ISO/TS 23081-2:2007

Information and documentation - Records management processes - Metadata for records - Part 2: Conceptual and implementation issues

ISO/TS 23081-2:2007 establishes a framework for defining metadata elements consistent with the principles and implementation considerations outlined in ISO 23081-1:2006. The purpose of this framework is to: enable standardized description of records and critical contextual entities for records, provide common understanding of fixed points of aggregation to enable interoperability of records, and information relevant to records, between organizational systems, enable re-use and standardization of metadata for managing records over time, space and applications. It further identifies some of the critical decision points that need to be addressed and documented to enable implementation of metadata for managing records. It aims to: identify the issues that need to be addressed in implementing metadata for managing records, identify and explain the various options for addressing the issues, and identify various paths for making decisions and choosing options in implementing metadata for managing records.

Information et documentation — Processus de gestion des enregistrements — Métadonnées pour les enregistrements — Partie 2: Sujets conceptuels et de mise en oeuvre

[Not translated]

General Information

• Status: Withdrawn
• Publication Date: 29-Jul-2007
• Withdrawal Date: 29-Jul-2007
• ICS: 01.140.20 - Information sciences
• Technical Committee: ISO/TC 46/SC 11 - Archives/records management
• Drafting Committee: ISO/TC 46/SC 11 - Archives/records management
• Current Stage: 9599 - Withdrawal of International Standard
• Start Date: 30-Jun-2009
• Completion Date: 13-Dec-2025
• Ref Project: oSIST-TS ISO/TS 23081-2:2010 - Information and documentation -- Records management processes -- Metadata for records -- Part 2: Conceptual and implementation issues

Relations

• Revised: ISO 23081-2:2009 - Information and documentation - Managing metadata for records - Part 2: Conceptual and implementation issues
• Effective Date: 15-Apr-2008

Standards Content (Sample)

TECHNICAL ISO/TS
SPECIFICATION 23081-2
First edition
2007-08-01
Information and documentation —
Records management processes —
Metadata for records —
Part 2:
Conceptual and implementation issues
Information et documentation — Processus de gestion des
enregistrements — Métadonnées pour les enregistrements —
Partie 2: Sujets conceptuels et de mise en œuvre

Reference number
©
ISO 2007
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ii © ISO 2007 – All rights reserved

Contents Page
Foreword. iv
Introduction . v
1 Scope . 1
2 Normative references . 1
3 Terms and definitions. 2
4 Purpose and benefits of metadata . 3
5 Policy and responsibilities . 5
6 Metadata conceptual model. 7
7 Concepts relating to metadata implementation . 9
8 Metadata model for managing records.16
9 Generic metadata elements . 18
10 Developing a metadata schema for managing records. 24
11 Implementing metadata for managing records . 28
Bibliography . 34

Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies
(ISO member bodies). The work of preparing International Standards is normally carried out through ISO
technical committees. Each member body interested in a subject for which a technical committee has been
established has the right to be represented on that committee. International organizations, governmental and
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International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization.
International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2.
The main task of technical committees is to prepare International Standards. Draft International Standards
adopted by the technical committees are circulated to the member bodies for voting. Publication as an
International Standard requires approval by at least 75 % of the member bodies casting a vote.
In other circumstances, particularly when there is an urgent market requirement for such documents, a
technical committee may decide to publish other types of normative document:
⎯ an ISO Publicly Available Specification (ISO/PAS) represents an agreement between technical experts in
an ISO working group and is accepted for publication if it is approved by more than 50 % of the members
of the parent committee casting a vote;
⎯ an ISO Technical Specification (ISO/TS) represents an agreement between the members of a technical
committee and is accepted for publication if it is approved by 2/3 of the members of the committee casting
a vote.
An ISO/PAS or ISO/TS is reviewed after three years in order to decide whether it will be confirmed for a
further three years, revised to become an International Standard, or withdrawn. If the ISO/PAS or ISO/TS is
confirmed, it is reviewed again after a further three years, at which time it must either be transformed into an
International Standard or be withdrawn.
Attention is drawn to the possibility that some of the elements of this document may be the subject of patent
rights. ISO shall not be held responsible for identifying any or all such patent rights.
ISO/TS 23081-2 was prepared by Technical Committee ISO/TC 46, Information and documentation,
Subcommittee SC 11, Archives/records management.
ISO/TS 23081 consists of the following parts, under the general title Information and documentation —
Records management processes — Metadata for records:
⎯ Part 1: Principles
⎯ Part 2: Conceptual and implementation issues [Technical Specification]
iv © ISO 2007 – All rights reserved

