ISO/TR 23081-3:2011

Information and documentation - Managing metadata for records - Part 3: Self-assessment method

ISO/TR 23081-3:2011 provides guidance on conducting a self-assessment on records metadata in relation to the creation, capture and control of records. The self-assessment helps to: identify the current state of metadata capture and management in or across organizations; identify priorities of what to work on and when; identify key requirements from ISO 23081-1:2006 and ISO 23081-2:2009; evaluate progress in the development of a metadata framework for the implementation of specific systems and projects; evaluate system and project readiness (move to the next phase in a system or project) when including records metadata functionality in a system. A records metadata readiness evaluation is provided for key steps from project inception through to the implementation/maintenance phase.

Information et documentation — Gestion des métadonnées pour l'information et les documents — Partie 3: Méthode d'auto-évaluation

Informatika in dokumentacija - Upravljanje metapodatkov za zapise - 3. del: Metoda samoocenjevanja

To tehnično poročilo podaja smernice za izvajanje samoocenjevanja metapodatkov zapisov, kjer upošteva ustvarjanje, zajem in nadzor nad zapisi. Samoocenjevanje pomaga:
a) ugotoviti trenutno stanje zajema metapodatkov in upravljanja v organizacijah;
b) ugotoviti prednosti določenega dela in časa dela;
c) ugotoviti ključne zahteve iz standardov ISO 23081-1:2006 in ISO 23081-2:2009;
d) oceniti napredek v razvoju okvirja metapodatkov za implementacijo določenih sistemov in projektov;
e) oceniti pripravljenost sistema in projekta (premik v naslednjo fazo v sistemu ali projektu) pri vključitvi metapodatkov zapisov v delovanje sistema. Ocena pripravljenosti metapodatkov zapisa je podana za ključne korake od nastanka projekta skozi fazo implementacije/vzdrževanja.

General Information

• Status: Published
• Publication Date: 09-Aug-2011
• 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: 6060 - International Standard published
• Start Date: 10-Aug-2011
• Completion Date: 13-Dec-2025
• Ref Project: SIST-TP ISO/TR 23081-3:2013 - Information and documentation -- Managing metadata for records -- Part 3: Self-assessment method

Overview

ISO/TR 23081-3:2011 - "Information and documentation - Managing metadata for records - Part 3: Self‑assessment method" - is a technical report from ISO that provides guidance for conducting a self-assessment of records metadata. The document helps organizations evaluate how metadata for records is created, captured and controlled, and it includes a practical spreadsheet tool to support the assessment process. The self‑assessment supports prioritization, progress tracking and readiness evaluation for projects that include records metadata functionality.

Key Topics

• Metadata capture and management: Guidance on assessing current practices for creating, capturing and controlling metadata associated with records.
• Self‑assessment method: A structured approach and assessment tool (spreadsheet) to evaluate metadata policies, processes and system support.
• Alignment with ISO 23081 series: Identifies key requirements and expectations from ISO 23081‑1:2006 and ISO 23081‑2:2009 to ensure consistency with core metadata requirements.
• Metadata framework evaluation: Assess progress in developing a metadata framework that will support systems and projects.
• System and project readiness: Readiness evaluation covering stages from project inception through implementation and maintenance, helping decide whether to move to the next project phase.

Applications

ISO/TR 23081‑3 is practical for organizations that need to evaluate and improve how they manage records metadata. Typical uses:

• Baseline assessments - establish the current state of metadata capture and governance across departments or systems.
• Project gating and readiness - determine whether a system or project is ready to incorporate records metadata functionality before deployment.
• Prioritization and planning - identify high‑priority gaps and create an implementation roadmap for metadata improvements.
• Progress monitoring - measure development of a metadata framework and the maturity of metadata practices over time.
• Compliance support - provide evidence-based self-assessment results to support information governance and audit activities.

