ISO-23081-1-2006.pdf

Reference number ISO 23081-1:2006(E) © ISO 2006 INTERNATIONAL STANDARD ISO 23081-1 First edition 2006-01-15 Information and documentation Records management processes Metadata for records Part 1: Principles Information et documentation Processus de gestion des enregistrements Métadonnées pour les enregistrements Partie 1: Principes Copyright International Organization for Standardization Provided by IHS under license with ISO Licensee=Hong Kong Polytechnic Univ/9976803100 Not for Resale, 04/17/2007 09:51:26 MDTNo reproduction or networking permitted without license from IHS -,-,- ISO 23081-1:2006(E) PDF disclaimer This PDF file may contain embedded typefaces. In accordance with Adobe's licensing policy, this file may be printed or viewed but shall not be edited unless the typefaces which are embedded are licensed to and installed on the computer performing the editing. In downloading this file, parties accept therein the responsibility of not infringing Adobe's licensing policy. The ISO Central Secretariat accepts no liability in this area. Adobe is a trademark of Adobe Systems Incorporated. Details of the software products used to create this PDF file can be found in the General Info relative to the file; the PDF-creation parameters were optimized for printing. Every care has been taken to ensure that the file is suitable for use by ISO member bodies. In the unlikely event that a problem relating to it is found, please inform the Central Secretariat at the address given below. © ISO 2006 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 copyrightiso.org Web www.iso.org Published in Switzerland ii © ISO 2006 All rights reserved Copyright International Organization for Standardization Provided by IHS under license with ISO Licensee=Hong Kong Polytechnic Univ/9976803100 Not for Resale, 04/17/2007 09:51:26 MDTNo reproduction or networking permitted without license from IHS -,-,- ISO 23081-1:2006(E) © ISO 2006 All rights reserved iii Contents Page Foreword iv Introduction v 1 Scope . 1 2 Normative references. 1 3 Terms and definitions. 1 4 Records management metadata . 2 5 Perspectives and purpose of records management metadata 2 5.1 Purpose and benefits of records management metadata 2 5.2 Records management metadata that should be applied in an organization 3 6 Roles and responsibilities . 4 7 Records management metadata in relation to other metadata areas . 5 7.1 General. 5 7.2 Metadata for e-business. 5 7.3 Metadata for preservation 5 7.4 Metadata for resource description 5 7.5 Metadata for resource discovery 6 7.6 Metadata for rights management 6 8 Management of metadata. 6 8.1 General. 6 8.2 Levels of application of metadata. 6 8.3 Points throughout the existence of records when metadata should be created and applied 7 8.4 Processes of metadata management . 7 8.5 Metadata structures 9 8.6 Role of systems 10 9 Types of metadata required to support ISO 15489-1 10 9.1 Introduction to metadata types . 10 9.2 Metadata about records . 12 9.3 Metadata about the business rules, policies and mandates 15 9.4 Agent metadata. 16 9.5 Business process metadata 16 9.6 Metadata about records management processes. 18 Copyright International Organization for Standardization Provided by IHS under license with ISO Licensee=Hong Kong Polytechnic Univ/9976803100 Not for Resale, 04/17/2007 09:51:26 MDTNo reproduction or networking permitted without license from IHS -,-,- ISO 23081-1:2006(E) iv © ISO 2006 All rights reserved 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. 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 23081-1 was prepared by Technical Committee ISO/TC 46, Information and documentation, Subcommittee SC 11, Archives/records management. This first edition cancels and replaces Technical Specification ISO/TS 23081-1:2004, which has been updated and technically revised. ISO 23081 consists of the following parts, under the general title Information and documentation Records management processes Metadata for records: Part 1: Principles Copyright International Organization for Standardization Provided by IHS under license with ISO Licensee=Hong Kong Polytechnic Univ/9976803100 Not for Resale, 04/17/2007 09:51:26 MDTNo reproduction or networking permitted without license from IHS -,-,- ISO 23081-1:2006(E) © ISO 2006 All rights reserved v Introduction ISO 23081 sets a framework for creating, managing and using records management metadata and explains the principles that govern them. This International Standard is a guide to understanding, implementing and using metadata within the framework of ISO 15489. It addresses the relevance of records management metadata in business processes and the different roles and types of metadata that support business and records management processes1). It also sets a framework for managing those metadata. It does not define a mandatory set of records management metadata to be implemented, since these metadata will differ in detail according to organizational or specific requirements for jurisdiction. However, it assesses the main existing metadata sets in line with the requirements of ISO 15489. This part of ISO 23081 sets a framework for creating, managing and using records management metadata and explains the principles that govern them. The proposed Parts 2 and 3 will be more explanatory and provide practical guidance on implementation issues and how to assess records management metadata sets against the principles in this part of ISO 23081. These future parts will be Technical Reports that should be considered as more time-bound documents that will need regular updates. 