Introduction
This Technical Specification is part of the ISO 23081 series on metadata for records. It focuses on the
framework for defining metadata elements for managing records and provides a generic statement of
metadata elements, whether these are physical, analogue or digital, consistent with the principles of
ISO 23081-1:2006.
It provides an extended rationale for metadata for managing records in organizations, conceptual models for
metadata and a high level element set of generic metadata types suitable for any records environment. It
defines the generic metadata types both for records entities, as well as other entities that need to be managed
in order to document and understand the context of records. This Technical Specification also identifies, for
key entities, a minimum number of fixed aggregation layers that are required for interoperability purposes. The
models and generic metadata types outlined in the Technical Specification are primarily focused on the
“records” entity. However, they are also relevant to the other entities.
This Technical Specification does not prescribe a specific set of metadata elements. Rather, it identifies
generic types of metadata that are required to fulfil the requirements for managing records. This approach
provides organizations with the flexibility to select specific metadata to meet their business requirements for
managing their records for as long as they are required. It provides diagrams for determining the metadata
elements that might be defined in a particular implementation and the metadata that could apply to each
aggregation of the entities defined. It acknowledges that these entities can exist at different layers of
aggregation. It defines generic metadata types that are expected to apply at all layers of aggregation, while
alerting implementers to specific metadata elements that may only apply at particular layers of aggregation.
Implementing metadata for managing records in organizational and system settings involves a number of
choices, which are determined by the circumstances of the organization, systems in place and the
requirements for managing records.
Building upon the principles of ISO 23081-1:2006, this Technical Specification provides a further explanation
on the underlying concepts of metadata schemas for managing records, offers practical guidance for
developing and constructing those schemas from an organizational point of view and finally goes into issues
relating to the implementation and management of metadata over time.
This Technical Specification is intended for:
⎯ records professionals (or persons assigned within an organization for managing records in any
environment) responsible for defining metadata for managing records at any layer of aggregation in either
a business system or dedicated records application software,
⎯ system/business analysts responsible for identifying metadata to manage records in business systems,
⎯ records professionals or system analysts addressing system interoperability requirements involving
records, and
⎯ vendors, as suppliers of software applications that should support and enable the creation, capture and
management of metadata over time.

TECHNICAL SPECIFICATION ISO/TS 23081-2:2007(E)

Information and documentation — Records management
processes — Metadata for records —
Part 2:
Conceptual and implementation issues
1 Scope
This Technical Specification establishes a framework for defining metadata elements consistent with the
principles and implementation considerations outlined in ISO 23081-1:2006. The purpose of this framework is
to:
⎯ enable standardized description of records and critical contextual entities for records,
⎯ provide common understanding of fixed points of aggregation to enable interoperability of records, and
information relevant to records, between organizational systems,
⎯ enable re-use and standardization of metadata for managing records over time, space and across
applications.
It further identifies some of the critical decision points that need to be addressed and documented to enable
implementation of metadata for managing records. It aims to:
⎯ identify the issues that need to be addressed in implementing metadata for managing records,
⎯ identify and explain the various options for addressing the issues, and
⎯ identify various paths for making decisions and choosing options in implementing metadata for managing
records.
2 Normative references
The following referenced documents are indispensable for the application of this document. For dated
references, only the edition cited applies. For undated references, the latest edition of the referenced
document (including any amendments) applies.
ISO/IEC 11179 (all parts), Information technology — Metadata registries (MDR)
ISO 15489-1:2001, Information and documentation — Records management — Part 1: General
ISO 23081-1:2006, Information and documentation — Records management processes — Metadata for
records — Part 1: Principles
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO 15489-1:2001, ISO 23081-1:2006,
ISO/IEC 11179 (all parts) and the following apply.
3.1
archival system
organized collection of hardware, software, policies, procedures and people, which maintains, stores,
manages and makes available records over time
3.2
attribute
characteristic of an object or entity
[ISO 11179-1:2004, definition 3.1.1]
3.3
business system
organized collection of hardware, software, supplies, policies, procedures and people, which stores,
processes and provides access to an organization’s business information
[National Archives of Australia Glossary]
3.4
class
description of a set of objects that share the same attributes, operations, methods, relationships, and
semantics
[ISO/IEC 19501-1:2001, definition 2.5.2.9]
3.5
conceptual data model
conceptual model
data model that represents an abstract view of the real world
NOTE A conceptual model represents the human understanding of a system.
[ISO 11179-1:2004, definition 3.2.5]
3.6
entity
any concrete or abstract thing that exists, did exist, or might exist, including associations among these things
EXAMPLE A person, object, event, idea or process.
NOTE An entity exists whether data about it are available or not.
[ISO 11179-1:2004, definition 3.2.10; ISO/IEC 2382-17:1999, definition 17.02.05].
3.7
metadata for managing records
structured or semi-structured information, which enables the creation, management, and use of records
through time and within and across domains
NOTE See ISO 23081-1:2006, Clause 4.
3.8
records application software
specific application used to maintain, manage and provide access to an organization’s record resources
2 © ISO 2007 – All rights reserved