Who should use it:

• Records managers and archivists
• Information governance and compliance officers
• IT project managers and system designers implementing records functionality
• Digital preservation specialists

Related Standards

• ISO 23081‑1:2006 (metadata principles and concepts)
• ISO 23081‑2:2009 (framework and requirements for metadata for records)

ISO/TR 23081‑3 complements the other parts of the ISO 23081 series by translating metadata requirements into a usable self‑assessment method and tool for practical implementation and systems readiness evaluation.

Keywords: ISO TR 23081-3, records metadata self‑assessment, metadata for records, metadata framework, records management, system readiness, ISO 23081.

Standards Content (Sample)

SLOVENSKI STANDARD
01-julij-2013
Informatika in dokumentacija - Upravljanje metapodatkov za zapise - 3. del: Metoda
samoocenjevanja
Information and documentation -- Managing metadata for records -- Part 3: Self-
assessment method
Information et documentation -- Gestion des métadonnées pour l'information et les
documents -- Partie 3: Méthode d'auto-évaluation
Ta slovenski standard je istoveten z: ISO/TR 23081-3:2011
ICS:
01.140.20 Informacijske vede Information sciences
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

TECHNICAL ISO/TR
REPORT 23081-3
First edition
2011-08-15
Information and documentation —
Managing metadata for records —
Part 3:
Self-assessment method
Information et documentation — Gestion des métadonnées pour
I'information et les documents —
Partie 3: Méthode d'auto-évaluation

Reference number
©
ISO 2011
©  ISO 2011
All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any means,
electronic or mechanical, including photocopying and microfilm, without permission in writing from either ISO at the address below or
ISO's member body in the country of the requester.
ISO copyright office
Case postale 56  CH-1211 Geneva 20
Tel. + 41 22 749 01 11
Fax + 41 22 749 09 47
E-mail [e-mail]
Web www.iso.org
Published in Switzerland
ii © ISO 2011 – All rights reserved

Contents Page
Foreword . iv
Introduction . v
1  Scope . 1
2  Normative references . 1
3  Terms and definitions . 1
4  Components of the metadata self-assessment method . 2
4.1  Introduction . 2
4.2  Self-assessment checklists . 2
4.2.1  Metadata framework criteria . 2
4.2.2  System-specific criteria . 3
4.3  Framework readiness report . 4
4.4  System-readiness assessment report . 6
Bibliography . 8

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
non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the
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 exceptional circumstances, when a technical committee has collected data of a different kind from that
which is normally published as an International Standard (“state of the art”, for example), it may decide by a
simple majority vote of its participating members to publish a Technical Report. A Technical Report is entirely
informative in nature and does not have to be reviewed until the data it provides are considered to be no
longer valid or useful.
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/TR 23081-3 was prepared by Technical Committee ISO/TC 46, Information and documentation,
Subcommittee SC 11, Archives/records management.
ISO/TR 23081 consists of the following parts, under the general title Information and documentation —
Managing metadata for records:
 Part 1: Principles
 Part 2: Conceptual and implementation issues
 Part 3: Self-assessment method
iv © ISO 2011 – All rights reserved

