n t tra n sa cti on .

5 . 4. 3 H yb ri d

co m p o u n d

d o cu m e n ts

Wh ere a com pou n d d ocu m en t con si sts of on e or m ore d a ta fi l es a n d on e or m ore pa per fi l es, a com bi n a ti on of th e g u i d a n ce from 5 . 4. 1 a n d 5. 4. 2 n eed s to be i m pl em en ted .

E XAM PLE A h ea l th tru st h ol d s i ts pa ti en t record s a s a com bi n a ti on of record s i n d i g i ta l form a t (d a ta ba se record s, word processed l etters etc. ) a n d pa per/fi l m fi l es (pa per ba sed record s, pa per ba sed ch a rts, X-ra ys etc. ) . Ca re i s ta ken to en su re th a t th e a ppropri a te ph ysi ca l record s a re a ppropri a tel y m a tch ed (a n d referen ced ) by th e d i g i ta l system s.


5.5.1

in

stru ctu re d

d a ta b a s e s

I n tro d u cti o n

Appl i ca ti on system s a n d i n form a ti on a re th e tra n sa cti on a l l i febl ood of m ost org a n i za ti on s. Th i s i n form a ti on i s typi ca l l y m a n a g ed i n stru ctu red d a ta ba ses a n d i s a t th e cen tre of th e a ppl i ca ti on system s th a t opera ti on a l l y power th e org a n i za ti on on a d a y-to-d a y ba si s. Th e ra n g e of th ese system s m a n a g i n g i n form a ti on i n stru ctu red d a ta ba ses i s wi d e a n d i n cl u d es, a m on g st oth ers, en terpri se resou rce pl a n n i n g (E RP) , fi n a n ce a n d a ccou n ti n g , h u m a n resou rces, cu stom er rel a ti on sh i p m a n a g em en t (CRM ) etc.

5 . 5 . 2 S i m i l a ri ti e s o f s tru ctu re d

and

u n s tru ctu re d

i n fo rm a ti o n

Wh i l st m a n y i n d u stry com m en ta tors h a ve observed th a t th e u n stru ctu red , d ocu m en t cen tri c, i n form a ti on i n a n org a n i za ti on m a y be fou r or fi ve ti m es l a rg er th a n th e stru ctu red i n form a ti on , th e i m porta n ce to th e org a n i za ti on a n d th e l i kel i h ood th a t th i s i n form a ti on wi l l n eed to be u sed i n d i spu te resol u ti on ca n n ot be u n d eresti m a ted . I n ord er th a t stru ctu red i n form a ti on h el d i n d a ta ba ses ca n be rel i ed u pon i n th e even t of d i spu tes th ere a re m a n y si m i l a ri ti es wi th th e i n teg ri ty a n d a u th en ti ci ty a spects of u n stru ctu red i n form a ti on . Th e pol i cy, d u ty of ca re, processes a n d proced u res, en a bl i n g tech n ol og y a n d a u d i t of th e m a n a g em en t system a re eq u a l l y i m porta n t. Wh ere i n form a ti on stored i n stru ctu red d a ta ba ses i s wi th i n th e scope of th e i n form a ti on m a n a g em en t system , th e pol i ci es, processes, proced u res, en a bl i n g tech n ol og y a n d a u d i t sh ou l d ea ch speci fi ca l l y referen ce th i s i n form a ti on .

5 . 5 . 3 Ke y a re a s

5. 5. 3. 1

Ge n e ra l

I n spi te of m a n y si m i l a ri ti es, th ere a re a n u m ber of a rea s th a t n eed to be con si d ered speci fi ca l l y a s th ey a re n ot d i rectl y a n a l og ou s to th e i n teg ri ty a n d a u th en ti ci ty i ssu es of u n stru ctu red , d ocu m en t-cen tri c, i n form a ti on .

64



5. 5 In fo rm a tio n

5. 5. 3. 2

Extra ct,

Tra n sfo rm

in

stru ctu re d da ta b a se s

a nd Loa d

E xtra ct, Tra n sform a n d Loa d (E TL) refers to a process i n d a ta ba se u sa g e a n d especi a l l y i n d a ta wa reh ou si n g th a t i n vol ves:

•

extra cti n g d a ta from ou tsi d e sou rces: –

a n i n tri n si c pa rt of th e extra cti on i n vol ves th e pa rsi n g of extra cted d a ta , resu l ti n g i n a ch eck of wh eth er th e d a ta m eets a n expected pa ttern or stru ctu re. I f n ot, th e d a ta m a y be rej ected en ti rel y or i n pa rt. I f i n form a ti on i s rej ected wi th ou t a d eq u a te rea son a n d record th en th e i n teg ri ty or a u th en ti ci ty of th e com pl ete d a ta set m a y be com prom i sed .

•

tra n sform i n g i t to fi t opera ti on a l n eed s, wh i ch ca n resu l t i n si g n i fi ca n t ch a n g es to th e i n form a ti on . An y su ch ch a n g e, from a n y of th e fol l owi n g a cti on s, sh ou l d be a bl e to be expl a i n ed a n d j u sti fi ed : o

sel ecti n g on l y certa i n col u m n s to l oa d (or sel ecti n g n u l l col u m n s n ot to l oa d ) . For exa m pl e, i f th e sou rce d a ta h a s th ree col u m n s, th en th e extra cti on m a y ta ke on l y two of th em a n d n ot th e th i rd . Si m i l a rl y, th e extra cti on m ech a n i sm m a y i g n ore a l l th ose record s wh ere on e fi el d i s n ot presen t or zero;

o

tra n sl a ti n g cod ed va l u es (e. g . i f th e sou rce system stores 1 = m a l e a n d 2 = fem a l e, bu t

o

en cod i n g free-form va l u es (e. g . m a ppi n g ’M a l e’ to ’M ’) ;

th e ta rg et i s M = m a l e a n d F = fem a l e) ;

o

d eri vi n g a n ew ca l cu l a ted va l u e (e. g . sa l e_a m ou n t = q ty * u n i t_pri ce) ;

o

j oi n i n g d a ta from m u l ti pl e sou rces a n d d e-d u pl i ca ti n g th e d a ta ;

o

a g g reg a ti on (e. g . su m m a ri zi n g m u l ti pl e rows of d a ta ) ;

o

tra n sposi n g or pi voti n g (tu rn i n g m u l ti pl e col u m n s i n to m u l ti pl e rows or vi ce versa ) ;

o

spl i tti n g a col u m n i n to m u l ti pl e col u m n s (e. g . con verti n g a l i st, speci fi ed a s a stri n g i n

o

d i sa g g reg a ti on of repea ti n g col u m n s i n to a sepa ra te d eta i l ta bl e (e. g . m ovi n g a seri es

on e col u m n , i n to i n d i vi d u a l va l u es i n d i fferen t col u m n s) ;

of a d d resses i n on e record i n to si n g l e a d d resses i n a set of record s i n a l i n ked a d d ress ta bl e) ; o

l ooku p a n d va l i d a te th e rel eva n t d a ta from ta bl es or referen ti a l fi l es for sl owl y ch a n g i n g d i m en si on s;

o

a ppl yi n g a n y form of si m pl e or com pl ex d a ta va l i d a ti on . I f va l i d a ti on fa i l s i t m a y resu l t i n a fu l l , pa rti a l or n o rej ecti on of th e d a ta a n d so n on e, som e or a l l th e d a ta i s h a n d ed over to th e n ext step, d epen d i n g on th e ru l e d esi g n a n d excepti on h a n d l i n g .

–

m a n y of th e a bove tra n sform a ti on s m a y resu l t i n excepti on s, for exa m pl e, wh en a cod e tra n sl a ti on pa rses a n u n kn own cod e i n th e extra cted d a ta ;

–

i t i s n ot pa rti cu l a rl y com m on to h a ve a com pl ete a u d i t tra i l of th e ch a n g es m a d e to i n form a ti on d u ri n g opera ti on a l tra n sform . Freq u en tl y i t i s on l y test d a ta th rou g h th e tra n sform process th a t wi l l be ri g orou sl y ch ecked ; i f th i s i s th e ca se th en th e test pl a n a n d test resu l ts sh ou l d be reta i n ed to be a bl e to j u sti fy or expl a i n i n form a ti on ch a n g es i n opera ti on a l u se;

•

l oa d i n g i t i n to th e en d ta rg et (a n oth er d a ta ba se, d a ta m a rt or d a ta wa reh ou se) .

I t i s i m porta n t to n ote th a t E TL processes ca n i n vol ve con si d era bl e com pl exi ty, a n d si g n i fi ca n t opera ti on a l probl em s ca n occu r wi th i m properl y d esi g n ed E TL system s. Wh ere E TL h a s been d epl oyed , a l l processes sh ou l d be fu l l y d ocu m en ted , a s th e sou rce a n d ta rg et d a ta ba ses m a y h a ve, a s a con seq u en ce of th e E TL process, wh a t a ppea rs to be th e sa m e i n form a ti on th a t i s n ot th e sa m e i n th e d i fferen t d a ta ba ses i n vol ved . Wh ere E TL tech n i q u es a re em pl oyed for i n form a ti on stored i n stru ctu red d a ta ba ses wi th i n th e scope of th e i n form a ti on m a n a g em en t system th en :

•

ch a n g es or l oss of i n form a ti on ca u sed by extra cti on , tra n sl a ti on or l oa d sh ou l d be eva l u a ted a n d a ccepted by th e org a n i za ti on ;

• • •

processes a n d a ccepta n ce cri teri a sh ou l d be d ocu m en ted ; test pl a n s, scri pts a n d resu l ts sh ou l d be reta i n ed ; wh ere a u d i t tra i l s of E TL opera ti on s a re g en era ted , th ese sh ou l d be reta i n ed for a s l on g a s th e i n form a ti on i tsel f.



65

5

O p e ra tio n

5. 5. 3. 3

D a ta b a se

sch e m a

For a d a ta ba se, th e sch em a d efi n es th e ta bl es, fi el d s a n d rel a ti on sh i ps of th e d a ta ba se i tsel f. Th i s g i ves con text to th e d a ta h el d i n th ese ta bl es a n d fi el d s en a bl i n g i t to be i n form a ti on . A fi el d i n a d a ta ba se m a y con ta i n a n u m ber wh i ch cou l d be a q u a n ti ty of a n i tem , a tel eph on e n u m ber or a prod u ct cod e; th e sch em a sh ou l d d escri be wh i ch of th ese (or oth ers) th e n u m ber a ctu a l l y m ea n s. I n th i s respect th e sch em a ca n be reg a rd ed a s m eta d a ta th a t g i ves con text to th e fi el d en a bl i n g i t to be reg a rd ed a s i n form a ti on ra th er th a n si m pl y d a ta . Som eti m es org a n i za ti on s wi l l u se a fi el d for a d i fferen t pu rpose to th a t i n ten d ed a n d th i s ca n be a ca u se of con fu si on i f n ot properl y con si d ered a n d d ocu m en ted . I n th i s even t, th e con ten ts of a fi el d a n d th e sch em a expecta ti on m a y be com pl etel y d i fferen t. Su ch u sa g e i s often beca u se th e org a n i za ti on d oes n ot wi sh to u n d erta ke a costl y bespoke m od i fi ca ti on to a pa cka g ed a ppl i ca ti on system . Th i s type of fi el d m i su se sh ou l d be a voi d ed ; i f i t i s em pl oyed i t sh ou l d be fu l l y con si d ered , a pproved a n d d ocu m en ted . An oth er a rea of con cern , especi a l l y wi th pa cka g ed a ppl i ca ti on system s, i s bespoke exten si on of th e sta n d a rd i zed sch em a s. Th i s wi l l freq u en tl y g en era te cu stom i zed ta bl es a n d fi el d s wi th org a n i za ti on speci fi c rel a ti on sh i ps to th e sta n d a rd a ppl i ca ti on system . Al l su ch cu stom sch em a a n d a ppl i ca ti on com pon en ts sh ou l d be properl y con si d ered , j u sti fi ed a n d d ocu m en ted . Th i s type of cu stom i za ti on i s freq u en tl y th e ca u se of con si d era bl e cost a n d d i ffi cu l ty wh en th e sta n d a rd a ppl i ca ti on i s u pg ra d ed to a n ewer versi on a n d ca n resu l t i n com prom i se to th e i n teg ri ty or a u th en ti ci ty of th e i n form a ti on wi th i n th e d a ta ba se. Speci a l ca re n eed s to be ta ken wh en a n y sch em a i s m od i fi ed th a t th e ch a n g es a re j u sti fi ed a n d d ocu m en ted a n d th a t d a ta m i g ra ti on d u ri n g th e ch a n g e process i s properl y tested a n d resu l ts record ed . Wh en a sch em a i s ch a n g ed , i t i s q u i te com m on for a d d i ti on a l ch ecks to th e con ten ts of fi el d s to be a ppl i ed . H owever, i n pra cti ce, th e effort to retrospecti vel y a ppl y th ese a d d i ti on a l ch ecks to h i stori c d a ta ca n l ea d to a si tu a ti on wh ere th e m i g ra ted d a ta i s n ot va l i d a ted a g a i n st th e n ew ru l es bu t m i g ra ted ’a s i s’ wh en th e n ew sch em a versi on i s i n trod u ced . Th i s ca n l ea d to si tu a ti on s wh ere ol d d a ta i s i n a d i fferen t form a t or d oes n ot m a tch th e va l i d a ti on ru l es of n ewer d a ta i n th e sa m e fi el d s. Su ch si tu a ti on s n eed to be a bl e to be expl a i n ed sa ti sfa ctori l y i n th e even t of a ch a l l en g e to i n form a ti on a u th en ti ci ty or i n teg ri ty.

5. 5. 3. 4

CR UD

A com m on a pproa ch to fou r ba si c fu n cti on s i m pl em en ted for i n form a ti on i n D B M S a re covered by th e term ’CRU D ’; th i s a cron ym expa n d s to:

• • • •

Crea te; Rea d ; U pd a te; D el ete.

Th ere i s com m on a l i ty of th e i ssu es su rrou n d i n g crea ti on , rea d i n g a n d d estru cti on between u n stru ctu red a n d stru ctu red i n form a ti on . H owever, u pd a ti n g i s si g n i fi ca n tl y d i fferen t for stru ctu red i n form a ti on i n d a ta ba ses from u n stru ctu red i n form a ti on . Wh en u n stru ctu red i n form a ti on i s u pd a ted , a n ew versi on i s crea ted (see 5 . 7 on versi on con trol ) a n d th e i n form a ti on m a n a g em en t pol i cy wi l l i n d i ca te h ow su persed ed versi on s sh ou l d be m a n a g ed . I n d a ta ba ses, th e u pd a te wi l l ch a n g e th e con ten ts of a pa rti cu l a r pi ece of d a ta i n th e d a ta ba se. Th e tra n sa cti on th a t resu l ted i n th e u pd a te to a pa rti cu l a r fi el d

in

situ

m a y or m a y n ot be reta i n ed a n d

th i s i s a n a rea th a t sh ou l d be con si d ered a n d th e resu l ts of th a t con si d era ti on d ocu m en ted .

66



5. 5

In fo rm a tio n

in

stru ctu re d da ta b a se s

I f th e u pd a ti n g tra n sa cti on a n d th e con ten t before th e u pd a te a re n ot reta i n ed th en i t m a y be n ecessa ry th a t th e ’before’ a n d ’a fter’ con ten ts of th e fi el d a re a bl e to be re-crea ted i n th e even t of a ch a l l en g e to i n teg ri ty or a u th en ti ci ty; th i s cou l d be wi th i n th e a u d i t tra i l . Th e a u d i t tra i l a n d /or th e d efi n i ti on of th e process/proced u re sh ou l d i n d i ca te wh o or wh a t wa s respon si bl e for th e crea ti on , u pd a ti n g , rea d i n g or d el eti on of i n form a ti on i n th e d a ta ba se. I t i s worth n oti n g th a t th i s respon si bi l i ty cou l d be a person , a d evi ce or a n a ppl i ca ti on com pon en t/servi ce.

5. 5. 3. 5

Ma ste r D a ta

Ma n a g e m e n t

A ch a l l en g e fa ci n g m a n y org a n i za ti on s i s m a ster d a ta m a n a g em en t (M D M ) or a l a ck of i t. M D M a spi res to en su re th ere i s a ’si n g l e versi on of th e tru th ’ a cross th e system s u sed by a n org a n i za ti on a s opposed to m u l ti pl e, i n con si sten t versi on s of th e sa m e th i n g h el d i n si l o’ed sepa ra te system s.

E XAM PLE Cu stom er record s a re h el d sepa ra tel y i n a fi n a n ci a l system , a CRM system , a n d a servi ce or wa rra n ty system . Th e cu stom er d eta i l s a re u pd a ted sepa ra tel y i n ea ch system a n d th ey often g et ou t of syn c wi th ea ch oth er.

M D M a i m s to a voi d th e n eed for sepa ra te u pd a ti n g of system s by keepi n g a si n g l e m a ster th a t i s u sed by th e d i fferen t system s a n d i s, a s a resu l t, con si sten t. Wh ere M D M i s d epl oyed th e respon si bi l i ti es for th e m a ster n eed to be cl ea rl y d ocu m en ted . Wh ere M D M i s n ot, or on l y pa rti a l l y, d epl oyed , th e d i fferen t versi on s of th e sa m e i n form a ti on sh ou l d be u n d erstood a n d d ocu m en ted so th a t a ch a l l en g e a ttem pti n g to d i scred i t on th e ba si s of d i fferen ces between wh a t a ppea rs to be th e sa m e i n form a ti on ca n be rebu tted .

5. 5. 3. 6 A CID

ACI D (Atom i ci ty, Con si sten cy, I sol a ti on , D u ra bi l i ty) a re properti es th a t en su re d a ta ba se tra n sa cti on s a re processed rel i a bl y; th e l on g esta bl i sh ed rel a ti on a l d a ta ba se m a n a g em en t system s (RD B M S) a ch i eve th ese a u tom a ti ca l l y bu t i t sh ou l d be n oted th a t a n u m ber of N oSQ L d a ta ba ses th a t h a ve been i n trod u ced to m eet th e d em a n d s of bi g d a ta d o n ot i n cl u d e ACI D tra n sa cti on su pport. A D B M S th a t d oes n ot i n cl u d e ACI D tra n sa cti on su pport m i g h t n ot be u pd a ted wi th every tra n sa cti on posted to i t; th i s m a y n ot be a probl em for a n org a n i za ti on u si n g su ch a D B M S (e. g . i n a h i g h vel oci ty d a ta g a th eri n g si tu a ti on th e fa ct th a t a n i n d i vi d u a l tra n sa cti on from a sen sor rea d i n g th e tem pera tu re of a com pon en t every secon d m i g h t be l ost beca u se th e D B M S d i d n ot con fi rm th e u pd a te process m a y n ot be cri ti ca l si n ce th e n ext rea d i n g i s on l y on e secon d l a ter) . I f th e d a ta ba se i s n ot d esi g n ed to be ACI D th en th e rel i a bi l i ty a n d tru stworth i n ess of th e i n form a ti on con ten t i n th e d a ta ba se m a y be q u esti on a bl e. I f th e D B M S d epl oyed i s n ot ACI D th en th e org a n i za ti on sh ou l d eva l u a te th e i m pa ct a n d form a l l y record eva l u a ti on s a n d d eci si on s. I t sh ou l d be n oted th a t su i ta bl e a ppl i ca ti on d esi g n m a y m eet th e ACI D tra n sa cti on su pport cri teri a even i f th e D B M S d oes n ot.



67

5

O p e ra tio n

5. 5. 3. 7 D a ta

q u a lity

D a ta i s of g ood q u a l i ty i f i t i s fi t for pu rpose a n d correctl y represen ts th e rea l worl d con stru ct th ey refer to. Aspects of d a ta q u a l i ty i n cl u d e:

• • • • • • •

a ccu ra cy; com pl eten ess; con si sten cy; i n teg ri ty; rel i a bi l i ty; u n i form i ty; va l i d i ty.

D a ta , a s h el d i n d a ta ba ses, wi l l often su ffer d a ta q u a l i ty d eg ra d a ti on over ti m e beca u se i t n orm a l l y represen ts a ’poi n t i n ti m e’ record th a t wa s va l i d a ted a t ca ptu re bu t h a s n ot been re-va l i d a ted su bseq u en tl y. M a i n ta i n i n g d a ta q u a l i ty req u i res g oi n g th rou g h th e d a ta peri od i ca l l y a n d cl ea n si n g i t. Cl ea n si n g i s n orm a l l y th e d etecti on a n d rem ova l of a n om a l i es or d u pl i ca tes th rou g h a workfl ow process. Ca re n eed s to be exerci sed to veri fy correctn ess of th e resu l ts of cl ea n si n g a s i t n a tu ra l l y m ea n s d a ta h a s been ei th er ch a n g ed or d i sca rd ed . Th erefore a n y process th a t a d d resses a n d i m proves d a ta q u a l i ty sh ou l d be properl y d ocu m en ted a n d a u d i ted .

5. 5. 3. 8

Tra n sa ctio n

re co rds

vs.

u p da te d fie lds

I s th ere a n eed to be a bl e to sh ow, h i stori ca l l y, wh a t th e d a ta ba se wa s a t a speci fi c poi n t i n ti m e or n ot? I n m a n y system s u ti l i zi n g a D B M S th ere a re req u i rem en ts to be a bl e to sh ow wh a t th e i n form a ti on con ten ts of a fi el d were before a n d a fter a n u pd a te or d el eti on , to a voi d or resol ve a d i spu te, wh i l st i n oth er si tu a ti on s th i s m a y be su perfl u ou s. Th e org a n i za ti on sh ou l d eva l u a te a n d record d eci si on s ta ken i n th i s reg a rd . Wh en th e before a n d a fter u pd a te i n form a ti on i s n eed ed th en th i s m a y be a ch i eved by ei th er reta i n i n g th e before a n d a fter u pd a te con ten t or by reta i n i n g th e tra n sa cti on a n d bei n g a bl e to d ed u ce th e d a ta ba se sta te preced i n g th e u pd a te (th i s l a tter proced u re m a y n ot be fea si bl e for pa rti cu l a r u pd a tes) . Ta ki n g th i s to th e n ext l og i ca l sta g e, th ere m a y be ci rcu m sta n ces i n wh i ch i t i s n ecessa ry to be a bl e to sh ow wh a t th e i n form a ti on sta te of th e wh ol e d a ta ba se wa s a t a pa rti cu l a r poi n t i n ti m e, ra th er th a n si m pl y th e con ten ts of a pa rti cu l a r fi el d or ta bl e. Th i s i s m ost l i kel y to be i n si tu a ti on s wh ere i n form a ti on from th e d a ta ba se i s rou ti n el y req u i red to be u sed a s evi d en ce.

5. 6 Bi g

5. 6. 1

d a ta co n s i d e ra ti o n s

D e fi n i ti o n

Key poi n t – j u st wh a t i s ’bi g d a ta ’? B i g d a ta i s a term th a t ca n h a ve m u l ti pl e i n terpreta ti on s a s to m ea n i n g ; th ere a re a bou t a s m a n y d efi n i ti on s a s th ere a re pl a yers prom oti n g ben efi ts of a d opti n g i t a s a n a pproa ch . Th ere a re a few com m on a spects of th e va ryi n g d efi n i ti on s; a m on g st th e com m on a spects a re ’3 Vs’ – Vol u m e, Vel oci ty a n d Va ri ety. Th e fi rst, Vol u m e, i s a bou t sca l e a n d i s i n extri ca bl y ti ed to th e keyword ’bi g ’, Vel oci ty n orm a l l y m ea n s th a t th e d a ta i s both ca ptu red a n d n eed s to be a ccessed /a n a l ysed ra pi d l y a n d Va ri ety freq u en tl y m ea n s th a t th e d a ta i s n ot con si sten tl y stru ctu red .

68



5. 6 B ig

da ta

co n side ra tio n s

I n m a n y si tu a ti on s referred to i n th e con text of bi g d a ta th e va ri ety i s very wi d e a n d th e con ten t i s q u i te u n stru ctu red (e. g . soci a l m ed i a m essa g es) , yet i n oth ers th e con ten t i s h i g h l y stru ctu red even i f th ere i s a l a rg e va ri ety of stru ctu res (e. g . sm a rt m eter rea d i n g s, process or i n ci d en t even t l og s etc. ) . H owever, th ere i s a g rowi n g recog n i ti on th a t th ese th ree a ttri bu tes a re n ot su ffi ci en t. Th ere i s a cl u e to th e fa ct th a t th ere n eed s to be a wi d er d efi n i ti on from th e Rom a n n u m era l ’V’: th ere sh ou l d be a g rou p of fi ve ’Vs’ ra th er th a n th ree. Th e two a d d i ti on a l ’Vs’ bei n g Va l u e a n d Vera ci ty.

5 . 6 . 2 Va l u e a n d

Ve ra ci ty o f ’b i g

d a ta ’

Th e fi rst th ree term s, Vol u m e, Vel oci ty a n d Va ri ety, d o n ot si g n i fi ca n tl y i m pa ct evi d en ti a l wei g h t con si d era ti on s; h owever, th ere i s l i ttl e poi n t i n a n org a n i za ti on ca ptu ri n g or reta i n i n g bi g (or, for th a t m a tter, sm a l l ) d a ta u n l ess i t h a s Va l u e th a t i s recog n i zed by th e org a n i za ti on . I f th e Vera ci ty of d a ta a re q u esti on a bl e th en i t’s Va l u e, a n d th e va l u e of a n y i n terpreta ti on of i t, wi l l be red u ced . Th e va l u e of bi g d a ta i s d epen d en t on i ts vera ci ty; th erefore, i t i s i m porta n t to protect th e evi d en ti a l va l u e from a ctu a l or poten ti a l com prom i se.

5 . 6 . 3 Acti o n s re s u l ti n g

fro m

’b i g

d a ta ’

D eci si on m a ki n g wi th bi g d a ta wi l l be ba sed on th e a n a l ysi s, i n terpreta ti on a n d i n feren ce u si n g th e d a ta ; a n d con seq u en tl y i t i s th a t u se th a t th e bi g d a ta i s pu t to, ra th er th a n th e d a ta i tsel f, th a t i s th e rea son to ca ptu re a n d reta i n i t. Wh ere a n a l ysi s i s perform ed th en th e ou tpu t of th e a n a l ysi s sh ou l d be trea ted a s n ew i n form a ti on a n d th e cri teri a by wh i ch i t wa s extra cted from th e ori g i n a l d a ta sh ou l d be reta i n ed wi th th e ou tpu t i tsel f. O th erwi se th e ou tpu t, a n d a n y su bseq u en t a cti on s ba sed on i t, wi l l be su bj ect to j u sti fi a bl e cri ti q u e.

5 . 6 . 4 Ke y d i ffe re n ce

B i g d a ta wi l l n orm a l l y be reta i n ed i n a d a ta ba se; h owever, th ere a re si g n i fi ca n t d i fferen ces between th e m a n a g em en t of bi g d a ta a n d th e i n form a ti on i n ’l i n e of bu si n ess’ stru ctu red d a ta ba ses. I t i s extrem el y com m on for som e of th e d a ta i n stru ctu red d a ta ba ses to be u pd a ted a s a resu l t of a speci fi c tra n sa cti on or process. Th i s i s n ot th e ca se wi th bi g d a ta i m pl em en ta ti on s wh i ch n orm a l l y con ta i n th e l a rg e vol u m e of tra n sa cti on s a s th e bi g d a ta i tsel f. Th ese tra n sa cti on s a re ra pi d l y i n g ested i n to th e m a n a g em en t system bu t a re n ot su bseq u en tl y u pd a ted

in

situ

. Con seq u en tl y, th ere a re m a n y si m i l a ri ti es reg a rd i n g th e

a u th en ti ci ty a n d i n teg ri ty of th ese bi g d a ta tra n sa cti on s wi th d ocu m en ts (a s d escri bed el sewh ere i n th i s pu bl i ca ti on ) ; i n fa ct, th ey cou l d rea l i sti ca l l y be reg a rd ed a s speci fi c d ocu m en ts (u si n g th e fu l l scope of th a t term a s u sed i n th i s pu bl i ca ti on ) . Wh ere bi g d a ta i s wi th i n th e scope of th e i n form a ti on m a n a g em en t system th en :

•

pol i ci es, processes, proced u res, en a bl i n g tech n ol og y a n d a u d i t sh ou l d ea ch speci fi ca l l y referen ce th i s i n form a ti on ;

•

i n form a ti on g en era ted from th e bi g d a ta sh ou l d be a d d ressed sepa ra tel y from th e bi g d a ta wi th i n th e i n form a ti on m a n a g em en t system .

5 . 6 . 5 Re te n ti o n

o f ’b i g

d a ta ’

Li ke a n y oth er i n form a ti on bi g d a ta sh ou l d be reta i n ed for n o l on g er th a n i s n ecessa ry; th erefore, i t sh ou l d be i n cl u d ed wi th i n th e org a n i za ti on ’s i n form a ti on m a n a g em en t pol i cy a n d reten ti on sch ed u l e.



69

5 Opera tion

An org a n i za ti on m a y h a ve m u l ti pl e sets of bi g d a ta a n d ea ch m a y h a ve d i fferen t i n form a ti on m a n a g em en t pol i cy a n d reten ti on a ttri bu tes.

5 . 6 . 6 ’B i g

d a ta ’ fro m

th i rd

p a rti e s

I t i s i n crea si n g l y com m on for d a ta sets ca teg ori zed a s bi g d a ta to i n cl u d e i n form a ti on propri eta ry to th e u si n g org a n i za ti on com bi n ed wi th d a ta sets own ed a n d provi d ed by th i rd pa rti es. A typi ca l exa m pl e of th i s i s th e u se of d a ta th a t i s ’overl a i d ’ on to m a ppi n g d a ta to a i d u n d ersta n d i n g a n d i n terpreta ti on . Th e m a p i s n orm a l l y n ot own ed or l i cen sed a n d h osted by th e org a n i za ti on bu t i s a th i rd -pa rty d a ta set, often provi d ed a s a cl ou d servi ce. Wh ere bi g d a ta i n cl u d es th i rd -pa rty d a ta sets, i t m a y be n ecessa ry to a ccess ea ch th i rd -pa rty d a ta set a s i t wa s a t a pa rti cu l a r poi n t i n ti m e to be a bl e to reprod u ce th e com pl ete d a ta set for th e pu rposes of d i spu te resol u ti on . Lon g -term a ccess to a poi n t i n ti m e versi on of a th i rd -pa rty d a ta set m a y be ou tsi d e th e scope of th e servi ce provi d er’s term s a n d con d i ti on s a n d , i n th i s ca se, th e org a n i za ti on sh ou l d i m pl em en t a pl a n to a ccom m od a te th e n on -a va i l a bi l i ty of th a t d a ta set.

5 . 7 Ve rs i o n

5.7.1

co n tro l

I n fo rm a ti o n

5. 7. 1 . 1 Un structured a n d sem i-structured docum en ts I n som e a ppl i ca ti on s, d ocu m en ts m a y be su bj ect to ch a n g e. Typi ca l of su ch a ppl i ca ti on s a re th ose i m pl em en ted for con trol l i n g tech n i ca l d ra wi n g s i n d ra wi n g offi ces. Severa l d i fferen t versi on s of a d ocu m en t m a y d evel op over a peri od of ti m e, ea ch d ocu m en t bei n g a l l oca ted a versi on n u m ber. I t i s i m porta n t i n su ch a ppl i ca ti on s to m a i n ta i n ea ch versi on a s a sepa ra te d ocu m en t, a n d a l so to m a i n ta i n th e l i n k between th e versi on s. Th ere sh ou l d a l so be a proced u re for a u th ori zi n g a n d i m pl em en ti n g n ew versi on s. I n som e a ppl i ca ti on s, i t m i g h t be n ecessa ry i n th e fu tu re to a ccess pa rti cu l a r versi on s or to be a bl e to tra ce th e revi si on s of th e d ocu m en t. I n th ese a ppl i ca ti on s, ea ch versi on sh ou l d be trea ted a s a n ew ‘ori g i n a l ’ d ocu m en t for th e pu rposes of B S 1 0008 a n d th e Cod e. I t i s i m porta n t to rea l i se th a t d i fferen t versi on s of a d ocu m en t m a y h a ve d i fferen t reten ti on a n d d i sposa l sch ed u l es; for exa m pl e, fi n a l , a pproved versi on s m a y n eed to be reta i n ed for l on g er th a n i n term ed i a te d ra fts.

I N FO RM ATI O N – Websi tes M a n y org a n i za ti on s n eed to be a bl e to evi d en ce th e sta te of th ei r websi te a t th e ti m e of a pa rti cu l a r tra n sa cti on or i n form a ti on req u est; th i s i s a form of versi on con trol . Versi on con trol of i n d i vi d u a l d ocu m en ts a n d of d a ta ba se sch em a s a n d i n form a ti on fi el d s h a ve been a d d ressed ; i n th i s con text, soci a l m ed i a m essa g es, em a i l s, etc. a re a d d ressed u n d er th e wi d er cl a ssi fi ca ti on of d ocu m en ts wi th i n th e speci fi ca ti on (B S 1 0008) . H owever, i t i s i m porta n t to recog n i ze th a t th e i n form a ti on con ten t a n d represen ta ti on of websi tes m a y h a ve d i fferen t evi d en ti a l u sa g e a n d reten ti on req u i rem en ts from th e i n d i vi d u a l d ocu m en ts a ccessi bl e on th a t websi te; th i s i s freq u en tl y a s a resu l t of th e d yn a m i c n a tu re of a websi te m ea n i n g d i fferen t versi on s m a y be g en era ted wi th i n crea si n g freq u en cy, even d yn a m i ca l l y a s con ten ts of d a ta ba ses ch a n g e.

70

Eviden tia l weigh t a n d lega l a dm issibility of in form a tion stored electron ica lly

5. 7 Ve rsio n

co n tro l

Ad d i ti on a l l y, th ere m a y a l so be d i fferi n g versi on con trol processes a n d proced u res from th ose a ppl i ed to th e d ocu m en ts pu bl i sh ed on th e websi te or of th e i n form a ti on i n d a ta ba ses a ccessed vi a th e websi te. Con seq u en tl y, org a n i za ti on s n eed to con si d er i n cl u si on of th ei r i n tern a l a n d extern a l fa ci n g websi tes wi th i n th ei r i n form a ti on m a n a g em en t pol i cy a n d a ssoci a ted proced u res, a u d i t, etc. a n d con si d er wh eth er th e org a n i za ti on ’s versi on con trol proced u res n eed to recog n i ze th e d i fferi n g evi d en ti a l req u i rem en ts of th ese websi tes. An a spect of su ch proced u res i s th a t th e vi si bl e represen ta ti on of a websi te m a y d i ffer d ra m a ti ca l l y d epen d i n g on th e n etwork a n d th e h a rd wa re a n d softwa re ca pa bi l i ti es of th e d evi ce a ccessi n g th e websi te.

KEY ISSUE > Wh ere va ri ou s versi on s of a d ocu m en t ca n exi st, m ech a n i sm s for versi on con trol (i n cl u d i n g reta i n i n g a ccess to previ ou s versi on s wh ere n ecessa ry) n eed to be i m pl em en ted .

5. 7. 1 . 2

In fo rm a tio n

co n te n t o f stru ctu re d da ta b a se s

As h a s been d i scu ssed el sewh ere (see 5 . 5 . 3 . 4) , stru ctu red d a ta ba se con ten t i s freq u en tl y u pd a ted

in

situ

.

Wh ere th i s i s rou ti n e i t i s ou tsi d e th e scope of versi on con trol bu t, a s n oted previ ou sl y, th ere m a y be ci rcu m sta n ces wh ere i t i s i m porta n t to be a bl e to a scerta i n th e con ten ts of a pa rti cu l a r record or fi el d before a n d a fter u pd a te.

5. 7. 1 . 3

D a ta b a se s

5 . 7 . 1 . 3 . 1 G en era l Wh i l st u n stru ctu red a n d sem i -stru ctu red i n form a ti on wi l l h a ve si g n i fi ca n t stru ctu re (e. g . fi l e type) a n d m eta d a ta a ssoci a ted or con ta i n ed wi th th e i n form a ti on i tsel f th i s ten d s n ot to be th e ca se wi th stru ctu red d a ta ba ses. Th erefore pa rti cu l a r a tten ti on n eed s to be a ppl i ed to versi on con trol of th e d a ta ba se sch em a a n d th e D B M S i tsel f. I t sh ou l d be n oted th a t su i ta bl e d ocu m en ta ti on of sch em a or D B M S m a y be d epen d en t on th i rd -pa rty softwa re or servi ce provi d ers. 5 . 7 . 1 . 3 . 2 Sch em a Wh en a d a ta ba se sch em a i s ch a n g ed th ere a re m a n y a spects th a t sh ou l d be a d d ressed i n ord er th a t th e sch em a ch a n g e i s n ot th e ca u se of u n i n ten d ed com prom i se to d a ta ba se con ten t a u th en ti ci ty or i n teg ri ty. Al l d a ta ba se sch em a s prod u ced i n ord er to com pl y wi th B S 1 0008 a n d th e Cod e sh ou l d be m a i n ta i n ed u n d er a versi on con trol system . Previ ou s sch em a versi on s wi l l n eed to be stored for a t l ea st th e sa m e l en g th of ti m e a s th a t for wh i ch th e rel eva n t d a ta ba se con ten t i s m a i n ta i n ed . Th i s wi l l en su re th a t th e rel eva n t versi on ca n be i d en ti fi ed a n y ti m e i n th e l i fe of th e stored i n form a ti on .



71

5 Operation

Acce s s to

p re vi o u s s ch e m a

p re s e n te d s i n ce th e

in

t h a t ti m e

ca n

i n fo rm a ti o n

5.7.1 . 3.3

Wh e n

a

be

th e

d e s cri b e d

m i g h t be

re q u i re d

d a ta b a s e

and

so

th a t,

fo r e xa m p l e ,

s ch e m a s t h a t we re

a tte s t e d

to .

in

fo rce

I f th i s i s n o t d o n e ,

if a

d a ta b a s e

a t th e

th e re

is a

ti m e

re co rd

o r fi e l d

o f i ts ca p tu re

ri s k th a t t h e

is

and

i n te g ri ty o f

s u cce s s fu l l y ch a l l e n g e d .

DBM S

DBM S

th a t th e

ve rs i o n s m a y b e

co u rt a s e vi d e n ce ,

or DB M S

DBM S

or D B M S

ve rs i o n

i s ch a n g e d

ve rs i o n

ch a n g e

t h e re

a re

i s n o t th e

m a n y a s p e cts th a t s h o u l d

ca u s e

o f u n i n te n d e d

be

a d d re s s e d

co m p ro m i s e

to

in

o rd e r

d a ta b a s e

co n te n t a u t h e n ti ci t y o r i n te g ri ty.

In

o rd e r t o

ve rs i o n

co m p l y wi th

co n tro l

re a l i s ti c to

s ys t e m .

re ta i n

a

BS

1 0008

Tra n s i ti o n

s u p e rs e d e d

and

th e

Cod e

all

te s t p l a n s a n d

DBM S

or DB M S

DBM S

and

DBM S

re s u l ts s h o u l d

ve rs i o n

fo r a

be

ve rs i o n

re t a i n e d

ch a n g e s s h o u l d

a s i t wi l l

be

u n d er a

n o t n o rm a l l y b e

s i g n i fi ca n t ti m e .

