kSIST ISO/FDIS 23081-2:2021
(Main)Information and documentation - Metadata for managing records - Part 2: Conceptual and implementation issues
Information and documentation - Metadata for managing records - Part 2: Conceptual and implementation issues
This document establishes a framework for defining metadata elements consistent with the principles and implementation considerations outlined in ISOÂ 23081-1. The purpose of this framework is to:
a) enable standardized description of records and critical contextual entities for records;
b) provide common understanding of fixed points of aggregation to enable interoperability of records and information relevant to records between organizational systems; and
c) enable reuse 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.
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INTERNATIONAL ISO
STANDARD 23081-2
Second edition
2021-08
Information and documentation —
Metadata for managing records —
Part 2:
Conceptual and implementation
issues
Reference number
ISO 23081-2:2021(E)
ISO 2021
---------------------- Page: 1 ----------------------
ISO 23081-2:2021(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 2021
All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may
be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting
on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address
below or ISO’s member body in the country of the requester.ISO copyright office
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: +41 22 749 01 11
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
ii © ISO 2021 – All rights reserved
---------------------- Page: 2 ----------------------
ISO 23081-2:2021(E)
Contents Page
Foreword ..........................................................................................................................................................................................................................................v
Introduction ................................................................................................................................................................................................................................vi
1 Scope ................................................................................................................................................................................................................................. 1
2 Normative references ...................................................................................................................................................................................... 1
3 Terms and definitions ..................................................................................................................................................................................... 1
4 Purpose and benefits of metadata ..................................................................................................................................................... 2
4.1 Purposes of metadata for managing records ................................................................................................................ 2
4.1.1 General...................................................................................................................................................................................... 2
4.1.2 Amount of metadata ..................................................................................................................................................... 2
4.2 Business benefits for metadata for managing records ......................................................................................... 3
4.2.1 General...................................................................................................................................................................................... 3
4.2.2 Capturing and managing records in business systems ................................................................... 3
4.2.3 Interoperability ................................................................................................................................................................. 3
4.2.4 Risk management ............................................................................................................................................................ 3
4.2.5 Metadata for records as an organizational information asset .................................................. 4
4.2.6 Preventing unauthorized access to records ............................................................................................. 4
4.2.7 Sustainability of business systems through administrative change .................................... 4
4.2.8 Long-term retention of digital records ......................................................................................................... 4
4.2.9 Incorporation of metadata into archival systems ................................................................................ 4
5 Policy and responsibilities ......................................................................................................................................................................... 4
5.1 Policy decisions ...................................................................................................................................................................................... 4
5.2 Responsibilities for implementing metadata for managing records ........................................................ 5
6 Metadata conceptual model ...................................................................................................................................................................... 6
6.1 Entities ........................................................................................................................................................................................................... 6
6.2 Relationships between entities ................................................................................................................................................. 6
6.3 Flattening the entity model .......................................................................................................................................................... 8
7 Concepts relating to metadata implementation .................................................................................................................. 8
7.1 Aggregation ................................................................................................................................................................................................ 8
7.1.1 General...................................................................................................................................................................................... 8
7.1.2 Entity class aggregation scheme ........................................................................................................................ 9
7.2 Inheritance ..............................................................................................................................................................................................12
7.3 Reuse of metadata values ...........................................................................................................................................................13
7.4 Interdependence of metadata elements ........................................................................................................................14
7.5 Extensibility and modularity ...................................................................................................................................................14
8 Metadata model for managing records ......................................................................................................................................14
8.1 Metadata model ...................................................................................................................................................................................14
8.2 Dynamic metadata model ...........................................................................................................................................................15
8.3 Metadata as a record .......................................................................................................................................................................16
9 Generic metadata elements ...................................................................................................................................................................17
9.1 Identity metadata ..............................................................................................................................................................................17
9.2 Description metadata .....................................................................................................................................................................17
9.3 Use metadata .........................................................................................................................................................................................18
9.4 Event plan metadata........................................................................................................................................................................20
9.5 Event history metadata .................................................................................................................................................................21
9.6 Relation metadata .............................................................................................................................................................................22