4 Purpose and benefits of metadata
4.1 Purposes of metadata for managing records
4.1.1 General
Organizations need information systems that capture and manage appropriate contextual information to aid
the use, understanding, management of and access to records over time. This information is critical for
asserting authenticity, reliability, integrity, usability and evidential qualities of records. Collectively, this
information is known as metadata for managing records.
Metadata for managing records can be used for a variety of purposes within an organization to support,
identify, authenticate, describe, locate and manage their resources in a systematic and consistent way to meet
business, accountability and societal requirements of organizations.
Records application software, and business systems with records functionality manage records by capturing
and managing metadata about those records and the context of their creation and use.
Records, particularly in the form of electronic transactions, can exist outside of formal records application
software, often being created in business systems serving specific purposes (for example, licensing systems).
Records are used and understood by people who possess, or have access to, sufficient knowledge about the
processes being undertaken, the people involved in the transaction, the records generated and their
immediate context. Such records are not always robust, for reasons including the following.
a) Contextual linkages can be unwritten and dependent upon individual and group memory. Such reliance
on unwritten contextual understanding is not dependable; some people have access to more knowledge
than others, over time the usability of records will be compromised by staff movement and diminishing
corporate memory.
b) The records often lack explicit information needed to identify the components of a transaction outside the
specific business context and are therefore difficult to exchange with other related business systems for
interoperability purposes.
c) The management processes necessary to assure the sustainability of the records for as long as they are
required are not usually a feature of such systems.
4.1.2 Amount of metadata
There are practical limits to the amount of contextual information that can be made explicit and captured into a
given system in the form of metadata. Context is infinite, while a single information system has finite
boundaries. Further contextual information will always exist outside the boundaries of any one system. A
single records application software system only needs to capture as much metadata as is considered useful
for that system and its users to interpret and manage the records for as long as they are required within the
system and to enable migration of those records required outside the system. Good metadata regimes are
dynamic and can add additional metadata for managing records as and when necessary over time.
Much metadata for managing records can be obtained from other information systems. For them to be useful
in a system for managing records they need to be structured and organized in a standardized way.
Standardized metadata are an essential prerequisite for information system interoperability within and
between organizations.
4.2 Business benefits for metadata for managing records
4.2.1 General
Metadata for managing records not only describe the attributes of records in a way that enables their
management and use/reuse, they also document the relationships between records and the agents that make
and use them and the events or circumstances in which the records are made and used. Metadata support
the searching of information assets and the maintenance of their authenticity.
4.2.2 Capturing and managing records in business systems
Organizations need to create records of their transactions and maintain those records for as long as they are
needed. This can be done only if organizations’ business systems capture records metadata in accordance
with organizational requirements for managing records. How well a system manages records is largely
dependent on the metadata functionality of the system. The relationships between business systems and
specific records application software systems are subject to implementation decisions, as outlined in
Clause 11.
4.2.3 Interoperability
Interoperability refers to the ability of two or more automated systems to exchange information and to
recognise, process and use that information successfully. Interoperable systems need to be able to function
simultaneously at technical, semantic and syntactical levels. Standardized metadata are an essential
prerequisite for information system interoperability.
Standardized metadata for managing records assist in enabling interoperability:
a) between business systems within an organization (for example, between systems that support one
business process and those that support other business processes across the organization);
b) between business systems that create records, and records application software that manage them as
records;
c) between business systems during system migration;
d) between multiple organizations involved in the conduct of business processes (for example, chain
management or electronic commerce transactions);
e) between organizations for a variety of other business purposes;
f) across time between business systems that create records and archival systems that preserve them.
In supporting interoperability, metadata for managing records enable resource discovery of records in
business systems as well as in records application software.
4.2.4 Risk management
Metadata schemas can be tailored to suit organizational requirements for risk aversion. Organizations will
specify elements that shall be present for records to be reliable, authentic and to have integrity. Other
elements will be optional, for inclusion at the discretion of sub units of organizations or for particular business
systems within organizations.
When considering metadata implementation strategies, organizations should identify the risks that exist,
consider the degree of risk entailed, and ensure that the implementation strategy:
a) provides access to critical business systems over time,
b) satisfies legal requirements for authenticity and reliability,
c) is sustainable from a resource perspective over time.
4.2.5 Metadata for records as an organizational information asset
Structured metadata for managing records, in combination with good system search functionality, support
access and retrieval of records across organizations. This maximizes the ability of people to find relevant
records quickly and easily when they need to. In addition, structured records metadata enable information in
records to be retrieved within their business context, thus enhancing understanding and trust in the reliability
4 © ISO 2007 – All rights reserved