5 . 7 . 2 D o cu m e n ta ti o n

Al l

d o cu m e n ta ti o n

u n d er a

ve rs i o n

p ro d u ce d

co n tro l

P re vi o u s ve rs i o n s wi l l re l e va n t i n fo rm a t i o n in

th e

l i fe

o f th e

in

o rd e r to

n eed

to

be

s to re d

i s m a i n ta i n e d .

s to re d

Acce s s to

p re vi o u s ve rs i o n s m a y b e th e

be

p o l i ci e s a n d

d e s cri b e d

m i g h t be

and

BS

1 0008 a n d

th e

Co d e

n e e d s to

be

m a i n ta i n e d

fo r a t l e a s t th e

Th i s wi l l

e n s u re

sa m e

t h a t th e

l e n g th

o f ti m e

a s th a t fo r wh i ch

re l e va n t ve rs i o n

ca n

be

th e

i d e n ti fi e d

a n y ti m e


e vi d e n ce , ca n

co m p l y wi th

s ys te m .

re q u i re d

so

th a t,

p ro ce d u re s th a t we re

a tt e s te d

to .

in

fo r e xa m p l e ,

fo rce

I f th i s i s n o t d o n e ,

a t th e

th e re

is a

if a

ti m e

d a ta

fi l e

i s p re s e n te d

o f i t s ca p tu re

ri s k t h a t th e

and

in

s i n ce

i n t e g ri ty o f th e

co u rt a s

th a t ti m e i n fo rm a ti o n

s u cce s s fu l l y ch a l l e n g e d .

E XAM P LE

Wh e re

i t i s n o t p o ssi b l e

d o cu m e n t i m a g e ye a rs s i n ce th e

to

be

ce rta i n

th a t i s s e ve ra l

i ts ca p tu re ,

a u th e n ti ci ty a n d

th e n

o f th e

ye a rs o l d ,

i t m a y be

i n te g ri t y o f th e

s ca n n i n g

and

o f th e

p ro ce d u re s u s e d s to ra g e

d i ffi cu l t o r i m p o s s i b l e

to

ca p tu re

a

p ro ce d u re s fo l l o we d

to

re fu te

a

ch a l l e n g e

p a rti cu l a r

in

th e

co n ce rn i n g


KE Y I S S U E

>

M a i n ta i n

re te n ti o n

co m p l i a n ce

5 . 7 . 3 Pro ce d u re s a n d

Al l

ch a n g e s t o

ch a n g e

d o cu m e n t a ti o n

u n d er a

ve rs i o n

co n tro l

s ys te m ,

and

in

a cco rd a n ce

wi t h

th e

s ch e d u l e .

co n tro l

p ro ce s s e s

p ro ce d u re s a n d /o r p ro ce s s e s s h o u l d

be


in

a cco rd a n ce

wi t h

an

a p p ro ve d

p ro ce d u re .

KE Y I S S U E

>

72

U se

a

fo rm a l

ch a n g e

co n tro l

p ro ce d u re

fo r m a n a g i n g

ch a n g e s to

s ys te m s a n d

p ro ce d u re s .


5. 8

Sto ra ge

syste m s

5. 8 S tora g e system s 5. 8. 1 System i n teg ri ty Fa ci l i ti es sh ou l d be provi d ed wi th i n th e system to en su re th a t th e i n teg ri ty of d a ta i s preserved th rou g h ou t th e system , i n cl u d i n g d u ri n g th e tra n sfer of th i s d a ta to a n d from th e stora g e m ed i a . Reg a rd l ess of th e stora g e m ed i u m ch osen , or th e system en vi ron m en t i n wh i ch th e m ed i u m i s u sed , th ese proced u res sh ou l d d etect a n d /or preven t m od i fi ca ti on s bei n g m a d e to stored i n form a ti on from th e ti m e of ca ptu re to th e ti m e of d i sposa l .

5. 8. 2 U se of ch ecksu m A com m on a pproa ch to m a n a g i n g system i n teg ri ty i s to u ti l i ze a ch ecksu m ca l cu l a ted i m m ed i a tel y a fter th e d a ta fi l e h a s been ca ptu red . Th i s tech n i q u e en su res th a t a n y errors i n d a ta fi l e tra n sfer between su bsystem s m a y be d etected a u tom a ti ca l l y a n d wi th certa i n ty. Su ch a m eth od on i ts own d oes n ot n ecessa ri l y cover a l l th e possi bi l i ti es for m a l i ci ou s m a n i pu l a ti on of th e d a ta between th e ti m e of ca ptu re a n d th e even tu a l ti m e of retri eva l from th e stora g e m ed i a . Su ch m a n i pu l a ti on cou l d be a ccom pa n i ed by th e ca l cu l a ti on of a n ew ch ecksu m i f th e ch ecksu m a l g ori th m were kn own . To d ea l wi th th i s even tu a l i ty, oth er proced u res a re req u i red . A si m pl e m eth od i s to wri te ea ch ch ecksu m to th e a u d i t tra i l a fter ca l cu l a ti on , bu t i n th i s ca se con si d era ti on sh ou l d a l so be g i ven to protecti on of th e a u d i t tra i l from ta m peri n g .

KE Y I SSU E > Wh ere a ppropri a te, u se a ch ecksu m to ch eck for d a ta fi l e ch a n g es d u ri n g stora g e.

5. 8. 3 Softwa re system s I n form a ti on i s typi ca l l y m a n a g ed by com pu ter softwa re. Su ch softwa re m a y be a fa ci l i ty a va i l a bl e i n th e opera ti n g system (su ch a s i n d i vi d u a l or sh a red d ri ves) , or m a y be a form a l el ectron i c d ocu m en t m a n a g em en t system (E D M S) or el ectron i c d ocu m en t a n d record s m a n a g em en t system (E D RM S) . I rrespecti ve of th e softwa re bei n g u sed , i t i s i m porta n t to reta i n record s of th e softwa re u sed a n d h ow i t h a s been con fi g u red . D ocu m en ta ti on sh ou l d be prod u ced a n d u pd a ted wh ere n ecessa ry to en su re th a t a record of th e softwa re u sed to m a n a g e th e stora g e of i n form a ti on over ti m e i s reta i n ed . Th i s d ocu m en ta ti on sh ou l d i n cl u d e d eta i l s of th e opera ti n g system a n d a d d i ti on a l softwa re wh ere u sed . D eta i l s of th e versi on n u m bers a n d con fi g u ra ti on d eta i l s sh ou l d a l so be reta i n ed .

KE Y I SSU E > U se a form a l ch a n g e con trol proced u re for m a n a g i n g ch a n g es to system s a n d proced u res.

5. 8. 4 WO RM vs. n on -WO RM system s Th e ri sk of stored d a ta bei n g m od i fi ed i n a d verten tl y or m a l i ci ou sl y va ri es wi th th e type of stora g e su bsystem a n d m ed i u m . Th e a bi l i ty to d etect a n y su ch m od i fi ca ti on s a l so va ri es. For exa m pl e, wh ere wri te-on ce m ed i a a re u sed , i t i s n ot n orm a l l y possi bl e to m od i fy d a ta on ce i t h a s been stored , a s a n y su ch m od i fi ca ti on wou l d h a ve th e effect of d estroyi n g a t l ea st som e d a ta , resu l ti n g i n fi l es bei n g corru pted , i f n ot m a d e tota l l y i rretri eva bl e.



73

5 O p e ra tio n

D a ta stored on m a g n eti c d i sk a n d oth er ra n d om a ccess rewri ta bl e m ed i a m a y i n pri n ci pl e be m od i fi ed . Wi th su ch m ed i a , th e ri sk of d a ta bei n g m od i fi ed i s l ess to d o wi th th e m ed i u m i tsel f th a n wi th th e con trol s th a t a re i m pl em en ted by th e stora g e su bsystem a n d by th e a ccess softwa re. Th e a bi l i ty to a l ter d a ta req u i res ‘rea d -wri te’ a ccess. Wel l -d esi g n ed system s h a ve con trol s to preven t u n a u th ori zed rea d -wri te a ccess. U sers wi th ‘rea d on l y’ a ccess a re u n a bl e to m od i fy th e d a ta . Th u s, th e system sh ou l d m a i n ta i n a secu re record of a l l rea d -wri te a ccesses m a d e. I n a system wh ere th ere a re very freq u en t fi l e m od i fi ca ti on s, th ere m a y be a su bsta n ti a l overh ea d to record m od i fi ca ti on s m a d e, bu t i f a record i s n ot kept i t m i g h t prove i m possi bl e to d etect a n y u n a u th ori zed a l tera ti on s, wh eth er by a ski l l ed ‘h a cker’ or by a n yon e wi th th e a ppropri a te a ccess pri vi l eg e. I n th e ca se of rewri ta bl e seri a l m ed i a , su ch a s m a g n eti c ta pe, u n a u th ori zed ta m peri n g ca n be m ore d i ffi cu l t to d etect th a n wi th ra n d om a ccess m ed i a , si n ce i f th e fi l e th a t i s m od i fi ed i s n ot th e l a st fi l e stored on th e m ed i u m , th en a l l fol l owi n g fi l es n eed to be copi ed a n d rewri tten . I f th e stora g e m ed i u m i s ‘offl i n e’, i t cou l d be ta m pered wi th m ore ea si l y i f a n ‘a tta cker’ were a bl e to g a i n a ccess to i t. Th e i ssu es of ph ysi ca l secu ri ty of th e offl i n e m ed i a a n d a ccess con trol wh i l e i t i s on l i n e a re i m porta n t. WO RM system s a re a va i l a bl e ba sed on opti ca l d i sk, m a g n eti c d i sk or ta pe tech n ol og y th a t som eti m es u se softwa re/fi rm wa re con trol s. Com pa red wi th rewri ta bl e m a g n eti c d i sk tech n ol og y, su ch a s u sed wi th i n RAI D (red u n d a n t a rra y of i n d epen d en t/i n expen si ve d i sks) stora g e system s, WO RM system s m a y be m ore costl y per m eg a byte of stora g e a n d m a y h a ve sl ower a ccess ti m es. Th u s, th ere m a y be si g n i fi ca n t fi n a n ci a l a n d perform a n ce ben efi ts to n on -WO RM system s. Th ese h a ve to be rel a ted to th e poten ti a l ben efi t of WO RM stora g e from a n evi d en ti a l wei g h t perspecti ve, beca u se of th e ea se of d em on stra ti on of a u th en ti ci ty. Th ere a re a n u m ber of i ssu es wi th th e u se of m a g n eti c ta pe i n a l l i ts va ri ou s form s a s a l on g -term stora g e m ed i a wh i ch n eed to be con si d ered , for exa m pl e a ch a ra cteri sti c term ed ‘resi sti vi ty’. To a voi d th i s probl em , proced u res su ch a s th e freq u en t copyi n g of th e i n form a ti on to oth er ta pes i s a d vi sa bl e. Th i s fea tu re i s freq u en tl y a u tom a ted i n m od ern ta pe si l o system s. I n a n y i n sta n ce wh ere d a ta fi l es a re copi ed from on e m ed i u m to a n oth er, a su ccessfu l bi t-for-bi t com pa ri son sh ou l d be perform ed before th e ol d m ed i u m i s reu sed or d estroyed . Th e B S 47 83 seri es, in fo rm a tio n

Sto ra g e ,

sto ra g e

tra n sp o rta tio n

a n d m a in te n a n ce

o f m e dia

fo r u se

in

da ta

p ro ce ssin g

and

, g i ves recom m en d a ti on s for th e stora g e, tra n sporta ti on a n d m a i n ten a n ce of m ed i a

u sed i n d a ta processi n g a n d i n form a ti on stora g e.

KE Y I S S U E

> Revi ew th e a d va n ta g es a n d d i sa d va n ta g es of wri te-on ce vs. rewri ta bl e stora g e m ed i a , a n d u se a ppropri a te system s a ccord i n g l y.

5 . 8 . 5 E n vi ro n m e n ta l


Al l types of stora g e m ed i u m h a ve a fi n i te l i fe. M a n u fa ctu rers’ g u i d el i n es sh ou l d be fol l owed to red u ce th e ri sk of l osi n g d a ta beca u se of i n a ppropri a te stora g e. Stora g e m ed i a sh ou l d be ch ecked on a reg u l a r ba si s, a n d i n a ccord a n ce wi th m a n u fa ctu rers’ recom m en d a ti on s wh ere a va i l a bl e, to d etect a n y d eg ra d a ti on of th e m ed i a . M ed i a h a n d l i n g a n d stora g e recom m en d a ti on s sh ou l d a l so be fol l owed . System h a rd wa re sh ou l d be i n sta l l ed i n l oca ti on s th a t ca n be en vi ron m en ta l l y m a n a g ed to m a n u fa ctu rers’ recom m en d a ti on s. Th i s m a y i n cl u d e som e or a l l of th e fol l owi n g con si d era ti on s:

• •

74

tem pera tu re sta bi l i ty; h u m i d i ty m a n a g em en t;



5. 8 Storage systems

• • •

sa feg u a rd s a g a i n st power fl u ctu a ti on s or l oss; secu ri ty m ea su res; protecti on from ph ysi ca l th rea ts.

B S 7 083 : 1 9 9 6,

equipment

Guide to the accommodation and operating environment for information technology (IT)

g i ves g u i d a n ce on th e a ccom m od a ti on a n d opera ti n g en vi ron m en t for I T eq u i pm en t. I t

covers con stru cti on a n d a ccessi bi l i ty, en vi ron m en ta l con d i ti on s, el ectri ca l power req u i rem en ts, a n d opera ti on a l sa fety a n d secu ri ty.

KE Y I S S U E

> H a rd wa re m a n u fa ctu rers’ recom m en d a ti on s for th e opera ti on a l en vi ron m en t of a l l com pon en ts of th e system a n d th e stora g e m ed i a u sed sh ou l d be fol l owed .

5 . 8 . 6 Wri te to m e d i a p ro ce ss

I t i s i m porta n t to en su re th a t th e el ectron i c d a ta fi l e i s protected a t a l l ti m es, i n cl u d i n g th e ti m e between ca ptu re a n d wri te to fi n a l stora g e. Th e d a ta fi l e wi l l often be pa rti cu l a rl y vu l n era bl e a t th i s ti m e. Th u s, th e poi n t i n th e a ppl i ca ti on processes a t wh i ch d a ta a re wri tten to stora g e sh ou l d be a s soon a s possi bl e. I n som e system s, m u l ti pl e stora g e m ed i a a re u sed , a n d d a ta fi l es a re tra n sferred by th e system on a n a u tom a ted ba si s. Th e a ctu a l stora g e m ed i a wi l l m a i n l y d epen d u pon a ccess req u i rem en ts. Su ch system s a re term ed ‘h i era rch i ca l stora g e system s’, a n d i n cl u d e h i g h -cost ra pi d a ccess m ed i a a n d a l so l ow-cost sl ow a ccess m ed i a (pl u s som e i n term ed i a te types wh ere a ppropri a te) . I n th ese system s, th e i n teg ri ty of d a ta fi l es d u ri n g tra n sfer from m ed i u m to m ed i u m sh ou l d be d em on stra bl y u n a ffected (see a l so 5 . 8. 7 ) .

KE Y I S S U E

> E n su re d a ta fi l es a re protected from ti m e of ca ptu re, by wri ti n g to fi n a l stora g e a s soon a s possi bl e.

5 . 8 . 7 M e d i a m i g ra ti o n

I n form a ti on m a y be stored for a con si d era bl e l en g th of ti m e a n d , i m porta n tl y, for l on g er th a n th e l i feti m e of th e cu rren t tech n ol og y. Th u s, to en su re th e i n teg ri ty of stored i n form a ti on , i t i s i m porta n t to pl a n from th e ou tset th a t i t m a y be su bj ect to m i g ra ti on processes. Su ch processes m a y i n vol ve a ch a n g e of:

• •

m ed i a ; a n d /or com pu ter h a rd wa re.

As a ru l e of th u m b, a stora g e m ed i a m i g ra ti on process wi l l occu r a pproxi m a tel y every fi ve yea rs. Wh ere i n form a ti on i s m oved from on e stora g e d evi ce to a n oth er, a s pa rt of a d a ta fi l e m i g ra ti on process, d eta i l s of th e m ove sh ou l d be stored i n th e a u d i t tra i l . Proced u res for m ed i a m i g ra ti on sh ou l d i n cl u d e m eth od s by wh i ch i t ca n be d em on stra ted th a t a n y rel a ted d a ta (su ch a s m eta d a ta ) a re a l so m i g ra ted , wh ere th i s i s n ecessa ry. I n th e ca se of H SM system s a n d stora g e a rea n etworks (SAN s) , wh ere d a ta a re rou ti n el y a n d a u tom a ti ca l l y m oved between stora g e d evi ces, wi th ou t u ser i n terven ti on , i t m a y n ot be n ecessa ry to g en era te a u d i t tra i l d a ta on th ese m ovem en ts of i n form a ti on . H owever, i t wi l l be n ecessa ry to d em on stra te th a t th e H SM or SAN wa s worki n g n orm a l l y wh en d a ta were tra n sferred . I n pra cti ce, th i s wi l l m ea n th rou g h ou t th e peri od from i n i ti a l ca ptu re of th e i n form a ti on to i ts fi n a l stora g e.


75

5

O p e ra tio n

See a l so 5 . 8. 6.

KE Y I S S U E S

> Wh ere d a ta wi l l be stored for l on g er th a n fi ve yea rs, pl a n for stora g e m ed i a m i g ra ti on by u si n g i n d u stry sta n d a rd system s. > Keep record s of m i g ra ti on processes, to d em on stra te th a t i n teg ri ty wa s n ot com prom i sed d u ri n g th e process.

5 . 8 . 8 Fo rm a t co n ve rs i o n

5. 8. 8. 1

Ge n e ra l

Th e sa m e i ssu es rel a ted to m ed i a l i fe (see 5 . 8. 7 ) a l so a ppl y to fi l e form a t l i fe. Wh ere n ew versi on s of softwa re u sed to crea te i n form a ti on a re i m pl em en ted , i ssu es wi th ba ckwa rd (a n d i n som e ca ses forwa rd ) fi l e form a t com pa ti bi l i ty m a y occu r. Th u s, to en su re th e a ccessi bi l i ty of stored i n form a ti on , i t i s i m porta n t to pl a n from th e ou tset th a t i t m a y be su bj ect to form a t con versi on processes.

KE Y I S S U E

> Wh ere d a ta wi l l be stored for l on g er th a n 1 0 yea rs, pl a n for stora g e form a t con versi on , or g u a rd a g a i n st th i s req u i rem en t by u si n g i n d u stry sta n d a rd i n form a ti on a rch i vi n g form a ts (see 5 . 8. 8. 3 ) .

5. 8. 8. 2

Co n ve rsio n

Wh ere i n form a ti on h a s been con verted from on e fi l e form a t to a n oth er, d eta i l s of th e con versi on sh ou l d be stored i n th e a u d i t tra i l . For exa m pl e, a d ocu m en t crea ted wi th on e word processor prog ra m m a y be con verted to a n oth er word processor form a t wi th ou t ch a n g i n g th e text wi th i n th e d ocu m en t. From on e perspecti ve th i s m i g h t be con si d ered n ot very d i fferen t from copyi n g a fi l e, bu t i f form a tti n g i s rel eva n t to th e i n form a ti on con ten t, th ere i s th e possi bi l i ty th a t th e i n form a ti on con ten t of th e con verted fi l e m a y be con si d ered to h a ve ch a n g ed . Wh en m a ki n g provi si on s for con verti n g d a ta fi l es, i t i s i m porta n t to i n cl u d e a l l rel eva n t m eta d a ta , i n cl u d i n g i n d ex d a ta a n d a u d i t tra i l s. Th i s a d d i ti on a l d a ta sh ou l d a l so be m i g ra ted to th e n ew tech n ol og y wi th ou t l oss of i n teg ri ty. Record s, i n cl u d i n g a u d i t tra i l s, sh ou l d be kept of a n y con versi on processes th a t stored d a ta h a ve been su bj ected to, to a l l ow th e i n teg ri ty of th e d a ta to be d em on stra ted beyon d a n y rea son a bl e d ou bt a t a n y ti m e i n th e fu tu re. Th e con versi on of stored d a ta from on e fi l e form a t to a n oth er ca n be a com pl ex ta sk, a s i t ca n i n vol ve:

• • • •

si m u l ta n eou s m i g ra ti on to n ew stora g e m ed i a ; ch a n g e of d a ta form a t; secu ri ty of con versi on processes; i ssu es su rrou n d i n g th e d el eti on of i n form a ti on d u ri n g con versi on , for exa m pl e, a s pa rt of a n i n form a ti on reten ti on pol i cy;

• • • •

76

con fi rm a ti on th a t a l l d a ta th a t n eed s to be con verted h a ve been con verted ; a ssu ra n ce th a t a u th en ti ci ty a n d i n teg ri ty a re n ot com prom i sed ; i n cl u si on of a ppropri a te m eta d a ta ; a d d i ti on of m eta d a ta d eta i l i n g th e con versi on process.



5. 9 Information retention and disposal

Wh ere a d a ta m i g ra ti on process i s i m pl em en ted , proced u res a n d processes to m a n a g e th ese i ssu es sh ou l d be i m pl em en ted . Wh ere d a ta a re bei n g recei ved from a n oth er i n form a ti on m a n a g em en t system (or pa rt of a system ) wh i ch con form s to B S 1 0008 a n d th e Cod e, a s pa rt of a system m i g ra ti on process, th en proced u res a n d processes n eed to be esta bl i sh ed , i m pl em en ted a n d d ocu m en ted for th i s process. Som e m i g ra ti on processes m a y n eed a form a t ch a n g e, to en a bl e th e d a ta to be a ccepted i n to th e recei vi n g system .

KE Y I S S U E S

> M i g ra ti on processes sh ou l d be i m pl em en ted wi th ca re, to en su re th a t evi d en ti a l va l u e i s n ot com prom i sed . > Wh ere d a ta fi l es a n d a n y a ssoci a ted m eta d a ta a re bei n g recei ved from a system th a t con form s to B S 1 0008 a n d th e Cod e a s pa rt of a m i g ra ti on process, th e m i g ra ti on proced u res a n d processes sh ou l d be d ocu m en ted .

5. 8. 8. 3 Standard formats A rel i a bl e m eth od ol og y for d ea l i n g wi th softwa re l i fe i s to en su re th a t d a ta fi l es a re stored i n a n i n d u stry sta n d a rd form a t, or th a t vi ewers for ea ch stored form a t a re m a i n ta i n ed . I t i s a l so recom m en d ed th a t a restri cted n u m ber of form a ts a re u sed for l on g -term stora g e, to red u ce fu tu re form a t m i g ra ti on i ssu es. O n e su ch fi l e form a t i s th a t d efi n ed by B S I SO 1 9 005 -1 : 2 005 , Document management — Electronic document file format for long-term preservation — Part 1 : Use of PDF 1 . 4 (PDF/A- 1 ). 7

KE Y I S S U E

> Th e u se of sta n d a rd fi l e form a ts protects a g a i n st l on g -term a ccess i ssu es.

5. 8. 8. 4 Alternative technology Wh ere l on g -term stora g e (i . e. g rea ter th a n 1 0 yea rs) i s req u i red , a n d wh ere a ccess l evel s a re very l ow (i . e. l ess th a n 1 per cen t) , th e u se of m i crofi l m stora g e sh ou l d be con si d ered , u ti l i zi n g i ts tech n ol og y-i n d epen d en t fu n cti on a l i ty to el i m i n a te th e n eed for m i g ra ti on processes.

KE Y I S S U E

> M i crofi l m sh ou l d n ot be d i scou n ted wh ere very l on g -term stora g e i s req u i red , a n d a ccess req u i rem en ts a re n eg l i g i bl e.


5.9.1

I n fo rm a ti o n

re te n ti o n

and

d i sp o sa l

re te n ti o n

Wh ere ori g i n a l d ocu m en ts a re sca n n ed a n d th e pol i cy d ocu m en t sta tes th a t i t i s g en era l pol i cy to d estroy a speci fi c type of ori g i n a l d ocu m en t a fter sca n n i n g , th ere a re som e i n sta n ces i n wh i ch a n excepti on a ppl i es a n d th e ori g i n a l d ocu m en t sh ou l d be reta i n ed .

7

N O TE : Th e PD F/A fi l e form a t wi l l evol ve over ti m e, speci fi ed by fu tu re pa rts of B S I SO 1 9 005 . Th i s sta n d a rd sh ou l d b e u sed i n co n j u n cti o n wi th B S I SO 3 2 000-1 ,

Document management — Portable document format — Part 1 : PDF 1 . 7.


77

5 Operation

Ci rcu m sta n ces wh ere th i s m a y be req u i red i n cl u d e:

• •

wh ere th e ori g i n a l d ocu m en t i s of poor q u a l i ty, so th a t a l eg i bl e i m a g e ca n n ot be obta i n ed ; wh ere th e ori g i n a l d ocu m en t con ta i n s ph ysi ca l a m en d m en ts or a n n ota ti on s th a t ca n n ot be i d en ti fi ed a s su ch on th e sca n n ed i m a g e;

•

wh ere fra u d or oth er m i sd em ea n ou r i s su spected or h a s been i d en ti fi ed or wh ere l i ti g a ti on i s en vi sa g ed or i s pen d i n g .

Wh ere th e ori g i n a l d ocu m en t i s of poor q u a l i ty, i t m a y be n ecessa ry to keep th e ori g i n a l , to red u ce th e possi bi l i ty of i t bei n g su g g ested th a t th e i m a g e wa s d el i bera tel y m a d e i l l eg i bl e. Th i s a l so a voi d s a n y ri sk of rej ecti on of a n i m a g e on th e g rou n d s th a t i t i s n ot a fa csi m i l e of th e ori g i n a l d ocu m en t. Al tern a ti vel y, a n ote m a y be stored wh i ch sta tes th a t th e ori g i n a l d ocu m en t wa s of poor q u a l i ty a n d wh i ch i n cl u d es d eta i l s of a n y vi si bl e i n form a ti on th a t n eed s to be stored . Wh ere a n ori g i n a l d ocu m en t con ta i n s ph ysi ca l a m en d m en ts or a n n ota ti on s th a t ca n n ot be i d en ti fi ed a s su ch on th e sca n n ed i m a g e, a sepa ra te record th a t ‘ph ysi ca l a m en d m en ts or a n n ota ti on s were presen t on th e ori g i n a l d ocu m en t’, pl u s d eta i l s of wh a t th e ph ysi ca l a m en d m en ts were, m a y be su ffi ci en t for l eg a l a d m i ssi bi l i ty. Proced u res for th e i d en ti fi ca ti on of i n form a ti on for wh i ch fra u d or oth er m i sd em ea n ou r i s su spected or h a s been i d en ti fi ed , or for wh i ch l i ti g a ti on i s en vi sa g ed or i s pen d i n g , sh ou l d be d ocu m en ted . Su ch proced u res sh ou l d i n cl u d e th e su spen si on of d ocu m en t d estru cti on pol i ci es for th i s i n form a ti on , a s d estru cti on i n th ese ci rcu m sta n ces i s a cri m i n a l offen ce.

KE Y I S S U E S

> Th ere sh ou l d be d ocu m en ted proced u res th a t i d en ti fy speci fi c ori g i n a l d ocu m en ts th a t n eed to be reta i n ed a fter sca n n i n g . > D o n ot d estroy a n y d ocu m en ts wh ere fra u d or oth er m i sd em ea n ou r i s su spected or h a s been i d en ti fi ed , or l i ti g a ti on i s en vi sa g ed or i s pen d i n g .

5 . 9 . 2 I n fo rm a ti o n

d i sposa l

Proced u res for th e d i sposa l of i n form a ti on (wh i ch m a y i n vol ve d estru cti on of th e i n form a ti on or th e tra n sfer to a rch i va l stora g e) a t th e en d of th e reten ti on peri od sh ou l d be d ocu m en ted . Th ese proced u res sh ou l d en su re th a t a l l copi es of th e i n form a ti on a re d i sposed of, i n cl u d i n g th ose h el d on ba cku p system s or a s ‘person a l ’ copi es. D i sposa l proced u res sh ou l d i n corpora te secu ri ty preca u ti on s a ppropri a te to th e sen si ti vi ty of th e i n form a ti on bei n g d i sposed of or d estroyed . Wh ere ori g i n a l d ocu m en ts a re d estroyed a fter sca n n i n g , th ey sh ou l d be kept for a t l ea st a s l on g a s i s n ecessa ry to en su re th a t th ei r el ectron i c fi l es h a ve been su ccessfu l l y wri tten to stora g e a n d th e a ppropri a te ba cku p proced u res h a ve been com pl eted . D i sposa l processes sh ou l d be a u d i ta bl e, su ch th a t (for exa m pl e) th e d i sposa l of a pa rti cu l a r d ocu m en t ca n be proven . I t i s a l so i m porta n t th a t a n y n ecessa ry a u th ori za ti on for su ch processes be obta i n ed before d i sposa l . Wh ere d a ta a re stored on WO RM m ed i a , d i sposa l of speci fi c i n form a ti on i s n ot possi bl e (u n l ess a con trol l ed process of sel ecti ve copyi n g to n ew m ed i a i s i m pl em en ted ) . I n som e a ppl i ca ti on s, i t m a y be a ccepted th a t rem ova l of a l l i n d ex referen ces to th e i n form a ti on bei n g d i sposed of i s, i n pra cti ca l term s, d i sposa l of th e i n form a ti on i tsel f. O rg a n i za ti on s n eed to ch eck th a t th i s proced u re i s a ccepta bl e. Ca re sh ou l d be ta ken wh en d el eti n g i n form a ti on on m a g n eti c m ed i a . Typi ca l l y, si m pl e ‘fi l e d el eti on ’ a cti on s ca n be reversed , a n d so m a y n ot be a ppropri a te i n som e a ppl i ca ti on s. I n th ese ci rcu m sta n ces, th e u se of d eg a u ssers a n d /or sh red d ers sh ou l d be con si d ered .

78


5. 1 0

In fo rm a tio n

tra n sfe r

Wh en posi ti ve rem ova l of i n form a ti on from th e system i s req u i red , i d en ti fi ca ti on a n d d el eti on of a l l copi es of th e i n form a ti on (i n cl u d i n g i n th e ba cku p m ed i a ) wi l l en su re th a t th e n ecessa ry a cti on i s ta ken . Wh ere expu n g em en t (e. g . rem ova l wi th ou t a n y tra ce of th e i n form a ti on ever exi sti n g ) i s req u i red , proced u res for th e d i sposa l of th e i n form a ti on sh ou l d be en h a n ced to rem ove a n y tra ce th a t th e ori g i n a l i n form a ti on exi sted . Th e repl a cem en t of th e i n form a ti on wi th a d ocu m en t sta ti n g ‘expu n g ed i n form a ti on ’ m a y be su ffi ci en t.

KE Y I S S U E S

> Th ere sh ou l d be d ocu m en ted proced u res for th e secu re d estru cti on , or tra n sfer to a rch i ve, of stored i n form a ti on . > Th ese proced u res sh ou l d d ea l wi th a l l copi es of a pa rti cu l a r d ocu m en t.

5 . 9 . 3 Le g a l

h ol d s

Sta n d a rd d i sposa l of i n form a ti on i n a ccord a n ce wi th th e sch ed u l es n eed s to be su spen d ed wh ere th e i n form a ti on m a y be req u i red a s evi d en ce. Th i s i s beca u se th i s i n form a ti on cou l d be ca l l ed a s evi d en ce, even i f i ts en d -of-reten ti on peri od h a s been rea ch ed . Th i s su spen si on of sta n d a rd d i sposa l i s com m on l y kn own a s a ’l eg a l h ol d ’. I n m ost j u ri sd i cti on s, org a n i za ti on s h a ve a d u ty to preserve rel eva n t i n form a ti on wh en th ey l ea rn , or rea son a bl y sh ou l d h a ve l ea rn ed , of l i ti g a ti on com m en ci n g or of a reg u l a tory i n vesti g a ti on . I n som e j u ri sd i cti on s, th e l eg a l h ol d n eed s to be a ppl i ed wh en l i ti g a ti on or reg u l a tory i n vesti g a ti on i s rea son a bl y a n ti ci pa ted bu t h a s yet to be form a l l y i n i ti a ted . I n ord er to com pl y wi th th ese preserva ti on obl i g a ti on s, th e org a n i za ti on wi l l n eed to i n form i n form a ti on stewa rd s a n d cu stod i a n s of th ei r d u ty to preserve rel eva n t i n form a ti on . I f th i s su spen si on of d i sposa l i s n ot en forced , a n d d em on stra bl y so, th ere m a y be poten ti a l or a ctu a l d estru cti on of rel eva n t evi d en ce or spol i a ti on , wh i ch m a y be i n terpreted a s m a l i ci ou s ra th er th a n i n a d verten t a n d con seq u en tl y n eg a ti vel y a ffect th e ou tcom e of th e l i ti g a ti on or even th e bu rd en of proof from bei n g i n n ocen t u n ti l proven g u i l ty to bei n g req u i red to prove i n n ocen ce.

KE Y I S S U E

> Fa i l u re to a ppl y effecti ve l eg a l h ol d s ca n prej u d i ce a tri a l a n d d i sposa l of i n form a ti on th a t m a y be req u i red a s evi d en ce ca n be a cri m i n a l offen ce.

5 . 1 0 I n fo rm a ti o n

5 . 1 0. 1

tra n s fe r

G e n e ra l

Typi ca l l y d a ta fi l es a n d d ocu m en ts wi l l be tra n sferred to th e i n form a ti on m a n a g em en t system from ou tsi d e th e org a n i za ti on or a n oth er pa rt of th e org a n i za ti on by:

• • •

i n tra -system el ectron i c tra n sm i ssi on ; extern a l el ectron i c tra n sm i ssi on ; ph ysi ca l tra n sfer (of el ectron i c or oth er m ed i a ) .



79

5

O p e ra tio n

5. 1 0. 2 I n tra -system d a ta fi l e tra n sfer I n tra -system i n form a ti on tra n sfers a re th ose th a t ta ke pl a ce wi th i n th e system a s d efi n ed i n Ch a pter 4. I n tra -system d a ta fi l e tra n sfers i n cl u d e:

•

l oca l a rea n etwork tra n sm i ssi on s or th ose wi th i n a n org a n i za ti on ’s pri va te n etwork or vi rtu a l

• •

tra n sfer between stru ctu red d a ta ba ses a s a resu l t of a n E TL (see 5 . 5 . 3 . 2 ) process;

pri va te n etwork (VPN ) ;

m ovem en t between stora g e su bsystem s u n d er system con trol (e. g . i n a n H SM system , between ca ch e a n d m a g n eti c d i sk, wi th i n a SAN , or between n etwork a tta ch ed stora g e (N AS) d evi ces) ;

•

tra n sfer between stora g e su bsystem s u n d er opera tor con trol .

I n su ch tra n sfers, th e proced u res, both el ectron i c a n d m a n u a l , a re u n d er th e con trol of th e org a n i za ti on . D a ta fi l e tra n sfers wi th i n a n org a n i za ti on sh ou l d be con trol l ed by th e a ppl i ca ti on softwa re, wh i ch sh ou l d i n cl u d e processes th a t en su re th a t th e i n teg ri ty of d a ta fi l es tra n sferred i s n ot com prom i sed . D i g i ta l si g n a tu re tech n ol og y i s a n exa m pl e of su ch a process. N O TE : Th i s secti on i s n ot a ppl i ca bl e to th e req u i rem en t for d a ta fi l e m i g ra ti on (see 5 . 8. 7 ) , wh ere th e m ed i a type a n d /or form a t of th e d a ta fi l e m a y ch a n g e for tech n ol og y m i g ra ti on rea son s.

KE Y I SSU E > Proced u res sh ou l d be i m pl em en ted to en su re th a t th e i n teg ri ty of a n y d a ta fi l es tra n sferred between system s i s n ot com prom i sed . I t sh ou l d be n oted th a t system i n teg ra ti on u si n g a n en terpri se servi ce bu s or th e expl oi ta ti on of M D M d o n ot g en era l l y resu l t i n a n i n tra -system tra n sfer si n ce a speci fi c pi ece of i n form a ti on i s a ccessed by m u l ti pl e a ppl i ca ti on s or servi ces i n a com m on d a ta ba se l oca ti on ; a s su ch a ccess con trol sh ou l d be a con si d era ti on .

5. 1 0. 3 E xtern a l tra n sm i ssi on of d a ta fi l es

5. 1 0. 3. 1

Ge n e ra l

Th i s secti on d ea l s wi th d a ta fi l es tra n sm i tted between on e system a n d a n oth er vi a extern a l , wi d e a rea , com m u n i ca ti on s system s. Su ch system s a re extern a l to th e system d escri bed i n Ch a pter 4. Th e ‘sen d i n g ’ a n d ‘recei vi n g ’ system s a re rem ote from ea ch oth er a n d m a y be wi th i n th e sa m e or d i fferen t org a n i za ti on s; i n ei th er ca se a n oth er pa rty provi d es th e tra n sm i ssi on servi ce. For fu rth er d eta i l ed i n form a ti on a bou t th e m a i n ten a n ce of a u th en ti ci ty a n d i n teg ri ty of i n form a ti on d u ri n g extern a l tra n sfers, see B I P 0008-2 . E l ectron i c m essa g es (e. g . em a i l , i n sta n t m essa g i n g or E D I ) a re a ssu m ed h ere to be eq u i va l en t to d a ta fi l es. Th e com m u n i ca ti on s system m a y i n vol ve rea l -ti m e tra n sm i ssi on or d eferred (‘store a n d forwa rd ’) tra n sm i ssi on su ch a s occu rs i n m ost em a i l system s. I f th ere i s a d i spu te over th e a u th en ti ci ty of a recei ved fi l e, a n d th e sen d er’s proced u res con form to th ose of B S 1 0008 a n d th e Cod e, bu t th e recei ver’s proced u res d o n ot, l ess rel i a n ce m a y possi bl y be pl a ced on th e con ten ts of th e recei ver’s fi l e. Con versel y, i f th e recei ver’s proced u res con form to B S 1 0008 a n d th e Cod e bu t th e sen d er’s proced u res d o n ot, l ess rel i a n ce m a y possi bl y be pl a ced on th e con ten ts of th e sen d er’s fi l e. N O TE : Ad d i ti on a l proced u res m a y be a d opted for con fi d en ti a l i ty (e. g . to preven t u n a u th ori zed d i scl osu re of th e i n form a ti on con ta i n ed wi th i n a d a ta fi l e) or oth er rea son s (e. g . to ch eck th a t th e d a ta fi l e or d ocu m en t d oes n ot i n cl u d e m a l i ci ou s softwa re, su ch a s vi ru ses) .

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tra n sfe r

Th e l evel of secu ri ty ri sk bei n g ta ken d u ri n g a n extern a l d a ta fi l e tra n sfer sh ou l d be a ssessed , to en su re con form i ty to th e req u i rem en ts of th e i n form a ti on secu ri ty pol i cy.