10 Developing a metadata schema for managing records ..............................................................................................23
10.1 Metadata schema ...............................................................................................................................................................................23
10.2 Metadata registries ..........................................................................................................................................................................23
10.3 Designing metadata schemas for managing records ..........................................................................................24
10.3.1 Selecting elements to form a schema ..........................................................................................................24
© ISO 2021 – All rights reserved iii---------------------- Page: 3 ----------------------
ISO 23081-2:2021(E)
10.3.2 Structuring elements and establishing relationships ...................................................................24
10.3.3 Encoding schemes .......................................................................................................................................................25
10.3.4 Rules for syntax, obligation levels, default values and repeatability ...............................25
10.3.5 Reusing existing metadata schemas for the purposes of managing records ............25
10.4 Metadata schema presentation .............................................................................................................................................26
10.4.1 Documenting a metadata schema for managing records ..........................................................26
10.4.2 Machine readable presentations .....................................................................................................................26
11 Implementing metadata for managing records ................................................................................................................27
11.1 General ........................................................................................................................................................................................................27
11.2 Storage and management ...........................................................................................................................................................27
11.2.1 Centralized versus decentralized storage and management ..................................................27
11.2.2 Metadata repository ..................................................................................................................................................28
11.3 Metadata capture ...............................................................................................................................................................................28
11.4 Creating a metadata record for managing records ...............................................................................................28
11.5 Registration .............................................................................................................................................................................................29
11.6 Metadata as control tools for managing records ....................................................................................................29
11.7 Linking metadata ...............................................................................................................................................................................30
11.8 Appraisal ...................................................................................................................................................................................................30
11.9 Transferring records .......................................................................................................................................................................31
11.10 Preservation and storage formats .......................................................................................................................................31
11.10.1 General...................................................................................................................................................................................31
11.10.2 Storage in specified formats................................................................................................................................32
11.10.3 Encapsulating ..................................................................................................................................................................32
11.11 Ensuring management of metadata over time .........................................................................................................32
Bibliography .............................................................................................................................................................................................................................33
iv © ISO 2021 – All rights reserved---------------------- Page: 4 ----------------------
ISO 23081-2:2021(E)
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.The procedures used to develop this document and those intended for its further maintenance are
described in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for the
different types of ISO documents should be noted. This document was drafted in accordance with the
editorial rules of the ISO/IEC Directives, Part 2 (see www .iso .org/ directives).
Attention is drawn to the possibility that some of the elements of this document may be the subject of
patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of
any patent rights identified during the development of the document will be in the Introduction and/or
on the ISO list of patent declarations received (see www .iso .org/ patents).Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and
expressions related to conformity assessment, as well as information about ISO's adherence to the
World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT), see www .iso .org/
iso/ foreword .html.This document was prepared by Technical Committee ISO/TC 46, Information and documentation,
Subcommittee SC 11, Archives/records management.This second edition cancels and replaces the first edition (ISO 23081-2:2009), of which it constitutes a
minor revision.The changes compared to the previous edition are as follows:
— the second element of the title has been changed from "Managing metadata for records" to "Metadata
for managing records";— in Clause 2, ISO 30300 has been added as a normative reference;
— in Clause 3, a reference to ISO 30300 has been added and the terminological entries have been
deleted;— dated references have been updated;
— minor editorial changes have been applied for clarification.
A list of all parts in the ISO 23081 series can be found on the ISO website.
Any feedback or questions on this document should be directed to the user’s national standards body. A
complete listing of these bodies can be found at www .iso .org/ members .html.© ISO 2021 – All rights reserved v
---------------------- Page: 5 ----------------------
ISO 23081-2:2021(E)
Introduction
The ISO 23081 series describes metadata for records. This document 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.
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 encompassing, for example, current document or records management implementations
or archival implementations. 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 document 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 this
document are primarily focused on the “records” entity. However, they are also relevant to the other
entities.This document 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 can 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 can 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, the systems in place and the
requirements for managing records.Building upon the principles of ISO 23081-1, this document provides 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 document 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;— systems/business analysts responsible for identifying metadata to manage records in business
systems;— records professionals or systems analysts addressing system interoperability requirements
involving records; and— vendors, as suppliers of software applications that support and enable the creation, capture and
management of metadata over time.vi © ISO 2021 – All rights reserved
---------------------- Page: 6 ----------------------
INTERNATIONAL STANDARD ISO 23081-2:2021(E)
Information and documentation — Metadata for managing
records —
Part 2:
Conceptual and implementation issues
1 Scope
This document establishes a framework for defining metadata elements consistent with the principles
and implementation considerations outlined in ISO 23081-1. The purpose of this framework is to:
a) enable standardized description of records and critical contextual entities for records;
b) provide common understanding of fixed points of aggregation to enable interoperability of records
and information relevant to records between organizational systems; andc) enable reuse 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 documents are referred to in the text in such a way that some or all of their content
constitutes requirements of this document. For dated references, only the edition cited applies. For
undated references, the latest edition of the referenced document (including any amendments) applies..
