oSIST-TS ISO/TS 23081-2:2010

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: Not Published
• ICS: 01.140.20 - Information sciences
• Technical Committee: IDT - Information, documentation, language and terminology
• Current Stage: 98 - Abandoned project (Adopted Project)
• Start Date: 08-Oct-2010
• Due Date: 13-Oct-2010
• Completion Date: 08-Oct-2010
• Ref Project: ISO/TS 23081-2:2007 - Information and documentation — Records management processes — Metadata for records — Part 2: Conceptual and implementation issues

Relations

• Revised: SIST ISO 23081-2:2010 - 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/TS 23081-2:2007(E)
©
ISO 2007

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

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ISO/TS 23081-2:2007(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.
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]
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ISO/TS 23081-2:2007(E)
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.

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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
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ISO/TS 23081-2:2007(E)
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
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ISO/TS 23081-2:2007(E)
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.
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ISO/TS 23081-2:2007(E)
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
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ISO/TS 23081-2:2007(E)
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;
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ISO/TS 23081-2:2007(E)
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.
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ISO/TS 23081-2:2007(E)
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.
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[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)
...