5. 1 0. 3. 2

Co m p re ssio n

te ch n iq u e s

Com pressi on tech n i q u es m a y be u sed to red u ce th e si ze of d a ta fi l es, to red u ce th e a m ou n t of stora g e req u i red , a n d to red u ce th e a m ou n t of n etwork tra ffi c, to i m prove system perform a n ce. Su ch tech n i q u es m a y be a ppl i ed to d a ta fi l es by th e system pri or to or d u ri n g stora g e. I n form a ti on a bou t th e com pressi on ra ti o a ch i eved m a y be stored a s pa rt of th e d a ta fi l e or i ts rel a ted i n d ex d a ta , or vi a a sepa ra te l og . I n th e ca se of i m a g e fi l es stored i n Ta g g ed I m a g e Fi l e form a t (TI FF) , th e com pressi on m eth od i s a u tom a ti ca l l y stored wi th i n th e i m a g e fi l e. Th e com pressi on tech n i q u e u sed i s typi ca l l y a ppl i ca ti on d epen d en t, th ou g h som e system s m a y h a ve bu i l t-i n com pressi on th a t th e org a n i za ti on h a s n o a l tern a ti ve bu t to i m pl em en t. Wh ere com pressi on i s u sed , th e system sh ou l d provi d e a d eq u a te fa ci l i ti es, prefera bl y vi a a u tom a ted m ea n s, to en su re th a t th e req u i rem en ts for q u a l i ty con trol (e. g . ch ecki n g of i m a g e q u a l i ty a fter sca n n i n g , wi th a bi l i ty to resca n i f n ecessa ry; con trol over i n d ex d a ta a ccu ra cy; con trol over d a ta i n teg ri ty or pl a yba ck of a u d i o or vi d eo record i n g s) of th e com pressed d a ta fi l e ca n be m et. Com pressi on tech n i q u es ca n u se va ri ou s m a th em a ti ca l a pproa ch es, bu t a l l m a y u sefu l l y be cl a ssi fi ed i n to two cl a sses, n a m el y ‘l ossy’ or ‘l ossl ess’. Wi th l ossl ess com pressi on , th e d ecom pressed d a ta fi l e i s a bsol u tel y i d en ti ca l to th e ori g i n a l u n com pressed on e – th i s i s n ot th e ca se wi th l ossy com pressi on .

KEY ISSUE > Com pressi on tech n i q u es sh ou l d on l y be u sed i n a ccord a n ce wi th th e pol i cy d ocu m en t.

5. 1 0. 3. 3

L o ssy co m p re ssio n

Lossy com pressi on tech n i q u es sh ou l d be u sed wi th ca re. B y d efi n i ti on , l ossy tech n i q u es m ea n th a t i n form a ti on i s rem oved from th e d a ta fi l e d u ri n g th e com pressi on process, so th a t th e d ecom pressed d a ta fi l e m a y n ot be th e sa m e a s th e ori g i n a l d a ta fi l e. Th i s m a y red u ce th e evi d en ti a l wei g h t of su ch d a ta fi l es: for exa m pl e, i n a n i m a g e fi l e, pa rts of text or d ra wi n g s m a y be rem oved , bei n g repl a ced by a rti fi ci a l l y g en era ted d a ta . Th erefore, th ere m a y be ri sk i n u si n g l ossy com pressi on on d a ta fi l es con ta i n i n g pri m a ri l y text (i n cl u d i n g h a n d wri ti n g ) or l i n e d ra wi n g s. Lossy com pressi on m a y be su i ta bl e for ph otog ra ph i c or oth er con ti n u ou s-ton e m a teri a l , g rey sca l e or col ou red d ocu m en ts, wh ere i t ca n be sh own th a t th ere i s n o si g n i fi ca n t l oss of i n form a ti on i n th e sca n n ed i m a g e. Si m i l a rl y, m ost a u d i o a n d vi d eo d a ta fi l e form a ts u ti l i ze l ossy com pressi on tech n i q u es, a l bei t d i fferen t on es, to m eet d a ta fi l e si ze con stra i n ts a n d th u s n eed to be con si d ered from a n evi d en ti a l perspecti ve. Wh ere l ossy com pressi on i s u sed , a sa m pl e set of d ecom pressed d a ta fi l es sh ou l d be com pa red wi th th e ori g i n a l s to ch eck th a t th ere i s n o si g n i fi ca n t l oss of i n form a ti on . Com pressi on ra ti os sh ou l d be ch osen wh ere possi bl e su ch th a t n o si g n i fi ca n t i n form a ti on i s l ost d u e to th e tech n i q u e u sed . Th e m a xi m u m a ccepta bl e com pressi on ra ti o m a y be d eterm i n ed vi a th e sa m pl e set of ori g i n a l s, a n d m a y va ry between d ocu m en ts i n th e sa m pl e set. I t m a y be n ecessa ry to d eci d e wh eth er to u se d i fferen t com pressi on ra ti os for d i fferen t d ocu m en ts or to u se a si n g l e ra ti o for a l l d ocu m en ts. I f th e l a tter a pproa ch i s a d opted th i s wi l l u su a l l y m ea n th a t th e a vera g e i m a g e, a u d i o or vi d eo fi l e si ze wi l l be l a rg er bu t th e speed of processi n g wi l l be h i g h er beca u se of red u ced opera tor i n terven ti on . Wh ere i t i s i m porta n t th a t th ere sh ou l d be n o l oss of i n form a ti on i n a sca n n ed i m a g e oth er th a n th a t d u e to th e sca n n i n g resol u ti on , l ossy com pressi on sh ou l d n ot be u sed .



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O p e ra tio n

E XAM PLE Lossy com pressi on sh ou l d n ot be u sed on ra d i og ra ph s (i . e. m ed i ca l a n d en g i n eeri n g X-ra y i m a g es) , wh ere n o l oss of d eta i l i s a ccepta bl e.

5. 1 0. 3. 4

File

in te g rity

B S 1 0008 a n d th e Cod e a re con cern ed wi th th e i n teg ri ty of d a ta th a t h a s been tra n sm i tted to a n oth er pa rty, a n d wi th th e i n teg ri ty of d a ta recei ved from a n oth er pa rty. B S 1 0008 a n d th e Cod e a re n ot d i rectl y con cern ed wi th th e tra n sm i ssi on servi ce. I n ord er to com pl y wi th B S 1 0008 a n d th e Cod e, i t sh ou l d be possi bl e to d em on stra te th a t a d a ta fi l e th a t wa s tra n sm i tted to a n oth er pa rty h a s n ot been a l tered si n ce i t wa s tra n sm i tted . I t sh ou l d a l so be possi bl e to d em on stra te th a t a d a ta fi l e recei ved vi a tra n sm i ssi on from a n oth er pa rty h a s n ot been a l tered si n ce th e ti m e of recei pt. Som e of th e tech n i q u es em pl oyed to d em on stra te th a t n o ch a n g es h a ve been m a d e to a d a ta fi l e i n th i s wa y ca n a l so be u sed to d em on stra te th a t n o ch a n g es were m a d e d u ri n g th e tra n sm i ssi on . D i fferen ces between sen t a n d recei ved d a ta m i g h t be ca u sed by errors i n tra n sm i ssi on or by d el i bera te a l tera ti on of on e fi l e or a n oth er. D em on stra ti n g th a t a recei ved a n d a sen t fi l e con ta i n i d en ti ca l d a ta i s n o d i fferen t from d em on stra ti n g th a t a n y two copi es of a pa per d ocu m en t a re eq u i va l en t. Th e pri m a ry n eed i s to sh ow wh i ch fi l e i s th e sou rce, a n d wh i ch fi l e i s th e copy, th a t i s wh i ch fi l e exi sted fi rst. I n som e i n sta n ces, th i s req u i rem en t ca n be m et by com pa ri n g th e ti m es a t wh i ch th e two copi es of th e d a ta fi l e were stored . I f system ti m e cl ocks a re a ccu ra te, a recei ved fi l e sh ou l d h a ve been stored l a ter th a n th a t a t wh i ch th e sou rce fi l e wa s tra n sm i tted . Pa rti cu l a r ca re n eed s to be ta ken to en su re th a t d i fferen ces i n setti n g s of th e ti m e cl ocks of d i fferen t system s a n d d i fferen ces i n ti m e zon es a re con si d ered a n d a ccou n ted for. A key i ssu e becom es th a t of bei n g a bl e to d em on stra te th e rel i a bi l i ty a n d a ccu ra cy of th e ti m i n g s of th e two even ts.

5. 1 0. 3. 5

D a ta

a dde d du rin g

tra n sm issio n

I t i s com m on , pa rti cu l a rl y wi th em a i l system s, to a d d a d d i ti on a l d a ta to d a ta fi l es (m essa g es i n th e ca se of em a i l ) a fter th ey l ea ve th e sen d er bu t before recei pt. Th i s m a y be, for exa m pl e, to a d d ei th er a form a l d i scl a i m er or con fi rm a ti on th a t th e m essa g e h a s been ch ecked for th e a bsen ce of m a l i ci ou s softwa re (e. g . vi ru ses) . Wh ere th e possi bi l i ty exi sts th a t th ere m i g h t be a ch a l l en g e to th e a u th en ti ci ty of a d ocu m en t or d a ta fi l e th a t h a s been m od i fi ed d u ri n g th e tra n sfer process, th e sen d er sh ou l d be a bl e to recon stru ct th e com m u n i ca ted d ocu m en t. I n ord er to be a bl e to d o th i s, th e ori g i n a l skel eton of th e d ocu m en t sh ou l d be stored , tog eth er wi th i n form a ti on reg a rd i n g th e a d d i ti on s u sed for a n y pa rti cu l a r tra n sm i tted d ocu m en t. A si m i l a r a pproa ch m a y be ta ken wh en correspon d en ce i s d ra fted from sta n d a rd form com pon en ts (tem pl a tes) pl u s possi bl e cu stom i za ti on .

5. 1 0. 3. 6 Use

o f dig ita l sig n a tu re s

D i g i ta l si g n a tu res (see 5 . 1 4. 4) m a y be u sed to perm i t con fi rm a ti on th a t a recei ved d a ta fi l e i s exa ctl y th e sa m e a s wa s sen t, a n d wh ere a ppropri a te to con fi rm th e i d en ti ty of th e sen d er. Th i s m a y be a n i d en ti ty th a t h a s been va l i d a ted by a th i rd pa rty. For fu rth er i n form a ti on , see B I P 0008-3 .

5. 1 0. 3. 7 Pro o f o f de live ry

Wh ere i t i s i m porta n t to be a bl e to d em on stra te th a t a d a ta fi l e h a s been d el i vered , th e sen d er m a y req u i re th a t th e recei vi n g system tra n sm i ts ba ck to th e sen d er a con fi rm a ti on of recei pt, wh i ch sh ou l d

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i n cl u d e th e tra n sm i ssi on i d en ti fi er a n d th e d a te a n d ti m e of recei pt. Wh ere th ese proced u res a re fol l owed , th en th e ri sk th a t a d a ta fi l e h a s been m od i fi ed , or h a s been sen t from som eon e oth er th a n th e i d en ti fi ed sen d er, i s red u ced .

KE Y I S S U E S

> D a ta fi l e tra n sfers from on e d evi ce to a n oth er sh ou l d be con trol l ed by th e a ppl i ca ti on softwa re. > I n corpora te a tra n sfer ch ecki n g m ech a n i sm . H a ve a l l fi l es th a t were sen t been recei ved , a n d were th ey recei ved wi th ou t ch a n g e? > I n cl u d e i n a u d i t tra i l s th e d a te a n d ti m e of tra n sm i ssi on . > I n corpora te a m ech a n i sm to en su re th a t fi l es ca n n ot be a ccepted from u n a u th ori zed l oca ti on s. > E n crypt fi l es d u ri n g tra n sfer wh ere con fi d en ti a l i ty i s a n i ssu e.

5 . 1 0 . 4 Ph ys i ca l

tra n sfe r o f m e d i a

Wh en d a ta fi l es or d ocu m en ts a re tra n sferred on ph ysi ca l m ed i a , th ere m a y be oth er ri sks to th ei r i n teg ri ty or a u th en ti ci ty th a n wi th el ectron i c tra n sm i ssi on . For i n sta n ce, th e ca rri er m a y h a ve l ost or i n terfered wi th th e i n form a ti on bei n g tra n sferred . I t i s th erefore i m porta n t to d ocu m en t h ow th e tra n sfer i s m a d e a n d h ow com prom i ses to d a ta q u a l i ty or com pl eten ess a re to be a voi d ed . Th i s m a y i n cl u d e ch ecks ca rri ed ou t a t th e poi n t of d espa tch a n d th e poi n t of recei pt. Wh en th e ch eck a t recei pt i n d i ca tes th a t i n form a ti on m a y h a ve been i n terfered wi th , th e a cti on s to be ta ken sh ou l d be d ocu m en ted .

E XAM PLE M a n y org a n i za ti on s u se l ocked pou ch es or boxes to h ou se d ocu m en ts or oth er m ed i a d u ri n g tra n sporta ti on . Th i s preven ts th e ca rri er from i n terferi n g wi th th e con ten ts, ei th er m a l i ci ou sl y or i n a d verten tl y. Th e box i s si g n ed for a t d espa tch , a n d l og g ed i n on recei pt to form pa rt of th e a u d i t tra i l .

5 . 1 0 . 5 B u s i n e ss p ro ce s s m a n g e m e n t a n d

wo rkfl o w s ys te m s

Som e i n form a ti on m a n a g em en t system s i n corpora te bu si n ess process m a n a g em en t (B PM ) a n d /or workfl ow ca pa bi l i ti es. Su ch system s provi d e th e proced u ra l a u tom a ti on of bu si n ess processes, by th e m a n a g em en t of th e seq u en ce of work a cti vi ti es a n d th e i n voca ti on of a ppropri a te h u m a n a n d system resou rces a ssoci a ted wi th th e a cti vi ty step. E a ch pa rti cu l a r process wi l l h a ve a rel a ted process d efi n i ti on l i fe cycl e, wh i ch m a y i n cl u d e:

• • • • •

d efi n i ti on ; d evel opm en t; i m pl em en ta ti on ; wi th d ra wa l ; m od i fi ca ti on .

Al th ou g h B PM i n i ti a l l y focu ses on th e a u tom a ti on of bu si n ess processes wi th th e u se of i n form a ti on tech n ol og y, i t ca n a l so i n cl u d e h u m a n -d ri ven processes i n wh i ch h u m a n i n tera cti on ta kes pl a ce i n seri es or pa ra l l el wi th th e u se of tech n ol og y.



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E XAM PLE A B PM or workfl ow m a n a g em en t system ca n a ssi g n i n d i vi d u a l steps req u i ri n g d epl oyi n g h u m a n i n tu i ti on or j u d g m en t to rel eva n t peopl e a n d oth er ta sks i n th e workfl ow to a rel eva n t a u tom a ted system .

I n m ost workfl ow system s, a n a u d i t tra i l poi n t exi sts a t ea ch step i n th e workfl ow. H owever, for com pl i a n ce wi th B S 1 0008 a n d th e Cod e, a u d i t tra i l i n form a ti on m a y n ot n eed to be kept for every a u d i t tra i l poi n t for th e sa m e reten ti on peri od . Th e org a n i za ti on sh ou l d d eci d e wh i ch a u d i t tra i l poi n ts a re rel eva n t wi th reg a rd to th e poten ti a l evi d en ti a l i m porta n ce of th e d a ta wi th i n th e workfl ow. I t m a y be a ppropri a te, for exa m pl e, to keep a u d i t d a ta wh ere every a u tom a ted or m a n u a l d eci si on poi n t i s rea ch ed . Th ese a u d i t tra i l poi n ts sh ou l d be sel ected for th e g en era ti on of a u d i t tra i l d a ta . Wh ere a d h oc workfl ow i s i m pl em en ted (i . e. on e i n wh i ch th e ru l es m a y be m od i fi ed or crea ted d u ri n g th e opera ti on of th e process) , a fu l l a u d i t tra i l of th e process sh ou l d be kept, tog eth er wi th th e i d en ti fi ca ti on of person n el wh o perform ed th e ch a n g es to th e sta n d a rd workfl ow proced u res.

E XAM PLE A l ea d i n g reta i l fu n d a n d i n vestm en t org a n i za ti on u sed to reta i n a u d i t record s of every step of a workfl ow ta sk. Th ese record s were n ever d el eted . Th e vol u m e of workfl ow a u d i t d a ta soon exceed ed th e vol u m e of i n form a ti on to wh i ch i t rel a ted . After a ri sk a ssessm en t exerci se, a n d th e recog n i ti on th a t a l l a ppropri a te a u d i t tra i l d a ta th a t cou l d be n eed ed a t a l a ter d a te were stored on a n oth er system , i t wa s d eci d ed to d i sca rd a l l workfl ow a u d i t d a ta a fter a th ree-m on th peri od .

A record sh ou l d be crea ted , for a u d i t tra i l pu rposes, ea ch ti m e a n ew bu si n ess process i s d efi n ed or a n exi sti n g d efi n i ti on i s ch a n g ed . Th e sel ected a u d i t tra i l poi n ts m a y ch a n g e a s th e workfl ow processes a re ch a n g ed . Th e system sh ou l d perm i t a n a u th ori zed u ser to sel ect a n d /or d e-sel ect th e a u d i t tra i l poi n ts for wh i ch a u d i t tra i l d a ta a re g en era ted . An y ch a n g es to workfl ow a u d i t tra i l con ten t sh ou l d be a u d i ted .

KEY ISSUES > Wh ere workfl ow system s a re i m pl em en ted , opera ti on a l d eta i l s (su ch a s fl ow d i a g ra m s, process d efi n i ti on cl a ssi fi ca ti on s, process d efi n i ti on l i fe cycl es a n d ch a n g e m a n a g em en t) sh ou l d be d ocu m en ted . > Revi ew th e evi d en ti a l va l u e of d a ta (d a ta ba ses, a u d i t tra i l s, etc. ) h el d on th e workfl ow system . > Wh ere workfl ow system s a re i n u se, rel eva n t steps i n th e workfl ow sh ou l d be d efi n ed a s a u d i t poi n ts. Au d i t tra i l d a ta sh ou l d be g en era ted a t th ese poi n ts. > Record s of ch a n g es to th e workfl ows sh ou l d be kept.

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5. 1 1

5.1 1

5.1 1 .1

I n d e xi n g

and

In de xin g

a n d o th e r m e ta da ta

o th e r m e ta d a ta

G e n e ra l

I n d exi n g i s a vi ta l pa rt of th e process of stori n g i n form a ti on on el ectron i c m ed i a . Th e i n d ex i n form a ti on a l l ows for retri eva l of el ectron i c i n form a ti on . Wh ere i n d exi n g i n form a ti on i s l ost, th en th e stored i n form a ti on m a y a l so be l ost, or be u n a bl e to be fou n d wi th ou t excessi ve effort. I n d exi n g ca n be ei th er a u tom a ti c (i . e. perform ed by th e system wi th ou t opera tor i n terven ti on ) or m a n u a l . I f m a n u a l i n d exi n g i s perform ed , i t i s i m porta n t to en su re th a t th e d ocu m en ted proced u res a re fol l owed . Sea rch tool s a n d tech n i q u es ca n be a u sefu l a d j u n ct to m a n u a l or a u tom a ti c i n d exi n g to su pport retri eva l of stru ctu red or u n stru ctu red i n form a ti on . Wh i l st sea rch tool s a n d tech n i q u es ca n red u ce th e effort req u i red to g en era te m eta d a ta by i d en ti fyi n g sets of d a ta to wh i ch m eta d a ta ca n th en be a ssoci a ted , i t i s i m porta n t to n ote th a t wh ere i n d exes a n d oth er m eta d a ta exi st before a sea rch i s a ppl i ed th en th e u se of th a t i n d ex or m eta d a ta to refi n e th e sea rch wi l l i m prove th e sea rch perform a n ce. Th erefore, sea rch tool s a n d tech n i q u es sh ou l d n ot be reg a rd ed a s a n a l tern a ti ve to i n d exi n g or i n form a ti on cl a ssi fi ca ti on . Som e system s a l l ow pa rti a l i n d ex i n form a ti on to be stored wh en th e i n form a ti on i s ca ptu red . Th i s m a y th en be com bi n ed wi th a d d i ti on a l m a n u a l i n d ex en tri es a t a l a ter ti m e.

KE Y I S S U E

> Proced u res a n d ru l es for i n d exi n g stored i n form a ti on sh ou l d be d ocu m en ted .

5.1 1 .2 M an u al

i n d e xi n g

M a n u a l i n d exi n g i n vol ves th e vi su a l exa m i n a ti on of i n form a ti on bei n g ca ptu red by th e system , ei th er pri or to i ts ca ptu re or a s pa rt of post-ca ptu re processes. I n d exi n g processes m a y i n cl u d e th e d etecti on of m i ssi n g or i n a ccu ra te i n d exes. M a n u a l i n d exi n g system s (e. g . keyi n g from d i spl a yed i n form a ti on ) wi l l n ot d etect i n a ccu ra te i n d exes u n l ess th e d i spl a yed i n form a ti on i s ch ecked a g a i n st th e ori g i n a l s (m a ybe by d ou bl e keyi n g ) , or th ere i s a d efi n ed seq u en ce of i n form a ti on (e. g . by seq u en ti a l n u m beri n g ) .

KE Y I S S U E S

> Sta ff i n vol ved i n m a n u a l i n d exi n g sh ou l d recei ve speci a l i st tra i n i n g , to m a xi m i ze a ccu ra cy. > Con si d er th e u se of a ccu ra cy-i m provi n g m eth od s su ch a s d ou bl e keyi n g .

5 . 1 1 . 3 Au to m a ti c i n d e xi n g

Au tom a ti c i n d exi n g m a y be a ch i eved by, for exa m pl e, th e rea d i n g of ba r cod es or th e u se of O CR/I CR tech n i q u es (see 5 . 2 . 6. 2 ) .

KE Y I S S U E

> Wh ere a u tom a ti c i n d exi n g i s u sed , proced u res to ch eck a n d a m en d i n a ccu ra te i n d ex d a ta sh ou l d be d ocu m en ted .



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5 . 1 1 . 4 I n d e x s to ra g e

I n ord er to reta i n a ccess to stored i n form a ti on , rel eva n t i n d ex d a ta sh ou l d be reta i n ed for a t l ea st a s l on g a s th e stored i n form a ti on to wh i ch i t refers. Som e system s req u i re d a ta ba se i n d exes to be rebu i l t peri od i ca l l y, typi ca l l y to i m prove d a ta ba se perform a n ce. Proced u res for rebu i l d i n g i n d exes sh ou l d be d ocu m en ted .

KE Y I S S U E

> Wh ere i n d exes a re rebu i l t, rel eva n t proced u res sh ou l d be d ocu m en ted .

5 . 1 1 . 5 I n d e x a m e n d m e n ts

Wh ere a n i n d ex en try h a s been d eterm i n ed to be i n a ccu ra te or m i ssi n g , th en a proced u re for i ts correcti on wi l l n eed to be fol l owed . Wh en a n i n d ex en try h a s been a m en d ed , th ere m a y be a n a d va n ta g e i n reta i n i n g d eta i l s of th e i n d ex con ten t before a n d a fter th e ch a n g e. Wh ere a n i n d ex en try rel a tes to d el eted or expu n g ed i n form a ti on , th e fa ct th a t i t rel a tes to su ch i n form a ti on sh ou l d be stored . Wh ere th e d i sposa l or expu n g em en t of stored i n form a ti on , by th e a m en d m en t or d el eti on of i n d ex en tri es, i s u n d erta ken to com pl y wi th l eg a l or reg u l a tory req u i rem en ts, proced u res to be fol l owed sh ou l d be d ocu m en ted .

KE Y I S S U E

> Proced u res for th e a m en d m en t of i n d exi n g d a ta sh ou l d be d ocu m en ted .

5 . 1 1 . 6 I n d e x a ccu ra cy

I n d ex d a ta , wh eth er for sca n n ed i m a g es or a n y oth er types of d a ta , m a y be i n a ccu ra te. Wh i l e a ccu ra te i n d exi n g wi l l fa ci l i ta te th e retri eva l of stored i n form a ti on to be d i scl osed i n cou rt, th e evi d en ti a l wei g h t of th a t i n form a ti on m a y be i n crea sed i f i ts rel eva n ce a n d com pl eten ess ca n be d em on stra ted from th e a ccu ra cy of th e rel eva n t i n d ex d a ta . Con versel y, i n a ccu ra te i n d ex d a ta m a y resu l t i n th e u ser bei n g u n a bl e to retri eve rel eva n t i n form a ti on or, a l tern a ti vel y, i rrel eva n t i n form a ti on m a y be retri eved . I n d ex d a ta a ccu ra cy cri teri a m a y va ry d epen d i n g u pon th e a ppl i ca ti on . I n som e ca ses th e a ccu ra cy m a y be d efi n ed a s th e m a xi m u m a ccepta bl e n u m ber of ch a ra cters i n error per 1 , 000 ch a ra cters ca ptu red (or percen ta g e eq u i va l en t) . I n oth er ca ses th e a ccu ra cy m a y be d efi n ed a s th e m a xi m u m a ccepta bl e n u m ber of word s (or si m i l a r cl u ster of ch a ra cters, for exa m pl e, a cu stom er or pa rt n u m ber) con ta i n i n g a n y error (wh eth er of on e or m ore ch a ra cters) . Cri teri a for i n d ex d a ta a ccu ra cy l evel s sh ou l d be rea l i sti c g i ven th e m eth od u sed for i n d ex d a ta ca ptu re, th e typi ca l ra n d om error ra tes a ch i eved by d a ta en try person n el a n d th e l eg i bi l i ty of th e sou rce m a teri a l . Th ese a ccu ra cy l evel s m a y va ry d epen d i n g u pon th e type of i n form a ti on bei n g i n d exed .

KE Y I S S U E

> Accu ra cy l evel s sh ou l d be a g reed a n d d ocu m en ted .

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5. 1 2

O u tp u t

5 . 1 2 O u tp u t

5.1 2.1

Au th e n ti ca te d

o u tp u t p ro ce d u re s

O u tpu t, typi ca l l y i n th e form of pa per or el ectron i c copi es, m a y n eed to be prod u ced for u se i n cou rt. G en era l l y, th ese copi es n eed to be a u th en ti ca ted a s tru e copi es of th e ori g i n a l , to red u ce th e l i kel i h ood of rej ecti on by th e cou rt. Su ch proced u res m a y, for exa m pl e, req u i re th e u se of sta n d a rd system fea tu res for th e crea ti on of a copy, pl u s wri tten con fi rm a ti on by a n a u th ori zed person th a t th e ou tpu t process h a s been con d u cted correctl y. Th e proced u res m a y speci fy h ow a u th en ti ca ted copi es a re su bseq u en tl y to be h a n d l ed . Th e proced u res m a y refer to a u d i t tra i l d a ta a s a con fi rm a ti on of th e processes th a t occu rred d u ri n g ou tpu t. Au th en ti ca ted ou tpu t proced u res ca n be en h a n ced by th e i n cl u si on of a sta tem en t su ch a s ‘crea ted from a system i n com pl i a n ce wi th B S 1 0008: 2 01 4, Speci fi ca ti on : E vi d en ti a l wei g h t a n d l eg a l a d m i ssi bi l i ty of el ectron i c i n form a ti on ’. I t i s i m porta n t th a t th e n a tu re a n d exten t of a n y ch a n g es i n trod u ced by th e retri eva l fa ci l i ti es a re u n d erstood a n d th ei r rel eva n ce a ssessed . Wh a t i s a ccepta bl e i n n orm a l u sa g e m a y be u n a ccepta bl e i n oth er ci rcu m sta n ces, i n cl u d i n g i n a cou rt of l a w. For exa m pl e:

•

ren d eri n g a col ou red i m a g e i n m on och rom e m a y be a ccepta bl e i n si tu a ti on s wh ere th e col ou r i s

•

vi ewi n g a n i m a g e a t a l ower resol u ti on th a n th a t u sed i n sca n n i n g th e ori g i n a l d ocu m en t m a y be

i rrel eva n t; bu t i n oth er si tu a ti on s th e col ou r m a y be vi ta l , n ecessi ta ti n g a d i fferen t retri eva l fa ci l i ty;

a ccepta bl e i n rou ti n e retri eva l s, bu t th e fi n e d eta i l th a t i s th ereby l ost m a y be i m porta n t i n oth er si tu a ti on s wh ere, for exa m pl e, i t m i g h t h a ve foren si c si g n i fi ca n ce;

•

wh ere th ere i s n ot a n exa ct m a tch between th e resol u ti on of a sca n n ed i m a g e a n d th a t obta i n ed by th e retri eva l d evi ce, th e d i m en si on a l a ccu ra cy of th e reprod u cti on m a y be l ost;

•

wh ere a stored d a ta fi l e i s n orm a l l y con verted to a n oth er form a t for d i spl a y or pri n ti n g , i n form a ti on m a y be l ost or presen ted i n a d i fferen t form , beca u se of l oss of d eta i l or l a you t d i fferen ces. Th ese d i fferen ces m a y be u n a ccepta bl e for l eg a l d i scl osu re, a n d d i fferen t retri eva l fa ci l i ti es m a y be req u i red th a t d o n ot i n vol ve con versi on .

KE Y I S S U E S

> Proced u res for th e crea ti on of a u th en ti ca ted copi es sh ou l d be d ocu m en ted . > I f th e system fa ci l i ti es u sed to retri eve, d i spl a y a n d /or pri n t stored i n form a ti on d o n ot m a i n ta i n th e l a you t (e. g . fon t a n d /or pa g i n a ti on ) of th e ori g i n a l , i n form a ti on retri eva l ch a ra cteri sti cs sh ou l d be a g reed a n d d ocu m en ted .

5 . 1 2 . 2 Au th e n ti ca ti o n

o f co p i e s o f d a ta fi l e s

I n som e a ppl i ca ti on s, for exa m pl e, i n vol vi n g con tra ctu a l d ocu m en ts, severa l pa rti es m a y ea ch h ol d copi es of a d a ta fi l e. I n th i s ca se, a d i spu te cou l d a ri se a s to wh i ch copy i s a tru e copy of th e ori g i n a l . I n th e ca se of a sca n n ed ori g i n a l d ocu m en t, th e d i g i ti zed i m a g e fi l e i s a fa csi m i l e ‘copy’ of th e ori g i n a l d ocu m en t. Su bseq u en t copi es of th e i m a g e fi l e m a y be d i sti n g u i sh ed by record i n g th e d a tes of ori g i n a l stora g e i n ea ch ca se. Th u s, ch ecki n g a copy of a n y d a ta fi l e a g a i n st ea rl i er copi es a l l ows a tra ce to be crea ted ba ck to th e ea rl i est fi l e a n d , i n th e ca se of a d i g i ti zed i m a g e, to th e ori g i n a l l y ca ptu red d a ta fi l e. As a n exa m pl e of su ch a proced u re, a d i g i ta l si g n a tu re cou l d be prod u ced , a n d stored secu rel y wi th a tru sted th i rd pa rty (e. g . a d i g i ta l n ota ry) . I n th e even t of a n y d i spu te, th e d i g i ta l si g n a tu re cou l d th en be u sed to d em on stra te wh eth er a fi l e i s a tru e copy of th e ori g i n a l fi l e.



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KE Y I SSU E S > Proced u res for a u th en ti ca ti n g copi es of d a ta fi l es sh ou l d be d ocu m en ted . > Th e u se of d i g i ta l si g n a tu res a n d /or tru sted th i rd -pa rty a u th en ti ca ti on m a y be a d va n ta g eou s i n som e a ppl i ca ti on s.

5. 1 2 . 3 E -d i scovery E -d i scovery i s con cern ed wi th fi n d i n g wh a t m a y be rel eva n t to a ca se a n d th en d i scl osi n g i t to th e opposi n g pa rty i n th e d i spu te. E -d i scovery i s a si g n i fi ca n t focu s for th e l eg a l professi on beca u se th e tech n i q u es of fi n d i n g el ectron i c i n form a ti on a n d th en d i scl osi n g i t a re m a rked l y d i fferen t from n on -el ectron i c i n form a ti on a n d so a re th e costs. H owever, th e wa ys i n wh i ch ch a l l en g es to th e a u th en ti ci ty a n d i n teg ri ty of el ectron i c i n form a ti on ca n be resi sted a re i n d epen d en t of th e wa ys i n wh i ch i t h a s been d i scovered a n d d i scl osed . A key i ssu e wi th e-d i scovery a n d e-d i scl osu re i s bei n g a bl e to j u sti fy th a t th e i n form a ti on set i s com pl ete. Th i s m a y be beca u se:

•

e-d i scovery tool s h a ve m i ssed i m porta n t, rel eva n t i n form a ti on beca u se of i n a d eq u a te sel ecti on cri teri a ;

• •

e-d i scovery tool s h a ve n ot h a d a ccess to a com preh en si ve i n form a ti on sou rce; rel eva n t i n form a ti on m a y h a ve been d i sposed of ei th er i n com pl i a n ce wi th or ou tsi d e th e term s of th e org a n i za ti on a l reten ti on a n d d i sposa l sch ed u l e.

5. 1 3 I d en ti ty Wh ere th e i d en ti ty of th ose i n vol ved i n i n form a ti on ca ptu re i s si g n i fi ca n t, proced u res wh i ch a u th en ti ca te th e i d en ti ty of th e person , org a n i za ti on or oth er en ti ty n eed to be esta bl i sh ed . Th ese proced u res sh ou l d be d esi g n ed a n d i m pl em en ted to en su re th a t:

• • •

th e a u th en ti ca ted i d en ti ty i s bou n d to th e el ectron i c i n form a ti on ; th e proofs u sed to a ssoci a te ph ysi ca l to el ectron i c i d en ti ty a re a pproved by th e org a n i za ti on ; th e processes u sed for proof of i d en ti ty a re reta i n ed , a l on g wi th th ei r resu l ts.

N O TE : Proof of i d en ti ty i s d i scu ssed i n m ore d eta i l i n B I P 0008-3 .

5. 1 4 I n form a ti on secu ri ty proced u res 5. 1 4. 1 S ecu ri ty proced u res I t i s pru d en t to a d opt rel eva n t secu ri ty g u i d el i n es th a t a re a ppl i ca bl e to th e org a n i za ti on con cern ed . Su ch g u i d el i n es m i g h t exi st i n com pa n y pol i ci es or pra cti ce, sector-speci fi c g u i d a n ce (e. g . fi n a n ci a l or m ed i ca l ) , n a ti on a l or i n tern a ti on a l sta n d a rd s, or a s l eg a l req u i rem en ts. I n th e a bsen ce of i n tern a l g u i d el i n es, pu bl i sh ed d ocu m en ts (see An n ex G ) m a y provi d e a com preh en si ve set of i n form a ti on secu ri ty g u i d el i n es th a t ca n be d esi g n ed to m eet th e org a n i za ti on ’s n eed s. Th ey m i g h t provi d e a n a d eq u a te ba si s for th e crea ti on of i n tern a l g u i d el i n es th a t wou l d m eet th e org a n i za ti on ’s req u i rem en ts. Som e org a n i za ti on s m a y con si d er th e a d opti on of extern a l l y a ccred i ted secu ri ty sch em es a s a d d i ti on a l con fi rm a ti on of com pl i a n ce wi th th ei r i n form a ti on secu ri ty pol i cy. To con trol a ccess to th e va ri ou s l evel s of th e system (e. g . m a n a g er, d a ta i n pu t a n d retri eva l ) , a secu re a ccess con trol system i s a d vi sa bl e.

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5. 1 4

In fo rm a tio n

se cu rity p ro ce du re s

Wh ere a ppropri a te, th e a ccom m od a ti on a n d opera ti n g en vi ron m en t for i n form a ti on m a n a g em en t system s a n d for th e stora g e, l a bel l i n g , h a n d l i n g , tra n sporta ti on a n d m a i n ten a n ce of d a ta stora g e m ed i a sh ou l d be i n a ccord a n ce wi th th e su ppl i er’s recom m en d a ti on s a n d /or rel eva n t n a ti on a l or i n tern a ti on a l sta n d a rd s. Th e cen tra l pa rt of th e system (e. g . i n cl u d i n g th e fi l e servers a n d d a ta stora g e) sh ou l d be i n sta l l ed i n ph ysi ca l l y a n d en vi ron m en ta l l y secu re a rea s, wi th restri cted a ccess. Th ese restri cti on s sh ou l d be d ocu m en ted .

KE Y I S S U E

> Th ere sh ou l d be d ocu m en ted proced u res i n a ccord a n ce wi th th e org a n i za ti on ’s i n form a ti on secu ri ty pol i cy (see 2 . 2 . 3 ) .

5 . 1 4. 2 Acce ss ri g h ts

Access to i n form a ti on system s a n d servi ces ca n ei th er be by workers or by system s a n d servi ces. O n l y workers wi th th e rel eva n t a ccess ri g h ts sh ou l d be perm i tted to en ter d a ta or a m en d stored d a ta . Th ere sh ou l d be a n effecti ve seg reg a ti on of rol es to en su re th a t a si n g l e person ca n n ot com pl ete a l l a spects of tra n sa cti on a u th ori za ti on , d a ta en try or a m en d m en t, a n d revi ew. I t i s a l so i m porta n t to en su re a su i ta bl y d eta i l ed l evel of a u tom a ti c l og g i n g i s a ppl i ed to th e process to record th ose i n vol ved , th e a cti vi ti es perform ed , a n d ti m es a n d d a tes. System a ccess ri g h ts sh ou l d be g ra n ted on l y a fter th e worker h a s su ccessfu l l y proved th ei r com peten ce.

E XAM PLE A n etwork a tta ch ed sca n n er h a s a u tom a ted a ccess to a n etwork l oca ti on wh i ch en a bl es sca n n ed d ocu m en ts to be d i rectl y l oa d ed i n to a workfl ow process. I n th i s ca se i t i s i m porta n t to i d en ti fy th e i d en ti ty of th e worker sca n n i n g th e d ocu m en t i n th e a u d i t tra i l .

System s a n d servi ces a ccess sh ou l d be con trol l ed to en su re th a t on l y a pproved , a u th ori zed a n d a u th en ti ca ted system s a n d servi ces a re g ra n ted a ccess to crea te, rea d , u pd a te or d estroy stored i n form a ti on . I t i s a l so i m porta n t to en su re a su i ta bl y d eta i l ed l evel of a u tom a ti c a u d i ti n g i s a ppl i ed to th e process to record th e system s a n d servi ces bei n g g ra n ted a n d u ti l i zi n g th ese a ccess ri g h ts.

E XAM PLE An a ppl i ca ti on i s req u i red to u pd a te d i fferen t d a ta ba se ta bl es a u tom a ti ca l l y a n d a u ton om ou sl y wh en a th resh ol d i s m et a s a resu l t of cu m u l a ti ve tra n sa cti on d eta i l s. Th e a ppl i ca ti on i n q u esti on m a y on l y n eed a ccess ri g h ts for wh en th e th resh ol d i s m et.



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E XAM PLE For a n y extra cti on or l oa d d u ri n g E TL (see 5 . 5. 3 . 2 ) , th e E TL su bsystem wi l l n eed a u th ori zed a ccess to th e obj ect or ta rg et d a ta ba se; si m i l a rl y a u th ori zed a ccess ri g h ts a re essen ti a l for system i n teg ra ti on u si n g a n en terpri se servi ce bu s.

E XAM PLE A system a ccessi n g M D M d a ta (see 5 . 5 . 3 . 5 ) h a s n ot been g ra n ted a ccess to a n u pg ra d ed M D M d a ta set a n d con ti n u es to a ccess obsol ete i n form a ti on crea ti n g i n con si sten t resu l ts th a t wou l d n ot be a bl e to be ei th er j u sti fi ed or recrea ted i n th e fu tu re.

Th ese a ccess ri g h ts sh ou l d be i n cl u d ed wi th i n th e scope of th e system a ccess con trol system a n d m a n a g ed a ppropri a tel y. Al l a ccess ri g h ts g ra n ted a n d revoked a re si g n i fi ca n t i n form a ti on th a t sh ou l d be reta i n ed u n d er th e scope of B S 1 0008 a n d th e Cod e i n a ccord a n ce wi th th e pol i ci es of th e org a n i za ti on .

KE Y I S S U E

> I m pl em en t a m a n a g ed system a ccess con trol system .