ISO/IEC 11179-1, Information technology — Metadata registries (MDR) — Part 1: Framework
ISO 15489-1:2016, Information and documentation — Records management — Part 1: Concepts and
principlesISO 23081-1:2017, Information and documentation — Records management processes — Metadata for
records — Part 1: PrinciplesISO 30300, Information and documentation — Records management — Core concepts and vocabulary
3 Terms and definitionsFor the purposes of this document, the terms and definitions given in ISO 23081-1, ISO/IEC 11179-1 and
ISO 30300 apply.ISO and IEC maintain terminological databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https:// www .iso .org/ obp© ISO 2021 – All rights reserved 1
---------------------- Page: 7 ----------------------
ISO 23081-2:2021(E)
— IEC Electropedia: available at https:// www .electropedia .org/
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, useability 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 a 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 useability 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.2 © ISO 2021 – All rights reserved
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ISO 23081-2:2021(E)
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 systemsOrganizations 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 recognize, process and use that information successfully. Interoperable systems need to be able to
operate 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 as follows:
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 (for example in undertaking shared
transactions or transfer of records to a third party);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
specify elements that shall be present for records to be reliable, authentic and to have integrity. Other
elements are 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 requirem
...
FINAL
INTERNATIONAL ISO/FDIS
DRAFT
STANDARD 23081-2
ISO/TC 46/SC 11
Information and documentation —
Secretariat: SA
Metadata for managing records —
Voting begins on:
2021-05-20
Part 2:
Voting terminates on:
Conceptual and implementation
2021-07-15
issues
Information et documentation — Métadonnées pour gestion des
l'information et les documents —
Partie 2: Concepts et mise en oeuvre
RECIPIENTS OF THIS DRAFT ARE INVITED TO
SUBMIT, WITH THEIR COMMENTS, NOTIFICATION
OF ANY RELEVANT PATENT RIGHTS OF WHICH
THEY ARE AWARE AND TO PROVIDE SUPPOR TING
DOCUMENTATION.
IN ADDITION TO THEIR EVALUATION AS
Reference number
BEING ACCEPTABLE FOR INDUSTRIAL, TECHNO-
ISO/FDIS 23081-2:2021(E)
LOGICAL, COMMERCIAL AND USER PURPOSES,
DRAFT INTERNATIONAL STANDARDS MAY ON
OCCASION HAVE TO BE CONSIDERED IN THE
LIGHT OF THEIR POTENTIAL TO BECOME STAN-
DARDS TO WHICH REFERENCE MAY BE MADE IN
NATIONAL REGULATIONS. ISO 2021
---------------------- Page: 1 ----------------------
ISO/FDIS 23081-2:2021(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 2021
All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may
be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting
on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address
below or ISO’s member body in the country of the requester.ISO copyright office
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: +41 22 749 01 11
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
ii © ISO 2021 – All rights reserved
---------------------- Page: 2 ----------------------
ISO/FDIS 23081-2:2021(E)
Contents Page
Foreword ..........................................................................................................................................................................................................................................v
Introduction ................................................................................................................................................................................................................................vi
1 Scope ................................................................................................................................................................................................................................. 1
2 Normative references ...................................................................................................................................................................................... 1
3 Terms and definitions ..................................................................................................................................................................................... 1
4 Purpose and benefits of metadata ..................................................................................................................................................... 2
4.1 Purposes of metadata for managing records ................................................................................................................ 2
4.1.1 General...................................................................................................................................................................................... 2
4.1.2 Amount of metadata ..................................................................................................................................................... 2
4.2 Business benefits for metadata for managing records ......................................................................................... 3
4.2.1 General...................................................................................................................................................................................... 3
4.2.2 Capturing and managing records in business systems ................................................................... 3
4.2.3 Interoperability ................................................................................................................................................................. 3
4.2.4 Risk management ............................................................................................................................................................ 3
4.2.5 Metadata for records as an organizational information asset .................................................. 4
4.2.6 Preventing unauthorized access to records ............................................................................................. 4
4.2.7 Sustainability of business systems through administrative change .................................... 4
4.2.8 Long-term retention of digital records ......................................................................................................... 4
4.2.9 Incorporation of metadata into archival systems ................................................................................ 4
5 Policy and responsibilities ......................................................................................................................................................................... 4
5.1 Policy decisions ...................................................................................................................................................................................... 4
5.2 Responsibilities for implementing metadata for managing records ........................................................ 5
6 Metadata conceptual model ...................................................................................................................................................................... 6
6.1 Entities ........................................................................................................................................................................................................... 6
6.2 Relationships between entities ................................................................................................................................................. 6
6.3 Flattening the entity model .......................................................................................................................................................... 8
7 Concepts relating to metadata implementation .................................................................................................................. 8
7.1 Aggregation ................................................................................................................................................................................................ 8
7.1.1 General...................................................................................................................................................................................... 8