of information retrieved for re-use. A relatively small up-front investment in good metadata can enhance
quality and reduce costs for retrieval of information to the organization.
4.2.6 Preventing unauthorized access to records
Metadata for managing records can be used to reduce the risk of unauthorized use of records. Metadata are
needed to specify if access to records is restricted. Only those with appropriate clearance should have access
to records. Any instances of access should be documented as metadata. Access control metadata are vital to
secure legal and business interests of the organization. They ensure the appropriate management of
confidentiality, and privacy of personal information, and other use and security restrictions identified in an
organization’s records.
4.2.7 Sustainability of business systems through administrative change
With the change of organization structure, function or work process, a shift in the responsibilities for business
activities takes place. Implementation of standardized and structured records metadata assists in identifying
appropriate records to be moved across systems and organizational boundaries. Such standardized metadata
also assist in extracting records from one system and importing them into other systems, by preserving
contextual linkage independently of any particular business system.
4.2.8 Long term retention of digital records
Digital records depend upon metadata for their existence, management and future use. The characteristics of
records (ISO 15489-1:2001, 7.2) in all formats are defined in records metadata. Ensuring the preservation of
the records, including their metadata, in electronic form requires conformance to stable, structured and well
defined metadata standards to ensure their sustainability across software upgrades or changes. Preservation
of digital records as long as they are needed can involve a number of strategies (see Clause 11), but all
strategies are dependent upon the existence of standardized metadata for managing records.
4.2.9 Incorporation of metadata into archival systems
Much of the information that is needed to document and describe records and their context in archival
systems can be sourced from the metadata in records application software. This interconnection should be as
seamless as possible. Capturing metadata for managing records according to a standardized schema will
make this process easier to implement.
5 Policy and responsibilities
5.1 Policy decisions
As indicated in ISO 23081-1:2006 (Clause 6), metadata strategies should be treated as an integral part of, or
explicitly related to, an organization's broader records and information management strategy. In this respect,
clear metadata related policy should be created, either as a separate stand-alone policy area linked to the
existing records policy framework or as an integral yet distinct part of the existing organizational records
policies. In either case, organizations should:
a) identify and assign roles and responsibilities, including responsibilities for quality assurance of metadata;
b) identify requirements for metadata reliability, accessibility, retrieval, maintenance, and security;
c) select applicable metadata standards or schema;
d) identify and establish rules for applying metadata encoding schemes (controlled vocabularies, syntax
schemes);
e) determine technical standards to be used in implementation;
f) identify how the metadata policy for managing records relates to other metadata policies or schemas that
are in use in the organization;
g) identify evaluation criteria and methodology for determining compliance with and effectiveness of the
policy;
h) develop monitoring and evaluation strategies to accompany the policy;
i) determine how the policy will be kept up-to-date in line with business activities.
Any policy should allow for different levels of implementation. It should identify the level to be achieved and
how it is to be achieved.
A policy also should identify those areas that are most critical and require special attention with respect to
metadata deployment strategies, such as sustainability, accessibility, vital records identification, preservation
and risk analysis.
5.2 Responsibilities for implementing metadata for managing records
In line with the established framework of roles and responsibilities for records (see ISO 15489-1:2001, 6.3),
responsibility for developing, implementing and maintaining metadata frameworks for managing records
should be clearly assigned to records professionals in association with other organizational staff such as
information technology, or legal professionals, as appropriate.
This responsibility includes:
a) analysing the needs of the organization for metadata for managing records based upon business
requirements;
b) monitoring and analysing developments within the organization relating to metadata, particularly
requirements for managing records;
c) ensuring that metadata schemas for managing records are developed in accordance with best practice
and applicable industry standards;
d) developing the metadata framework for managing records, including the metadata schema, and related
organizational standards and the rules for using them;
e) identifying or developing appropriate metadata encoding schemes, element refinements and qualifiers, for
example classification schemes;
f) keeping the metadata schema up to date and in line with business needs;
g) managing the metadata schema as a record in its own right;
h) maintaining the overall quality of both machine-generated and human-generated metadata, most
particularly its accuracy, integrity, authenticity, usability and reliability;
i) co-ordinating implementation issues between records and information technology staff;
j) co-ordinating with business system owners to ensure integration of metadata for managing records into
business systems as appropriate;
k) coordinating with archival authorities/processes to ensure interoperability between records application
software and archival environments for those records that have archival value;
l) setting up a training programme and subsequent training of agents on the use and application of the
metadata schema;
m) communicating about the metadata schema within the organization.
6 © ISO 2007 – All rights reserved