5 . 1 4. 3 E n cryp ti o n

Cryptog ra ph i c tech n i q u es m a y be u sed to i m prove th e secu ri ty a n d i n teg ri ty of stored d a ta . A com pl ete d a ta fi l e or a pa rt th ereof m a y be en crypted so th a t th e i n form a ti on i t con ta i n s ca n n ot be retri eved wi th ou t th e u se of a n en crypti on key. D i g i ta l si g n a tu res (see 5 . 1 4. 4) con si st of d a ta (keys) wh i ch , wh en a ppen d ed to a d a ta fi l e, en a bl e th e u ser of th e d a ta fi l e to a u th en ti ca te i ts ori g i n a tor a n d /or i ts i n teg ri ty. Th e d i g i ta l si g n a tu re d a ta ca n be a ppl i ed a n d ch ecked by th e a ppropri a te u se of secret keys or pri va te a n d pu bl i c cryptog ra ph i c keys. Th e u se of a d i g i ta l si g n a tu re d oes n ot i m pl y th a t th e fi l e i tsel f h a s to be en crypted . I n m a n y ca ses th e fi l e m a y be u n en crypted ; th e d i g i ta l si g n a tu re serves to d em on stra te wh eth er th e fi l e con ten ts h a ve been ta m pered wi th a n d wh eth er th e fi l e wa s si g n ed by th e pu rported si g n a tory. I t m a y be n ecessa ry to ch eck th a t th e i d en ti ty of th e pu rported si g n a tory h a s been con fi rm ed by a n oth er tru sted pa rty. Th i s wi l l typi ca l l y be d on e by ch ecki n g wi th th e certi fyi n g a u th ori ty (or i ts a g en t) th a t i ssu ed th e d i g i ta l certi fi ca te to th e pu rported si g n a tory. Th i s d i g i ta l certi fi ca te wi l l n orm a l l y be i n cl u d ed a s a pa rt of th e d i g i ta l si g n a tu re a n d wi l l i n cl u d e th e Pu bl i c Key of th e si g n a tory. Wh ere en crypti on a n d /or d i g i ta l si g n a tu res a re u sed , keys sh ou l d be kept secu rel y a n d sh ou l d n ot be a va i l a bl e except to th ose a u th ori zed a s respon si bl e for a cti vi ti es req u i ri n g a ccess to th e keys. E n crypti on key a l l oca ti on a n d m a n a g em en t, a n d certi fi ca te m a n a g em en t wh ere d i g i ta l si g n a tu res a re u sed , sh ou l d be i n cl u d ed wi th i n th ese processes. I t m a y be a ppropri a te to con si d er th e u se of th i rd -pa rty key m a n a g em en t a n d recovery or key escrow servi ces. Th e person wh o ori g i n a l l y wa s respon si bl e for m a n a g i n g th e keys a n d certi fi ca tes secu rel y wi th i n th e org a n i za ti on m a y h a ve been red epl oyed , be u n a va i l a bl e or m a y n o l on g er be em pl oyed a t th e org a n i za ti on , so proced u res sh ou l d be i m pl em en ted to en su re th e ti m el y a ccess to a n d con ti n u ed a va i l a bi l i ty of th e keys a n d certi fi ca tes. I n som e cou n tri es, th e u se of en crypti on tech n i q u es m a y be restri cted or i l l eg a l . I n th ese ca ses, i t i s u su a l th a t d i g i ta l si g n a tu res m a y be perm i tted .

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EXAMPLE Certifying authorities are examples of commercial trust services. ‘tScheme 8 is the independent UK, industry led, self-regulatory scheme set up to create strict assessment criteria against which it will approve trust services. tScheme have recently published approval profiles designed for IdP Services that are based on non-PKI credentials, which would include PIN/, Chip & PIN smartcards, etc. As a result the information on the approval profile is split into two sets – those for PKI-related Services and those for IdP Services.’

KE Y I S S U E S

> Keep encryption keys secure and make them available only to authorized personnel. > Check that encryption can be used legally within any appropriate countries. 5 . 1 4. 4 D i g i ta l

s i g n a tu re s a n d

e l e ctro n i c s i g n a tu re s

D E FI N I TI O N

Electronic signatures are defined in the Electronic Communications Act 2000, s.7(2) 9 as: ‘…so much of anything in electronic form as — (a) is incorporated into or otherwise logically associated with any electronic communication or electronic data; and (b) purports to be so incorporated or associated for the purpose of being used in establishing the authenticity of the communication or data, the integrity of the communication or data, or both’ The Electronic Communications Act 2000 deals, amongst other topics, with the use of electronic signatures and related certificates in legal proceedings. In practice, there are two general types of electronic signature – see the following definitions. D E FI N I TI O N S

Digital signature – data appended to a data file that allow the recipient of the data file to authenticate the source and the integrity of the data file Electronic signature – computer data compilation of any symbol or series of symbols executed, adopted or authorized by an individual to be the legally binding equivalent of the individual’s handwritten signature As well as being able to be used in legal proceedings, digital and electronic signatures offer the possibility of demonstrating that retrieved data is exactly what was stored, and of confirming the identity of the people and/or organizations involved with the storage. Electronic signatures are typically created with digitizing devices. Digital signatures use private and Public Keys, frequently held within a digital certificate.

8 9

www.tscheme.org/profiles/index.html www.legislation.gov.uk/ukpga/2000/7/section/7



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B oth el ectron i c a n d d i g i ta l si g n a tu res a re fu n d a m en ta l l y cryptog ra ph i c ch ecksu m s. I f a n a ttem pt a t m a l i ci ou s m a n i pu l a ti on i s to su cceed , a ccess to th e ori g i n a l si g n a tu re d i g i ti zi n g d evi ce or Pri va te Key wou l d be req u i red (i n a d d i ti on to kn owl ed g e a s to th e pa rti cu l a r cryptog ra ph i c a l g ori th m s u ti l i zed ) . Th e a u th ori zed retri ever of a d i g i ta l l y si g n ed d a ta fi l e m a y u se th e si g n a tu re a n d th e rel eva n t Pu bl i c Key to veri fy th e i d en ti ty of th e ori g i n a l si g n a tory a n d th e i n teg ri ty of th e d a ta fi l e. Th i s a ppl i es to stora g e, workfl ow or tra n sm i ssi on , wh eth er rea l -ti m e or store-a n d -forwa rd tra n sm i ssi on system s a re u sed . D i g i ta l si g n a tu res sh ou l d be u sed i n a ppl i ca ti on s wh ere i t i s i m porta n t to be a bl e to con fi rm th e i n teg ri ty of a d a ta fi l e a n d /or th e i d en ti ty of th e si g n a tory. I n som e i n sta n ces, th e i tem si g n ed cou l d be pa rt of a d a ta fi l e (e. g . th e bod y of a n em a i l , bu t n ot i ts tra n sm i ssi on h ea d ers) a n d i n oth er ci rcu m sta n ces th e i tem si g n ed cou l d be th e en ti re d a ta fi l e. E l ectron i c si g n a tu res a re u su a l l y stored wi th i n th e fi l es to wh i ch th ey a re bou n d . D i g i ta l si g n a tu res n eed n ot n ecessa ri l y be stored wi th th e fi l es to wh i ch th ey perta i n , bu t i t sh ou l d a l wa ys be possi bl e to i d en ti fy wh i ch fi l e a pa rti cu l a r d i g i ta l si g n a tu re i s a ssoci a ted wi th , a n d vi ce versa . Si g n a tu re m a n a g em en t wi th i n th e org a n i za ti on i s a key i ssu e. B efore a key i s i ssu ed , th e tru e i d en ti ty of th e person pri or to th a t i n d i vi d u a l bei n g en rol l ed a s a d ocu m en t si g n a tory sh ou l d be ch ecked . Wh i l st th i s i s typi ca l l y n ot a n i ssu e wi th workers, su ch ch ecks m a y be n ecessa ry wi th tem pora ry sta ff a n d con tra ctors. Si g n a tu res sh ou l d be stored secu rel y, a n d a ccess to Pri va te Keys a n d a l g ori th m s sh ou l d on l y be a l l owed by a u th ori zed person n el . D i g i ta l si g n a tu res a re u sefu l tech n i q u es for i n teg ri ty a n d bi n d i n g i n form a ti on to a speci fi c en ti ty (freq u en tl y a n i n d i vi d u a l ) . Ca re d oes, h owever, n eed to be exerci sed over pl a ci n g too m u ch rel i a n ce on a d i g i ta l si g n a tu re wi th ou t u n d ersta n d i n g th e u n d erl yi n g tech n ol og y a n d th e ri sks a ssoci a ted wi th i t. I f a ccess to Pri va te Keys i s i n secu re a n d th e a l g ori th m s a re kn own , i t m a y n ot be possi bl e to d i sti n g u i sh between a va l i d si g n a tu re a n d a m a l i ci ou s on e, a s th ere ca n be n oth i n g to d i sti n g u i sh th em . Ri g orou s secu ri ty m ea su res a re n eed ed i n ord er to preven t a va l i d bu t fa l se d i g i ta l si g n a tu re bei n g g en era ted . Al so, wh ere l on g -term stora g e of d a ta fi l es i s en vi sa g ed , com pu ter tech n ol og y a va i l a bl e i n th e fu tu re m a y be a bl e to com prom i se cu rren t d i g i ta l si g n a tu res wi th ou t d etecti on . I t sh ou l d be n oted th a t d i fferen t si g n a tu re a l g ori th m s a n d key l en g th s ca n h a ve d i fferen t stren g th s. O rg a n i za ti on s sh ou l d con si d er th e opti on s a n d sel ect a l g ori th m s a n d key l en g th s th a t h a ve stren g th s a ppropri a te to th e pa rti cu l a r d ocu m en t or d a ta fi l e. I f a q u ery i s ra i sed a bou t th e a u th en ti ci ty of a d a ta fi l e, si g n a tu res m a y be u sed a s evi d en ce i n d em on stra ti n g th a t a n y d a ta fi l e stored or recei ved by tra n sm i ssi on con ta i n s th e sa m e i n form a ti on a s th e ori g i n a l d a ta fi l e. Wh ere a ppropri a te, system s sh ou l d u se el ectron i c/d i g i ta l si g n a tu res a n d /or secu ri ty copi es th a t a re stored i n d i fferen t l oca ti on s, possi bl y i n vol vi n g tru sted th i rd pa rti es (see 5 . 1 6. 9 ) , a s i n teg ri ty m a i n ten a n ce m eth od s. For fu rth er i n form a ti on on el ectron i c i d en ti ty m a n a g em en t, see B I P 0008-3 .

KEY ISSUES > E l ectron i c a n d /or d i g i ta l si g n a tu res sh ou l d be u sed wh ere i t i s i m porta n t to be a bl e to con fi rm th e i n teg ri ty of a stored or tra n sm i tted d a ta fi l e a n d , wh ere a ppropri a te, th e i d en ti ty of th e pa rty con cern ed . > Th ere sh ou l d be secu re processes for th e g en era ti on a n d i ssu e of d i g i ta l keys.

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5 . 1 4. 5 O th e r a u th e n ti ca ti o n

In fo rm a tio n


te ch n i q u e s

As wel l a s d i g i ta l si g n a tu res, a s d i scu ssed i n 5 . 1 4. 4, wh i ch a re m ore cl osel y a ssoci a ted wi th a sym m etri c cryptog ra ph i c tech n i q u es, th ere a re oth er a u th en ti ca ti on tech n ol og i es bei n g d evel oped , typi ca l l y ba sed on sym m etri c tech n i q u es. E xa m pl es of su ch tech n ol og i es a re m essa g e a u th en ti ca ti on cod es (M ACs) . Wh ere th ese tech n ol og i es a re u sed , proced u res th a t en su re th ei r a ppropri a te u se sh ou l d be d evel oped . Referen ce to th e con trol s recom m en d ed for d i g i ta l si g n a tu res sh ou l d be m a d e a s a g u i d e to th e con trol s recom m en d ed for th ese tech n ol og i es.

KE Y I S S U E

> Wh ere oth er a u th en ti ca ti on tech n i q u es a re u sed , proced u res for th ei r a ppropri a te u se sh ou l d be i m pl em en ted .

5 . 1 4. 6 E m a i l

D i g i ta l si g n a tu res a re often a d d ed to em a i l m essa g es a s a secu ri ty m ea su re. Wh ere a d i g i ta l si g n a tu re i s a d d ed to a n em a i l , th e si g n a tu re a l g ori th m s sh ou l d typi ca l l y be a ppl i ed to th e m essa g e bod y, i n cl u d i n g th e m essa g e i tsel f a n d a n y a tta ch m en ts a ppen d ed . Ad d i ti on a l i n form a ti on m a y be a d d ed to th e m essa g e (e. g . th e org a n i za ti on ’s d i scl a i m er) . Th i s wi l l n ot be wi th i n th e si g n ed m essa g e. H owever, th e reci pi en t wi l l sti l l be a bl e to a ccess a n d con fi rm th e d i g i ta l si g n a tu re a n d so en su re th a t th e m essa g e h a s n ot been ta m pered wi th d u ri n g tra n si t. N O TE : Th ere a re sta n d a rd s on h ow a n d wh ere d i g i ta l si g n a tu res a re to be a ppl i ed to em a i l m essa g es. Wh ere i n teropera bi l i ty i s a req u i rem en t, th e u se of recog n i zed sta n d a rd s su ch a s th e s-M I M E v3 . 1 speci fi ca ti on i s of va l u e. 1 0 Th ese sta n d a rd s ca n brea k em a i l m essa g es i n to com pon en t g rou ps, th u s a l l owi n g th e si g n a tu res to be a ppl i ed i n speci fi c wa ys to m eet d i fferen t req u i rem en ts.

Wh ere em a i l a rch i ves a re u sed , i t i s key to be a bl e to d em on stra te th a t th e wh ol e of th e m essa g e h a s been stored a n d retri eved wi th ou t ch a n g e. I n th i s ca se th e d i g i ta l si g n a tu re sh ou l d en com pa ss th e wh ol e of th e m essa g e.

KE Y I S S U E

> D i g i ta l si g n a tu res sh ou l d be u sed a s a n em a i l secu ri ty m ea su re wh ere a ppropri a te.

5 . 1 4. 7 M a l i ci o u s s o ftwa re

To protect stored d a ta from m a l i ci ou s softwa re, a ppropri a te protecti on softwa re sh ou l d be i n sta l l ed a n d kept u p to d a te. Wh ere a ppropri a te, h a rd wa re to protect th e system from power fa i l u re (e. g . a n u n i n terru pta bl e power su ppl y) sh ou l d be i n sta l l ed . I n system s th a t d o n ot i n cl u d e fa ci l i ti es wh i ch , i n th e cou rse of n orm a l opera ti on s, wou l d a u tom a ti ca l l y d etect u n a u th ori zed a l tera ti on to or rem ova l of fi l es, u sers sh ou l d con d u ct ra n d om ch ecks to veri fy th a t fi l es th a t h a ve been frozen h a ve n ot been a l tered or rem oved .

10

Secu re/M u l ti p u rpose I n tern et M a i l E xten si on s (S/M I M E ) Versi o n 3 . 1 M essa g e Speci fi ca ti on . Ava i l a bl e a t: www. i etf. org /rfc/rfc3 851 . txt



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E XAM PLE M a l wa re, sh ort for m a l i ci ou s softwa re, i s softwa re u sed to d i sru pt com pu ter opera ti on , g a th er sen si ti ve i n form a ti on , or g a i n a ccess to pri va te com pu ter system s. M a l wa re i n cl u d es com pu ter vi ru ses, ra n som wa re, worm s, Troj a n H orses, rootki ts, keyl og g ers, d i a l ers, spywa re, a d wa re, m a l i ci ou s B rowser H el per O bj ects (B H O s) , rog u e secu ri ty softwa re a n d oth er m a l i ci ou s prog ra m s. D etecti on a n d recovery from m a l wa re a tta ck a n d con ta m i n a ti on wi th a ssoci a ted i n form a ti on d estru cti on or m od i fi ca ti on ca n be very ti m e con su m i n g a n d expen si ve.

KE Y I S S U E S

> Revi ew th e possi bi l i ty of a cci d en ta l or d el i bera te m od i fi ca ti on to d a ta fi l es d u ri n g stora g e, a n d pu t m ech a n i sm s i n pl a ce to d etect a n d /or recti fy th ese i ssu es. > U se a n ti -vi ru s (a n d oth er) system s to preven t m a l i ci ou s a l tera ti on of stored d a ta fi l es. > U se power fa i l u re protecti on m ech a n i sm s to preven t corru pti on of stored d a ta fi l es.

5 . 1 4. 8 B a cku p a n d

s ys te m

re co ve ry

E ffecti ve proced u res for th e ba cku p of el ectron i c fi l es provi d e su ffi ci en t u p-to-d a te copi es of d a ta to be u sed i n th e even t of l oss or corru pti on of pa rt or a l l of th e ‘l i ve’ d a ta . I t i s vi ta l th a t ba cku p d a ta i n cl u d e a l l a ssoci a ted i n form a ti on (su ch a s i n d ex fi l es a n d a u d i t tra i l s) , so th a t a com pl ete repl i ca system ca n be bu i l t i n th e even t of a tota l l oss of th e ori g i n a l system . B a cku p system s sh ou l d a l so en su re th a t softwa re req u i red to vi ew stored i n form a ti on sh ou l d be a va i l a bl e a s n ecessa ry. System recovery proced u res a l so n eed to be d ocu m en ted , to d em on stra te th a t th ey a re con trol l ed a n d tested for rel i a bi l i ty. I ssu es su rrou n d i n g th e secu ri ty of ba cku p d a ta m a y be i m porta n t i n th e even t of a d i spu te over a u th en ti ci ty. I t m a y be a rg u ed th a t ba cku p m ed i a were com prom i sed , a n d th en u sed to recover from a n i n form a ti on l oss, th u s a ffecti n g th e a u th en ti ci ty of stored i n form a ti on . I n som e ca ses, th e a va i l a bi l i ty of ba cku p d a ta th a t h a s been i n secu re stora g e, to be u sed on l y i n th e even t of a ch a l l en g e to th e a u th en ti ci ty of th e ‘l i ve’ d a ta , ca n be u sed to en h a n ce th e evi d en ti a l wei g h t of th e stored i n form a ti on . System a u d i t tra i l s sh ou l d be kept of a l l ba cku p a cti vi ty, wh i ch sh ou l d i n cl u d e d eta i l s of a n y probl em s i n cu rred d u ri n g th e proced u re. Th ese a u d i t tra i l s (see 4. 5 . 3 ) sh ou l d a l so d eta i l a l l d a ta fi l e recovery a cti vi ti es, i n cl u d i n g a d escri pti on of a n y probl em s experi en ced d u ri n g th e recovery proced u res. B a cku p m ed i a sh ou l d be h el d i n a secu re a n d en vi ron m en ta l l y su i ta bl e off-si te l oca ti on , a s pa rt of th e org a n i za ti on ’s bu si n ess con ti n u i ty pl a n (see 5 . 1 4. 9 ) . I t sh ou l d be tra n sferred to th e off-si te l oca ti on i n a secu re a n d m a n a g ed m a n n er (see 5 . 1 0. 4) . Wh ere th e stru ctu re of th e d a ta fi l es h el d on ba cku p m ed i a i s d i fferen t from th a t of th e ori g i n a l s, th e stru ctu re of th e ba cku p fi l es sh ou l d be d eta i l ed i n th e system d escri pti on m a n u a l . Proced u res for ch ecki n g th a t d a ta fi l e i n teg ri ty h a s n ot been com prom i sed d u ri n g a recovery from system fa i l u re sh ou l d be d ocu m en ted . M ed i a u sed for system a n d d a ta ba cku p a re n ot n ecessa ri l y su i ta bl e for l on g -term stora g e. M ed i a su ppl i ers u su a l l y provi d e i n form a ti on reg a rd i n g recom m en d a ti on s for l on g -term stora g e, i n cl u d i n g testi n g reg i m es. Al tern a ti vel y, i f su ch speci fi c i n form a ti on i s n ot a va i l a bl e, g en era l recom m en d a ti on s ca n often be fou n d i n n a ti on a l or i n tern a ti on a l sta n d a rd s, su ch a s B S 47 83 -2 .

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Syste m

m a in te n a n ce

Testi n g m ed i a on th e sa m e h a rd wa re ea ch ti m e i s n o g u a ra n tee th a t th e m ed i a ca n be rea d on oth er d evi ces, even of th e sa m e su ppl i er a n d m od el type. B a cku ps a re of n o va l u e i f th e on l y h a rd wa re th a t ca n rea d th em h a s been rem oved , i s l ost or i s n on -opera ti on a l . B a cku p m ed i a sh ou l d be tested a t reg u l a r i n terva l s, u si n g a va ri ety of h a rd wa re to rea d th e m ed i a .

KE Y I S S U E S

> B a ck u p a n d veri fy a l l el ectron i c fi l es a n d a ssoci a ted i n form a ti on , i n cl u d i n g m eta d a ta a n d a u d i t tra i l s, a t reg u l a r i n terva l s. > Store ba cku p m ed i a i n a secu re a n d en vi ron m en ta l l y su i ta bl e off-si te l oca ti on , wi th secu re tra n sfers. > Test th e vi a bi l i ty a n d rea d a bi l i ty of ba cku p m ed i a reg u l a rl y, a s pa rt of a bu si n ess con ti n u i ty (or oth er) pl a n . > Reten ti on of i n form a ti on on ba cku ps sh ou l d n ot be a l l owed to com prom i se th e effecti ve, ti m el y, con trol l ed d i sposa l of i n form a ti on u n d er th e term s of th e reten ti on a n d d i sposa l proced u res a n d reten ti on sch ed u l es.

5 . 1 4. 9 B u s i n e ss co n ti n u i ty p l a n n i n g

From ti m e to ti m e, probl em s a ri se wi th i n form a ti on m a n a g em en t system s th a t req u i re em erg en cy proced u res to be i m pl em en ted i n ord er to recover from th em . Su ch proced u res m a y i n vol ve th e tem pora ry u se of a d d i ti on a l or th i rd -pa rty resou rces. I n ord er to en su re th a t th e i n teg ri ty of i n form a ti on i s n ot com prom i sed d u ri n g th ese opera ti on s, a n a g reed a n d a pproved bu si n ess con ti n u i ty pl a n (som eti m es kn own a s a d i sa ster recovery pl a n ) sh ou l d be i m pl em en ted . Proced u res to be u sed i n ca ses of m a j or eq u i pm en t, en vi ron m en ta l or person n el fa i l u re sh ou l d be d evel oped , tested , m a i n ta i n ed a n d i m pl em en ted . Su ch proced u res sh ou l d en su re th a t th e i n teg ri ty of stored i n form a ti on i s n ot com prom i sed d u ri n g th ei r i m pl em en ta ti on .

KE Y I S S U E

> B u si n ess con ti n u i ty pl a n s sh ou l d i n cl u d e proced u res th a t en su re (or h i g h l i g h t a n y a ctu a l or poten ti a l i ssu es con cern i n g ) th e m a i n ten a n ce of th e i n teg ri ty of stored i n form a ti on , d u ri n g a n d a fter a n i n ci d en t.

5 . 1 5 S yste m

5.1 5.1

m a i n te n a n ce

G e n e ra l

Th e i n form a ti on m a n a g em en t system sh ou l d be m a i n ta i n ed a n d correcti ve m a i n ten a n ce ca rri ed ou t on l y by q u a l i fi ed person n el , to en su re th a t i ts perform a n ce d oes n ot d eteri ora te to su ch a n exten t th a t th e i n teg ri ty of th e d a ta ca ptu red , crea ted by or stored wi th i n i t i s a ffected . Preven ti ve m a i n ten a n ce sh ou l d be ca rri ed ou t reg u l a rl y, i n a ccord a n ce wi th th e su ppl i er’s recom m en d a ti on s. Th ese proced u res m a y be perform ed by system opera tors or by speci a l i zed servi ce person n el . A m a i n ten a n ce l og sh ou l d be kept, sta ti n g th e preven ti ve a n d correcti ve m a i n ten a n ce proced u res com pl eted . Th e l og sh ou l d i n cl u d e i n form a ti on reg a rd i n g system d own ti m e a n d d eta i l s of a cti on ta ken .



95

5 Operation

Wh ere system a ccess con trol s ca n be bypa ssed d u ri n g m a i n ten a n ce of h a rd wa re a n d /or softwa re, person n el perform i n g su ch processes sh ou l d be stri ctl y con trol l ed , m on i tored a n d a u d i ted .

KE Y I S S U E

> Th ere sh ou l d be d ocu m en ted proced u res u sed for reg u l a r preven ti ve a n d correcti ve m a i n ten a n ce (i n cl u d i n g a ppropri a te secu ri ty i ssu es) .

5 . 1 5 . 2 S ca n n i n g

syste m s

I t i s of speci fi c i m porta n ce i n a d ocu m en t sca n n i n g system th a t d ocu m en t sca n n ers a re m a i n ta i n ed i n a ccord a n ce wi th th e m a n u fa ctu rer’s speci fi ca ti on s, i n ord er th a t i m a g e q u a l i ty i s m a i n ta i n ed . Th i s m a i n ten a n ce wi l l a l so i m prove th e rel i a bi l i ty of d ocu m en t feed system s, th u s red u ci n g th e ri sk of ‘d ou bl e feed s’. Wh ere d ocu m en t sca n n i n g i s i m pl em en ted , proced u res d escri bed u n d er ‘Q u a l i ty con trol ’ (see 5 . 2 . 3 . 7 ) sh ou l d be u sed to ch eck th a t a sca n n i n g system con ti n u es to prod u ce th e ou tpu t q u a l i ty req u i red of th e system a fter th e m a i n ten a n ce proced u res h a ve been com pl eted . Th ese test resu l ts m a y be u sed to con fi rm , a t a n y l a ter d a te, th a t a n y poor q u a l i ty i m a g es were n ot d u e to m a l fu n cti on of th e system . I f th ere i s, h owever, a n y d eteri ora ti on i n th e ou tpu t q u a l i ty, th e i m pl em en ta ti on of a ppropri a te correcti ve m a i n ten a n ce proced u res wi l l be n ecessa ry.

KE Y I S S U E

> Reg u l a r m a i n ten a n ce, pa rti cu l a rl y of sca n n ers, wi l l i m prove system q u a l i ty a n d perform a n ce.

5 . 1 6 E xte rn a l

5. 1 6. 1

s e rvi ce p ro vi s i o n

G e n e ra l

D E FI N I TI O N S

O u tsou rce – wh ere pa rt of a n org a n i za ti on ’s fu n cti on i s g i ven to a th i rd -pa rty servi ce provi d er to ru n on i ts beh a l f N O TE : Th i s often i n cl u d es a tra n sfer of workers to th e th i rd pa rty.

I n sou rce – wh ere fu n cti on s a re brou g h t i n to a com pa n y from a th i rd -pa rty servi ce provi d er. Th i s cou l d be th e reversa l of a previ ou s ou tsou rce d ea l or wh ere th ere i s a ben efi t from a com bi n ed opera ti on Co-sou rce – wh ere two or m ore org a n i za ti on s form a pa rtn ersh i p, j oi n t ven tu re or si m i l a r a l l i a n ce for m u tu a l ben efi t M a n y org a n i za ti on s h a ve fou n d i t cost-effecti ve to su bcon tra ct n on -core pa rts of th ei r bu si n ess to th i rd pa rti es th a t h a n d l e th ese fu n cti on s for m a n y org a n i za ti on s. E xa m pl es of su ch ven tu res i n cl u d e bu i l d i n g secu ri ty, bu i l d i n g m a i n ten a n ce, ca teri n g , com pu ter a ppl i ca ti on su pport, com pu ter m a i n ten a n ce a n d ba si c bu si n ess opera ti on s su ch a s open i n g post a n d sca n n i n g d ocu m en ts, i n d exi n g , d a ta con versi on a n d si m i l a r servi ces. M a n y com pa n i es h a ve tra n sform ed th em sel ves i n to org a n i za ti on s th a t l ook to g row by ta ki n g on th ese fu n cti on s. Th e term com m on l y u sed to d efi n e th i s tra n sfer of bu si n ess fu n cti on i s ‘ou tsou rci n g ’.

96


5. 1 6 Extern a l service provision

Wh en con si d eri n g ou tsou rci n g , th e req u i rem en t for th e u se of, a n d com pl i a n ce wi th B S 1 0008, sh ou l d be com m u n i ca ted to th e th i rd pa rty a s pa rt of th e d u e d i l i g en ce process a n d con ti n u ed com pl i a n ce wi th B S 1 0008 sta ted a s a req u i rem en t, a n d th u s i n cl u d ed i n servi ce con tra cts. Wh ere th e con tra ct d oes n ot req u i re th a t th e th i rd pa rty m u st com pl y wi th a l l rel eva n t req u i rem en ts of B S 1 0008 a n d recom m en d a ti on s of th e Cod e, th e org a n i za ti on ’s i n specti on proced u res on servi ces provi d ed sh ou l d be su ch th a t n o a ssu m pti on s a re m a d e reg a rd i n g th e com pl eten ess, q u a l i ty a n d a ccu ra cy of th e servi ces. Sh ou l d th i s be th e ca se, n on -com pl i a n t th i rd -pa rty proced u res sh ou l d be i d en ti fi ed . I n tern a l proced u res for th e i n specti on of th e ou tpu t from th e th i rd pa rty sh ou l d be u sed to en su re th a t su ch n on -com pl i a n ces d o n ot resu l t i n poten ti a l or a ctu a l com prom i se to th e a u th en ti ci ty, i n teg ri ty a n d /or a va i l a bi l i ty of th e el ectron i c i n form a ti on . Th e proced u res a n d recom m en d a ti on s i n th i s secti on cover a n y type of servi ce, i n cl u d i n g th ose provi d ed on a fa ci l i ti es m a n a g em en t ba si s, a n d a re i n ten d ed to en su re th a t:

•

wh ere work i s ca rri ed ou t by a th i rd -pa rty servi ce provi d er, th e resu l ti n g i n form a ti on stored by th e cl i en t wi l l be eq u a l l y a d m i ssi bl e l eg a l l y, a s i f th e work h a d been d on e wh ol l y wi th i n th e org a n i za ti on ;

•

th e org a n i za ti on ca n d em on stra te com pl i a n ce, m a n y yea rs a fter th e even t, even i f th e th i rd -pa rty servi ce provi d er h a s cea sed to tra d e.

Wh ere work i s u n d erta ken off-si te, d eta i l s of th e proced u res u sed i n th e tra n sfer of i n form a ti on a n d /or m ed i a from th e cl i en t to th e servi ce provi d er, a n d from th e servi ce provi d er to th e cl i en t, sh ou l d be d ocu m en ted (see 5 . 1 0) . Wh ere th e th i rd -pa rty servi ce provi d er u ses proced u res th a t com pl y wi th B S 1 0008, th e org a n i za ti on sh ou l d h ol d a copy of, or h a ve a ccess to wh en req u i red , th e th i rd -pa rty servi ce provi d er’s com pl i a n ce d ocu m en ta ti on . Wh ere th e org a n i za ti on i s a l rea d y opera ti n g i n com pl i a n ce wi th B S 1 0008, a l l processes to be tra n sferred to th e th i rd -pa rty servi ce provi d er wi l l n eed to be re-eva l u a ted a n d th e ou tsou rce com pa n y wi l l n eed to d em on stra te com pl i a n ce. Th e ba si c processes, su ch a s secu ri ty a n d sta ff referen ces, sh ou l d a l rea d y h a ve been com pl eted a s pa rt of th e d i scu ssi on s l ea d i n g u p to th e bu si n ess proposa l . Th e com pl i a n ce workbook, B I P 0009 , sh ou l d be u sed to a ssess th e com pl ete ch a n g ed en vi ron m en t. D epen d i n g on th e org a n i za ti on ’s a u d i t a n d com pl i a n ce ru l es, n ew com pl i a n ce i ssu es cou l d a ri se j u st by u si n g a th i rd -pa rty servi ce provi d er. Th ese cou l d i n cl u d e th e req u i rem en t for g rea ter l evel s of secu ri ty, en crypti on of d a ta l i n ks a n d sta ff vetti n g proced u res. Wh en worki n g wi th th i rd -pa rty servi ce provi d ers, i t i s i m porta n t to pa y pa rti cu l a r a tten ti on to th e m a n a g em en t i n terfa ce between th e pa rti es a n d to th e resol u ti on processes for i ssu es a n d probl em s a ri si n g between th e pa rti es, pa rti cu l a rl y wh ere com pl i a n ce wi th B S 1 0008 m a y be com prom i sed . Wh ere I T-rel a ted servi ces a re bei n g su bcon tra cted , i t m a y be a ppropri a te to u se th e provi si on s con ta i n ed i n B S I SO /I E C 2 0000-1 : 2 01 1 , In form a tion tech n ology — Service m a n a gem en t — Pa rt 1 : Service m a n a gem en t system requirem en ts. Th i s sta n d a rd speci fi es th e best pra cti ce req u i rem en ts for a set of

i n terrel a ted m a n a g em en t processes a n d form s th e ba si s of a n a u d i t-m a n a g ed servi ce. Ad vi ce on i m pl em en ti n g th i s sta n d a rd ca n be fou n d i n B S I SO /I E C 2 0000-2 : 2 01 2 , In form a tion tech n ology — Service m a n a gem en t — Pa rt 2: Guida n ce on the a pplica tion of service m a n a gem en t system s , wh i ch provi d es

a d vi ce a n d g u i d a n ce on Pa rt 1 a n d offers a ssi sta n ce to org a n i za ti on s th a t a re pl a n n i n g servi ce i m provem en ts or to be a u d i ted a g a i n st B S I SO /I E C 2 0000-1 . B SI h a s a l so pu bl i sh ed B I P 0005 a n d B I P 001 5 (2 01 2 ) , IT service m a na gem en t self-a ssessm en t workbook. I t i s a l so i m porta n t to en su re th a t a l l com pl i a n ce d ocu m en ta ti on i s u pd a ted to refl ect th e ch a n g ed proced u res. I d ea l l y, th ese revi si on s sh ou l d be com pl eted a s pa rt of th e d esi g n process a n d before th e opera ti on i s tra n sferred .

Eviden tia l weigh t a n d lega l a dm issibility of in form a tion stored electron ica lly

97

5 Operation

KE Y I S S U E S

> I n cl u d e com pl i a n ce wi th B S 1 0008 i n con tra cts wi th a ppropri a te th i rd -pa rty servi ce provi d ers. > I n cl u d e th e ri g h t to a u d i t th e th i rd -pa rty servi ce provi d er’s proced u res to veri fy com pl i a n ce wi th B S 1 0008 i n con tra cts wi th a ppropri a te th i rd -pa rty servi ce provi d ers.

5 . 1 6 . 2 Cl o u d

s e rvi ce s

An i m porta n t d el i very m eth od for extern a l l y provi d ed servi ces i s l evera g i n g i n tern et tech n ol og i es i n wh a t i s ca l l ed ’th e cl ou d ’.

D E FI N I TI O N

Th e ph ra se ’i n th e cl ou d ’ i s com m on l y u sed to refer to softwa re, pl a tform s, i n fra stru ctu re, etc. th a t a re sol d ’a s a servi ce’ a n d a ccessed by th e u ser con n ected to th e servi ce provi d er’s fa ci l i ti es a n d com pu ti n g a ssets rem otel y th rou g h a n etwork, com m on l y th e i n tern et. Th e N a ti on a l I n sti tu te of Sta n d a rd s a n d Tech n ol og y (N I ST) www. n i st. g ov/i tl /cl ou d /i n d ex. cfm pu bl i ca ti on s reg a rd i n g cl ou d com pu ti n g i d en ti fy fi ve essen ti a l ch a ra cteri sti cs of cl ou d com pu ti n g :

• • • • •

on -d em a n d sel f-servi ce; broa d n etwork a ccess; resou rce pool i n g ; ra pi d el a sti ci ty; m ea su red servi ce.

Th i s u se of th e term ’a s a servi ce’ h a s l ed to a n u m ber of servi ce m od el s, th e fi rst th ree fea tu ri n g i n th e N I ST pu bl i ca ti on s (th e l i st wi l l g row i n l i n e wi th i m a g i n a ti on of m a rketi n g professi on a l s) :

• • • • •

Sa a S IaaS

Softwa re a s a Servi ce; I n fra stru ctu re a s a Servi ce;

Pa a S

Pl a tform a s a Servi ce;

NaaS

N etwork a s a Servi ce;

D Ra a S

D i sa ster Recovery a s a Servi ce.

N I ST h a ve i d en ti fi ed fou r d epl oym en t m od el s:

• • •

pri va te cl ou d , opera ted sol el y for a si n g l e org a n i za ti on ;

•

h ybri d cl ou d , servi ce provi si on u ti l i zi n g a com bi n a ti on of two or m ore cl ou d s (pri va te,

pu bl i c cl ou d , over a pu bl i c n etwork, su ch a s th e i n tern et; com m u n i ty cl ou d , sh a red between a com m u n i ty of org a n i za ti on s wi th com m on con cern s for secu ri ty, j u ri sd i cti on , com pl i a n ce, etc. ;

com m u n i ty or pu bl i c) . N O TE : M a n y cl ou d servi ce provi d ers Term s of Servi ce i m pl i ci tl y or expl i ci tl y a cq u i re ri g h ts to th e i n form a ti on on th e servi ce provi d er’s i n fra stru ctu re. Th i s a n d th e ri g h ts of th e cu stom er org a n i za ti on to th i s i n form a ti on a t th e term i n a ti on of th e bu si n ess rel a ti on sh i p, ei th er pl a n n ed or u n pl a n n ed , sh ou l d be con si d ered .

5 . 1 6 . 3 Pro ce d u ra l


Wh ere th e th i rd -pa rty servi ce provi d er ca n d em on stra te th e i m pl em en ta ti on of proced u res th a t con form to B S 1 0008, th e servi ces con tra ct n eed on l y con fi rm th i s si tu a ti on , a n d con ta i n a g reed proced u res for ch ecki n g con ti n u i n g com pl i a n ce.

98


5. 1 6 Exte rn a l se rvice

p ro visio n

I n d epen d en t certi fi ca ti on of com pl i a n ce to B S 1 0008 or, for i n form a ti on secu ri ty m a n a g em en t, B S I SO /I E C 2 7 001 m a y a ssi st i n m eeti n g th ese req u i rem en ts bu t i t sh ou l d be n oted th a t su ch certi fi ca ti on m a y n ot i n cl u d e a n y l i a bi l i ty on beh a l f of th e servi ce provi d er. Wh ere th e servi ce provi d er d oes n ot sh a re i n form a ti on reg a rd i n g th ei r processes a n d proced u res or com pl i a n ce wi th th em , th e org a n i za ti on m a y n eed to rel y u pon com m i tm en ts m a d e wi th i n th e servi ce provi d er’s con tra ctu a l term s a n d servi ce l evel a g reem en ts. Th e fol l owi n g l i st d efi n es proced u res a n d processes th a t n eed to be revi ewed a n d i n cl u d ed wi th i n th e a g reed proced u res a s a ppropri a te:

• •

th e a bi l i ty to prod u ce ou tpu t a n d a u th en ti ca ted ou tpu t to a g reed a ccepta bl e q u a l i ty sta n d a rd s; th e a bi l i ty to process a sa m pl e of i n pu t m a teri a l (e. g . d a ta fi l es or pa per d ocu m en ts for sca n n i n g ) to prod u ce ou tpu t on th e proposed m ed i a a n d i n th e proposed form a t a n d wh i ch ca n be su ccessfu l l y l oa d ed on th e cl i en t’s ta rg et system . Th i s sa m pl e sh ou l d be reta i n ed ;

• • •

th e a bi l i ty to provi d e, i n a rea d a bl e form , a copy of th e a u d i t tra i l s of th e processi n g u n d erta ken ; th e a bi l i ty to crea te i n d exi n g d a ta a ccu ra tel y (wh ere i n d exi n g servi ces a re provi d ed ) ; th a t th e proposed l oca ti on for th e work i s a ccepta bl e a n d m eets secu ri ty cri teri a a ppropri a te to req u i rem en ts;

•

th a t th ere i s n o si g n i fi ca n t i n crea se i n th e ri sk of d a m a g e to tra n sported m ed i a (e. g . pa per d ocu m en ts to be sca n n ed ) ;

• •

th a t effecti ve fi re (a n d oth er d a n g ers) d etecti on a n d preven ti on system s a re i m pl em en ted ; th a t a ppropri a te secu ri ty i s m a i n ta i n ed , i n cl u d i n g th e tru stworth i n ess of th e i n ten d ed opera ti on a l sta ff;

•

th a t, wh ere a ppropri a te, i n form a ti on sen t for processi n g sh ou l d be a ccessi bl e a t a l l rel eva n t ti m es.