7.1.2 Entity class aggregation scheme ........................................................................................................................ 9
7.2 Inheritance ..............................................................................................................................................................................................12
7.3 Reuse of metadata values ...........................................................................................................................................................13
7.4 Interdependence of metadata elements ........................................................................................................................14
7.5 Extensibility and modularity ...................................................................................................................................................14
8 Metadata model for managing records ......................................................................................................................................14
8.1 Metadata model ...................................................................................................................................................................................14
8.2 Dynamic metadata model ...........................................................................................................................................................15
8.3 Metadata as a record .......................................................................................................................................................................16
9 Generic metadata elements ...................................................................................................................................................................17
9.1 Identity metadata ..............................................................................................................................................................................17
9.2 Description metadata .....................................................................................................................................................................17
9.3 Use metadata .........................................................................................................................................................................................18
9.4 Event plan metadata........................................................................................................................................................................20
9.5 Event history metadata .................................................................................................................................................................21
9.6 Relation metadata .............................................................................................................................................................................22
10 Developing a metadata schema for managing records ..............................................................................................23
10.1 Metadata schema ...............................................................................................................................................................................23
10.2 Metadata registries ..........................................................................................................................................................................23
10.3 Designing metadata schemas for managing records ..........................................................................................24
10.3.1 Selecting elements to form a schema ..........................................................................................................24
© ISO 2021 – All rights reserved iii---------------------- Page: 3 ----------------------
ISO/FDIS 23081-2:2021(E)
10.3.2 Structuring elements and establishing relationships ...................................................................24
10.3.3 Encoding schemes .......................................................................................................................................................25
10.3.4 Rules for syntax, obligation levels, default values and repeatability ...............................25
10.3.5 Reusing existing metadata schemas for the purposes of managing records ............25
10.4 Metadata schema presentation .............................................................................................................................................26
10.4.1 Documenting a metadata schema for managing records ..........................................................26
10.4.2 Machine readable presentations .....................................................................................................................26
11 Implementing metadata for managing records ................................................................................................................27
11.1 General ........................................................................................................................................................................................................27
11.2 Storage and management ...........................................................................................................................................................27
11.2.1 Centralized versus decentralized storage and management ..................................................27
11.2.2 Metadata repository ..................................................................................................................................................28
11.3 Metadata capture ...............................................................................................................................................................................28
11.4 Creating a metadata record for managing records ...............................................................................................28
11.5 Registration .............................................................................................................................................................................................29
11.6 Metadata as control tools for managing records ....................................................................................................29
11.7 Linking metadata ...............................................................................................................................................................................30
11.8 Appraisal ...................................................................................................................................................................................................30
11.9 Transferring records .......................................................................................................................................................................31
11.10 Preservation and storage formats .......................................................................................................................................31
11.10.1 General...................................................................................................................................................................................31
11.10.2 Storage in specified formats................................................................................................................................32
11.10.3 Encapsulating ..................................................................................................................................................................32
11.11 Ensuring management of metadata over time .........................................................................................................32
Bibliography .............................................................................................................................................................................................................................33
iv © ISO 2021 – All rights reserved---------------------- Page: 4 ----------------------
ISO/FDIS 23081-2:2021(E)
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.The procedures used to develop this document and those intended for its further maintenance are
described in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for the
different types of ISO documents should be noted. This document was drafted in accordance with the
editorial rules of the ISO/IEC Directives, Part 2 (see www .iso .org/ directives).