6 Metadata conceptual model
6.1 Entities
Systems designed to manage records require metadata to support processes for managing records or
archives. One of the main uses of metadata is to represent entities from the business environment in the
business system. Entities support the records perspective to understand the business environment but they
are not in themselves always tangible objects.
The model in Figure 1 supports any number of entities, but of particular importance are the following:
a) the records themselves, whether an individual document or aggregations of records (known as record
entities);
b) the people or organizing structures in the business environment (known as agent entities);
c) the business transacted (known as business entities);
d) the rules governing the transaction and documentation of business (known as mandate entities).

NOTE See ISO 23081-1:2006, 9.1.
Figure 1 — Main entities and their relationships
6.2 Relationships between entities
A key requirement of metadata for managing records is to capture evidence of relationships between entities
and persistently link it to record objects so that the resultant records can function as evidence of the business
and social activities in which they are created and used. Metadata for managing records shall also be capable
of capturing layers of aggregation in entities and the relationships among those layers. Relationships are
treated as a class of entity in the following entity framework model (Figure 2) due to their importance from a
records perspective.
[5]
Figure 2 — Entity model as unified modelling language (UML) class diagram showing
generalization/specialization relationships between entities
This diagram represents classes of entities, with the classes themselves having specific types (or
sub-classes) which include layers of aggregation, for example series is a type or layer of aggregation of the
records entity class, and business rules are a type of mandate. Records business is a type of business entity.
Using the conventions of UML modelling, this diagram is not intended to restrict those things nominated as
classes (e.g. record, agent, business, etc.) or class types (e.g. for agent – person, workgroup, agency,
institution; 7.1.2 and Table 3), as each is extensible in this convention; i.e. there can be other classes or types
of class beyond those shown in this diagram. This diagram does not indicate relationships between individual
classes. It does not indicate the containment relationships (hierarchical or otherwise) that exist between the
class types. However hierarchy is important for managing records. Clause 7 deals with aggregation
relationships between the class types and identifies a fixed set of layers of aggregation for interoperability
purposes.
Including relationship as a separate class of entity allows for greater flexibility in the implementation of this
Technical Specification. Metadata schemas derived from this framework can choose to implement
relationships as:
a) a separate class,
b) a relation attribute of record, agent, business, and mandate classes, or
c) other attributes of record, agent, business, and mandate classes.
Where relationship is defined as a separate class of entity, each of the entities participating in the relationship
will contain a relation element which points to a relationship entity. This relationship entity describes the
relationship type and the members of the relationship. It also contains any contextual information about the
relationship, for example the history of the relationship. In the description of the relationship entity the identity
and nature of the relationship needs to be captured, along with the roles that each entity making up the
relationship plays. Event metadata relating to the relationship capture the dates of these associations.
8 © ISO 2007 – All rights reserved

Where relationships are captured as attributes of other entities, they can be handled by a generic composite
element which allows for the type, dates and roles of the relationship to be captured in the instances.
Modelling relationships in this way makes the properties of the relationship distinguishable from the properties
of the entities. This provides a pathway to interoperability as the different ways metadata schemas handle
relationships can be mapped to this more generic model.
6.3 Flattening the entity model
It is not expected that all implementations of this Technical Specification will directly implement all the classes
of entities described. Such decisions will depend on the ability to ensure persistent links between the various
classes of entity descriptions. Uncertainties about persistence may lead to “records-centric” implementations,
where metadata about other classes of entities are brought explicitly within the boundaries of the record class
itself.
Such implementations “flatten” the entity model and include the information about the missing classes of
entities within other entities. For example, an implementation that did not contain agent, mandate, or business
classes can include the necessary information in the implementation of the record class. See Figure 3.