KE Y I S S U E

> Wh ere th e servi ce provi d er opera tes i n com pl i a n ce wi th B S 1 0008, i n cl u d e i n th e servi ce con tra ct a sta tem en t m a ki n g th i s com pl i a n ce sta tu s a con d i ti on of con tra ct, tog eth er wi th a ppropri a te a u d i ti n g req u i rem en ts.

5 . 1 6 . 4 Tra n s p o rta ti o n

o f d o cu m e n ts

Wh ere d ocu m en ts a re ph ysi ca l l y m oved from th e org a n i za ti on to th e th i rd -pa rty servi ce provi d er’s prem i ses, opportu n i ti es exi st for th ei r l oss or d a m a g e. Proced u res n eed to be a g reed to en su re th a t th i s ri sk i s a ccepta bl e. Al l m a teri a l bei n g sh i pped sh ou l d be a d eq u a tel y pa cked to a voi d ri sk of d a m a g e, a n d be a ccom pa n i ed by a con trol d ocu m en t sta ti n g th e i d en ti ty a n d n u m ber of i tem s i n cl u d ed . Th e th i rd -pa rty servi ce provi d er sh ou l d prom ptl y ch eck recei ved m a teri a l a g a i n st th e d espa tch d ocu m en t a n d a d vi se th e sen d er of d i screpa n ci es a s soon a s pra cti ca l l y possi bl e. Tra n sporta ti on servi ces m a y be provi d ed by th e u ser’s own org a n i za ti on , by th e th i rd pa rty or by a n i n d epen d en t cou ri er. Th i rd pa rti es provi d i n g tra n sporta ti on servi ces sh ou l d be org a n i za ti on s d em on stra bl y m eeti n g th e q u a l i ty a n d rel i a bi l i ty cri teri a of th e org a n i za ti on . Record s sh ou l d be ta ken of th e d a te a n d ti m e a t wh i ch th e m a teri a l wa s h a n d ed over to th e tra n sporta ti on servi ce a n d th e d a te a n d ti m e a t wh i ch i t wa s recei ved by th e th i rd -pa rty servi ce provi d er, a n d of th e si g n i n g by th e person s h a n d i n g over a n d recei vi n g th e m a teri a l , respecti vel y. Th e sa m e process sh ou l d be i m pl em en ted on recei pt of retu rn ed m a teri a l .



99

5 Operation

KE Y I S S U E S

> I m pl em en t con trol proced u res to tra ck th e m ovem en t of d ocu m en ts between th e org a n i za ti on a n d th e th i rd -pa rty servi ce provi d er. > E n su re th a t secu ri ty a rra n g em en ts d u ri n g tra n sporta ti on a re a ppropri a te.

5 . 1 6 . 5 O ve rs e a s o u ts o u rci n g

Wh ere opera ti on s a re to be ou tsou rced oversea s, th e rem ote si te l oca ti on a n d i ts a bi l i ty to perform sa ti sfa ctory d i sa ster recovery cou l d i m pa ct on com pl i a n ce wi th B S 1 0008. I t i s possi bl e th a t a n i n d u stry reg u l a tory bod y m a y restri ct th e tota l percen ta g e of a n opera ti on th a t ca n be ou tsou rced oversea s. I n th e even t of probl em s i n th e l oca ti on of th e ou tsou rce org a n i za ti on (e. g . ea rth q u a ke or wa r) m a ki n g th e th i rd -pa rty system s u n a va i l a bl e, th e bu si n ess m a y n eed to perform m ore processi n g l oca l l y. I t sh ou l d be n oted th a t g ood th i rd -pa rty d i sa ster recovery a n d con ti n g en cy pl a n n i n g wi l l m a n a g e th i s con cern a n d a i d com pl i a n ce wi th B S 1 0008. Speci fy i n th e con tra ct th e l eg a l j u ri sd i cti on u n d er wh i ch con tra ct d i spu tes a re to be resol ved (e. g . E n g l i sh l a w) , a n d th e l oca ti on of a n y h ea ri n g (e. g . i n Lon d on ) . For exa m pl e, i f person a l d a ta a re i n cl u d ed i n th e i n form a ti on bei n g processed oversea s, com pl i a n ce wi th th e D a ta Protecti on Act 1 9 9 8 (D PA) cou l d be com prom i sed by th e tra n sfer of d a ta ou tsi d e th e E u ropea n E con om i c Area (E E A) i f a ppropri a te sa feg u a rd s a re n ot i n pl a ce, i n cl u d i n g :

•

en su ri n g com pl i a n ce wi th l eg i sl a ti on a n d /or reg u l a ti on , a n d i n pa rti cu l a r wi th th e D PA, i s n ot i n j eopa rd y th rou g h tra n sfer of fu n cti on s offsh ore, by i n cl u d i n g rel eva n t cl a u ses i n th e servi ce con tra ct; 1 1

•

wh ere n ecessa ry, seeki n g l eg a l a d vi ce (i n cl u d i n g wh ere d a ta protecti on i s con cern ed ) , a n d i n vol vi n g th e I n form a ti on Com m i ssi on er ea rl y i n th e ou tsou rce process d efi n i ti on .

KE Y I S S U E

> Ta ke a d d i ti on a l ca re wi th oversea s ou tsou rce con tra cts, wh en com pa red wi th U K- or E E A-ba sed con tra cts.

5 . 1 6 . 6 Re g u l a to ry i s s u e s

O rg a n i za ti on s sh ou l d ch eck to see wh eth er th ei r i n d u stry reg u l a tory a u th ori ti es h a ve ru l es on wh a t bu si n ess fu n cti on s ca n a n d ca n n ot be ou tsou rced . Con cern m a y a l so be expressed i f a reg u l a tory bod y con si d ers i t ca n n ot exerci se i ts powers com pl etel y wh en a pa rti cu l a r ou tsou rci n g con tra ct i s i n pl a ce.

E XAM PLE Th e FCA 1 2 wou l d be con cern ed i f a fi n a n ci a l i n sti tu ti on ou tsou rced pa rti cu l a r fu n cti on s a n d th e FCA con si d ered th a t d ou bt cou l d be expressed a bou t th e servi ce provi d er’s a bi l i ty to em pl oy a d eq u a te system s a n d con trol s.

11

Wh ere th e p ro cessi n g o f p erson a l d a ta i s ca rri ed ou t i n th e U SA, con si d era ti o n sh ou l d b e g i ven b y th e U S org a n i za ti on to si g n i n g

12

www. fca . org . u k

u p to th e ‘sa fe h a rbor’ p ri n ci pl e (see www. expo rt. g ov/sa feh a rbo r/) .

1 00


5. 1 6 Exte rn a l se rvice

I t i s th u s i m p o rta n t to p o ssi b l e . s e rvi ce

F u rt h e r,

i n vo l ve

e n s u re

p ro vi d e r a n d

yo u r i n d u s t ry re g u l a t o ry b o d y a s e a rl y i n

th a t t h e

wh e re

th e

re g u l a to ry b o d y i s ke p t i n fo rm e d

wo rk wi l l

be

an

o u ts o u rc i n g

a b o u t th e

p ro visio n

p ro ce s s a s

p ro p o s e d

l o ca ti o n

o f th e

p ro ce s s e d .

KE Y I SSU E >

I d e n ti fy a n y re g u l a to ry i s s u e s wi th

a p p ro p ri a te ,

s e e ki n g

l eg a l

a d vi ce

o ve rs e a s o u ts o u rce

wh e re

co n tra ct s ,

and

d ea l

wi th

th e m

as

n e ce s s a ry.

5. 1 6. 7 D a ta i n teg ri ty a n d l on g -term a va i l a bi l i ty Wh e re n eed

d a ta

to

be

a re

i n fo rm a t i o n wi t h

BS

been

s to re d

re m o t e l y,

i m p l e m e n te d i f th e

1 0008,

a l te re d

and

o u ts o u rce

m i g ra ti o n

e s p e ci a l l y o ve rs e a s ,

a u d i te d .

Th e s e

a rra n g e m e n t i s te rm i n a te d

p a t h s fo r d a t a

a t a n y s ta g e .

a d e q u a te

Th e

wi l l

o u t s o u rce

co n tro l


n eed

to

p ro ce d u re s a n d

i n cl u d e

fo r a n y re a s o n .

d e m o n s tra te

p a rtn e r o r a g e n t wi l l

th e In

o rd e r to

th a t th e

h a ve

to

a b i l i ty t o

p ro ce s s e s wi l l

re co ve r t h e

re m a i n

co n te n t co u l d

d e m o n s tra t e

co m p l i a n t

n o t h a ve

co m p l i a n ce

in

th i s

a re a .

KE Y I SSU E S >

E n s u re

and

t h a t th e

o ve r th e

>

Th e

>

Th e re

th i rd - p a rty s e rvi c e

s t o ra g e

m ed i a

th i rd - p a rty s e rvi ce

sh ou l d

th a t a g re e d

be

in

p ro vi d e r h a s s a ti s fa cto ry co n tro l s o ve r d o cu m e n ts s e n t t o th e

p ro ce s s i n g

p ro vi d e r s h o u l d

a d e q u a te

s e rvi ce

u se d

h a ve

co n ti n g e n cy a n d

l e ve l s wi l l

be

m a i n ta i n e d

a

cl e a r m e d i a

m i g ra ti o n

s tra t e g y.

d i s a s te r re co ve ry p ro ce s s e s , u n ti l

it

o f th e m .

n o rm a l

s e rvi ce

i n cl u d i n g

th e

ve ri fi c a t i o n

i s re s to re d .

5. 1 6. 8 Com peti tors N o te

th a t a

t h i rd - p a rty s e rvi ce

co m p e t i to rs . p l a ce

and

P ro ce s s e s a n d

th a t d a ta

th i rd - p a rt y s e rvi ce

I t m a y a l so

be

o f ru l e s a n d

p ro vi d e r m a y h a ve

p ro ce d u re s wi l l

co n fi d e n ti a l i ty a n d

n eed

o u t s o u rci n g

to

be

d e a l s wi th

p ro vi d e d

i n te g ri ty ca n n o t b e

to

yo u r o rg a n i z a ti o n ’s

e n s u re

th a t ‘ C h i n e s e

u n kn o wi n g l y co m p ro m i s e d

wa l l s ’

a re

in

b y th e

p ro vi d e r.

i m p o rta n t to

co n fi rm

th a t th e

i n d u s t ry re g u l a t o r i s s a ti s fi e d

th a t t h e re

a re

no

b re a ch e s

g u i d e l i n e s.

KE Y I SSU E >

E n s u re

t h a t th e

co n fi d e n ti a l i ty,

th i rd - p a rty s e rvi c e

p a rt i cu l a rl y wh e re

p ro vi d e r h a s s a ti s fa cto ry co n tro l s o ve r i n fo rm a t i o n

th e y a re

a l so

p ro ce s s i n g

wo rk fo r yo u r co m p e ti to rs .

5. 1 6. 9 U se of tru sted stora g e fa ci l i ti es A s e cu re

m e a n s fo r d e te cti n g

fi l e ,

s to re

i s to

a u t h e n ti ca te d

a

co p y o f t h e

co p y o f t h e

e l e ctro n i ca l l y to

th e

t h i rd

a n y ta m p e ri n g

d a ta

fi l e

wi th

e l e ctro n i c fi l e p a rt y,

u si n g

a

wi th

sh ou l d

s e cu re

a

tru s te d be

d a ta

fi l e ,

t h i rd

made

o r fo r ve ri fyi n g

p a rty. and

Wh e re

d e l i ve re d

s u ch

th e an

c o n te n ts o f a

a p p ro a ch

d a ta

i s ta ke n ,

an

e i th e r p h ys i ca l l y o r

m ea n s.



1 01

5 Operation

Th e th i rd pa rty sh ou l d fol l ow th e rel eva n t proced u res for th e stora g e of i n form a ti on a s req u i red by B S 1 0008, a n d sh ou l d be a bl e a n d prepa red to d em on stra te, i n th e sa m e m a n n er a s th e own er, th e effecti ven ess a n d secu ri ty of i ts servi ces to th e sa ti sfa cti on of a cou rt of l a w. Wh ere d i g i ta l si g n a tu res a re u sed for a u th en ti ca ti on , i n stea d of stori n g d i g i ta l si g n a tu res i n i ts own system , th e org a n i za ti on m a y tra n sm i t th e d i g i ta l si g n a tu re of a fi l e to a tru sted th i rd pa rty. Th a t th i rd pa rty wi l l store th e d i g i ta l si g n a tu re i n secu re con d i ti on s, su ch th a t i t m a y be retri eved l a ter.

KE Y I S S U E S

> Wh ere tru sted stora g e i s u sed , i m pl em en t processes to en su re th a t th e th i rd pa rty recei ves tru e copi es. > Wh ere tru sted stora g e i s u sed , revi ew th e th i rd pa rty’s system s for com pl i a n ce wi th B S 1 0008.

5 . 1 7 I n fo rm a ti o n

m a n a g e m e n t te s ti n g

I t i s i m porta n t th a t system s a re tested pri or to th ei r i n trod u cti on , a n d rou ti n el y th rou g h ou t th ei r l i fe. Su ch tests sh ou l d be d esi g n ed to en su re th a t th e i n form a ti on stora g e system m eets th e req u i rem en ts of th e org a n i za ti on i n a n effecti ve a n d effi ci en t m a n n er. To a ch i eve th i s obj ecti ve, tests n eed to be d evel oped th a t test th e va ri ou s fu n cti on s a n d fea tu res of th e system . Th ese tests sh ou l d be con si sten t wi th th e scope of th e i n form a ti on stora g e system . E a ch test sh ou l d h a ve a d efi n ed obj ecti ve, wh i ch m a y be to test a speci fi c system fu n cti on , or m a y i n vol ve a seri es of fu n cti on s. Test d a ta sh ou l d be ca refu l l y ch osen , pa rti cu l a rl y wh ere i n form a ti on a bou t i n d i vi d u a l s i s i n cl u d ed . Su ch processi n g wi l l n eed to be i n com pl i a n ce wi th th e D PA. For fu rth er i n form a ti on a bou t th e u se of person a l d a ta i n system testi n g , see B I P 0002 (2 009 ) ,

data in system testing .

Data protection: Guidelines for the use of personal

Testi n g sh ou l d be d esi g n ed i n su ch a wa y th a t a n y ri sk of a ffecti n g l i ve system s sh ou l d be a voi d ed . Th i s i s often a ch i eved by th e u se of a sepa ra te test system , m a ybe m a n a g ed u n d er a ‘m od el offi ce’ system . Su ch system s sh ou l d be ‘ri n g fen ced ’, su ch th a t a n y ou tpu t from th e system th a t wou l d n orm a l l y be sen t to org a n i za ti on s or i n d i vi d u a l s n ot i n vol ved i n th e testi n g i s i n tercepted a n d reta i n ed wi th i n th e testi n g en vi ron m en t. Test resu l ts sh ou l d be revi ewed i n l i n e wi th th e sta ted test obj ecti ves, a n d a con cl u si on rea ch ed a s to wh eth er th e test resu l ts were a ccepta bl e or n ot. Resu l ts of tests sh ou l d be reta i n ed i n l i n e wi th th e reten ti on sch ed u l e.

KE Y I S S U E

> System testi n g sh ou l d be u sed to veri fy th a t th e bu si n ess req u i rem en ts of th e system a re m et.

1 02


6 Perform a n ce eva l u a ti on

6. 1

M o n i to ri n g , m e a su rem e n t, a n a l ysi s a n d eva l u a ti o n

Th i s secti on of th e Cod e rel a tes to Cl a u se 9 of B S 1 0008, ‘Perform a n ce eva l u a ti on ’. I n ord er to be a bl e to d em on stra te th e effecti ven ess of th e m a n a g em en t of stored el ectron i c i n form a ti on over ti m e, th e system u sed wi l l n eed to be m on i tored a n d revi ewed from ti m e to ti m e. Th u s, a u d i ts of th e system sh ou l d be u n d erta ken a t pl a n n ed i n terva l s. Su ch a u d i ts m a y:

• • • •

fol l ow a reg u l a r pa ttern (su ch a s on a n a n n u a l ba si s) ; be ba sed on si g n i fi ca n t ch a n g es to th e system ; be a s a resu l t of a m a j or system fa i l u re; a n d /or be ‘wi th ou t wa rn i n g ’.

6 . 2 I n tern a l a u d i t

6. 2. 1

Au d i t re q u i re m e n ts

Th e essen ti a l ch a ra cteri sti cs of a n a u d i t sh ou l d be born e i n m i n d wh en d evel opi n g a n a u d i t pl a n for a proced u re or system . Th e essen ti a l fea tu res of a n a u d i t a re th a t i t:

• • • • •

h a s a cl ea rl y d efi n ed pu rpose; i s ba sed on cl ea rl y d efi n ed a n d m ea su ra bl e cri teri a ; i s pl a n n ed a n d u n d erta ken com peten tl y; rea ch es a fa i r a n d obj ecti ve con cl u si on ; i s d ocu m en ted i n ea ch of th ese respects.

Th e resu l ts of a n a u d i t wi l l be a n a u d i t opi n i on . Su ch a n opi n i on sh ou l d n ot m i sl ea d . Th e resu l ts sh ou l d i n cl u d e a cl ea r expl a n a ti on of th e pu rpose of th e a u d i t, i d en ti fy th e cri teri a on wh i ch th e a u d i t wa s ba sed a n d d escri be th e key fea tu res of th e a u d i t a pproa ch (e. g . sou rces of a u d i t evi d en ce, th e exten t of rel i a n ce on i n tern a l con trol s, u se of sa m pl i n g tech n i q u es a n d a n y si g n i fi ca n t a ssu m pti on s) . Th ey sh ou l d a l so d escri be th e a u d i tor’s q u a l i fi ca ti on s for u n d erta ki n g th e work.

KE Y I S S U E

> Au d i ts sh ou l d be d efi n ed , pl a n n ed a n d u n d erta ken a g a i n st a g reed cri teri a to en a bl e a su i ta bl e a u d i t opi n i on to be rea ch ed .

6 . 2 . 2 Au d i t p l a n n i n g

Th e i n i ti a l sta g e for th e pl a n n i n g of a n a u d i t i s to d eterm i n e th e pu rpose for th e a u d i t. Su ch a pu rpose m a y be to i d en ti fy a n y n on con form a n ce to proced u res, or m a y be to con fi rm con form a n ce to proced u res. O n ce th e pu rpose h a s been esta bl i sh ed , th e scope of th e a u d i t sh ou l d be i d en ti fi ed a n d record ed . Su ch a scope m a y en com pa ss th e wh ol e org a n i za ti on , a pa rti cu l a r pa rt of th e org a n i za ti on or a pa rti cu l a r process bei n g u n d erta ken wi th i n th e org a n i za ti on . I t m a y a l so be a ppropri a te to d efi n e a u d i t cri teri a . Su ch a d efi n i ti on wi l l provi d e a ben ch m a rk a g a i n st wh i ch to a ssess a process, wi th th e obj ecti ve of esta bl i sh i n g th e exten t to wh i ch th e a u d i ted process


1 03

6 Performance evaluation

co m p l i e s wi th

th e

s p e ci fi ca ti o n s ,

co d e s o f p ra c ti ce ,

Au d i t cri t e ri a

cri te ri a .

m a y be

s ta tu to ri l y i m p o s e d . m e e t th e

In

o f s ys te m s fo r u s e

wh i ch

be

to

o b j e cti ve s ta ke o f th e

An

b a se d

wo rk.

p l a ce

a u d i t te a m

opi n i on .

ca n

a

s u ch

to

in

th e

o b ta i n

a u d i t to

H o we ve r,

d e g re e

on l y be

a

vo l u n ta ri l y,

th a t th e

d e g re e

‘ re a s o n a b l e ’

o r s a fe ty cri t i ca l

th e

co n tra ctu a l l y o r

cri te ri a

o f a s s u ra n ce

a s s u ra n ce

th i s i s n o t a l wa ys th e

on

s ta n d a rd s o r p ro ce d u re s ,

o r s t a tu to ry re q u i re m e n ts .

th e m s e l ve s a d e q u a te l y

p ro ce s s .

ve ry h i g h

o f a s s u ra n ce

p ro vi d e d

m a y be

a s s u ra n ce

a u d i te d

p ro vi d e

h i g h l y s e cu re

high

and

p ro vi d e

a s i n te rn a l

o r co n tra ctu a l

ca s e .

Th e

a re

b a s i s o f ri g o ro u s a n d

a ct i vi ty i s fre e

e va l u a ti o n

s ys t e m s i s o n e

th a t a u d i t cri te ri a

t h a t a u d i t cri te ri a

th a t th e

e xa m p l e

a re fro m

and

of a

fo rm

of

m e t.

ti m e - co n s u m i n g

te s ti n g

at

co s t .

a u d i t sh o u l d

wi t h i n

p ro vi d e

o f a s s u ra n ce

co m m e n s u ra te

m a n y fo rm s ,

s ta ke h o l d e rs i n

e rro r o r n o n co n fo rm a n ce .

a u d i t th a t a i m s to

Th i s l e ve l

aim

i t i s g e n e ra l l y u n n e ce s s a ry to

ce rti fi ca t i o n

An

a u d i t m a y a l so

I t i s typ i ca l l y s u ffi ci e n t fo r th e

‘ m a t e ri a l ’

ta ke

i n d u s try s e cto r s ta n d a rd s ,

i n t e rn a l l y o r e xte rn a l l y d e fi n e d ,

An

re q u i re m e n ts o f th e

p ra cti ce ,

m e t.

Au d i t cri te ri a

on

a

q u a l i ty p l a n ,

Th i s h e l p s t o

in

and

a

l o g i ca l

a re

a u d i t pl a n

a s s i g n m e n t,

s u p p o rts t h e

re p o rts a n d

e vi d e n ce ,

s e q u e n ce ,

g i ve n

a l so

e n s u re

i n co rp o ra ti n g

th a t a l l a re

a p p ro p ri a te

th e

a l l o ca t e d

we i g h t i n

u n d e rp i n s d i s cu s s i o n s wi th

a g en d a

fo rm s a

fo r th e

a u d i t cl o s u re

p e rm a n e n t re co rd

th e

re l e va n t cri t e ri a ,

a cti vi ti e s t h a t a re to

s u i ta b l y s ki l l e d

re l a ti o n th e

to

p ro vi d e

and

o rg a n i z a t i o n

and,

o f wh a t h a s ta ke n

a

in

audit

m e m b e rs

fo rm i n g

p ri o r to

t o g e th e r wi t h

fra m e wo rk

m e e t th e

e xp e ri e n ce d

t h e i r i m p o rta n ce

a u d i te d

m e e ti n g

to

n e ce s s a ry to

th e

an

audit

th e

re l a te d

audit

p l a ce .

KE Y I S S U E S

>

Pl a n

>

Th e

a u d i ts a g a i n s t a n

l e ve l

o f a s s u ra n ce

a g re e d

p u rp o s e .

o b ta i n e d

wi l l

d epen d

u pon

g ood

pl a n n i n g

and

a d e q u a te

re s o u rce .

6 . 2 . 3 Au d i t p ro ce d u re s

Wh e re

• • • •

fu l l

th a t a l l

s ys te m

a u d i t i s u n d e rta ke n ,

a p p l i ca b l e

th a t e s t a b l i s h e d

p o l i ci e s a re

u n d e rta ke n ,

and

th e

be

in

p ro ce d u re s t h a t re vi e w th e

an

a p p ro p ri a t e

fo l l o wi n g :

m a n n e r;

fo l l o we d ;

te ch n o l o g y h a s b e e n

a u d i t s a re

sh o u l d

i m p l em e n te d

bei n g

te ch n o l o g y i s co n fi g u re d

p a rti a l

th e re

bei n g

p ro ce d u re s a re

th a t a p p ro p ri a te th a t th e

Wh e re th e

a

i m p l e m e n te d ; m a i n ta i n e d

in

p ro ce d u re s to

a cco rd a n ce

be

a d o p te d

wi t h

re q u i re m e n ts .

sh o u l d

be

s u ch

t h a t th e

sco p e

of

a u d i t i s fo l l o we d .

Th e re

sh o u l d

re s u l t s a n d

Th e re

be

p ro ce d u re s fo r th e

a n a l ys i s wi l l

sh o u l d

a l so

be

a

b e n e fi ci a l ,

o r e ve n

co n d u cte d

a u d i ts h a ve

l ea d

to

th e

p ro ce d u re

n e ce s s a ry, ta ke n

to

re co rd i n g

o f th e

a u d i t re s u l ts a n d

o f a n y a p p ro p ri a te

a n a l ys i s .

S u ch

a u d i t opi n i on .

fo r th e

p ro vi d e

re te n ti o n

e xte rn a l

o f e vi d e n ce

b o d i e s wi th

th a t a n

e vi d e n ce

a u d i t h a s ta ke n

p l a ce .

I t m a y be

th a t co m p e te n tl y p l a n n e d

and

p l a ce .

KE Y I S S U E S

1 04

>

Au d i ts m a y b e

>

R e ta i n

u n d e rta ke n

e vi d e n ce

o f th e

wh o l e

o r o f p a rt o f a

s ys t e m .

o f a u d i ts.


6. 3

6 . 2 . 4 S e l e cti o n

Ma n a g e m e n t re vie w

o f a u d i to rs

N u m erou s i n d i vi d u a l s or bod i es u n d erta ke a u d i ts. E a ch wi l l h a ve pa rti cu l a r rea son s for d oi n g so a n d pa rti cu l a r obj ecti ves to be m et. For exa m pl e:

•

i n tern a l a u d i tors provi d e top m a n a g em en t wi th a ssu ra n ces th a t pol i ci es a n d proced u res a re bei n g com pl i ed wi th ;

•

extern a l a u d i tors a re u sed wh ere a n i n tern a l a u d i t fu n cti on i s n ot a va i l a bl e, or wh ere a n extern a l

•

certi fi ca ti on bod i es a re u sed to certi fy a g a i n st extern a l sta n d a rd s, su ch a s B S E N I SO 9 001 a n d

•

i n d u stry reg u l a tors su ch a s th e Fi n a n ci a l Servi ces Au th ori ty (FSA) wi l l veri fy com pl i a n ce wi th

opi n i on i s req u i red by th e org a n i za ti on ;

B S I SO /I E C 2 7 001 ;

reg u l a tory req u i rem en ts;

•

g overn m en t d epa rtm en ts wi l l a ssess a n d report on com pl i a n ce wi th l eg a l req u i rem en ts, pa rti cu l a rl y i n th e a ccou n ts a n d ta xes fi el d s;

•

cu stom ers wi l l m on i tor th e a cti vi ti es of org a n i za ti on s wi th wh om th ey tra d e.

I n form a l a u d i ts a re a l so ca rri ed ou t rou ti n el y by l i n e m a n a g ers wh o revi ew th e proced u res u n d er th ei r con trol , a n d a ssess th ese proced u res for con form a n ce to pol i cy. Th e i m porta n t i ssu e wi th th e sel ecti on of a u d i tors i s th a t th e a u d i ts a re con d u cted i n a n obj ecti ve m a n n er, m eet th e a u d i t req u i rem en ts a n d prod u ce i m pa rti a l resu l ts.

KE Y I S S U E

> Sel ect th e a u d i tor wi th ca re, ta ki n g i n to con si d era ti on th e req u i red com peten cy a n d i n d epen d en ce.

6 . 3 M a n a g e m e n t re vi e w

6. 3 . 1

G e n e ra l

I n ord er to d em on stra te th a t th e system , i n cl u d i n g th e rel a ted proced u res, i s con ti n u i n g to provi d e th e effecti ve m a n a g em en t of stored i n form a ti on , reg u l a r m a n a g em en t revi ews sh ou l d be u n d erta ken . Fu rth er, th ese revi ews sh ou l d be u n d erta ken wh en ever si g n i fi ca n t ch a n g es to proced u res a n d /or tech n ol og y a re bei n g pl a n n ed a n d /or h a ve been i m pl em en ted .

KE Y I S S U E

> M a n a g em en t revi ews d eterm i n e wh eth er th e obj ecti ves of th e system a re bei n g m et.

6 . 3 . 2 B a si s fo r re vi e w

M a n a g em en t revi ews sh ou l d be ba sed on :

• • • •

g en era l a n d speci fi c feed ba ck from system u sers; resu l ts of th e va ri ou s a u d i ts (see 6. 2 ) ; record s of proced u ra l revi ews; record s of tech n ol og y m od i fi ca ti on s.



1 05

6 Pe rfo rm a n ce

e va lu a tio n

6 . 3 . 3 Re su l ts

Th e m a n a g em en t revi ew sh ou l d be u sed to a ssess wh eth er com pl i a n ce wi th B S 1 0008 i s m a i n ta i n ed . Wh ere a ri sk i s i d en ti fi ed th a t com pl i a n ce i s or m a y be com prom i sed , th en a fu l l revi ew of com pl i a n ce (see 6. 3 . 4) sh ou l d be u n d erta ken .

KE Y I S S U E

> U se th e resu l ts of th e m a n a g em en t revi ew to d eterm i n e wh eth er com pl i a n ce wi th B S 1 0008 i s m a i n ta i n ed .

6 . 3 . 4 D e m o n s tra ti n g

6. 3. 4. 1

co m p l i a n ce

Ge n e ra l

I n form a ti on m a n a g em en t system s sh ou l d be a u d i ted on a reg u l a r ba si s to en su re th a t th e provi si on s of B S 1 0008 a n d (wh ere a ppropri a te) th e Cod e a re bei n g m et a n d th a t th e a pproved proced u res a re bei n g a d h ered to. Th i s a u d i t sh ou l d revi ew a u d i t tra i l d a ta th a t a re prod u ced on a reg u l a r ba si s for evi d en ce of on g oi n g , con ti n u ou s com pl i a n ce. Th e com pl i a n ce workbook, B I P 0009 , m a y be u sed to en a bl e a com preh en si ve a ssessm en t to be m a d e of th e u ser’s system for con form i ty to B S 1 0008, a n d su bseq u en tl y to th e Cod e, a n d to h el p i d en ti fy wh i ch pa rts of th e sta n d a rd a n d Cod e a re rel eva n t to a system . Com pl i a n ce wi th B S 1 0008 a n d th e Cod e sh ou l d be cl a i m ed on l y i f a l l recom m en d a ti on s, a s sta ted i n th e workbook, h a ve been m et, or j u sti fi ca ti on s for a n y n on -a ppl i ca bl e recom m en d a ti on s d ocu m en ted . Com pl i a n ce wi th B S 1 0008 a n d th e Cod e sh ou l d be cl a i m ed vi a a n a u th ori zed sta tem en t, exa m pl es of wh i ch a re sh own i n 6. 3 . 4. 2 . Th e person i d en ti fi ed i n 2 . 3 a s bei n g respon si bl e for m a i n ta i n i n g com pl i a n ce wi th th e sta n d a rd a n d th e Cod e sh ou l d revi ew th e resu l ts of ea ch a u d i t a n d d ocu m en t/i m pl em en t a pl a n to a d d ress a n y n on -com pl i a n ces, wh i ch sh ou l d be re-a u d i ted . A record of com pl i a n ce wi th B S 1 0008 a n d th e Cod e sh ou l d be m a i n ta i n ed , a s pa rt of th e a u d i t tra i l . Th i s record sh ou l d i n cl u d e d eta i l s of wh i ch recom m en d a ti on s a re n ot con si d ered rel eva n t, a n d j u sti fi ca ti on s for th ese d eci si on s. Wh ere com pl i a n ce wi th previ ou s ed i ti on s of B S 1 0008 a n d th e Cod e h a s been cl a i m ed , copi es of th ose ed i ti on s sh ou l d be reta i n ed a s pa rt of th e com pl i a n ce a u d i t tra i l . Wh ere a n y ch a n g e i s m a d e to th e i n form a ti on m a n a g em en t system , or to rel eva n t proced u res, wh i ch a ffects com pl i a n ce wi th B S 1 0008 a n d th e Cod e, a n ew a u d i t of com pl i a n ce sh ou l d be u n d erta ken . Au d i ti n g m a y be ca rri ed ou t by a u th ori zed a n d tra i n ed i n -h ou se sta ff or by su i ta bl e th i rd pa rti es.

KE Y I S S U E S

> U se B I P 0009 to a u d i t a n d d ocu m en t com pl i a n ce wi th B S 1 0008 a n d th e Cod e. > Re-a u d i t on a reg u l a r ba si s, a n d d u ri n g m a j or system ch a n g es.

1 06



6. 3

6. 3. 4. 2

Sta te m e n t o f co m p lia n ce

6 . 3 . 4. 2 . 1

G e n e ra l

Co m p l i a n ce u pon

• • •

wi th

th e

en d

s ys t e m

1 0008

and

th e

th i rd

u s e r o rg a n i z a ti o n

Co d e

sh o u l d

a d vi ce

6 . 3 . 4. 2 . 2

a cti n g

be

th a t a

a s a u d i to r,

te xt fo r u s e

sh o u l d

End

i s cl a i m i n g

s u p p l i e r i s cl a i m i n g

p a rty,

Re co m m e n d e d l eg a l

BS

be

cl a i m e d

u si n g

‘ [ i n s e rt n a m e i n fo rm a t i o n

in

i s co n fi rm i n g

co m p l i a n ce

s o u g h t to

vi a

th e

e n s u re

o f o rg a n i z a ti o n ]

s ta te m e n t s h o u l d

Th e

6 . 3 . 4. 2 . 3

fo l l o wi n g

ca n a

be

u se d

in

co m p l i a n ce

s t a te m e n ts i s g i ve n

a

co m p l i a n t m a n n e r;

s ta tu s .

b e l o w.

Al te rn a t i ve

be

si g n e d

p o l i cy d o c u m e n t s h o u l d

S ys te m

wi th

BS

[ i n s e rt n a m e


i s o p e ra te d

by a n

in

[ i n s e rt n a m e co m p l i a n ce

o ffi ce r o f th e

i d e n ti fy th e

i n d i vi d u a l

i n fo rm a t i o n

u se d

in

a

o r o th e r i d e n ti fi ca ti o n

wi th

BS

o rg a n i z a t i o n ,

o r p o si t i o n

co m p l i a n t m a n n e r vi a

o r o th e r i d e n ti fi ca ti o n

in


6 . 3 . 4. 2 . 4 S ys te m

co m p l i a n ce

be

fo r th e

s ys te m ]

1 0 0 0 8 : 2 0 1 4. ’

s ta ti n g

wi th i n

fo r th e

si g n e d

wi th

by a n

BS

s ys te m ]

th e

th e

h i s o r h e r p o s i ti o n .


a u th o ri z e d

to

si g n

i n fo rm a ti o n

p ro vi d e s a l l

m a n a g e m e n t s ys t e m s m a y ce rti fy

fo l l o wi n g

s ta t e m e n t :

m a n a g e m e n t s ys te m

fa ci l i ti e s n e ce s s a ry fo r a

su p p l i e d

by

u s e r o f th i s s ys t e m

1 0 0 0 8 : 2 0 1 4. ’

o ffi ce r o f th e

s u p p l i e r o rg a n i z a t i o n ,

s ta ti n g


a u d i to rs

I n d i vi d u a l s o r o rg a n i z a t i o n s th a t co n d u ct a u d i t s o f i n fo rm a ti o n vi a

m a n a g e m e n t s ys te m s m a y

d e ve l o p e rs

o f i n te g ra to r/d e ve l o p e r/s u p p l i e r]

fo r i m p l e m e n ta t i o n

th e

fo l l o wi n g

‘ [ i n s e rt n a m e

o f a u d i ti n g

i d e n ti fi ca ti o n

fo r th e

o rg a n i z a ti o n ]

fo r co m p l i a n c e

Th e

bu t

1 0008.

i n te g ra to rs a n d

th a t th e i r s ys te m s m a y b e

co m p l i a n ce

u se d ,

s ta te m e n t:

I n d i vi d u a l s o r o rg a n i z a t i o n s th a t i n te g ra te /d e ve l o p /s u p p l y i n fo rm a ti o n

Th e

t e xt m a y b e

i ts s u i ta b i l i ty.

co n fi rm s t h a t th e


st a t e m e n t s o f co m p l i a n ce

‘ Th e

d i ffe r d e p e n d i n g

co m p l i a n ce ; s ys te m

I n d i vi d u a l s o r o rg a n i z a t i o n s th a t co n d u ct a u d i t s o f th e i r o wn

N O TE :

wh i ch

u s e r o rg a n i z a ti o n s

ce rti fy co m p l i a n ce

Th e

s ta t e m e n ts ,

wh e th e r:

th e a

Ma n a g e m e n t re vie w



s ys te m ]

be

m a n a g e m e n t s ys t e m s m a y ce rti fy

s ta t e m e n t :

o r i n d i vi d u a l ]

i n fo rm a ti o n wi th

si g n e d

BS

h a s a sse sse d


1 0008: 2 01 4 a n d

by a n

o ffi ce r o f th e

th e


o p e ra t e d

o r o th e r

b y [ i n s e rt n a m e

of

h e re b y ce rti fi e s i ts co m p l i a n ce . ’

a u d i ti n g

o rg a n i z a ti o n ,

s ta t i n g


KEY ISSUE >

Cl a i m

co m p l i a n ce

u si n g

an

a u t h o ri z e d

s ta t e m e n t .



1 07

7

I m p ro ve m e n t

7.1

G e n e ra l

Th i s s e cti o n

o f th e

I t i s i m p o rt a n t to e n s u re

th a t a n

ri s k o f a

Cod e

re l a te s to

i m p ro ve

i d e n ti fi e d

re a p p e a ra n ce

Cl a u se

1 0

p ro ce d u re s a n d

i ssu e

o f th e

i s re s o l ve d

i ssu e

of B S

‘ I m p ro ve m e n t’ .

s ys t e m s wh e re ve r a p p ro p ri a te . wi th o u t co m p ro m i s e

i s m i n i m i zed .

te ch n i q u e s a n d /o r t e ch n o l o g y th a t wi l l

1 0008,

i m p ro ve

Th e

to

th e

S u ch

s to re d

i m p ro ve m e n ts m a y a l s o

p e rfo rm a n ce

o r re d u ce

i m p ro ve m e n t s m a y b e

i n fo rm a ti o n , re l a te

o p e ra ti o n a l

to

and

to

t h a t th e

u p d a te d

co s ts .

KE Y I S S U E

>

E n s u re

t h a t p ro ce d u re s a n d

s ys t e m s a re

bei n g

m a i n ta i n e d

and

i m p ro ve d

b y a sse ssi n g

th e

co n c l u s i o n s o f a u d i ts .

7 . 2 N o n co n fo rm i ty a n d

7.2.1

co rre cti ve a cti o n s

G e n e ra l

An y p ro p o s e d

i m p ro ve m e n t i n


to

e n s u re

p ro ce d u re s a n d /o r te ch n o l o g y s h o u l d

th a t c o m p l i a n ce

wi th

th e

i n fo rm a t i o n

be

a sse sse d

p ri o r to

m a n a g em en t a n d

i ts

i n fo rm a ti o n

s e cu ri ty

p o l i ci e s i s n o t co m p ro m i s e d .