Attention is drawn to the possibility that some of the elements of this document may be the subject of
patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of
any patent rights identified during the development of the document will be in the Introduction and/or
on the ISO list of patent declarations received (see www .iso .org/ patents).Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and
expressions related to conformity assessment, as well as information about ISO's adherence to the
World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT), see www .iso .org/
iso/ foreword .html.This document was prepared by Technical Committee ISO/TC 46, Information and documentation,
Subcommittee SC 11, Archives/records management.This second edition cancels and replaces the first edition (ISO 23081-2:2009), of which it constitutes a
minor revision.The changes compared to the previous edition are as follows:
— the second element of the title has been changed from "Managing metadata for records" to "Metadata
for managing records";— in Clause 2, ISO 30300 has been added as a normative reference;
— in Clause 3, a reference to ISO 30300 has been added and the terminological entries have been
deleted;— dated references have been updated;
— minor editorial changes have been applied for clarification.
A list of all parts in the ISO 23081 series can be found on the ISO website.
Any feedback or questions on this document should be directed to the user’s national standards body. A
complete listing of these bodies can be found at www .iso .org/ members .html.© ISO 2021 – All rights reserved v
---------------------- Page: 5 ----------------------
ISO/FDIS 23081-2:2021(E)
Introduction
The ISO 23081 series describes metadata for records. This document 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.
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 encompassing, for example, current document or records management implementations
or archival implementations. 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 document 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 this
document are primarily focused on the “records” entity. However, they are also relevant to the other
entities.This document 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 can 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 can 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, the systems in place and the
requirements for managing records.Building upon the principles of ISO 23081-1, this document provides 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 document 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,— systems/business analysts responsible for identifying metadata to manage records in business
systems,— records professionals or systems analysts addressing system interoperability requirements
involving records, and— vendors, as suppliers of software applications that support and enable the creation, capture and
management of metadata over time.vi © ISO 2021 – All rights reserved
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FINAL DRAFT INTERNATIONAL STANDARD ISO/FDIS 23081-2:2021(E)
Information and documentation — Metadata for managing
records —
Part 2:
Conceptual and implementation issues
1 Scope
This document establishes a framework for defining metadata elements consistent with the principles
and implementation considerations outlined in ISO 23081-1. The purpose of this framework is to
a) enable standardized description of records and critical contextual entities for records,
b) provide common understanding of fixed points of aggregation to enable interoperability of records
and information relevant to records between organizational systems, andc) enable reuse 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 documents are referred to in the text in such a way that some or all of their content
constitutes requirements of this document. For dated references, only the edition cited applies. For
undated references, the latest edition of the referenced document (including any amendments) applies..
ISO/IEC 11179-1, Information technology — Metadata registries (MDR) — Part 1: Framework
ISO 15489-1:2016, Information and documentation — Records management — Part 1: Concepts and
principlesISO 23081-1:2017, Information and documentation — Records management processes — Metadata for
records — Part 1: PrinciplesISO 30300, Information and documentation — Records management — Core concepts and vocabulary
3 Terms and definitionsFor the purposes of this document, the terms and definitions given in ISO 23081-1, ISO/IEC 11179-1 and
ISO 30300 apply.ISO and IEC maintain terminological databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https:// www .iso .org/ obp© ISO 2021 – All rights reserved 1
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ISO/FDIS 23081-2:2021(E)
— IEC Electropedia: available at https:// www .electropedia .org/
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, useability 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 a 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 useability 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.2 © ISO 2021 – All rights reserved
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ISO/FDIS 23081-2:2021(E)
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 systemsOrganizations 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 recognize, process and use that information successfully. Interoperable systems need to be able to
operate 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 as follows:
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 (for example in undertaking shared
transactions or transfer of records to a third party);f) across time between business systems that create records and archival systems that preserve
them.In supporting interoperability, metadata for managing reco
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