Figure 3 — Expression as multiple classes of entities or as a single, “flattened”,
records-centric entity class
7 Concepts relating to metadata implementation
7.1 Aggregation
7.1.1 General
Each of the entities classes identified in ISO 23081-1:2006 (i.e. record, agent, mandate, business, records
management business) exist at different layers of aggregation. For example, within the entity “agent”, an
individual, a work unit, a department/division/branch or the organization as a whole can be described. Within
the entity class “record”, an item, a folder, a file, a series, etc. can be described. Each of these layers is
referred to as an aggregation. See Figure 4. Each implementation can define them differently.
Figure 4 — Layers of aggregation
It is important to determine precisely which layers of aggregation are being defined because of the following.
a) Metadata about each layer of aggregation within an entity can be different. While some elements can be
common elements to all layers, some can be specific to particular layers of aggregation.
b) Systems exporting or importing records need to have the layer of aggregation clearly identified to assign
appropriate meaning and functionality to the object in the inheriting system.
Defining the entities and layers of aggregation in this way, provides significant advantages in allowing the
metadata schema to be implemented and managed over time.
7.1.2 Entity class aggregation scheme
7.1.2.1 Scheme of entity classes represented in business systems or records application software
This scheme codifies containment relationships within the same class of entity. Each implementation includes
its own unique mix of entities, based on the processes it needs to support.
The purpose of defining a scheme is to facilitate
⎯ sharing of information about the business environment between systems,
⎯ reuse of entities and metadata from one business system to another, and
⎯ migration of entities and metadata from one records application software system to another.
The interoperability of metadata for managing records is dependent on business systems (including records
application software) using the same entity class types and metadata elements and on the meaning
(semantics) embodied in the way specific data values have been used in particular software systems.
Note that there are some important issues in the representation of the business environment from a records
perspective. These are the following.
10 © ISO 2007 – All rights reserved

a) Entities can be part of other entities in a physical or logical sense as a result of aggregation or hierarchy
or classification, for example a document in a file, a file in a box, a transaction in a process, a person in
an agency. Each organization should have rules about which entities can be part of other entities.
b) The same business environment can be represented differently in different records applications software
or business systems depending on the unique requirements of the organization.
This scheme represents only fixed layers of aggregations. Individual implementations can utilize other
aggregations as necessary. However, where information concerning metadata for managing records is
exchanged between systems it is necessary to have fixed layers of aggregation that should be represented in
the same way in systems that are exchanging metadata.
7.1.2.2 Limitation
This scheme indicates those layers of aggregation that are commonly implemented and should be regarded
as fixed layers of aggregation for interoperability purposes. Different jurisdictions can use different terms to
refer to the layers of aggregation, however they should ensure a mapping of their terms to the fixed layers.
The layers of aggregation of each entity are not necessarily uniquely corresponding. For example, layer 1 of
Table 1 can correspond with layer 1 of Table 2 (Business), but also with layer 2 of Table 3 (Agent). Similarly,
different implementation environments can call the aggregation by their own preferred name, hence the
inclusion of an “indicative” name only. This is acceptable practice as long as each implementation
environment is able to clearly map their named aggregation to the specific nominated layers of aggregation
established in this Technical Specification.
Table 1 — Entity class: Records
Indicative name
Layer Aspects of business environment represented Examples
for aggregation
The smallest discrete unit of records managed as an An email containing a referral for
entity. Items can contain components such as an email a specific patient to a new
1 Item
with attachments; however, the components of the item medical practitioner, or a budget
are managed as a single entity within the system. proposal for a new project.
Records resulting from executing
a workflow sequence undertaken
by a specific medical practitioner
to provide services to a
A sequence of items, physically or virtually linked,
Transaction particular patient on one visit, or
2 which shows one coherent transaction leading to a
sequence records resulting from executing
specific outcome.
a workflow sequence undertaken
by a local government agency to
authorize the opening of a new
food delivery service.
A sequence of items, physically or virtually linked,
which evidences an organizational/business activity.
Individual items on the file have relationships with each The cumulated records relating
3 File other, for example a letter and a reply, and a reply to to a particular patient in a
that, etc., which are preserved by being kept on file in medical practice.
the right order and are part of the evidence in the
records. A file can be physical or electronic.
An aggregation of records created and maintained by
an agency or person that are in the same numerical,
The medical practice’s patient
alphabetical, chronological, or other identifiable
4 Series files, or the employees files
sequence, or result from the same accumulation or
within an insurance firm.
filing process and are of similar function, format or
informational content.
All the records of the medical
The whole body of records of an organization or practice, or all the records of a
5 Archive
individual. regional office of an insurance
firm.
Records of multiple medical
All of the records within a specified society, jurisdiction, practices or records of multiple
6 Archives business or social sector brought into an encompassing non government organizations
framework to form collective memory. contributing to infrastructure
building in developing countries.