Wh e re

m a j o r ch a n g e s a re

p ro d u ce d p o ssi b l e

Wh e re

and

re ta i n e d

in

i m p l e m e n te d , line

a fte r ch a n g e s h a ve

m i g ra ti o n

wi th

been

th e

an

a u d i t tra i l

re te n ti o n

o f th e

s ch e d u l e .

ch a n g e

m a n a g e m e n t p ro ce d u re

Th i s a u d i t s h o u l d

be

co m p l e te d

sh ou l d

a s so o n

be

as

m a d e.

a n d /o r co n ve rs i o n

p ro ce d u re s a re

a ct i o n e d ,

th e

g u i d a n ce

in

5 . 8. 7

and

5 . 8. 8 sh o u l d

be

fo l l o we d .

7 . 2 . 2 N o n co n fo rm i ty

Act i o n s s h o u l d i n fo rm a t i o n

Th e

be

u n d e rta ke n

Wh e re

Wh e re

sh ou l d

th e

th e n

i d e n ti fi e d

wa ys o f re d u ci n g

Th e

re s u l t s o f th e

re ta i n e d

in

th e

in

6. 2 . 3

ri s k o f n o n c o n fo rm i ti e s i n

re l a t i o n

to

co m p l i a n ce

wi th

th e

s e cu ri ty p o l i ci e s .

sh o u l d

be

fo l l o we d

a t re g u l a r i n te rva l s to

i d e n ti fy a n y

e a rl y s ta g e .

n o n co n fo rm i ty i s fo u n d ,

ca u s e

re d u ce

i n fo rm a ti o n

a u d i t p ro ce d u re s i d e n t i fi e d

n o n co n fo rm i ty a t a n

th e

to


be

th e

ca u s e

c o m p l e te d ,

to

ri s k i s s i g n i fi c a n t,

th i s ri s k.

n o n co n fo rm i ty s h o u l d l i ke l i h o o d

o f th e

be

i d e n ti fi e d .

a cti o n s fro m

d e ta i l s o f th e

p re ve n ti ve

t h i s re vi e w s h o u l d

a cti o n s t a ke n

wi th

th e

re t e n t i o n

re d u ce

th e

ri s k o f n o n co n fo rm i ti e s o ccu rri n g .

An

e va l u a ti o n

of

n o n co n fo rm i ty re o ccu rri n g .

p ro ce d u re s a n d /o r te ch n o l o g y s h o u l d

An y i d e n t i fi e d

re vi e w a n d

a cco rd a n ce

o f th e

i d e n ti fy th e

be

sh o u l d

be

re vi e we d

to

i d e n ti fy

i m p l e m e n te d .

be

d o cu m e n te d

and

s ch e d u l e .

KE Y I S S U E

>

1 08

Ta ke

a cti o n

to


7. 3

Co n tin u a l im p ro ve m e n t

7 . 2 . 3 Co rre cti ve

From ti m e to ti m e, i ssu es wi l l a ri se th a t wi l l or m a y resu l t i n a n on con form i ty occu rri n g . Th ere m a y, for exa m pl e, be a n a ctu a l or a su spected secu ri ty brea ch . I n th ese i n sta n ces, correcti ve a cti on sh ou l d be ta ken to:

•

a ssess a n d d ocu m en t a n y com prom i se to th e a u th en ti ci ty, i n teg ri ty a n d /or a va i l a bi l i ty of th e i n form a ti on a ffected ;

•

i d en ti fy a n d a cti on proced u res for recovery from a n y com prom i se (m a ybe by a restore from ba cku p) ;

• • •

rea ssess th e stored i n form a ti on on ce recovery proced u res h a ve been i m pl em en ted ; d ocu m en t a n y resi d u a l i ssu es fou n d by th e rea ssessm en t; revi ew th e a cti on s ta ken a n d i d en ti fy (see 7 . 2 . 2 ) a cti on s to be ta ken to preven t a reoccu rren ce of th e i ssu e.

KE Y I S S U E

> Ta ke correcti ve a cti on to recover from n on con form i ti es.

7 . 3 Co n ti n u a l

7.3.1

i m p ro ve m e n t

G e n e ra l

Th ere sh ou l d be a m ech a n i sm for con si d eri n g a n d a cti n g on th e fi n d i n g s of a n a u d i t. Al th ou g h th e a u d i tor m a y recom m en d th e g en era l n a tu re of a n y rem ed i a l a cti on to correct probl em s u n covered by th e a u d i t, a n d m a y su bseq u en tl y u n d erta ke fu rth er work to a ssess th e exten t to wh i ch rem ed i a l a cti on h a s been su ccessfu l , i t i s n ot th e a u d i tor’s rol e to speci fy or i m pose pa rti cu l a r sol u ti on s. O rg a n i za ti on s sh ou l d revi ew th e resu l ts of a l l form s of a u d i ts (see 6. 2 . 3 ) wi th a n obj ecti ve of con ti n u a l l y i m provi n g th e system . Su ch i m provem en ts ca n ta ke m a n y form s:

• • • • • •

system effi ci en cy; system effecti ven ess; ea se of opera ti on ; speed of opera ti on ; red u ced ri sk of com prom i se to stored i n form a ti on ; red u ced ri sk of proced u res n ot bei n g fol l owed .

KE Y I S S U E

> Con ti n u a l i m provem en t sh ou l d be a n obj ecti ve of th e system .

7 . 3 . 2 Tra i n i n g

I n ord er to be a bl e to en su re th a t th e proced u res d eta i l ed i n th e proced u res m a n u a l (see 4. 5 . 2 ) a re fol l owed , sta ff n eed to be a wa re of th em , a n d h a ve th e a bi l i ty to fol l ow th em . Th i s si tu a ti on i s freq u en tl y a ch i eved by tra i n i n g , ei th er by speci fi c cou rses or d u ri n g d a y-to-d a y worki n g . Tra i n i n g sh ou l d be g i ven to sta ff pri or to th em bei n g g i ven a ccess to th e a ppropri a te pa rts of th e system . O n g oi n g tra i n i n g sh ou l d th en be u sed to i d en ti fy i m provem en ts wi th i n th e system .



1 09

7 Improvement

E XAM P LE

Afte r s p e ci fi c tra i n i n g ,

th e

th a t p ro ce d u re s fo r th e bei n g ti m e

fo l l o we d .

Ch e cks ,

o rg a n i z a ti o n ’s g ro u p

o p e ra ti o n i n cl u d i n g

a s o t h e r a u d i t ch e cks we re

of a l l

a u d i t fu n cti o n

a s p e cts o f t h e

s p o t ch e cks a n d

bei n g

to o k o n

i n fo rm a t i o n

s ch e d u l e d

th e

ro l e

o f ch e cki n g


re vi e ws ,

we re

made

a t th e

we re sa m e

m a d e.

KEY ISSUE >

Tra i n i n g

s ys t e m

1 1 0

i s n eed ed

a d h e re

to

to

e n s u re

a g re e d

th a t a l l

s t a ff wh o

h a ve

a cce s s t o

th e

i n fo rm a ti o n

m a n a g em en t

p ro ce d u re s .


An n ex A Ch a n g es between th e 2 008 a n d 2 01 4 versi on s

A. 1

G e n e ra l

Th i s a n n ex con ta i n s a d escri pti on of th e m a i n ch a n g es between th e 2 008 a n d 2 01 4 versi on s of th e Cod e. I n g en era l term s, th i s versi on of B I P 0008-1 i s th e resu l t of a n overa l l revi ew of th e text a n d tech n i ca l u pd a tes wh ere a ppropri a te. Th e scope of th e Cod e h a s been exten d ed to m a tch th e n ew scope of th e revi si on of B S 1 0008, wh i ch i n cl u d es th e fol l owi n g a d d i ti on s a n d ch a n g es:

•

recog n i ti on of th e si g n i fi ca n t ch a n g es i n recen t yea rs of h ow i n form a ti on i s m a n a g ed a s a n a sset i n org a n i za ti on s;

• • •

i n cl u si on of stru ctu red d a ta wi th i n th e scope; i n cl u si on of th e i m porta n ce of stewa rd sh i p of el ectron i c i n form a ti on a s a n org a n i za ti on a l a cti vi ty; restru ctu red to en a bl e a l i g n m en t wi th th e I SO M a n a g em en t System Sta n d a rd s stru ctu re a s d efi n ed i n An n ex SL of th e I SO /I E C D i recti ves, Pa rt 1 .

A. 2 E d i to ri a l

ch a n g e s

B SI h a ve pu bl i sh ed a d ocu m en t to a ssi st wi th i m pl em en ta ti on of th e I SO /I E C D i recti ves, An n ex SL en ti tl ed B I P 01 40 (2 01 3 ) ,

Understanding the new ISO management system requirements

wh i ch sta tes

(on pa g e 1 5) ’fa m i l i a r con cepts su ch a s PLAN -D O -CH E CK-ACT a n d preven ti ve a cti on s h a ve d i sa ppea red a n d repl a ced by n ew on es’. H owever, PD CA i s typi ca l l y i n corpora ted i n to n ew a n d revi sed m a n a g em en t system sta n d a rd s, on l y n ow th e PD CA cycl e i s n ot expl i ci tl y a d d ressed i n th e sta n d a rd a s wa s th e ca se i n ol d er versi on s. Th ere i s a m a ppi n g of th e PD CA cycl e i n th e stru ctu re of m a n a g em en t system sta n d a rd s th a t com pl y wi th An n ex SL:

Secti on on An n ex SL com pl i a n t

Topi c

PD CA ph a se

Cl a u se 4

Con text of th e org a n i za ti on

Pl a n

Cl a u se 5

Lea d ersh i p

Pl a n

Cl a u se 6

Pl a n n i n g

Pl a n

Cl a u se 7

Su pport

Pl a n

Cl a u se 8

O pera ti on s

Do

Cl a u se 9

Perform a n ce eva l u a ti on

Ch eck

Cl a u se 1 0

I m provem en t

Act

sta n d a rd

Ta b l e 5 – PD CA to I S O /I E C An n e x S L m a p p i n g

I t i s th erefore su g g ested th a t PD CA sh ou l d n ot be i g n ored ; i ts va l u e i s sti l l recog n i zed a n d a ppreci a ted .


111

Annex A Changes between the 2008 and 201 4 versions

Th e m a i n ed i tori a l ch a n g e from th e 2 008 ed i ti on of th e Cod e i s th e restru ctu ri n g to en a bl e i t to be u sed i n con j u n cti on wi th m a n a g em en t system sta n d a rd s su ch a s B S E N I SO 9 001 a n d B S I SO /I E C 2 7 001 .

A. 3 Te ch n i ca l

ch a n g e s

Th e m a i n tech n i ca l ch a n g e from th e 2 008 versi on i s th e a d d i ti on of d a ta stored i n stru ctu red d a ta ba ses a n d bi g d a ta con si d era ti on s. Th e tech n i ca l con ten t of th e secti on s on sca n n i n g system s h a s a l so been revi ewed . Sca n n i n g softwa re, a n d i n pa rti cu l a r fa ci l i ti es for extra cti n g d a ta from i m a g e fi l es (O pti ca l Ch a ra cter Recog n i ti on , O CR) h a s been u pd a ted i n th e l i g h t of i m proved recog n i ti on ra tes. Al so u pd a ted a re th e secti on s rel a ti n g to wri te-on ce-rea d -m a n y (WO RM ) tech n ol og y. Si n ce th e fi rst ed i ti on of th e Cod e (pu bl i sh ed i n 1 9 9 6) , WO RM tech n ol og y h a s prog ressed from opti ca l m ed i a wi th a wri te-on ce ca pa bi l i ty (opti ca l WO RM ) to system s th a t a re con trol l ed (by softwa re/fi rm wa re) to opera te i n a WO RM m od e. Som e j u ri sd i cti on s h a ve bu i l t a req u i rem en t for WO RM tech n ol og y to be u sed for th e stora g e of i n form a ti on th a t m a y be req u i red a s evi d en ce. H en ce th i s ca pa bi l i ty rem a i n s a n i m porta n t pa rt of th i s Cod e.

112


An n ex B D evel opm en t h i story

Versi on 1 – Pu bl i sh ed 1 9 9 6 Th e i d ea for a cod e of pra cti ce wa s i n i ti a l l y tri g g ered by th e con cern s a bou t th e a ccepta bi l i ty of el ectron i c i n form a ti on (wh eth er ori g i n a l s or copi es of pa per d ocu m en ts) expressed by m a n u fa ctu rers of com pu ter-ba sed i n form a ti on m a n a g em en t system s a n d u sers of su ch system s from a wi d e ra n g e of i n d u stry sectors. Th e form a ti on i n 1 9 93 of th e Leg a l I m a g es I n i ti a ti ve (LI I ) con sorti u m of org a n i za ti on s g a ve d i recti on a n d focu s, bu t th e g rea test en cou ra g em en t ca m e from th e u sers a n d m a n a g ers of i m a g e-ba sed el ectron i c i n form a ti on m a n a g em en t system s, wh o h a d a rea l a n d pressi n g n eed to u n d ersta n d a n d to resol ve th e i ssu es th a t a re th e su bj ect of th e Cod e. Work wa s focu sed a n d d i rected a t a n ea rl y sta g e by th e con cl u si on s rea ch ed a t a n open m eeti n g h el d i n Septem ber 1 9 9 3 , wh i ch i d en ti fi ed th e req u i rem en t for a vol u n ta ry cod e of pra cti ce. I n pa ra l l el to th e work of th e LI I , a g rou p u n d er th e spon sorsh i p of th e Com pu ti n g Su ppl i ers Fed era ti on (CSF) a n d th e U K Associ a ti on for I n form a ti on a n d I m a g e M a n a g em en t (U KAI I M ) prod u ced a d ra ft for con su l ta ti on , wh i ch brou g h t tog eth er th e work of over 3 0 org a n i za ti on s (system su ppl i ers a n d u sers) . Th e d ra ft focu sed u pon th e pra cti ca l req u i rem en ts of system s a n d opera ti on a l proced u res th a t wou l d be req u i red for a cod e of pra cti ce. Th ese two proj ects were a m a l g a m a ted u n d er th e ed i torsh i p of th e U KAI I M Sta n d a rd s Com m i ttee, u si n g th e Fi ve Pri n ci pl es d evel oped by th e I n form a ti on a n d D ocu m en t M a n a g em en t Associ a ti on (I D M A) for th e LI I a s th e u n d erl yi n g stru ctu re 1 3 a n d pra cti ca l req u i rem en ts i d en ti fi ed by th e CSF/U KAI I M g rou p a s th e d eta i l ed el em en ts. Versi on 2 – Pu bl i sh ed 1 9 9 9 Th e 1 9 9 6 ed i ti on 1 4 of th e Cod e covered i n form a ti on stored on WO RM opti ca l stora g e system s. Th e secon d , a n d re-ti tl ed , ed i ti on exten d ed th e Cod e to cover a n y type of el ectron i c stora g e m ed i u m , i n cl u d i n g th ose th a t a re rewri ta bl e, a n d i n corpora ted n u m erou s i m provem en ts stem m i n g from th e experi en ces of a n d com m en ts from u sers wh o h a d been a ppl yi n g th e 1 9 9 6 ed i ti on of th e Cod e. Versi on 3 – Pu bl i sh ed 2 004 Th e th i rd ed i ti on i n corpora ted a m a j or ed i tori a l revi si on of th e text, a n d th e i n cl u si on of pra cti ca l exa m pl es a n d ca se stu d i es on i m pl em en ta ti on tech n i q u es. Som e m i n or tech n i ca l ch a n g es were m a d e, pa rti cu l a rl y i n th e fol l owi n g secti on s:

• • • •

opti ca l ch a ra cter recog n i ti on ; ou tsou rci n g con si d era ti on s; d i g i ta l si g n a tu res a n d cryptog ra ph y; fi l e tra n sfer (m ed i a tra n sfer a n d el ectron i c tra n sm i ssi on ) .

Th i s ed i ti on a l so recog n i zed th e pu bl i ca ti on of I SO /TR 1 5 801 , wh i ch wa s ba sed on th e secon d ed i ti on of th e Cod e. Versi on 4 – Pu bl i sh ed 2 008 Th i s ed i ti on wa s pu bl i sh ed i n con j u n cti on wi th th e pu bl i ca ti on of B S 1 0008: 2 008. Th i s revi si on d i d n ot m a teri a l l y ch a n g e th e req u i rem en ts for com pl i a n ce wi th th e Cod e. Th e revi si on wa s u n d erta ken to u pd a te th e stru ctu re of th e Cod e to con form to th e ‘Pl a n -D o-Ch eck-Act’ m od el u sed by th e B ri ti sh sta n d a rd .

Principles of good practice for information management – n ow wi th d ra wn . Code of practice for legal issibility of information stored on electronic document management systems

13

Pu bl i sh ed a s PD 001 0: 1 9 9 8,

14

PD 0008: 1 99 6,


113

Annex B Development history

Ve rs i o n

5

– C u rre n t ve rs i o n

Th i s e d i ti o n

Th i s re vi s i o n Co d e

did

to

th e

re vi s i o n

1 1 4

co n j u n ct i o n

i n cre a s e d

s co p e ,

m a n a g em en t of bi g

wa s u n d e rta ke n

An n e x S L o f th e wh i ch

in

n o t m a te ri a l l y ch a n g e

n ow h a s a n

re l a te d

Th e

wa s p u b l i s h e d

to

i ts e l f h a s a

s tru ct u re

a l i g n ed

th e

th e

p u b l i ca ti o n

of B S

1 0 0 0 8 : 2 0 1 4.

re q u i re m e n ts fo r co m p l i a n ce

i n cl u d i n g

th e

u se

o f cl o u d

wi th

th e

s e rvi ce s fo r s e rvi ce

Co d e.

H o we ve r,

d e l i ve ry,

and

th e

th e i ssu e s

d a ta .

u p d a te

I S O /I E C D i re cti ve s .

wi th

th e

s tru ct u re

Th i s a l i g n s th e to

o f th e

s tru ct u re

m a n y o f th e

I SO

Co d e o f th e

to

co n fo rm

Co d e

wi th


to

th e

re q u i re m e n ts o f

th a t o f th e

s ta n d a rd ,

s ta n d a rd s .


An n ex C D efi n i ti on s

For th e pu rposes of th i s d ocu m en t, th e d efi n i ti on s i n B S I SO 1 2 65 1 -1 : 2 01 2 ,

management — Vocabulary — Part 1 : Electronic document imaging ,

Electronic document

m a rked (* ) , a n d th ose i n th i s

a n n ex a ppl y. For oth er term s, referen ce ca n be m a d e to th e

Dictionary of Computer Science (a com pi l a ti on Information technology — Vocabulary) .

of th e

m u l i tpl e pa rts con ta i n ed i n B S I SO /I E C 2 3 82 (seri es) ,

audit system a ti c, i n d epen d en t a n d d ocu m en ted process for obta i n i n g a u d i t evi d en ce a n d eva l u a ti n g i t obj ecti vel y to d eterm i n e th e exten t to wh i ch th e a u d i t cri teri a a re fu l fi l l ed N O TE 1 : An a u d i t ca n be a n i n tern a l a u d i t (fi rst pa rty) or a n extern a l a u d i t (secon d pa rty or th i rd pa rty) , a n d i t ca n be a com bi n ed a u d i t (com bi n i n g two or m ore d i sci pl i n es) . N O TE 2 : ’Au d i t evi d en ce’ a n d ’a u d i t cri teri a ’ a re d efi n ed i n I SO 1 9 01 1 .

[B S I SO /I E C 2 7 000: 2 01 4, Information technology — Security techniques — Information security management systems — Overview and vocabulary]

audit trail d a ta th a t a l l ow th e recon stru cti on of a previ ou s a cti vi ty, i n i ts correct ch ron ol og i ca l pl a ce, or wh i ch en a bl es th e a ttri bu tes of a ch a n g e (su ch a s d a te/ti m e or opera tor) to be record ed N O TE : Th e l i st ca n be g en era ted by a com pu ter system (for com pu ter system tra n sa cti on s) or m a n u a l l y (u su a l l y for m a n u a l a cti vi ti es) .

audit trail data i n form a ti on stored i n th e a u d i t tra i l (see d efi n i ti on )

authenticity property th a t a n en ti ty i s wh a t i t i s cl a i m s to be [B S I SO /I E C 2 7 000: 2 01 4]

availability property of bei n g a ccessi bl e a n d u sa bl e u pon d em a n d by a n a u th ori zed en ti ty [B S I SO /I E C 2 7 000: 2 01 4]

big data col l ecti on of d a ta sets so l a rg e a n d com pl ex th a t i t becom es d i ffi cu l t to process u si n g con ven ti on a l d a ta ba se m a n a g em en t tool s or d a ta processi n g a ppl i ca ti on s N O TE : Th ere i s cu rren tl y a l a ck of recog n i zed i n tern a ti on a l sta n d a rd s d efi n i ti on of th e term ’bi g d a ta ’.

bitmap d i g i ti zed i m a g e wh ere ea ch pi xel i s represen ted by on e bi t, represen ti n g bl a ck or wh i te


115

A n n ex C Defin itio n s

bi t-m a pped i m a g e (* ) ’i m a g e d eri ved from a bi t-m a p’

bl a ck bord er rem ova l rem ova l of con ti g u ou s a rea s of bl a ck pi xel s th a t su rrou n d th e ed g es of d ocu m en t i m a g es, a n d wh i ch h a ve been crea ted by a sca n n i n g process

cl ou d m od el for en a bl i n g u bi q u i tou s, con ven i en t, on -d em a n d n etwork a ccess to a sh a red pool of con fi g u ra bl e com pu ti n g resou rces (e. g . n etworks, servers, stora g e, a ppl i ca ti on s a n d servi ces) th a t ca n be ra pi d l y provi si on ed a n d rel ea sed wi th m i n i m a l m a n a g em en t effort or servi ce provi d er i n tera cti on [N I ST Speci a l Pu bl i ca ti on 800-1 45 en ti tl ed ’Th e N I ST D efi n i ti on of Cl ou d Com pu ti n g ’ h ttp: //csrc. n i st. g ov/pu bl i ca ti on s/n i stpu bs/800-1 45 /SP800-1 45 . pd f] N O TE : Th ere i s a B SI d ocu m en t th a t a d d resses th i s a rea B I P 01 1 7 (2 01 0) ,

Clo ud co m p utin g: A p ra ctica l in tro ductio n to

th e le ga l issue s.

com pl i a n ce con form i n g to a ru l e; su ch a s a speci fi ca ti on , pol i cy, sta n d a rd or l a w

com pressi on process of red u ci n g th e si ze of a d a ta fi l e (u su a l l y a n i m a g e) , by th e u se of a com pu teri zed a l g ori th m th a t en cod es red u n d a n t i n form a ti on i n to a m ore com pa ct form

com pressi on ra ti o (* ) ‘ra ti o between th e n u m ber of bi ts i n a n el ectron i c i m a g e before a n d a fter com pressi on ’

co-sou rce wh ere two or m ore org a n i za ti on s form a pa rtn ersh i p, j oi n t ven tu re or si m i l a r a l l i a n ce for m u tu a l ben efi t

d a ta seri es of d i g i ta l or a n a l og u e si g n a l s or en cod ed ch a ra cters stored or tra n sm i tted el ectron i ca l l y, or m a rks (e. g . wri ti n g , pri n ted ch a ra cters or g ra ph i cs) on pa per or m i croform , th a t a re i n ten d ed to con vey i n form a ti on N O TE : Th e essen ti a l d i sti n cti on between d a ta a n d i n form a ti on i s th a t d a ta d o n ot n eed to h a ve a n y m ea n i n g a tta ch ed to th em . D a ta becom e i n form a ti on vi a con text; th e sa m e d a ta fi l e (see d efi n i ti on ) m a y be con si d ered a s con ta i n i n g d i fferen t i n form a ti on d epen d i n g on th e con text: th e d a ta i n th e sa m e fi l e m a y be con si d ered a s con ta i n i n g ASCI I ch a ra cters a s fa r a s on e com pu ter prog ra m i s con cern ed ; a n oth er m a y reg a rd th e sa m e d a ta a s a set of n a m es a n d a d d resses; th e u ser m a y kn ow th a t th ese a re cu stom er n a m es a n d a d d resses.

d a ta fi l e (* ) ‘rel a ted d a ta h a n d l ed a s a d i screte u n i t’

d a ta record i tem of d a ta i n a speci fi ed form a t a s pa rt of a d a ta fi l e

d a ta ba se 1.

116

col l ecti on of i n terrel a ted d a ta stored tog eth er i n on e or m ore com pu teri zed fi l es

Eviden tia l weigh t a n d lega l a dm issibility o f in fo rm a tio n sto red electro n ica lly

A n n e x C D e fin itio n s

2.

col l ecti on of d a ta org a n i zed a ccord i n g to a con ceptu a l stru ctu re d escri bi n g th e ch a ra cteri sti cs of th e d a ta a n d th e rel a ti on sh i ps a m on g th ei r correspon d i n g en ti ti es, su pporti n g on e or m ore a ppl i ca ti on a rea s

[B S I SO /I E C 2 3 82 -1 : 1 9 9 3 ] 3.

col l ecti on of d a ta d escri bi n g a speci fi c ta rg et a rea th a t i s u sed a n d u pd a ted by on e or m ore a ppl i ca ti on s

[B S I SO /I E C 2 9 881 : 2 01 0, fu n ctio n a l size

In fo rm a tio n

te ch n o lo g y —

Syste m s

a n d so ftwa re

e n g in e e rin g

—

FiSMA

1.1

]

m e a su re m e n t m e th o d

[B S I SO /I E C I E E E 2 47 65 : 2 01 0,

Syste m s

a n d so ftwa re

e n gin e e rin g

—

]

Vo ca b u la ry

d ata ba se m a n a g em en t system (DBM S) softwa re system d esi g n ed for th e d efi n i ti on , crea ti on , q u eryi n g , u pd a te, a n d a d m i n i stra ti on of d a ta ba ses

d ecom pressi on process of recon sti tu ti n g a fi l e th a t h a s been com pressed (see ‘com pressi on ’) ba ck to i ts ori g i n a l form , or to a cl ose a pproxi m a ti on th ereof (see ‘l ossy com pressi on ’)

d el eti on process of l og i ca l l y rem ovi n g a d ocu m en t from a system , often by d el eti n g a n i n d ex referen ce N O TE : I n th i s ca se, i t i s (tech n i ca l l y) possi bl e to u n d el ete th e d ocu m en t (see a l so ‘expu n g em en t’) .

d i g i ta l /d i g i ti zed i m a g e i m a g e con si sti n g of pi xel s u si n g ra n g es of d i screte va l u es

d i g i ta l si g n a tu re d a ta a ppen d ed to a d a ta fi l e th a t a l l ow th e reci pi en t of th e d a ta fi l e to a u th en ti ca te th e sou rce a n d th e i n teg ri ty of th e d a ta fi l e N O TE 1 : A d i g i ta l si g n a tu re ca n a l so store th e d a te a n d /or ti m e of si g n i n g . N O TE 2 : A d i g i ta l si g n a tu re ca n a l so be u sed to d em on stra te th a t th e d a ta fi l e cou l d on l y h a ve ori g i n a ted from th e pu rported sen d er.

d ocu m en t i n form a ti on stored on m ed i a

d pi d ots per i n ch , a m ea su re of resol u ti on

ed g e en h a n cem en t (* ) ‘on a n el ectron i c i m a g e, a tech n i q u e for sh a rpen i n g th e a ppea ra n ce of l i n e ed g es’ N O TE : I n d ocu m en t i m a g i n g a ppl i ca ti on s, th i s tech n i q u e g en era l l y a ppl i es to bl a ck-a n d -wh i te i m a g es.

el ectron i c si g n a tu re com pu ter d a ta com pi l a ti on of a n y sym bol or seri es of sym bol s execu ted , a d opted or a u th ori zed by a n i n d i vi d u a l to be th e l eg a l l y bi n d i n g eq u i va l en t of th e i n d i vi d u a l ’s h a n d wri tten si g n a tu re



117

Annex C Definitions

N O TE : Th ese u su a l l y con ta i n i n form a ti on reg a rd i n g si g n a tu re bi om etri cs. A sca n n ed bi tm a p i s n ot a n el ectron i c si g n a tu re.

el ectron i c stora g e stora g e m ed i u m or d evi ce u sed by a n i n form a ti on m a n a g em en t system to store i n form a ti on N O TE : E l ectron i c stora g e speci fi ca l l y i n cl u d es m a g n eti c d i sks, m a g n eti c ta pes, stora g e a rea n etworks (SAN s) , n etwork a tta ch ed stora g e (N AS) , h i era rch i ca l stora g e m a n a g em en t (H SM ) system s a n d opti ca l d i sks of a l l sorts.

en crypti on reversi bl e process of con verti n g a d a ta fi l e i n to a secret cod e u n d er th e con trol of a key

expu n g em en t (* ) ‘process of rem ovi n g a d ocu m en t from a system a n d l ea vi n g n o evi d en ce of th e d ocu m en t ever h a vi n g a ppea red on th e system ’

fi l e (i n respect of com pu teri zed d a ta ) see ‘d a ta fi l e’

fi l e (i n respect of m i croform m ed i a ) m i crofi l m rol l s or sets of m i crofi ch e or fi l m j a ckets con ta i n ed wi th i n a si n g l e en vel ope

fi l e (i n respect of pa per d ocu m en ts) d evi ces for h ol d i n g d ocu m en ts, i n cl u d i n g i n ter a l i a , en vel opes, box fi l es a n d ri n g or oth er types of bi n d er

form s rem ova l (* ) ‘system (u su a l l y softwa re) wh i ch rem oves a “ fi xed ” overl a y from a d i g i ti zed i m a g e, l ea vi n g on l y th e va ri a bl e d a ta ’

freeze d efi n es a speci fi c poi n t i n ti m e a t wh i ch n o ch a n g e to th e con ten ts of a speci fi ed d a ta fi l e a re su bseq u en tl y perm i tted to occu r N O TE : Th i s i s a fu n d a m en ta l con cept i n th e Cod e. After a fi l e h a s been ‘frozen ’ a n y copi es m a d e of th i s fi l e sh ou l d con ta i n exa ctl y th e sa m e d a ta .

frozen see ‘freeze’

g overn a n ce set of pri n ci pl es a n d processes by wh i ch a n org a n i za ti on provi d es d i recti on a n d oversi g h t of bu si n ess rel a ted a cti vi ti es [a d a pted from B S I SO /I E C 2 7 000: 2 01 4]

g rey sca l e i m a g e (* ) ‘i m a g e form ed of pi ctu re el em en ts [pi xel s] con ta i n i n g g rey sca l e i n form a ti on ’

118


Annex C Definitions

h i era rch i ca l stora g e m a n a g em en t (H SM ) (* ) ’d a ta stora g e tech n i q u e th a t i n vol ves u si n g a n u m ber of el ectron i c stora g e d evi ces, from fa st a ccess to sl ow a ccess, wi th i n wh i ch d a ta fi l es ca n be m oved u n d er system con trol from on e d evi ce to a n oth er’

h i era rch i ca l stora g e system (* ) ’d a ta fi l e stora g e system u si n g a n u m ber of el ectron i c stora g e d evi ces, from fa st a ccess to sl ow a ccess, wi th i n wh i ch d a ta fi l es ca n be m oved u n d er system con trol from on e d evi ce to a n oth er’ N O TE : Stora g e d evi ces ca n ra n g e from h i g h cost, fa st a ccess d evi ces to l ow cost, sl ow a ccess d evi ces. Th ey a re u sed to opti m i ze th e perform a n ce a n d cost ch a ra cteri sti cs of th e stora g e a n d retri eva l system .

i n form a ti on d a ta i n terpreted i n a n a ppl i ca ti on con text (see a l so ‘d a ta ’) N O TE : For exa m pl e, a stri n g of ch a ra cters m a y be referred to g en era l l y a s d a ta ; bu t i f th ese ch a ra cters a re u n d erstood by a person or a com pu ter prog ra m a s som eon e’s n a m e, th en th e ch a ra cters con vey i n form a ti on . I n form a ti on a l wa ys i n vol ves th e presen ce of d a ta i n som e form a t, on som e m ed i u m , wh i ch cou l d be, for exa m pl e, a ph ysi ca l d ocu m en t, a d ocu m en t i m a g e on a screen or th e con ten ts of a n el ectron i c fi l e.

i n form a ti on m a n a g em en t system a n y com pu ter or oth er el ectron i c system th a t stores a n d /or processes i n form a ti on i n d i g i ta l or a n a l og u e form

i n sou rce wh ere fu n cti on s a re brou g h t i n to a com pa n y from a th i rd -pa rty servi ce provi d er. Th i s cou l d be th e reversa l of a previ ou s ou tsou rce d ea l or wh ere th ere i s a ben efi t from a com bi n ed opera ti on

i n teg ri ty property of a ccu ra cy a n d com pl eten ess [B S I SO /I E C 2 7 000: 2 01 4]

i n tel l i g en t ch a ra cter recog n i ti on (I CR) tech n i q u e for O CR wh ere som e d eg ree of ‘i n tel l i g en ce’ i s u sed i n th e con versi on softwa re, to d eterm i n e, on th e ba si s of oth er ch a ra cteri sti cs i n th e ‘bi tm a pped ’ i m a g e, th e a ctu a l ch a ra cter bei n g rea d

key escrow servi ce fu n cti on provi d ed by a n org a n i za ti on to keep secu re copi es of en crypti on keys, i n a m a n n er th a t req u i res con sen t from th e key own er before th e key i s d i scl osed

l ossl ess com pressi on (* ) ‘d a ta fi l e com pressi on tech n i q u e wh ere th e d ecom pressed i m a g e i s i d en ti ca l to th e ori g i n a l u n com pressed i m a g e N O TE : N o i n form a ti on i s l ost d u ri n g th e com pressi on a n d d ecom pressi on process. ’

l ossy com pressi on (* ) ‘d a ta fi l e com pressi on tech n i q u e wh ere th e d ecom pressed i m a g e m a y n ot be i d en ti ca l to th e ori g i n a l u n com pressed i m a g e N O TE 1 : I n form a ti on m a y be l ost d u ri n g th e com pressi on process. ’


119

Annex C Definitions

N O TE 2 : Wi th i m a g e fi l es, h i g h com pressi on ra ti os (e. g . a rou n d 5 0: 1 ) ca n be obta i n ed wi th l i ttl e observa bl e i m a g e d eg ra d a ti on .

m a ster d a ta m a n a g em en t (M DM ) pol i ci es, processes, tool s a n d g overn a n ce to con si sten tl y d efi n e a n d m a n a g e si g n i fi ca n t d a ta of a n org a n i za ti on a n d to provi d e a si n g l e poi n t of referen ce for th a t d a ta

m eta d a ta d a ta a bou t d a ta N O TE : For exa m pl e, th e con text a n d rel a ti on sh i ps of d a ta wi th oth er d a ta th a t i s n ecessa ry to ren d er th a t d a ta m ore u n d ersta n d a bl e.

m u l ti -fu n cti on a l d ri ve system (* ) ‘opti ca l d i sk d ri ve wh i ch ca n u se both wri te-on ce rea d -m a n y a n d rewri ta bl e opti ca l m ed i a ’

n etwork a tta ch ed stora g e (N AS) server th a t i s d ed i ca ted to n oth i n g m ore th a n fi l e sh a ri n g N O TE : N AS d oes n ot provi d e a n y of th e a cti vi ti es th a t a server i n a server-cen tri c system typi ca l l y provi d es, su ch a s em a i l , a u th en ti ca ti on or fi l e m a n a g em en t.

N oSQL d a ta ba se provi d i n g a m ech a n i sm for stora g e a n d retri eva l of d a ta th a t m a y be m od el l ed i n m ea n s oth er th a n th e ta bu l a r rel a ti on sh i ps u sed i n rel a ti on a l d a ta ba ses N O TE 1 : Th e term N oSQ L i s sh ort for ’N ot on l y SQ L’ i n th a t th ey m a y su pport SQ L-l i ke q u ery l a n g u a g es i n a d d i ti on to oth er m eth od s. N O TE 2 : M a n y N oSQ L d a ta ba ses l a ck fu l l ACI D tra n sa cti on su pport.

obj ecti ve resu l t to be a ch i eved N O TE 1 : An obj ecti ve ca n be stra teg i c, ta cti ca l or opera ti on a l . N O TE 2 : O bj ecti ves ca n rel a te to d i fferen t d i sci pl i n es (su ch a s fi n a n ci a l , h ea l th a n d sa fety, a n d en vi ron m en ta l g oa l s) a n d ca n a ppl y a t d i fferen t l evel s (su ch a s stra teg i c, org a n i za ti on -wi d e, proj ect, prod u ct a n d process. )

N O TE 3 : An obj ecti ve ca n be expressed i n oth er wa ys, for exa m pl e a s a n i n ten d ed ou tcom e, a pu rpose, a n opera ti on a l cri teri on , a s a n i n form a ti on secu ri ty obj ecti ve or by th e u se of oth er word s wi th si m i l a r m ea n i n g (e. g . a i m , g oa l or ta rg et) . N O TE 4: I n th e con text of i n form a ti on secu ri ty m a n a g em en t system s, i n form a ti on secu ri ty obj ecti ves a re set by th e org a n i za ti on , con si sten t wi th th e i n form a ti on secu ri ty pol i cy, to a ch i eve speci fi c resu l ts.

[B S I SO /I E C 2 7 000: 2 01 4]

opti ca l ch a ra cter recog n i ti on (OCR) tech n i q u e for th e recog n i ti on of ch a ra cters from a d i g i ta l i m a g e

opti ca l d i sk (* ) ‘d i sk th a t wi l l a ccept a n d reta i n i n form a ti on i n th e form of m a rks i n a record i n g l a yer th a t ca n be rea d wi th a n opti ca l bea m ’

1 20


Annex C Definitions

opti ca l m a rk recog n i ti on (OM R) tech n i q u e for el ectron i c d etecti on of m a rks i n speci fi ed l oca ti on s on a d i g i ta l i m a g e

org an i za ti on person or g rou p of peopl e th a t h a s i ts own fu n cti on s wi th respon si bi l i ti es, a u th ori ti es a n d rel a ti on sh i ps to a ch i eve i ts obj ecti ves N O TE : Th e con cept of org a n i za ti on i n cl u d es bu t i s n ot l i m i ted to sol e-tra d er, com pa n y, corpora ti on , fi rm , en terpri se, a u th ori ty, pa rtn ersh i p, ch a ri ty or i n sti tu ti on , or pa rt or com bi n a ti on th ereof, wh eth er i n corpora ted or n ot, pu bl i c or pri va te.

[B S I SO /I E C 2 7 000: 2 01 4]

ori g i n a l d ocu m en t d ocu m en t from wh i ch a copy i s m a d e or from wh i ch a n i m a g e i s ca ptu red

ou tsou rce m a ke a n a rra n g em en t wh ere a n extern a l org a n i za ti on perform s pa rt of a n org a n i za ti on ’s fu n cti on or process N O TE 1 : Th i s often i n cl u d es a tra n sfer of workers to th e th i rd pa rty. N O TE 2 : An extern a l org a n i za ti on i s ou tsi d e th e scope of th e m a n a g em en t system , a l th ou g h th e ou tsou rced fu n cti on or process i s wi th i n th e scope.