Introduction
This Technical Report provides records professionals and IT professionals with a self-assessment method to
evaluate the current state of records metadata capture and management in or across their organization, and
provides direction on how to improve on the current state. The self-assessment method aligns with
ISO 23081-1 and ISO 23081-2. A software tool (spreadsheet) that supports the self-assessment method is
annexed to this Technical Report.
Metadata management is an inextricable part of records management, serving a variety of functions and
purposes. In a records management context, metadata are defined as data describing the context, content
and structure of records and their management through time (see ISO 15489-1:2001, 3.12). As such,
metadata are structured or semi-structured information, enabling the creation, registration, classification,
access, preservation and disposition of records through time and within and across domains. Each of these
domains represents an area of intellectual discourse and of social and/or organizational activity with a
distinctive or limited group of people who share certain values and knowledge. Records management
metadata can be used to identify, authenticate and contextualize records and the people, processes and
systems that create, manage, maintain and use them and the policies that govern them.
NOTE The paragraph above is adapted from ISO 23081-1:2006, Clause 4.
All organizations, regardless of their size or the nature of their business, exist and act to achieve certain goals
and objectives. Every organization generates records from its business processes. These records constitute
evidence of the organization's goals and objectives, of its decisions and of its transactions. For a full
understanding of these business records, contextual and management metadata are needed. This
understanding facilitates several key functions, including the identification, management, access, use, and
preservation of records as an asset of the organization.
To realize its own specific goals and objectives, each organization determines and applies appropriate
metadata creation which supports the ongoing business and records management processes of the
organization.
This Technical Report is intended for:
 records professionals (or persons within an organization assigned to managing records) responsible for
creating and managing records (and their metadata) in either a business system or dedicated records
application software;
 system or business analysts responsible for designing business and records systems that will create,
manage, store, and preserve records and their metadata;
 auditors responsible for ensuring compliance with regulatory policies and procedures;
 risk managers responsible for managing risks associated with business operations.
For the purposes of this Technical Report, metadata self-assessment involves:
a) defining and communicating a policy and objectives for records management;
b) determining strategies necessary to achieve the records management objectives;
c) establishing processes and practices necessary to achieve the records management objectives;
d) determining and providing the resources necessary to achieve the records management objectives;
e) designing and implementing records processes and systems;
f) establishing and applying methods to measure the effectiveness and efficiency of processes and
systems;
g) determining means of preventing nonconformities and eliminating their causes; and
h) establishing and applying a process for continual improvement of the records management system.
vi © ISO 2011 – All rights reserved

TECHNICAL REPORT ISO/TR 23081-3:2011(E)

Information and documentation — Managing metadata for
records —
Part 3:
Self-assessment method
1 Scope
This Technical Report provides guidance on conducting a self-assessment on records metadata in relation to
the creation, capture and control of records.
The self-assessment helps to:
a) identify the current state of metadata capture and management in or across organizations;
b) identify priorities of what to work on and when;
c) identify key requirements from ISO 23081-1:2006 and ISO 23081-2:2009;
d) evaluate progress in the development of a metadata framework for the implementation of specific
systems and projects;
e) evaluate system and project readiness (move to the next phase in a system or project) when including
records metadata functionality in a system. A records metadata readiness evaluation is provided for key
steps from project inception through to the implementation/maintenance phase.
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 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
ISO 23081-2:2009, Information and documentation — Managing metadata for records — Part 2: Conceptual
and implementation issues
ISO/IEC 11179-1, Information technology — Metadata registries (MDR) — Part 1: Framework
3 Terms and definitions
For the purpose of this document, the terms and definitions given in ISO 15489-1, ISO 23081-1, ISO 23081-2
and ISO/IEC 11179-1 apply.
4 Components of the metadata self-assessment method
4.1 Introduction
This metadata self-assessment method is designed to identify an organization's current state of records
metadata readiness, the risks associated with the current state and to give direction on how to improve the
organization's readiness. This metadata self-assessment method is not exhaustive.
The self-assessment method takes into account two levels:
 the metadata framework level, and
 the systems level.
Before conducting a metadata self-assessment, it is essential to have identified the organization's metadata
policies and rules, metadata structures, roles and responsibilities assigned, and existing metadata schemas.
The metadata self-assessment method includes the spreadsheet ISO 23081-3 metadata of self-assessment
method spreadsheet, which contains the following components:
a) how to use this checklist (spreadsheet Annex 1);
b) self-assessment checklists (spreadsheet Annex 2):
1) criteria for the establishment of a metadata framework,
2) criteria for monitoring the design and implementation of m
...

TECHNICAL ISO/TR
REPORT 23081-3
First edition
2011-08-15
Information and documentation —
Managing metadata for records —
Part 3:
Self-assessment method
Information et documentation — Gestion des métadonnées pour
l'information et les documents —
Partie 3: Méthode d'auto-évaluation

Reference number
©
ISO 2011
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