SIST ISO 23081-2:2010

INTERNATIONAL ISO
STANDARD 23081-2
First edition
2009-07-01
Information and documentation —
Managing metadata for records —
Part 2:
Conceptual and implementation issues
Information et documentation — Gestion des métadonnées pour
l'information et les documents —
Partie 2: Concepts et mise en oeuvre

Reference number
©
ISO 2009
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ii © ISO 2009 – All rights reserved

Contents Page
Foreword .iv
Introduction.v
1 Scope.1
2 Normative references.1
3 Terms and definitions .1
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 .15
9 Generic metadata elements.17
10 Developing a metadata schema for managing records.24
11 Implementing metadata for managing records .27
Bibliography.33

Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies
(ISO member bodies). The work of preparing International Standards is normally carried out through ISO
technical committees. Each member body interested in a subject for which a technical committee has been
established has the right to be represented on that committee. International organizations, governmental and
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International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization.
International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2.
The main task of technical committees is to prepare International Standards. Draft International Standards
adopted by the technical committees are circulated to the member bodies for voting. Publication as an
International Standard requires approval by at least 75 % of the member bodies casting a vote.
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 23081-2 was prepared by Technical Committee ISO/TC 46, Information and documentation,
Subcommittee SC 11, Archives/records management.
This first edition cancels and replaces ISO/TS 23081-2:2007, which has been technically revised.
ISO 23081 consists of the following parts, under the general title Information and documentation — Managing
metadata for records:
⎯ Part 1: Principles
⎯ Part 2: Conceptual and implementation issues
iv © ISO 2009 – All rights reserved

Introduction
The ISO 23081 series describes metadata for records. This part of ISO 23081 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 part of ISO 23081 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 part of ISO 23081 are primarily focused on
the “records” entity. However, they are also relevant to the other entities.
This part of ISO 23081 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
may 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, the systems in place and the
requirements for managing records.
Building upon the principles of ISO 23081-1, this part of ISO 23081 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 part of ISO 23081 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.

INTERNATIONAL STANDARD ISO 23081-2:2009(E)

Information and documentation — Managing metadata for
records —
Part 2:
Conceptual and implementation issues
1 Scope
This part of ISO 23081 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, 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.
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 11179-1, Information technology — Metadata registries (MDR) — Part 1: Framework
ISO 15489-1:2001, Information and documentation — Records management — Part 1: General
ISO 23081-1:2006, Information and documentation — Records management processes — Metadata for
records — Part 1: Principles
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO 15489-1, ISO 23081-1,
ISO/IEC 11179-1 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
3.4
class
description of a set of objects that share the same attributes, operations, methods, relationships, and
semantics
[ISO/IEC 19501:2005, Glossary]
3.5
conceptual data 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 may exist, including associations among these things
EXAMPLE A person, object, event, idea or process.
NOTE An entity exists whether data about it are available or not.
[ISO 11179-1:2004, definition 3.2.10; ISO/IEC 2382-17:1999, definition 17.02.05].
3.7
metadata for managing records
structured or semi-structured information, which enables the creation, management, and use of records
through time and within and across domains
NOTE See ISO 23081-1:2006, Clause 4.
3.8
records application software
specific application used to maintain, manage and provide access to an organization’s record resources
2 © ISO 2009 – All rights reserved

4 Purpose and benefits of metadata
4.1 Purposes of metadata for managing records
4.1.1 General
Organizations need information systems that capture and manage appropriate contextual information to aid
the use, understanding, management of, and access to, records over time. This information is critical for
asserting authenticity, reliability, integrity, usability and evidential qualities of records. Collectively, this
information is known as metadata for managing records.
Metadata for managing records can be used for a variety of purposes within an organization to support,
identify, authenticate, describe, locate and manage their resources in a systematic and consistent way to meet
business, accountability and societal requirements of organizations.
Records application software and business systems with records functionality manage records by capturing
and managing metadata about those records and the context of their creation and use.
Records, particularly in the form of electronic transactions, can exist outside of formal records application
software, often being created in business systems serving specific purposes (for example, licensing systems).
Records are used and understood by people who possess, or have access to, sufficient knowledge about the
processes being undertaken, the people involved in the transaction, the records generated and their
immediate context. Such records are not always robust, for reasons including the following.
a) Contextual linkages can be unwritten and dependent upon individual and group memory. Such reliance
on unwritten contextual understanding is not dependable; some people have access to more knowledge
than others, over time the usability of records will be compromised by staff movement and diminishing
corporate memory.
b) The records often lack explicit information needed to identify the compone
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