[B S I SO /I E C 2 7 000: 2 01 4]

overl a y see ‘form s rem ova l ’

pa g e si n g l e i m a g e en ti ty, su ch a s on e si d e of a sh eet of pa per, a d ra wi n g or pl a n , m a p, ph otog ra ph , tra n spa ren cy; or a m i croform ‘fra m e’

pi xel sm a l l est two-d i m en si on a l el em en t of a d i g i ta l i m a g e th a t ca n i n d epen d en tl y be a ssi g n ed a ttri bu tes su ch a s col ou r a n d i n ten si ty N O TE : Th e word i s d eri ved from ‘pi ctu re el em en t’.

record (n ou n ) ‘i n form a ti on crea ted , recei ved a n d m a i n ta i n ed a s evi d en ce a n d i n form a ti on by a n org a n i za ti on or person , i n pu rsu a n ce of l eg a l obl i g a ti on s or i n th e tra n sa cti on of bu si n ess’ [B S I SO 1 5 489 -1 : 2 001 ] N O TE : Th i s m a y be d a ta stored i n el ectron i c form , i n a d a ta fi l e (see d efi n i ti on ) or on a pa per or m i croform d ocu m en t.

record s m an a g em en t ‘fi el d of m a n a g em en t respon si bl e for th e effi ci en t a n d system a ti c con trol of th e crea ti on , recei pt, m a i n ten a n ce, u se a n d d i sposi ti on of record s, i n cl u d i n g processes for ca ptu ri n g a n d m a i n ta i n i n g evi d en ce of a n d i n form a ti on a bou t bu si n ess a cti vi ti es a n d tra n sa cti on s i n th e form of record s’


1 21

Annex C Definitions

[B S I SO 1 5 489 -1 : 2 001 ]

resol u ti on (* ) ‘a bi l i ty of a sca n n er or i m a g e g en era ti on d evi ce to reprod u ce th e d eta i l s of a n i m a g e’

sca n n i n g opera ti on th a t con verts th e i m a g e of a d ocu m en t i n to a d i g i ta l form , by d etecti n g th e a m ou n t of l i g h t refl ected from el em en ts of a d ocu m en t

sch em a l og i ca l pl a n sh owi n g th e rel a ti on sh i ps between m eta d a ta el em en ts N O TE : Th e rel a ti on sh i ps a re n orm a l l y th rou g h esta bl i sh i n g ru l es for th e u se a n d m a n a g em en t of m eta d a ta speci fi ca l l y a s reg a rd s th e sem a n ti cs, th e syn ta x a n d th e opti on a l i ty (obl i g a ti on l evel ) of va l u es.

[I SO 2 3 081 -1 : 2 006, Information and documentation — Records management processes — Metadata for records — Part 1 : Principles]

skew poor d ocu m en t a l i g n m en t (rota ti on ) d u ri n g sca n n i n g

speckl e ra n d om , or q u a si -ra n d om , bl a ck m a rks (speckl es) on a n i m a g e, ei th er g en era ted d u ri n g th e sca n n i n g process, or presen t on th e ori g i n a l d ocu m en t

stewa rd sh i p respon si bi l i ty for i n form a ti on a ssets wi th i n th e org a n i za ti on N O TE : D efi n i ti on ba sed on I SO 2 01 2 1 : 2 01 2 ,

Event sustainability management systems — Requirements with guidance

for use . stora g e a rea n etwork (SAN ) su b-n etwork (typi ca l l y h i g h speed ) of sh a red stora g e d evi ces N O TE : A stora g e d evi ce i s a m a ch i n e th a t con ta i n s n oth i n g bu t a d i sk or d i sks for stori n g d a ta a n d th e n ecessa ry con trol m ech a n i sm s for stori n g th a t d a ta . A SAN ’s a rch i tectu re works i n a wa y th a t m a kes a l l stora g e d evi ces a va i l a bl e to a l l servers on a l oca l a rea n etwork (LAN ) or a wi d e a rea n etwork (WAN ) .

system i n th e Cod e, th i s a l wa ys m ea n s i n form a ti on m a n a g em en t system (see ‘i n form a ti on m a n a g em en t system ’) , u n l ess speci fi ca l l y n oted

system fi l es (* ) ‘fi l es h el d i n a com pu ter for u se i n th e con trol a n d opera ti on of th e system ’

Tru sted Ti m e ti m e sta m pi n g of i n form a ti on perform ed by, or wi th th e d i rect i n vol vem en t of, a pa rty u n d erwri ti n g th e a ccu ra cy a n d con si sten cy of th a t ti m e sta m p N O TE : Tru sted Ti m e sta m ps a re u sed to en h a n ce th e i n teg ri ty or a u th en ti ci ty of i n form a ti on to wh i ch th ey rel a te. Th ey a re often u sed i n con j u n cti on wi th cryptog ra ph i c d i g i ta l si g n a tu res.

1 22


Annex C Definitions

vi ta l record s

re co rd s t h a t a re

fu n d a m e n ta l

to

th e

fu n cti o n i n g

o f th e


workfl ow

‘ a u to m a ti o n a re

p a sse d

N O TE :

of a

fro m

b u s i n e s s p ro ce s s ,

on e

Th i s d e fi n i t i o n

WF M C - TC - 1 0 1 1 ,

wi t h

p a rti ci p a n t t o

i s ta ke n

fro m

th e

in

wh o l e

or i n

p a rt,

a n o th e r fo r a ct i o n ,

d u ri n g

wh i ch

a cco rd i n g

to

d o cu m e n t s , a

i n fo rm a t i o n

s e t o f p ro ce d u ra l

Wo rkfl o w M a n a g e m e n t C o a l i ti o n ’s ‘ Te rm i n o l o g y a n d

o r ta s ks

ru l e s ’

G l o s sa ry’

d o cu m e n t,

p e rm i s si o n .

wri te-on ce-rea d -m a n y (WORM )

fo rm

o f e l e ctro n i c s t o ra g e

m ed i u m

t h a t p e rm i ts d a ta

to

be

s t o re d

o n ce ,

re a d

m a n y ti m e s,

bu t n ot

a l te re d


1 23

An n e x D

E xa m p l e

i n fo rm a ti o n

m a n a g e m e n t p o l i cy

s ta t e m e n t

Th i s a n n e x co n ta i n s a n u pon

wh i ch

an

e xa m p l e

‘ i n fo rm a ti o n

o rg a n i z a ti o n ’s p o l i cy ca n

be

m a n a g e m e n t p o l i cy s ta te m e n t’ .

I t ca n

be

u sed

as a

d ra ft

b a se d .

XYZABC Limited ABC project P o l i cy d o cu m e n t fo r co m p l i a n ce we i g h t a n d

Ap p ro ve d

l eg a l

wi th

th e

re q u i re m e n ts o f B S

1 0 0 0 8 : 2 0 1 4 S p e ci fi ca ti o n :

E vi d e n ti a l

a d m i s s i b i l i ty o f e l e ctro n i c i n fo rm a ti o n .

b y:

N a m e:

P o s i ti o n :

D a te :

1 24


Annex D Example information management policy statement

1 . S co p e

Th i s d ocu m en t covers th e i n form a ti on m a n a g em en t pol i ci es i m pl em en ted wi th i n th e AB C proj ect, su pported by th e H I J el ectron i c i n form a ti on stora g e system . Th i s pol i cy con form s to th e req u i rem en ts of B S 1 0008: 2 01 4 Speci fi ca ti on : E vi d en ti a l wei g h t a n d l eg a l a d m i ssi bi l i ty of el ectron i c i n form a ti on . Th e H I J el ectron i c i n form a ti on stora g e system i s d escri bed i n a system d escri pti on m a n u a l (Ref: SD 01 ) . Proced u res for th e u se of th e system a re d escri bed i n a proced u res m a n u a l (Ref: PM 01 ) .

2 . I n fo rm a ti o n

co ve re d

Stored i n form a ti on covered by th i s pol i cy d ocu m en t rel a tes to th a t u sed i n rel a ti on to a l l a spects of th e AB C proj ect. D ocu m en ts i n cl u d ed wi th i n th e scope of th i s pol i cy a re d eta i l ed i n th e i n form a ti on reten ti on pol i cy (see Appen d i x A) . XYZAB C Li m i ted d oes n ot opera te a n i n form a ti on cl a ssi fi ca ti on system , a s a l l i n form a ti on i s reg a rd ed a s h a vi n g th e sa m e secu ri ty l evel .

3 . S to ra g e m e d i a a n d

fi l e fo rm a ts

Al l stored i n form a ti on a s d eta i l ed a bove i s h el d i n a form a t a n d on m ed i a a s d escri bed i n Appen d i x A.

4. S ta n d a rd s

Al l el ectron i c i n form a ti on wi th i n XYZAB C Li m i ted i s stored i n con form a n ce to B S 1 0008: 2 01 4, tog eth er wi th a n y referen ced n a ti on a l a n d /or i n tern a ti on a l sta n d a rd s.

5 . D o cu m e n t re te n ti o n

5.1

E l e ctro n i c d o cu m e n ts

Th i s secti on d ea l s wi th el ectron i c d ocu m en ts stored on th e H I J el ectron i c i n form a ti on stora g e system . I n th e ca se wh ere a n ori g i n a l d ocu m en t h a s been reta i n ed , i ts d estru cti on pol i cy i s a l so i n cl u d ed wi th i n th i s secti on . Th e i n form a ti on reten ti on pol i cy i s d efi n ed i n Appen d i x A of th i s pol i cy d ocu m en t. Th e reten ti on peri od s g i ven i n Appen d i x A h a ve been a g reed wi th i n XYZAB C Li m i ted to cover l eg a l a n d opera ti on a l req u i rem en ts con si sten t wi th th e sta tu s of bei n g a pu bl i c l i m i ted com pa n y.

5 . 2 Pa p e r d o cu m e n ts

Th i s secti on d ea l s wi th ori g i n a l d ocu m en ts th a t a re recei ved i n pa per form . Al l ori g i n a l d ocu m en ts a re secu rel y a n d con fi d en ti a l l y d estroyed , i n a ccord a n ce wi th proced u res d ocu m en ted i n th e proced u res m a n u a l – a fter i n tern a l q u a l i ty con trol proced u res h a ve been su ccessfu l l y com pl eted , wi th th e fol l owi n g excepti on s: 1 . ori g i n a l d ocu m en ts i n th e fol l owi n g ca teg ori es a re kept for th e rel eva n t reten ti on peri od :

•

poor q u a l i ty d ocu m en ts for wh i ch a sa ti sfa ctory i m a g e h a s n ot been obta i n ed (see PM 01 /I m a g e q u a l i ty) , or wh i ch req u i red si g n i fi ca n t en h a n cem en t;

• •

d ocu m en ts wi th ph ysi ca l a m en d m en ts th a t h a ve n ot been ca ptu red ; d ocu m en ts wh ere fra u d i s su spected ;

2 . ori g i n a l d ocu m en ts n ot own ed by XYZAB C Li m i ted a re retu rn ed to th e ori g i n a tor; 3 . ori g i n a l d ocu m en ts sh ou l d be reta i n ed wh ere n ecessa ry for l eg a l rea son s (e. g . con tra cts) .

6 . D e s tru cti o n

p o l i cy

Th e proced u re for th e d estru cti on of pa per a n d el ectron i c d ocu m en ts i s d eta i l ed i n th e proced u res m a n u a l . Al l ori g i n a l d ocu m en ts covered by th i s pol i cy d ocu m en t a re d estroyed u si n g th ese proced u res.


1 25


N o pa per ori g i n a l d ocu m en ts a re d estroyed u n ti l th e el ectron i c versi on h a s been q u a l i ty ch ecked . E l ectron i c d ocu m en ts a re on l y rou ti n el y d estroyed d u ri n g m ed i a m i g ra ti on proced u res. A certi fi ca te of d estru cti on i s prod u ced to record th e rea son for th e d estru cti on of th e ori g i n a l d ocu m en t, to m eet sta tu tory a n d reg u l a tory req u i rem en ts. Pa per or el ectron i c d ocu m en ts a re n ot d estroyed wh ere l i ti g a ti on i s pen d i n g or i n prog ress. Wh ere d a ta protecti on l eg i sl a ti on i s a ppl i ca bl e, a u d i ta bl e proced u res for a ccess to a n d d estru cti on of person a l i n form a ti on su bj ect to th e req u i rem en ts of th e l eg i sl a ti on wi l l be d ocu m en ted .

7 . Re s p o n s i b i l i ti e s

Th i s pol i cy d ocu m en t sh ou l d be revi ewed a n n u a l l y u n d er th e con trol of th e Com pa n y Secreta ry. Wh ere ch a n g es a re a g reed , th ey a re to be i m pl em en ted u si n g th e ch a n g e con trol proced u res (Ref: CC01 ) . Th i s pol i cy, a n d a n y revi si on s, sh ou l d be a pproved by th e B oa rd of D i rectors of XYZAB C Li m i ted pri or to i ts i m pl em en ta ti on . Th e m a i n ten a n ce of com pl i a n ce wi th B S 1 0008 i s th e respon si bi l i ty of th e H ea d of I n tern a l Au d i t.

8 . Le g a l a d vi ce s o u g h t

XYZAB C Li m i ted h a s sou g h t a n d obta i n ed a g reem en t for th e i n form a ti on reten ti on pol i cy d eta i l ed i n Appen d i x A of th i s d ocu m en t.

9 . D u ty o f ca re

XYZAB C Li m i ted h a s a d u ty to keep secu re a n d a ccu ra te ori g i n a l d ocu m en ta ti on , or a u th en ti c copi es of th em . Th i s i s a ch i eved by:

• • • • • •

i m pl em en ti n g th i s pol i cy d ocu m en t; i m pl em en ti n g a n i n form a ti on secu ri ty pol i cy (Ref: I SP01 ) ; en su ri n g th a t on l y tra i n ed sta ff h a ve a ccess to th e system ; en su ri n g th a t a ccepta bl e q u a l i ty con trol proced u res a re i m pl em en ted ; en su ri n g th a t XYZAB C Li m i ted ’s l eg a l a d vi sers a re con su l ted , a n d a ppropri a te a cti on s ta ken ; en su ri n g th a t a ppropri a te a u d i t tra i l s a re crea ted a n d reta i n ed .

Ap p e n d i x A I n fo rm a ti o n

re te n ti o n

p o l i cy

Th i s pol i cy rel a tes to XYZAB C Li m i ted ’s H I J el ectron i c i n form a ti on stora g e system on l y. Th e reten ti on a n d d estru cti on pol i ci es a re i n a ccord a n ce wi th XYZAB C Li m i ted ’s a rch i vi n g stra teg y (Ref: ARC01 ) . Th i s pol i cy i s revi ewed a n n u a l l y, a s pa rt of th e XYZAB C Li m i ted ’s ri sk a ssessm en t prog ra m m e.

1 26



Document type

Media type*

Format

Retention period**

Responsibility

Financial reports

Rewritable optical disk

TIFF

7 years

Company Secretary

Supplier documentation

CD/Paper***

PDF

Longer of:

Archivist

Internally produced documents

Magnetic tape

ASCII text

End of project + 1 0 years

Originator

Letters, incoming and outgoing

1 . Paper 2. WORM

1 . Paper 2. TIFF

1 . 1 month after post scanning quality control 2. End of project + 1 0 years

Archivist

Purchase orders

3. Paper 4. WORM

3. Paper 4. TIFF

3. 1 month after post-scanning quality control 4. End of project + 1 0 years

Archivist

Procedures

WORM

PDF

Longest related

Operations

Audit reports

WORM

PDF

Longest related

Audit

1 . life of equipment + 1 0 years, or 2. longest related information storage

* Paper originals that are archived to WORM and/or CD media are routinely destroyed (under the control of the scanning department) after successful completion of quality control procedures (see 5.2). ** Documents on CD and WORM media are only destroyed during a media migration process; magnetic and paper records are destroyed annually as appropriate. *** These documents both paper (two copies) and CD form. The retention period relates to the CD version only, which is the controlled version.

Appendix B Legal advice sought Advice has been sought from: • • • • •

XYZABC Limited’s legal department; external auditors; external legal advisers; industry regulators; HM Revenue & Customs.


1 27

An n ex E Record s m a n a g em en t

B S I SO 1 5 489 i s th e B ri ti sh Sta n d a rd on record s m a n a g em en t. I t d ea l s wi th th e i ssu es su rrou n d i n g th e sta n d a rd i za ti on of record s m a n a g em en t pol i ci es a n d proced u res, to en su re th a t a ppropri a te a tten ti on i s g i ven to a l l record s stored by a n org a n i za ti on . Th e fol l owi n g ta bl e l i sts th e g en era l con ten ts of B S I SO 1 5 489 -1 : 2 001 , a n d m a ps th em a cross to th e Cod e.

B S I SO 1 5 489-1 : 2 001

4

B en efi ts of record s

B I P 0008-1 (2 01 4)

–

I n trod u cti on

Leg a l i ssu es

m a n a g em en t

5

Reg u l a tory en vi ron m en t

An n ex H

6

Pol i cy a n d respon si bi l i ti es

1

I n form a ti on m a n a g em en t pl a n n i n g

7.1

Pri n ci pl es of record s

1

m a n a g em en t prog ra m m es

I n form a ti on m a n a g em en t pl a n n i n g

7.2

Ch a ra cteri sti cs of a record

–

G en era l

8

D esi g n a n d i m pl em en ta ti on

2

I m pl em en ti n g a n d

of a record s system

9

Record s m a n a g em en t

opera ti n g

2

processes a n d con trol s

I m pl em en ti n g a n d opera ti n g

10

M on i tori n g a n d a u d i ti n g

3

M on i tori n g a n d revi ewi n g

11

Tra i n i n g

4

M a i n ta i n i n g a n d i m provi n g

Ta bl e 6 – M a ppi n g BS I SO 1 5 489-1 to th e Cod e

1 28


An n ex F Appl i ca ti on of con trol s

Th i s a n n ex con ta i n s d eta i l s of speci fi c a ppl i ca ti on s th a t ca n be m a n a g ed u n d er th e con trol of th i s Cod e of Pra cti ce, a n d i n d i ca tes wh i ch secti on s of th e Cod e a re rel eva n t a n d wh i ch m a y n ot be rel eva n t.

Use Cases I n -H ou se Sca n n i n g

•

Sca n n i n g of i n form a ti on from ph ysi ca l d ocu m en ts a d d ressed by com pl i a n ce scope wi th i n th e en terpri se

O u tsou rced Sca n n i n g

•

Sca n n i n g of i n form a ti on from ph ysi ca l d ocu m en ts a d d ressed by com pl i a n ce scope a s a servi ce provi d ed by a th i rd -pa rty org a n i za ti on ou tsi d e th e en terpri se.

Servi ce Provi d er – Sca n n i n g

•

Th i rd pa rty provi d i n g sca n n i n g servi ce to a n org a n i za ti on . Wh i l st th ese servi ce provi d ers m a y h a ve th ei r own pol i ci es (etc. ) , th e i n form a ti on m a n a g em en t pol i ci es (etc. ) a re th ose of th e i n form a ti on own i n g org a n i za ti on n ot th e servi ce provi d er.

Stru ctu red D a ta ba ses

•

I n form a ti on a d d ressed by com pl i a n ce scope wi th i n th e en terpri se h el d i n stru ctu red d a ta ba se(s) ; th i s i n form a ti on i tsel f m a y be stru ctu red or u n stru ctu red .

B i g D a ta U ser

•

I n form a ti on a d d ressed by com pl i a n ce scope wi th i n th e en terpri se reg a rd ed a s ’bi g d a ta ’; th i s i n form a ti on i tsel f m a y be stru ctu red or u n stru ctu red .

I n -H ou se Stora g e

•

Stora g e of i n form a ti on a d d ressed by com pl i a n ce scope wi th i n th e en terpri se.

O u tsou rced Stora g e

•

Stora g e of i n form a ti on a d d ressed by com pl i a n ce scope a s a servi ce provi d ed by a th i rd -pa rty org a n i za ti on ou tsi d e th e en terpri se.

Servi ce Provi d er – Stora g e

•

Th i rd pa rty provi d i n g stora g e servi ces to a n org a n i za ti on ; u si n g cl ou d or oth er com m u n i ca ti on s m eth od s; stora g e m a y a l so be of ph ysi ca l m ed i a . Wh i l st th ese servi ce provi d ers m a y h a ve th ei r own pol i ci es (etc. ) , th e i n form a ti on m a n a g em en t pol i ci es (etc. ) a re th ose of th e i n form a ti on own i n g org a n i za ti on n ot th e servi ce provi d er.


1 29


Stru ctu re d D a ta ba ses

B i g D a ta


Ou tsou rced Sto ra g e

Co n te xt o f th e org a n i za ti on

4. 1

G e n e ra l

4. 2

I ssu e s

4. 3

Re q u i re m e n ts

4. 4

B o u n d a ri es a n d a p pl i ca bi l i ty

5

Le a d e rsh i p

5.1

Le a d e rsh i p a n d com m i tm e n t

5.2

Pol i cy sta te m en ts

5.2. 1

G e n e ra l

5.2. 2

E l e ctron i c sto ra g e p ol i cy sta te m e n t

5.2. 3

E l e ctron i c tra n sfe r p ol i cy sta te m e n t

5.2. 4

I n form a ti on se cu ri ty pol i cy

5.3

Ro l e s a n d resp on si b i l i ti es o f wo rke rs

5.4

Le g a l a n d re g u l a tory en vi ron m e n t

6

Pl a n n i n g

6. 1

Acti on s to a d d ress ri sks a n d op portu n i ti e s

6. 1 . 1

G e n e ra l

6. 1 . 2

Ri sk a sse ssm e n t

6. 1 . 3

Ri sk trea tm en t

6. 2

O bj e cti ve s a n d a ch i e vem e n ts

7

Su p port

7.1

Re sou rces

7.2

Co m pe te n ce

7.3

Awa re n e ss

1 30

Se rvi ce Provi d er – Stora g e

O u tso u rce d Sca n n i n g

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B S 1 0008: 2 01 4 Secti on Ti tl e

4

Se rvi ce Provi d e r–Sca n n i n g

I n -H ou se Sca n n i n g

B S 1 0008: 2 01 4 Secti on

Ta bl e 7 - Appl i ca bi l i ty M a tri x



Se rvi ce Pro vi d e r–Sca n n i n g


B i g D a ta


Ou tsou rced Stora g e

Servi ce Provi d e r – Stora g e

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Se l f-m od i fyi n g fi l e s

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8. 3

Co m p ou n d d o cu m e n ts

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8. 4

I n fo rm a ti on i n stru ctu re d d a ta b a se s

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8. 4. 1

G e n e ra l

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8. 4. 2

B i g D a ta co n si d e ra ti on s

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8. 5

Ve rsi o n co n tro l

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8. 6

Stora g e syste m s

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8. 6 . 1

Stora g e te ch n ol og y

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M i g ra ti on

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8. 6 . 3

Stora g e fi l e form a ts

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8. 6 . 4

Con ve rsi on

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8. 6 . 5

Com pressi on

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8. 7

I n form a ti on tra n sfer

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B S 1 0008: 2 01 4 Se cti o n

I n -H o u se Sca n n i n g


B S 1 0008: 2 01 4 Se cti on Ti tl e

7.4

Re po rti n g a n d com m u n i ca ti on

7.5

D ocu m e n te d i n form a ti on

7.5.1

G en e ra l

7.5.2

Proce d u ra l d ocu m e n ta ti on

7.5.3

Au d i t tra i l s

8

O p e ra ti on

8. 1

I n fo rm a ti on ca ptu re

8. 1 . 1

G en e ra l

8. 1 . 2

I m po rti n g

8. 1 . 3

D ocu m e n t sca n n i n g

8. 1 . 4

D a ta e xtra cti o n

8. 1 . 5

M e ta d a ta ca ptu re

8. 2


1 31

Se rvi ce Pro vi d e r–Sca n n i n g


B i g D a ta


Ou tsou rced Stora g e

Servi ce Provi d e r – Stora g e

8. 7 . 1

G e n e ra l

✘

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8. 7 . 2

Tra n sm i ssi o n

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8. 7 . 3

M e ssa g e tra n sm i ssi o n syste m s

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I n d e xi n g a n d o th e r m e ta d a ta

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8. 9

Au th e n ti ca te d ou tp u t proced u res

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8. 1 0

I d e n ti ty

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I n form a ti on re te n ti on a n d d i sposi ti o n

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8. 1 1 . 1

Rete n ti on

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8. 1 1 . 2

D i sposi ti on

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8. 1 2

I n form a ti on se cu ri ty proce d u re s

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8. 1 2 . 2

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8. 1 2 . 3

E n cryp ti on

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8. 1 2 . 4

D i g i ta l si g n a tu re s

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8. 1 2 . 5

B a ck-u p a n d re cove ry

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8. 1 2 . 6

B u si n e ss con ti n u i ty p l a n n i n g

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8. 1 3

System m a i n te n a n ce

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8. 1 4

E xtern a l se rvi ce provi si on

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8. 1 4. 1

Proce d u re s

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8. 1 4. 2

Com pl i a n ce

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8. 1 4. 3

Se cu ri ty i n tra n sfe r

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8. 1 4. 4

O versea s

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8. 1 5

I n form a ti on m a n a g em e n t testi n g

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9

Pe rform a n ce e va l u a ti on

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I n -H o u se Sca n n i n g

B S 1 0008: 2 01 4 Se cti o n



B S 1 0008: 2 01 4 Secti on Ti tl e

1 32


and

m e a su re m e n t ,

P ro vi d e r – S t o ra g e

S t o ra g e

S t o ra g e

D a ta

D a ta b a s e s

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S e rvi ce

ߜ

Ti t l e

a n a l ys i s

P ro vi d e r–S ca n n i n g

S ca n n i n g

O u ts o u rc e d

M o n i t o ri n g ,

I n - H o u se

9.1

1 0 0 0 8 : 2 0 1 4 S e ct i o n

O u t so u rce d

BS

I n -H o u se

BS

S ca n n i n g

1 0 0 0 8 : 2 0 1 4 S e ct i o n


e va l u a t i o n

9.2

I n te rn a l

audit

9.3

M a n a g e m e n t re vi e w

1 0

I m p ro ve m e n t

1 0. 1

N o n c o n fo rm i t y a n d

1 0. 2

Co n ti n u a l

c o rre ct i ve

i m p ro ve m e n t

a ct i o n s


1 33

An n ex G Referen ces

BSI publications B ri ti sh Sta n d a rd s I n sti tu ti on , Lon d on . B SI Pu bl i ca ti on s a re a va i l a bl e from Cu stom er Servi ces, Sa l es D epa rtm en t, 3 89 Ch i swi ck H i g h Roa d , Lon d on W4 4AL. Tel : 02 0 89 9 6 9 001 ; Fa x: 02 0 89 9 6 7 001

Information management systems — Building systems fit for audit

PD 001 8: 2 001 ,

Secu re/M u l ti pu rpose I n tern et M a i l E xten si on s (S/M I M E ) Versi on 3 . 1 M essa g e Speci fi ca ti on . Ava i l a bl e a t: www. i etf. org /rfc/rfc3 85 1 . txt

Standards B S I SO /I E C 2 3 82 (seri es) ,

Information technology — Vocabulary

Storage, transportation and maintenance of media for use in data processing and information storage

B S 47 83 (seri es) ,

B S 7 083 : 1 9 9 6,

Guide to the accommodation and operating environment for information technology (IT)

equipment B S 1 0008: 2 01 4,

Evidential weight and legal issibility of electronic information — Specification

B S 1 001 2 : 2 009 ,

Data protection — Specification for a personal information management system

B S E N I SO 9 000,

Quality management systems

B S E N I SO 9 001 : 2 008,

Quality management systems — Requirements

B S E N I SO 1 4001 : 2 004,

Environmental management systems — Requirements with guidance for use

B S E N I SO 1 9 01 1 : 2 01 1 ,

Guidelines for auditing management systems

B S I SO 1 2 65 1 -1 : 2 01 2 ,

Electronic document management — Vocabulary — Part 1 : Electronic document

imaging B S I SO 1 2 65 3 (seri es) ,

Electronic imaging — Test target for the black-and-white scanning of office

documents B S I SO 1 5 489 -1 : 2 001 ,

Information and documentation — Records management

B S I SO 1 9 005 -1 : 2 005, Document management — Electronic document file format for long-term preservation — Part 1 : Use of PDF 1 . 4 (PDF/A- 1 )

Information technology — Service management — Part 1 : Service management system requirements

B S I SO /I E C 2 0000-1 : 2 01 1 ,

B S I SO /I E C 2 0000-2 : 2 01 2 , Information technology — Service management — Part 2: Guidance on the application of service management systems B S I SO 2 01 2 1 : 2 01 2 ,

Event sustainability management systems — Requirements with guidance for use

B S I SO 2 3 081 -1 : 2 006, Information and documentation — Records management processes — Metadata for records — Part 1 : Principles

Information technology — Security techniques — Information security management systems — Overview and vocabulary

B S I SO /I E C 2 7 000: 2 01 4,

1 34


An n ex G

B S I SO /I E C 2 7 001 : 2 01 3 ,

In fo rm a tio n

te ch n o lo gy — Se cu rity te ch n iq u e s — In fo rm a tio n

R e fe re n ce s

se cu rity

m a n a ge m e n t syste m s — R e q u ire m e n ts

B S I SO /I E C 2 7 002 : 2 01 3 , in fo rm a tio n

In fo rm a tio n

te ch n o lo gy — Se cu rity te ch n iq u e s — Co de

o f p ra ctice

fo r

se cu rity co n tro ls

B S I SO /I E C 2 7 005 : 2 01 1 ,

In fo rm a tio n

te ch n o lo gy — Se cu rity te ch n iq u e s — In fo rm a tio n

In fo rm a tio n

te ch n o lo gy — Syste m s a n d so ftwa re

se cu rity risk

m a n a ge m e n t

B S I SO /I E C 2 9 881 : 2 01 0, fu n ctio n a l size

e n g in e e rin g

— FiSMA

1.1

m e a su re m e n t m e th o d

B S I SO 3 1 000: 2 009 ,

R isk m a n a ge m e n t — Prin cip le s a n d g uide lin e s

B S I SO 3 2 000-1 : 2 008,

D o cum e n t m a n a g e m e n t — Po rta b le

B S I SO /I E C I E E E 2 47 65 : 2 01 0,

Syste m s a n d so ftwa re

do cum e n t fo rm a t — Pa rt 1 :

e n g in e e rin g

PD F 1 . 7

— Vo ca b ula ry

Th e fol l owi n g sta n d a rd i s a va i l a bl e from I SO : I SO /TR 1 5 801 : 2 009 ,

D o cu m e n t m a n a ge m e n t — In fo rm a tio n

sto re d e le ctro n ica lly — Re co m m e n da tio n s

fo r tru stwo rth in e ss a n d re lia b ility

Guidance documents B I P 0002 (2 009 ) ,

D a ta

B I P 0005 (2 01 1 ) ,

A

B I P 0008-2 (2 01 4) , Co de

o f p ra ctice

to

se rvice

u se

o f p e rso n a l da ta

in


tra n sfe rre d e le ctro n ica lly —


e le ctro n ic ide n tity to

with

in fo rm a tio n

o f B S 1 0008

Evide n tia l we ig h t a n d le g a l a dm issib ility o f e le ctro n ic in fo rm a tio n

wo rkb o o k fo r u se

te stin g

o f BS 1 0008

Evide n tia l we ig h t a n d le g a l a dm issib ility o f lin kin g fo r th e

syste m

m a n a gem en t


o f p ra ctice

B I P 0009 (2 01 4) ,

Gu ide lin e s fo r th e

m a n a g e r’s gu ide

fo r th e

B I P 0008-3 (2 01 4) , — Co de

p ro te ctio n :

— Co m p lia n ce

BS 1 0008

B I P 001 5 (2 01 2 ) ,

IT se rvice

B I P 007 1 (2 01 3 ) ,

Gu ide lin e s o n

m a n a ge m e n t se lf-a sse ssm e n t wo rkb o o k

re q u ire m e n ts a n d p re p a ra tio n

fo r ISMS ce rtifica tio n

b a se d o n

ISO /IEC 2 7001

B I P 007 2 (2 01 3 ) ,

A re

B I P 007 3 (2 01 3 ) ,

Gu ide

B I P 007 4 (2 006) ,

Me a su rin g

B I P 01 40 (2 01 3 ) ,

Un de rsta n din g

B I P 01 1 7 (2 01 0) ,

Clo ud co m p u tin g:

yo u

re a dy fo r a n

to

I SO /I E C D i recti ves, Pa rt 1

th e

ISMS a u dit b a se d o n


th e

ISO /IEC 2 7001 ?

a n d a u ditin g

o f ISMS co n tro ls b a se d o n

e ffe ctive n e ss o f yo u r ISMS im p le m e n ta tio n s b a se d o n

th e

n e w ISO

A

m a n a g e m e n t syste m

p ra ctica l in tro ductio n

— Co n so lida te d ISO

to

th e

ISO /IEC 2 7001

ISO /IEC 2 7001

re qu ire m e n ts

le g a l issue s

Sup p le m e n t — Pro ce du re s sp e cific to

ISO ,

Fifth

e ditio n

2 01 4

Other publications Au l d , Lord J u sti ce (2 001 )

A

R e vie w o f th e

Crim in a l Co urts o f En g la n d a n d Wa le s

. Ava i l a bl e a t:

www. cri m i n a l -cou rts-revi ew. org . u k/ I SO (1 9 9 7 )

D ictio n a ry o f Co m p u te r Scie n ce :

Th e

Sta n da rdize d Vo ca b ula ry



1 35

Annex G References

An ti -terrori sm , Cri m e a n d Secu ri ty Act 2 001 , Lon d on : H M SO B u si n ess N a m es Act 1 9 85 , Lon d on : H M SO Ci vi l E vi d en ce Act 1 9 9 5, Lon d on : H M SO Ci vi l E vi d en ce Act (N orth ern I rel a n d ) 1 9 7 1 , Lon d on : H M SO Ci vi l E vi d en ce (Scotl a n d ) Act 1 9 88, Lon d on : H M SO Com pa n i es Act 1 9 85 a n d 1 9 89 , Lon d on : Th e Sta ti on ery O ffi ce Com pu ter M i su se Act 1 9 9 0, Lon d on : H M SO Con su m er Protecti on Act 1 9 87 , Lon d on : H M SO Copyri g h t, D esi g n s a n d Pa ten ts Act 1 9 88, Lon d on : H M SO Cri m i n a l J u sti ce Act 1 9 88 a n d 1 9 9 1 , Lon d on : H M SO Cri m i n a l J u sti ce a n d Pol i ce Act 2 001 , Lon d on : H M SO Cri m i n a l J u sti ce a n d Pu bl i c O rd er Act 1 9 9 4, Lon d on : H M SO Cri m i n a l J u sti ce (E vi d en ce, E tc. ) (N orth ern I rel a n d ) O rd er 1 9 88, Lon d on : H M SO Cri m i n a l Proced u re a n d I n vesti g a ti on s Act 1 9 9 6, Lon d on : H M SO D a ta Protecti on Act 1 9 9 8, Lon d on : H M SO E l ectron i c Com m u n i ca ti on s Act 2 000, Lon d on : H M SO E vi d en ce Act (N orth ern I rel a n d ) 1 9 3 9 , Lon d on : H M SO Fi n a n ci a l Servi ces a n d M a rkets Act 2 000, Lon d on : H M SO Freed om of I n form a ti on Act 2 000, Lon d on : H M SO H u m a n Ri g h ts Act 1 9 9 8, Lon d on : H M SO I n sol ven cy Act 2 000, Lon d on : H M SO La ten t D a m a g e Act 1 9 86, Lon d on : H M SO Li m i ta ti on Act 1 9 80, Lon d on : H M SO O bscen e Pu bl i ca ti on s Act 1 9 5 9 a n d 1 9 64, Lon d on : H M SO Pol i ce a n d Cri m i n a l E vi d en ce Act 1 9 84, Lon d on : H M SO Th e Pol i ce a n d Cri m i n a l E vi d en ce (N orth ern I rel a n d ) O rd er 1 9 89 , Lon d on : H M SO Protecti on from H a ra ssm en t Act 1 9 9 7 , Lon d on : H M SO Protecti on of Ch i l d ren Act 1 9 7 8, Protecti on of Ch i l d ren Ra ce Rel a ti on s Act 1 9 7 6, Lon d on : H M SO Reg u l a ti on of I n vesti g a tory Powers Act 2 000, Lon d on : H M SO Sex D i scri m i n a ti on Act 1 9 7 5 , Lon d on : H M SO Sex O ffen d ers Act 1 9 9 7 Lon d on : H M SO

1 36


Annex G References

Statute Law Revision Act (Northern Ireland) 1 953, London: HMSO Taxes Management Act 1 970, London: HMSO The Telecommunications (Lawful Business Practice)(Interception of Communications) Regulations 2000, London: HMSO Value Added Tax Act 1 994, London: HMSO Lord Chancellor’s Code of Practice on the Management of Records, Issued under section 46 of the Freedom of Information Act 2000, November 2002. Available at: www.justice.gov.uk/s/information-access-rights/foi/foi-section-46-code-of-practice.pdf Lord Chancellor’s Department, Law Officers Department (2002) Justice for All. Cm 5563, London: The Stationery Office Hawley Committee (1 995) Information as an Asset: The Board Agenda; a Consultative Report, London: KPMG/Impact Group Rochester Institute of Technology, Process Ink Gamut Chart. Available from Rochester Institute of Technology, T & E Center, One Lomb Memorial Drive, Rochester, New York 1 4623, USA Workflow Management Coalition (WfMC) (1 999) Workflow Management Coalition Terminology & Glossary. WFMC–TC–1 01 1 , Winchester: WfMC Financial Reporting Council, UK Corporate Governance Code (2014) (formerly The Combined Code). Available at: www.frc.org.uk/Our-Work/Codes-Standards/Corporate-governance/UK-Corporate-Governance-Code.aspx Financial Reporting Council, UK Stewardship Code (2012) . Available at: www.frc.org.uk/Our-Work/Codes-Standards/Corporate-governance/UK-Stewardship-Code.aspx


1 37

An n ex H Leg a l i ssu es

H.1

B a ckg ro u n d

Th e Cod e d escri bes m ea n s by wh i ch i t m a y be d em on stra ted a t a n y ti m e, i n a m a n n er a ccepta bl e to a cou rt of l a w, th a t th e con ten ts of a speci fi c d a ta fi l e crea ted or exi sti n g wi th i n a com pu ter system h a ve n ot ch a n g ed si n ce th e ti m e of stora g e (th e d efi n ed ti m e) , a n d th a t wh ere su ch a d a ta fi l e con ta i n s a d i g i ti zed i m a g e of a ph ysi ca l ori g i n a l d ocu m en t, th e d i g i ti zed i m a g e i s a tru e fa csi m i l e of th a t ori g i n a l d ocu m en t. Th e i ssu e bei n g a d d ressed i s essen ti a l l y on e of a u th en ti ci ty a n d i n teg ri ty. Th i s d efi n ed ti m e fi xes th e ti m e a t wh i ch th e con ten ts of th e d a ta fi l e were frozen for th e pu rposes of stora g e a n d fu tu re retri eva l . For exa m pl e:

•

th e ti m e a t wh i ch a sca n n ed a n d d i g i ti zed i m a g e of a n ori g i n a l d ocu m en t wa s stored on a com pu ter system ;

•

th e ti m e wh en a word -processed d ocu m en t wa s stored .

O th er versi on s of th e i n form a ti on m a y l eg i ti m a tel y d evel op, for exa m pl e revi si on of a con tra ct, or u pd a te of a sprea d sh eet or word -processed d ocu m en t, a n d th ese ca n si m i l a rl y be frozen a t d efi n ed ti m es. I n th ese ca ses th e n ew versi on s a re trea ted a s n ew d a ta fi l es. Th e sa m e pri n ci pl e ca n be a ppl i ed wh en a si g n i fi ca n t ch a n g e i s m a d e to a d ocu m en t i n a workfl ow en vi ron m en t. Th e Cod e d escri bes proced u res wh ereby a n el ectron i c copy m a y be d em on stra ted to be a tru e copy of th e ori g i n a l , wh eth er th a t ori g i n a l wa s i tsel f a n el ectron i c d a ta fi l e, a ph ysi ca l ori g i n a l d ocu m en t or con ta i n ed voi ce a n d /or vi d eo i n form a ti on . I rrespecti ve of i ssu es of l eg a l a d m i ssi bi l i ty or evi d en ti a l wei g h t, th e Cod e d efi n es best pra cti ce for el ectron i c stora g e of bu si n ess or oth er i n form a ti on . As su ch , com pl yi n g wi th i ts recom m en d a ti on s i s of va l u e to org a n i za ti on s even wh en evi d en ti a l i ssu es a re n ot rel eva n t.