12 © ISO 2007 – All rights reserved

Table 2 — Entity class: Business (including records business)
Indicative name
Layer Aspect of business environment represented Examples
of aggregation
An instance of a physician
examining a specific patient, or
1 Transaction The smallest unit of business activity.
an instance of purchasing
specific supplies.
The major tasks performed by an organization to
The medical practice’s
Activity/
accomplish each of its functions. An activity/process
examination procedures, or a
should be based on a cohesive grouping of
process
purchasing procedure.
transactions producing a singular outcome.
Functions represent the major responsibilities that are
A medical practice’s patient
managed by an organization to fulfil its goals. Functions
3 Function services, or research
are high-layer aggregates of the organization's
management.
activities.
A societal right or responsibility that exists outside
the boundaries of an organization. An ambient
4 Ambient function function provides the broader societal context in Ensuring health and welfare.
which an organization’s business functions are
performed.
Table 3 — Entity class: Agents
Indicative name
Layer Aspect of business environment represented Examples
of aggregation
The specific medical practitioner
Person/ Individual actors or instruments who carry out the or the electrocardiogram (ECG)
instrument business transactions. machine producing the specific
chart.
The oncology group within a
A formal or informal collection of people or positions
medical practice or a digital
2 Work group aligned for management purposes to achieve a
rights specialist group within a
business outcome.
law firm.
3 Agency Organizations mandated to carry out the function. A medical laboratory or a bank.
Groups of agencies associated with ambient (broader) A hospital or a regional
4 Institution
functions in the sense of high level societal purposes. government.

Table 4 — Entity class: Mandates
Indicative name of
Layer Aspect of business environment represented Examples
aggregation
A set of discrete procedural instructions, outlining Patients will sign a medical
assumptions and dependencies that determine the information disclosure form on
1 Business rules
method, sequence and outcome of particular business their first visit, or current address
actions and implemented to meet specific business is to be provided when
(including managing records) requirements. registering for services.
Patient medical information will
A formal set of generic instructions governing the
be disclosed only to other
2 Policies manner in which, and standards to which, business
physicians and only to provide
actions are to be performed.
for the care of the patient.
Legislation relating to personal
Legislation/ An external command or authorization, governing the
3 privacy and the sharing of
regulations conduct of business activity and directing policy.
patient medical information.
NOTE Aggregates of mandates do not possess the same hierarchical layering as those presented in other entity classes.
7.2 Inheritance
Metadata can be inherited from a higher aggregate to a lower one. For example, metadata about a folder can
be inherited by all the items placed within the folder. This is a technique which serves to ensure consistency of
metadata attribution, and that properties defined at the higher layer do not need to be repeated for each of the
subordinate layers. This concept is illustrated in Figure 5.

Key
Rp retention period (5 years)
Figure 5 — Inheritance
Inheritance plays an important role in managing records. It allows specific functionality to be defined across
predefined groups of records. For example, applying a single security/access level to many folders and the
items within those folders.
Inheritance can be implemented in a number of ways, including the following.
a) Providing a logical, bi-directional, link between the layers of aggregations. This is common in records
application software.
b) Copying the metadata from the higher aggregate to each instance of the subordinate layer within it. This
approach tends to support self-documenting and stand-alone objects.
c) Physically “wrapping” or “encapsulating” the contained aggregates with explicit m
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