1) In this part of ISO 23081, business and business activity are used as broad terms, not restricted to commercial activity, but including public administration, non-profit and other activities. Copyright International Organization for Standardization Provided by IHS under license with ISO Licensee=Hong Kong Polytechnic Univ/9976803100 Not for Resale, 04/17/2007 09:51:26 MDTNo reproduction or networking permitted without license from IHS -,-,- Copyright International Organization for Standardization Provided by IHS under license with ISO Licensee=Hong Kong Polytechnic Univ/9976803100 Not for Resale, 04/17/2007 09:51:26 MDTNo reproduction or networking permitted without license from IHS -,-,- INTERNATIONAL STANDARD ISO 23081-1:2006(E) © ISO 2006 All rights reserved 1 Information and documentation Records management processes Metadata for records Part 1: Principles 1 Scope This part of ISO 23081 covers the principles that underpin and govern records management metadata. These principles apply through time to: records and their metadata; all processes that affect them; any system in which they reside; any organization that is responsible for their management. 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 3 Terms and definitions For the purposes of this document, the terms and definitions given in ISO 15489-1 and the following apply. 3.1 agent individual, workgroup or organization responsible for or involved in record creation, capture and/or records management processes 3.2 encoding scheme controlled list of all the acceptable values in natural language and/or as a syntax-encoded text string designed for machine processing 3.3 schema logical plan showing the relationships between metadata elements, normally through establishing rules for the use and management of metadata specifically as regards the semantics, the syntax and the optionality (obligation level) of values Copyright International Organization for Standardization Provided by IHS under license with ISO Licensee=Hong Kong Polytechnic Univ/9976803100 Not for Resale, 04/17/2007 09:51:26 MDTNo reproduction or networking permitted without license from IHS -,-,- ISO 23081-1:2006(E) 2 © ISO 2006 All rights reserved 4 Records management metadata 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 (ISO 15489-1:2001, 3.12). As such, metadata are structured or semi-structured information that enables 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 (see 9.1). Initially, metadata define the record at its point of capture, fixing the record into its business context and establishing management control over it. During the existence of records or their aggregates, new layers of metadata will be added, because of new uses in other business or usage contexts. This means that metadata continue to accrue, over time, information relating to the context of the records management and the business processes in which the records are used and relating to structural changes to the record or its appearance. Metadata can be sourced or re-used by multiple systems and for multiple purposes. Metadata applied to records during their active life may also continue to apply when they cease to be required for current business purposes but are retained for ongoing research or other values. Metadata ensure authenticity, reliability, usability and integrity over time and enable the management and understanding of information objects, whether these are physical, analogue or digital. However, metadata also need to be managed. Records management has always involved the management of metadata. However, the digital environment requires a different expression of traditional requirements and different mechanisms for identifying, capturing, attributing and using metadata. In the digital environment, authoritative records are those accompanied by metadata defining their critical characteristics. These characteristics must be explicitly documented rather than being implicit, as in some paper-based processes. In the digital environment, it is essential to ensure that the creation and capture of records management metadata are implemented in systems that create, capture and manage records. Conversely, the digital environment presents new opportunities for defining and creating metadata and ensuring the complete, contemporaneous capture of records. These records can be evidence of transactions or themselves be transactions. 5 Perspectives and purpose of records management metadata 5.1 Purpose and benefits of records management metadata Metadata support business and records management processes by: a) protecting records as evidence and ensuring their accessibility and usability through time; b) facilitating the ability to understand records; c) supporting and ensuring the evidential value of records; d) helping to ensure the authenticity, reliability and integrity of records; e) supporting and managing access, privacy and rights; f) supporting efficient retrieval; g) supporting interoperability strategies by enabling authoritative capture of records created in diverse technical and business environments and their sustainability for as long as required; Copyright International Organization for Standardization Provided by IHS under license with ISO Licensee=Hong Kong Polytechnic Univ/9976803100 Not for Resale, 04/17/2007 09:51:26 MDTNo reproduction or networking permitted without license from IHS -,-,- ISO 23081-1:2006(E) © ISO 2006 All rights reserved 3 h) providing logical links between records and the context of their creation, and maintaining them in a structured, reliable and meaningful way; i) supporting the identification of the technological environment in which digital records were created or captured, and the management of the technological environment in which they are maintained in order that authentic records can be reproduced as long as they are needed; j) supporting efficient and successful migration of records from one environment or computer platform to another or any other preservation strategy. 5.2 Records management metadata that should be applied in an organization 5.2.1 General Organizations should make decisions on which of the metadata requirements outlined in this part of ISO 23081 are necessary in any or all organizational systems. These decisions will be dependent on: a) business needs; b) the regulatory environment; c) risks affecting business operations. This assessment may identify which typ