KE Y I S S U E

> Th e Cod e d efi n es best pra cti ce for el ectron i c stora g e, su ch th a t a u th en ti ci ty a n d i n teg ri ty ca n be ea si l y d em on stra ted , i n a m a n n er a ppropri a te i n a cou rt of l a w.

H . 2 I n fo rm a ti o n


l eg al

a d m i ss i b i l i ty

Th ere h a s been m u ch d i scu ssi on a bou t th e va l u e of i n form a ti on stored el ectron i ca l l y wh en req u i red a s evi d en ce i n a cou rt of l a w, or for oth er pu rposes. I t i s cru ci a l th a t a d i sci pl i n e i s com m on l y a g reed so th a t th e va l u e of th i s i n form a ti on a s evi d en ce ca n be m a xi m i zed . Th e Cod e h a s been d evel oped to a d d ress th i s n eed . Th e Cod e i s for u se a s a ba si c referen ce d ocu m en t. I t covers i n form a ti on stored on a n y type of el ectron i c stora g e m ed i u m , i n cl u d i n g h i era rch i ca l stora g e system s th a t a l l ow for m i g ra ti on between stora g e m ed i a ei th er a u tom a ti ca l l y or u n d er opera tor con trol . I t a l so covers i n form a ti on m a n a g em en t system s wh ere i n form a ti on i s tra n sm i tted vi a l oca l or wi d e a rea n etworks. Th u s, el ectron i c m essa g es, su ch a s th ose prod u ced by E D I a n d em a i l system s, ca n be stored u n d er th e con trol s of th e Cod e. I n a ppl i ca ti on s wh ere i n form a ti on i s stored a s d a ta record s wi th i n a fi l e, th en th e Cod e m a y a l so be a ppl i ed a t th e d a ta record l evel . Com pl i a n ce wi th th e Cod e d oes n ot g u a ra n tee l eg a l a d m i ssi bi l i ty. I t d efi n es best pra cti ce.

1 38


H. 4

A u th e n ticity

Th e Cod e covers i ssu es su ch a s system pl a n n i n g , i m pl em en ta ti on , i n i ti a l l oa d i n g a n d proced u res for th e u se of th e system , i n cl u d i n g workfl ow. I t pa ys pa rti cu l a r a tten ti on to setti n g u p a u th ori zed proced u res a n d su bseq u en tl y bei n g a bl e to d em on stra te, i n a cou rt of l a w, th a t th ese proced u res h a ve been fol l owed . Proced u res a re d efi n ed th a t n eed to be i m pl em en ted i n ord er to com pl y wi th th e Cod e. H owever, i t d oes n ot fol l ow th a t i n form a ti on stored on system s th a t d o n ot com pl y wi th th e Cod e i s n ot or wi l l n ot be l eg a l l y a d m i ssi bl e.

KE Y I S S U E

> Com pl i a n ce wi th th e recom m en d a ti on s of th e Cod e wi l l en a bl e th e org a n i za ti on to d em on stra te th a t best pra cti ce i s bei n g fol l owed .

H . 3 We i g h t o f e vi d e n ce a n d

d o cu m e n t d e s tru cti o n

I n ord er to m a xi m i ze evi d en ti a l wei g h t, i t i s i m porta n t to d eterm i n e, i n a d va n ce, h ow i n form a ti on wou l d be presen ted to a cou rt of l a w, a n d wh eth er wei g h t of evi d en ce or cou rtroom ta cti cs cou l d be u n d u l y i n fl u en ced by th e d estru cti on of th e ori g i n a l d ocu m en t, by th e i n form a ti on m a n a g em en t system or by th e a ccess con trol system s. O n e of th e m a j or rea son s for u si n g el ectron i c i n form a ti on stora g e i s th e poten ti a l a bi l i ty to d estroy ori g i n a l pa per d ocu m en ts. I m pl em en ti n g a d estru cti on pol i cy, h owever, i s n ot wi th ou t ri sk. Th e el ectron i c d ocu m en t m a y be rej ected i n cou rt, a n d th e ori g i n a l d ocu m en t req u ested . Th i s ri sk wi l l be red u ced wh ere a n org a n i za ti on ca n d em on stra te th a t i t h a s com pl i ed wi th i ts d ocu m en ted proced u res a n d processes, a n d th a t th ese a re a l i g n ed wi th th e req u i rem en ts of th e Cod e. Th e Cod e ca n n ot g i ve a d efi n i ti ve recom m en d a ti on reg a rd i n g th e d estru cti on of ori g i n a l d ocu m en ts. I t i s for th e org a n i za ti on to a ssess th e ri sk, a n d m a ke a n a ppropri a te bu si n ess d eci si on . Th e org a n i za ti on ’s l eg a l a d vi ser wi l l be a bl e to g i ve a n opi n i on on wh i ch types of d ocu m en t a re m ost l i kel y to be d i spu ted i n cou rt. Th ere m a y be d i fferen t con si d era ti on s for ci vi l (on th e ba l a n ce of proba bi l i ti es) a n d cri m i n a l (beyon d rea son a bl e d ou bt) l a w.

KE Y I S S U E

> Com pl i a n ce wi th th e recom m en d a ti on s of th e Cod e i n crea ses th e wei g h t of evi d en ce, a n d poten ti a l l y en a bl es ori g i n a l d ocu m en t d estru cti on wh ere a ppropri a te.

H . 4 Au th e n ti ci ty

I t i s i m porta n t to be a bl e to d em on stra te th a t th e com pu ter system h a s been fu n cti on i n g properl y (i . e. a ccord i n g to a g reed proced u res) i n ord er to a u th en ti ca te d a ta stored on th e system . Arg u m en ts over a d m i ssi bi l i ty of i n form a ti on a s evi d en ce ca n l ea d to a n i n vesti g a ti on i n to th e system from wh i ch th e i n form a ti on ca m e, th e m eth od of stora g e, opera ti on a n d a ccess con trol , a n d even i n to th e com pu ter prog ra m s a n d sou rce cod e. I t m a y be n ecessa ry to sa ti sfy th e cou rt th a t th e i n form a ti on i s stored i n a ‘proper’ m a n n er. Th i s cou l d be a ta cti c u sed to try to d i scred i t th e evi d en ce a n d to m a ke i n a d m i ssi bl e, or red u ce th e evi d en ti a l wei g h t of, th a t evi d en ce a n d a n y si m i l a rl y stored i n form a ti on th a t i s prod u ced . Q u esti on a bl e h a rd wa re rel i a bi l i ty, for exa m pl e, cou l d be u sed to d i scred i t th e i n form a ti on m a n a g em en t system . Th i s cou l d ca l l th e wh ol e system i n to q u esti on a n d ca u se i n form a ti on stored wi th i n i t to be ru l ed i n a d m i ssi bl e. Th e i m pl em en ta ti on of d ocu m en ted proced u res for stora g e, m a i n ten a n ce a n d m on i tori n g a ccess to th e i n form a ti on wi l l m i n i m i ze th i s ri sk.



1 39

Annex H Legal issues

KE Y I S S U E

>

C o m p l i a n ce

wi th

th e

H . 5 O ri g i n a l s a n d D a ta

m a y be

m o d i fi e d th e

in

se n se

we re

m o ve d

fo r t h e

a s th e

fi l e

o ri g i n a l

fi rs t cre a te d

as an

p a rty m a y b e i s t ru e

i n fo rm a t i o n a

fi l e

Th e

n ot been

p u rp o s e

th e

m a y d epen d

co n s i d e re d

sa m e

In

ca s e

th e

o ri g i n a l

a u t h o r.

as an

o ri g i n a l

a

co p y a n d

i d e n ti ca l

d a ta

i s th e

th e

i s to

m a y be

and

In

th e

d a ta a

fi l e

s ys te m

co n s i d e re d

co n s i d e ri n g

ve rs u s o ri g i n a l

ca n

d a ta

d o cu m e n t co n ta i n s a o rg a n i z a ti o n s m a y b e in

m u l ti p l e

d o cu m e n t i s i n

i n fo rm a t i o n

If an

a

m a d e.

th e

fi l e ,

‘ o ri g i n a l ’ .

‘ co p y’ .

a va i l a b l e th e

s ys te m ,

‘ o ri g i n a l ’

fi l e

th i rd

wh i ch

so

so

fi l e

a

p a rty re c e i ve d .

d a ta

o f e ve n ts ,

fi l e

ti m e

and

th a t a

a t wh i ch

a

co p y.

d i s t i n cti o n

th a t two i s th e

i t m a y be

o r m o re


and

th e

n e ce s s a ry to

d e te rm i n e

th i rd Th e

sa m e

th e

i s m a l i ci o u s l y a l te re d ,

o rd e r to

Co d e

o ri g i n a l

co n s i d e re d

p a rty m a y b e

re g a rd i n g

i s co p i e d ,

co p y o f i t ,

in

i s th e

m a y be

in

or

d o cu m e n t i s a n

s e co n d

o ri g i n a l

Th e re fo re ,

Th e

a

is

‘ o ri g i n a l ’ ,

co p y o f th a t l e tte r s e n t t o

d e te rm i n e

or a

a

p h ys i ca l

fro m

s e q u e n ce d a ta

to

wi th i n

o ri g i n a l

wh a t th e

b e t we e n

wa s fi rs t s t o re d

o r th e

or a

a re

th e

th e

d a ta

d a ta

co p y co n t a i n s e xa ct l y th e

bei n g

If a

u sed

i s th e

fi l e

fi l e

wh i l s t a

th a t a

d i s ti n g u i s h

o ri g i n a l

fi l e

d o cu m e n ts ,

o f p ro vi n g

d i ffe re n ce

cre a te d

p ro ce s s o r,

d a ta

re ce i p t ,

th a t th e

o r we re

l e tte r re ce i ve d

p u rp o s e

m e th o d

th e

co rre ct i n

Co d e

th e

d ea l

a ssu m i n g

n eed

to

no

be

a bl e

wh e th e r t h e

re co m m e n d s p ro ce d u re s fo r

i t m a y be

to

wi th ,

be

Th e

b y th e

Th e

a

a

on e

d a ta

d a ta

fi l e ,

Cod e

m ed i u m

fi l e

to

i s m o ve d s ys te m

m a y be

a n o th e r,

fro m

i s co n c e rn e d ,

re u s e d .

o ri g i n a l ,

th e

on e

and

Th e

d a ta

m a y n eed

re co m m e n d s p ro ce d u re s fo r

and

i n k on


o ri g i n a l .


s to re d

in

e - fo rm ,

p ra g m a ti c a p p ro a ch

fo r e xa m p l e ,

d e t e rm i n e

fro m

e q u i va l e n t o f th e

s ca n n e d

th a t i t i s a n

Wh e n

m o ve d .

and in

m o ve d

on e.

l o n g e r e xi s ts a s fa r a s t h e

i s co n ce rn e d .

l a s e r p ri n te r,

‘ o ri g i n a l ’ .

m a y be fi n e

i s e ffe cti ve l y t h e

th a t i s h a n d wri tte n

a

a

fi rs t m e d i u m

m ed i u m

d i ffi cu l t to

fi l e

be

p re vi o u s l y o ccu p i e d

d o cu m e n ts t h a t a re

co p i e s o n an

d a ta

co p y ca n

h o we ve r o ft e n

s i g n a tu re

and

a

a s fa r a s th e

m o re

p ri n ci p l e

d o cu m en ts,

s e co n d

fi l e ,

o ri g i n a l be

th e

fi rs t m e d i u m ,

th e

a s s u ch

th e

a

d e m o n s t ra te

o ri g i n a l

on

a u t h e n ti ca ti n g

o ri g i n a l

an

o ri g i n a l

th e

a s i t n o w e xi s ts o n

p ro d u ce d

wh e re

th e

on

to


a n o t h e r, s p a ce

d e m o n s tra t e d .

o ri g i n a l .

and

to

to

a t wh i ch

i s a c tu a l l y th e

co p y o f a n

wh e t h e r a

a l wa ys b e

a m en d ed

ti m e

o ri g i n a l

th e

Wh e n

a bl e ca n

th e

b e ca u s e

be

i m p o ssi b l e

b e twe e n

m ed i u m

to

d a te

co n te xt o f a

d i s ti n cti o n

fi l e

th e

th e

wo rd

Wi th o u t i n fo rm a ti o n

q u e s ti o n e d .

t h a t th e

i d e n ti fyi n g

fi l e .

be

p e rp e t ra to r m a y cl a i m

s u b m i tt e d

b u t wi t h

o ri g i n a l

to

d e te rm i n e

be

Wh e th e r o r n o t th e

d e m o n s tra te

o f s ca n n e d

by a

o f p ro vi n g

fo r th e

to

t h e y e n t e re d

ca s e

H o we ve r,

o ri g i n a l

be

th e

a bl e

F o r e xa m p l e ,

fi l e s s u b s e q u e n t l y e xi s t,

‘ co p y’

e n a b l e s a u t h e n ti ci ty to

co m p u t e r s ys te m s .

be

s i n ce

In

p u rp o s e

d a ta

i t ca n

ke y re co m m e n d a ti o n

b e t we e n

ch a n g e d

co n te xt.

fo r e l e ctro n i c d a ta , a s th e

b e t we e n

d o cu m e n t cre a te d

fo r t h e

co n s i d e re d

and

n e ce s s a ry to

o f s to ra g e .

of a

b y th e

on

wa s fi rs t s t o re d ,

wh i ch

wi th i n

i t m a y be

th a t th e y h a ve

‘ fro z e n ’

Co d e

co p i e s

a ro u n d ,

t h i s p ro ce s s ,

d o cu m e n t i ts e l f.

re co m m e n d a ti o n s o f th e

th e

If an

n e e d s to

a u t h e n ti ci t y,

l e tt e rh e a d

o ri g i n a l

m i n u te s o f a

i ssu e

p a p e r,

o f co p y

If an

o ri g i n a l

th e n

d o cu m e n t h a s b e e n m e e ti n g ,

i m pl em en t a

p ri o r t o

th e

i s n e ce s s a ry.

e a ch

s u ch

p o l i cy fo r d e a l i n g

th e i r b e i n g

s to re d

on

wi th

th e

m a n a g e m e n t s ys te m .

KE Y I S S U E

>

Wh e re

on l y a

d e m o n s tra te

H . 6 B o rn I n cre a s i n g l y, s ys te m

1 40

a re

co p y e xi s ts ,

th e

i t wi l l

be

tre a te d

a s ‘ b e s t e vi d e n ce ’ .

Th e re

m a y be

a

n eed

to

a u th e n t i ci ty o f c o p i e s s t o re d .

d i g i ta l

e n vi ro n m e n t

i n fo rm a ti o n

u se d

we b s i te s wh e re

in

b u si n e ss i s h e l d

e l e ctro n i c tra d i n g

in

a

‘ d yn a m i c,

p ro ce s s e s a re

d i g i ta l ’

co n tro l l e d .

fo rm .

Typ i ca l

I n fo rm a ti o n

o f th i s typ e

s t o re d

on

of

s u ch


H. 8 Ph o to co p ie s,

m icro film

a n d e le ctro n ic im a g e s

system s m a y va ry u n d er system con trol or by opera tor i n terven ti on . I n su ch ca ses, d eta i l s wi l l n eed to be stored a bou t th e i n form a ti on con ten t of th e system a t pa rti cu l a r i n sta n ces (e. g . wh en ea ch pu rch a se i s m a d e) i n th e system l i fe. Th ere m a y a l so be a req u i rem en t to reta i n speci fi c m eta d a ta (see 5 . 7 . 2 ) to a u g m en t th e evi d en ti a l wei g h t of th e i n form a ti on i n q u esti on .

KE Y I S S U E

> Wh ere d yn a m i c d a ta a re i n vol ved , a m eth od of ca ptu ri n g ‘sn a psh ots’ of th e i n form a ti on a t pa rti cu l a r ti m es wi l l be n eed ed

H . 7 D i g i ti zed i m a g es B eca u se of th e g rea t i m porta n ce of d i g i ti zed i m a g es of ori g i n a l d ocu m en ts i n m a n y a ppl i ca ti on s, th e Cod e provi d es d eta i l ed g u i d a n ce on d ocu m en t i m a g e ca ptu re a n d th e com m i tta l to stora g e of th ese i m a g es, to en su re th a t ‘tru e fa csi m i l es’ of ori g i n a l d ocu m en ts a re crea ted a n d stored . O ri g i n a l d ocu m en ts m a y exi st on pa per or on m i croform . Pa rti cu l a rl y, th e Cod e d escri bes proced u res:

•

to en su re th a t a l l n ecessa ry i n form a ti on i s ca ptu red a s a ccu ra tel y a s possi bl e from th e extern a l , ori g i n a l d ocu m en t;

•

to d em on stra te th a t th e ca ptu red i m a g e h a s n ot been ch a n g ed si n ce i ts crea ti on , or, wh ere ch a n g e i s perm i tted by th e a ppl i ca ti on , th e preci se n a tu re of su ch ch a n g e (e. g . con versi on from col ou r to g rey sca l e, or to bl a ck a n d wh i te, d e-skewi n g of th e ori g i n a l i m a g e, or croppi n g of th e ori g i n a l i m a g e to rem oved u n wa n ted pa rts) ;

•

to ca ptu re con textu a l i n form a ti on a bou t th e ori g i n a l d ocu m en t (m eta d a ta ) i n ord er to rei n force th e evi d en ti a l va l u e of th e ca ptu red el ectron i c versi on of th e ori g i n a l d ocu m en t.

N O TE : Wh i l e i n d exi n g i s req u i red for vi rtu a l l y a l l d a ta fi l es, con textu a l i n form a ti on i s of pa rti cu l a r i m porta n ce for d i g i ti zed i m a g es beca u se th e i m a g e i tsel f ca n n ot be sea rch ed for rel eva n t text, a s ca n oth er types of d a ta fi l e.

KE Y I S S U E

> D em on stra ti n g th e a u th en ti ci ty of el ectron i c i m a g es (sca n n ed d ocu m en ts) req u i res a ppropri a te a n d a u d i ta bl e sca n n i n g proced u res a n d processes.

H . 8 Ph o to co p i e s, m i cro fi l m a n d el ectro n i c i m a g es E l ectron i c i m a g es of ori g i n a l pa per d ocu m en ts wi l l be trea ted a s secon d a ry evi d en ce i n th e sa m e m a n n er a s ph otocopi es or m i croform i m a g es. Th ere i s a l so th e possi bi l i ty of a red u cti on i n evi d en ti a l va l u e wh en ever a copy i s m a d e. As a n exa m pl e, i f a si g n a tu re i s d i spu ted , th en th e ori g i n a l d ocu m en t, u pon wh i ch th e ori g i n a l i n k i s preserved , m a y h ol d m ore wei g h t i n a cou rt of l a w th a n th e copy, beca u se a foren si c expert m a y d eri ve m ore evi d en ce from th e pa per a n d i n k u sed . Th e org a n i za ti on n eed s to ta ke th ese fa ctors i n to a ccou n t wh en a ssessi n g a d ocu m en t’s su i ta bi l i ty for sca n n i n g a n d su bseq u en t d estru cti on .

KE Y I S S U E

> E l ectron i c i m a g es wi l l be trea ted a s secon d a ry evi d en ce, j u st l i ke ph otocopi es or m i croform i m a g es.



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H . 9 I n fo rm a ti o n

s to ra g e

I t i s th e respon si bi l i ty of th e execu ti ves of th e org a n i za ti on to be a bl e to prod u ce i n form a ti on (ei th er i n th e form of a n ori g i n a l or a copy) wh en req u i red , n o m a tter h ow th e org a n i za ti on stores th i s i n form a ti on . Th e a u th ori zed offi cer (i n a com pa n y th i s i s th e com pa n y secreta ry or eq u i va l en t) a n d th e m a n a g er of th e i n form a ti on m a n a g em en t system a re respon si bl e for th i s i n form a ti on retri eva l process, a n d n ot th e ven d or of th e system . Th u s, con si d eri n g th e a d vi ce of th e a u th ori zed offi cer, or eq u i va l en t, i s essen ti a l before i m pl em en ti n g a n y i n form a ti on m a n a g em en t system , pa rti cu l a rl y wh en ori g i n a l d ocu m en ts a re su bseq u en tl y d estroyed . Th e proced u res by wh i ch i n form a ti on i s stored a n d a ccessed a re vi ta l i n sa ti sfyi n g a cou rt of l a w a bou t th e a u th en ti ci ty of a ‘copy’ of i n form a ti on a n d th e i n a bi l i ty to ta m per wi th i t. Al l copi es of d ocu m en ts (ph otocopy, m i croform or el ectron i c) wi l l be trea ted by a cou rt of l a w a s secon d a ry evi d en ce, wi th a poten ti a l red u cti on of wei g h t of evi d en ce i f th e a u th en ti ci ty of th e copy i s q u esti on ed . For exa m pl e, wh ere th e con ten t of a d ocu m en t i s u n d er q u esti on , th e ori g i n a l or a copy sh ou l d be trea ted wi th eq u a l wei g h t, bu t i f a si g n a tu re i s bei n g d i spu ted , th en th e ori g i n a l d ocu m en t i s l i kel y to ca rry m ore wei g h t th a n a copy of i t.

KE Y I S S U E

> I n form a ti on stored el ectron i ca l l y sh ou l d be m a n a g ed i n a n a ppropri a te m a n n er, i n a ccord a n ce wi th th e Cod e, to d em on stra te com pl i a n ce wi th l eg a l a n d /or reg u l a tory req u i rem en ts.

H . 1 0 S to ra g e a n d

a cce ss p ro ce d u re s

B eca u se of th e d u ra ti on of stora g e of d a ta , th e person wh o ‘certi fi ed ’ a system , or d a ta stored on i t, m a y n ot be a bl e to g i ve evi d en ce i n person . I t i s, th erefore, essen ti a l th a t a system for m on i tori n g a n d certi fyi n g i s i m pl em en ted to d em on stra te th a t th e i n teg ri ty of th e system h a s been m a i n ta i n ed from th e ti m e th a t th e d a ta wa s stored . Reg u l a r a u d i ts of th e system a re a d vi sed , wi th certi fi ca tes of com pl i a n ce obta i n ed . Th i s i s i n l i n e wi th cu rren t proced u res for m i crofi l m ed d ocu m en ts. Al th ou g h form a l a ffi d a vi ts wi l l n ot u su a l l y be n ecessa ry, a d vi ce m a y n eed to be sou g h t from th e org a n i za ti on ’s l eg a l a d vi ser, pa rti cu l a rl y i f ori g i n a l d ocu m en ts a re to be d estroyed . I t m a y h el p d em on stra te th e ‘n orm a l ’ fu n cti on i n g of a system i f a copy of th e resu l t of th e a u d i t i s stored on th e system . Wh ere rewri ta bl e m ed i a i s u sed , a d d i ti on a l proced u res (d i scu ssed i n th e Cod e) wi l l n eed to be i m pl em en ted to restri ct a n d record a ccess to th e stora g e m ed i a a n d d evi ces u sed to a ccess i t. Th ese proced u res a re, i n th e m a i n , com m on pra cti ce for m ost i n form a ti on m a n a g em en t system s. Com pu ter opera ti n g system s (or a d d -i n fu n cti on s) often provi d e su i ta bl e l evel s of a ccess con trol , wh erea s a ppl i ca ti on softwa re m a y req u i re m od i fi ca ti on i n ord er to provi d e n ecessa ry fu n cti on a l i ty. A system a u d i t tra i l , wh i ch record s a ccess to a n d u se of stora g e m ed i a , wi l l be u sa bl e a s a d d i ti on a l evi d en ce, a n d th u s wi l l n eed to be kept for a t l ea st th e sa m e peri od a s th e i n form a ti on to wh i ch i t rel a tes. Som e d a ta fi l es, pa rti cu l a rl y th ose g en era ted by word processors, m a y con ta i n execu ta bl e cod e (often referred to a s ‘m a cros’) , wh i ch ca n h a ve th e effect of m od i fyi n g a fi l e ea ch ti m e i t i s retri eved , vi ewed or pri n ted ou t, for exa m pl e, by i n serti n g th e cu rren t d a te. Th e exi sten ce of a m a cro wi th i n a fi l e m ea n s th a t th e fi l e ca n n ot be frozen i n th e sen se req u i red by th e Cod e. Th e Cod e recom m en d s th a t su ch sel fm od i fyi n g fi l es a re n ot u sed i n a ppl i ca ti on s wh ere th e i n form a ti on m a y be of poten ti a l evi d en ti a l va l u e.

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H. 1 2

Un ite d Kin g do m

le g isla tio n

KE Y I S S U E

> Com peten t a u d i ti n g ca rri ed ou t a t a g reed i n terva l s, a n d i n cl u d i n g d ocu m en ted reporti n g , i s n ecessa ry to en su re th a t com pl i a n ce wi th th e Cod e i s on g oi n g .

H.1 1

Re tri e va l /vi e wi n g

so ftwa re

I n pra cti ce, i n a cou rt of l a w, a n el ectron i c d a ta fi l e wi l l be retri eved a n d vi ewed or pri n ted vi a su i ta bl e softwa re. Reg a rd l ess of th e proced u res fol l owed i n m a n a g i n g th e fi l e wi th i n th e system , i t i s possi bl e th a t d i fferen t retri eva l /vi ewi n g softwa re cou l d resu l t i n d i fferen t presen ta ti on s of th e d a ta , so th a t i t m i g h t a ppea r th a t th e fi l es were d i fferen t. Th e Cod e m a kes speci fi c recom m en d a ti on s for d ea l i n g wi th th i s i ssu e.

KE Y I S S U E

> Th e a bi l i ty to retri eve a n d vi ew stored i n form a ti on i n a n a u th en ti ca ted m a n n er i s key to d em on stra ti n g a u th en ti ci ty.

H . 1 2 U n i te d

H .1 2.1

Ki n g d o m

l e g i s l a ti o n

Ci vi l E vi d e n ce Act 1 9 9 5

I n E n g l a n d a n d Wa l es, th e Ci vi l E vi d en ce Act 1 9 95 i s of m a j or i m porta n ce to th e Cod e. Th i s Act resol ved m a n y of th e probl em s of l eg a l a d m i ssi bi l i ty per se th a t h a d a ri sen over evi d en ce g en era ted by or h el d on com pu ters. I t sh i fted th e a rg u m en t a wa y from a d m i ssi bi l i ty to th e evi d en ti a l va l u e or wei g h t of a d ocu m en t. Th e previ ou s com pl i ca ted ru l es on com pu ter evi d en ce h a ve been a bol i sh ed a n d th ere i s n ow n o speci a l provi si on for com pu ter evi d en ce. I t wi l l a l so be ea si er to d em on stra te th e a u th en ti ci ty of d ocu m en ts th a t a re a d m i ssi bl e i n evi d en ce, by prod u ci n g th e ori g i n a l or a copy, reg a rd l ess of h ow m a n y rem oves th ere a re between th e ori g i n a l a n d th e copy. Th e cou rt wi l l sti l l n eed to be sa ti sfi ed a s to th e a u th en ti ci ty of th e d ocu m en t, a n d th e org a n i za ti on sh ou l d th erefore pu t i n pl a ce proced u res to d em on stra te th i s. As ca n be seen from th e Act, secti on 9 (1 ) u ses th e word s ‘m a y be recei ved ’. From th i s sta tem en t, i t i s evi d en t th a t th e cou rt wi l l h a ve th e power to excl u d e d ocu m en ts i n wh i ch tru st h a s been com prom i sed . Secti on s 8 a n d 9 of th e Act a re a s fol l ows: 8

Pro o f o f s ta te m e n ts co n ta i n e d

(1 )

in

d o cu m e n ts

Wh ere a sta tem en t con ta i n ed i n a d ocu m en t i s a d m i ssi bl e a s evi d en ce i n ci vi l proceed i n g s, i t m a y be proved : (a )

by th e prod u cti on of th a t d ocu m en t, or

(b)

wh eth er or n ot th a t d ocu m en t i s sti l l i n exi sten ce, by th e prod u cti on of a copy of th a t d ocu m en t or of th e m a teri a l pa rt of i t, a u th en ti ca ted i n su ch a m a n n er a s th e cou rt m a y a pprove.

(2 ) 9

I t i s i m m a teri a l for th i s pu rpose h ow m a n y rem oves th ere a re between a copy a n d th e ori g i n a l .

Pro o f o f re co rd s o f b u s i n e s s o r p u b l i c a u th o ri ty

(1 )

A d ocu m en t wh i ch i s sh own to form pa rt of th e record s of a bu si n ess or pu bl i c a u th ori ty m a y be recei ved i n evi d en ce i n ci vi l proceed i n g s wi th ou t fu rth er proof.



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(2 )

A d ocu m en t sh a l l be ta ken to form pa rt of th e record s of a bu si n ess or pu bl i c a u th ori ty i f th ere i s prod u ced to th e cou rt a certi fi ca te to th a t effect si g n ed by a n offi cer of th e bu si n ess or a u th ori ty to wh i ch th e record s bel on g .

M u ch ci vi l evi d en ce l eg i sl a ti on th rou g h ou t th e worl d m a kes si m i l a r provi si on s.

H . 1 2 . 2 Po l i ce a n d Cri m i n a l E vi d e n ce Act 1 9 84

Th e essen ti a l provi si on s of th e Ci vi l E vi d en ce Act 1 9 9 5 a re a l so i n cl u d ed i n th e proposed repl a cem en t to th e Pol i ce a n d Cri m i n a l E vi d en ce Act 1 9 84 (PACE ) . Th ese a re expected to repl a ce th e cu rren t cu m bersom e req u i rem en ts of secti on 69 of th e Act. Secti on 69 rel a tes to com pu ter evi d en ce. Th e revi sed PACE cod es of pra cti ce were pu bl i sh ed i n 2 008. Th ere a re secti on s i n th ese cod es (i n pa rti cu l a r i n Cod e B 1 5 ) th a t rel a te to el ectron i c evi d en ce.

E XAM PLE

Co d e B , s ecti o n 7 . 6

‘I f a n offi cer con si d ers i n form a ti on stored i n a n y el ectron i c form a n d a ccessi bl e from th e prem i ses cou l d be u sed i n evi d en ce, th ey m a y req u i re th e i n form a ti on to be prod u ced i n a form :

• •

th a t ca n be ta ken a wa y a n d i n wh i ch i t i s vi si bl e a n d l eg i bl e; or from wh i ch i t ca n rea d i l y be prod u ced i n a vi si bl e a n d l eg i bl e form ’.

I n h i s Cri m i n a l Cou rt Revi ew (2 001 ) Lord J u sti ce Au l d recom m en d ed ‘th a t th e l a w sh ou l d , i n g en era l , m ove a wa y from tech n i ca l ru l es of i n a d m i ssi bi l i ty to tru sti n g j u d i ci a l a n d l a y fa ct fi n d ers to g i ve rel eva n t evi d en ce th e wei g h t i t d eserves’. Th i s h a s been a ccepted a n d i s i n corpora ted i n th e 2 002 Wh i te Pa per J u sti ce for Al l – A Wh i te Pa per on th e Cri m i n a l J u sti ce System . Secti on s 4. 5 2 a n d 4. 5 3 of th e Wh i te Pa per i n cl u d e: ’4. 5 2 Th e cu rren t ru l es of evi d en ce, wh i ch d eterm i n e wh a t evi d en ce th e cou rt ca n ta ke i n to a ccou n t, a re d i ffi cu l t to u n d ersta n d a n d com pl ex to a ppl y i n pra cti ce. Th ere h a s been g rowi n g pu bl i c con cern th a t evi d en ce rel eva n t to th e sea rch for tru th i s bei n g wron g l y excl u d ed . 4. 5 3 M a g i stra tes, j u d g es a n d j u ri es sh ou l d be tru sted to g i ve a ppropri a te evi d en ce th e wei g h t i t d eserves wh en th ey exerci se th ei r j u d g em en t… ’

Th a t i t i s rel eva n t to i n cl u d e th i s i n th e Cod e i s em ph a si zed by Secti on 4. 61 of th e sa m e Wh i te Pa per, wh i ch a ffi rm s ‘… th e ri g h t a pproa ch i s th a t… wh ere record s h a ve been properl y com pi l ed by bu si n esses, th en th e evi d en ce sh ou l d a u tom a ti ca l l y g o i n , ra th er th a n i ts a d m i ssi bi l i ty bei n g j u d g ed … ’. Th i s i s fol l owed by th e observa ti on th a t ‘Th i s i s cl ose to th e a pproa ch d evel oped i n ci vi l proceed i n g s. ’

H . 1 2 . 3 D a ta Pro te cti o n Act 1 9 9 8

I t m a y be n ecessa ry to a m en d , d el ete or expu n g e speci fi c i n form a ti on from i n form a ti on m a n a g em en t system s, owi n g to a cou rt ord er a n d /or to m eet th e req u i rem en ts of th e D a ta Protecti on Act 1 9 9 8.

15

h ttp: //p ol i ce. h o m eo ffi ce. g ov. u k/op era ti on a l -pol i ci n g /po wers-pa ce-cod es/p a ce-cod e-i n tro /

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H. 1 2

Un ite d Kin g do m

le gisla tio n

Th e i n form a ti on m a n a g em en t system m a y n eed to h a ve fa ci l i ti es to d el ete or d estroy i n form a ti on . I t sh ou l d a l so h a ve th e fa ci l i ty to a m en d i n correct d a ta , or rem ove i rrel eva n t d a ta , h el d i n con tra ven ti on of th e D a ta Protecti on Act 1 9 9 8. For fu rth er i n form a ti on on th e D a ta Protecti on Act 1 9 9 8, a n d h ow i t ca n be i m pl em en ted , see B S 1 001 2 : 2 009 ,

D a ta

H . 1 2 . 4 Fre e d o m

p ro te ctio n

—

Sp e cifica tio n

o f I n fo rm a ti o n

fo r a

p e rso n a l in fo rm a tio n

m a n a ge m e n t syste m .

Act 2 0 0 0

At th e ti m e of pu bl i ca ti on of th e Cod e, th e m a j ori ty of U K pu bl i c a u th ori ti es were req u i red to pu bl i sh a n a pproved pu bl i ca ti on sch em e, a n d m a ke th i s i n form a ti on a va i l a bl e to th e pu bl i c on req u est. As from J a n u a ry 2 005 , a l l i n form a ti on h el d by th e pu bl i c bod y wi l l n eed to be a va i l a bl e to th e pu bl i c on req u est, u n l ess i t fa l l s wi th i n a speci fi ed l i st of exem pti on s. I n ord er to com pl y wi th th i s ‘a l l i n form a ti on ’ a ccess req u i rem en t, a cod e of pra cti ce wa s pu bl i sh ed by th e Lord Ch a n cel l or’s O ffi ce, 1 6 d eta i l i n g th e n eed to i m pl em en t effecti ve record s m a n a g em en t pra cti ces. Th e Cod e sta tes th a t a u th ori ti es ‘sh ou l d seek to con form to th e provi si on s of B SI D I SC PD 0008 – A Cod e of Pra cti ce for Leg a l Ad m i ssi bi l i ty a n d E vi d en ti a l Wei g h t of I n form a ti on Stored E l ectron i ca l l y (2 n d ed i ti on ) – especi a l l y for th ose record s l i kel y to be req u i red a s evi d en ce’. (PD 0008 h a s n ow been su persed ed by B I P 0008. )

H . 1 2 . 5 Li s t o f p e rti n e n t U K l e g i s l a ti o n

Th i s l i st h a s been com pi l ed from a n u m ber of sou rces, th e m a i n on es bei n g th e previ ou s versi on of th e Cod e, a n d Th e N a ti on a l Arch i ves, a m on g oth er sou rces. I t sh ou l d be n oted th a t n ew l eg i sl a ti on i s con ti n u a l l y bei n g i n trod u ced a n d , th erefore, th i s l i st ca n n ot be exh a u sti ve. Th erefore, i t i s essen ti a l th a t th e org a n i za ti on u si n g th e Cod e con ti n u a l l y m on i tors th e l eg a l scen e a n d rea cts to ch a n g es i n l eg i sl a ti on a ppropri a tel y. Con si d era ti on sh ou l d a l so be g i ven to E u ropea n D i recti ves th a t a re n ot yet covered by l eg i sl a ti on i n th e rel eva n t pa rt of th e U K, bu t ca n n everth el ess be en forced . Com pl i a n ce wi th th e Cod e wi l l i m prove th e evi d en ti a l wei g h t of i n form a ti on u sed i n a n y d i spu te, wh a tever th e l eg i sl a ti ve posi ti on .

• • • • • • • • • • • • • • • • • • • • •

16

An ti -terrori sm , Cri m e a n d Secu ri ty Act 2 001 ; B u si n ess N a m es Act 1 9 85 ; Ci vi l E vi d en ce Act 1 99 5 ; Ci vi l E vi d en ce Act (N orth ern I rel a n d ) 1 9 7 1 ; Ci vi l E vi d en ce (Scotl a n d ) Act 1 9 88; Com pa n i es Acts 1 9 85 a n d 1 9 89 ; Com pu ter M i su se Act 1 9 9 0; Con su m er Protecti on Act 1 9 87 ; Copyri g h t, D esi g n s a n d Pa ten ts Act 1 9 88; Cri m i n a l J u sti ce Act 1 9 88 a n d 1 9 9 1 ; Cri m i n a l J u sti ce a n d Pol i ce Act 2 001 ; Cri m i n a l J u sti ce a n d Pu bl i c O rd er Act 1 9 9 4; Cri m i n a l J u sti ce (E vi d en ce, E tc. ) (N orth ern I rel a n d ) O rd er 1 9 88; Cri m i n a l Proced u re a n d I n vesti g a ti on s Act 1 9 9 6; D a ta Protecti on Act 1 9 98; E vi d en ce Act (N orth ern I rel a n d ) 1 9 3 9 ; Fi n a n ci a l Servi ces a n d M a rkets Act 2 000; Freed om of I n form a ti on Act 2 000; H u m a n Ri g h ts Act 1 9 9 8; I n sol ven cy Act 2 000; La ten t D a m a g e Act 1 9 86;

www. j u sti ce. g ov. u k/d own l oa d s/i n fo rm a ti on -a ccess-ri g h ts/fo i /foi -secti o n -46-cod e-of-pra cti ce. pd f



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• • • • • • • • • • • • •

Li m i ta ti on Act 1 9 80; O bscen e Pu bl i ca ti on s Act 1 9 5 9 a n d 1 9 64; Pol i ce a n d Cri m i n a l E vi d en ce Act 1 9 84; Th e Pol i ce a n d Cri m i n a l E vi d en ce (N orth ern I rel a n d ) O rd er 1 9 89 ; Protecti on from H a ra ssm en t Act 1 9 97 ; Protecti on of Ch i l d ren Act 1 9 7 8; Ra ce Rel a ti on s Act 1 9 7 6; Reg u l a ti on of I n vesti g a tory Powers Act 2 000; Sex D i scri m i n a ti on Act 1 9 7 5; Sex O ffen d ers Act 1 9 9 7 ; Sta tu te La w Revi si on Act (N orth ern I rel a n d ) 1 9 5 3 ; Ta xes M a n a g em en t Act 1 9 7 0; Th e Tel ecom m u n i ca ti on s (La wfu l B u si n ess Pra cti ce) (I n tercepti on of Com m u n i ca ti on s) Reg u l a ti on s 2 000;

•

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Va l u e Ad d ed Ta x Act 1 9 9 4.


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