ISO 23081-1:2017 pdf free download.Information and documentation — Records management processes — Metadata for records — Part 1: Principles.
Introduction
ISO 23081 sets a framework for creating, managing and using records management metadata and explains the principles that govern them.
ISO 23081 gives guidelines for understanding, implementing and using metadata within the framework of ISO 15489. Ii addresses the relevance of records management metadata in business processes and the different roles and types of metadata that support business and records management processes. It also sets a framework for managing those metadata.
NOTE 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.
It does not define a mandatory set of records management metadata to be implemented, since these metadata will differ in detail according to organiiational or specific requirements for lurisdiction. However, it assesses the main existing metadala sets in line with the requirements of ISO 15489.
Iso 23081-2 and ISO 23081-3 are more explanatory and provide practical guidance on implementation issues and how to assess records management metadata sets against the principles in this document.
3.3
attribute
characteristic of an object or entity
ISOURCE: ISO 23081-2:2009, 3.21
3.4
business activity
all the funchons, activities and transactions of an organisation and its empioyeesNote I to entry:
Includes public administration as well as commercial business.
ISOIJRCE: ISO 16175-2:2011, mod iftedi
capture
process of lodging a document or digital object into a records management system and assigning metadata to describe the record and place it in context
ISOURCE: ISO 16175-3:2010, modifiedj
3.6
encodIng scheme
cOTltrI)lIQd list of all the acceptable values in natural language and/or as a syntax-encoded text string designed for machine processing
3.7
entity
concrete or abstract thing that exists, did exist, or might exist, including associations among those things
3.8
fixity
state of quality of being fixed, that Is, protected against unauthorised alteration or disposition
ISOURCE: ISO 16175-3:2010, modifiedj
3.9
metadata for records
structured or semi-structured information, which enables the creation, management, and use of records through time and within and across domains
ISOURCE: ISO 1S489-l:2016.3.UI
3.10
metadata schema
logical plan showing the relationships between nietadata 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
4 Records management metadata
Meradata management is an inextricable part of records management, serving a variety of functions and purposes. In a records management context. metadata for records are defined as structured or semi- structured Information which enables the creation, management, and use of records through time and within and across domains. (ISO 15489-1:2016, 3.12). Each domain represents an area of Intellectual discourse and of social and/or organizational activity with a distinctive or limited group ci people who share certain values and knowledge. Metadata for records can be used to identify, authenticate and contextual ize 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 ii During the existence of records or their aggregates.

5.2 Records management metadata that should be applied in an organization
5.2.1 General
Organizations should make decisions on which ofthe nieradata requirements outlined in this document 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 types of metadata need to be applied in different areas of the organization, depending on business risks or needs.
Different perspectives on records management metadata are possible and may coexist. These include:
1) the business perspective. where records management metadata support business processes;
2) the records management perspective, where metadata capture the characteristics of records and their business context, and support their management over rime:
3) the use perspective within or outside the records creating business context, where metadata enable the retrieval, understandability and Interpretation of records.
Broader leveLs of contextual detail may be required to understand and use records through time, particuLarly their use in business environments outside those in which they were created.
Records management metadata consist of:
i) metadata that document the business context in which records are created or captured, as well as the content, structure and appearance of those records;
ii) metadata that document records management and business processes in which records are subsequently used, Including any changes to the content, structure and appearance
5.2.2 Metadata at the point of record capture
Metadata at the point of record capture include information about the context of record creation, the business context, the agents invDlved and metadata about the content, appearance, structure and technical attributes of the records themselves. They allow records to be used in an application or information system and make them readable, usable and understandable. The context of records includes information about the business processes in which they are created. These metadata will allow users to understand the reliability of the record-creating authority, the environment In which records were created, the purpose or business activity being undertaken and their relationships with other records or aggregations. The metadata documenting the business context should be an integral part of the records produced by the records creator and they should be captured at the same time as records are captured into the records system.
The structure ola record consists of
a) Its physical or technical structure;
b) its logical structure, I.e. the relationships between the data elements comprising the record.
These aspects are as Important as the content itself, Metadata about technical aspects should describe the system with which records are created or captured, and the technical characteristics of the digital components of which they are comprised.
8.4.5 DeterminIng when and how metadata should be captured
Agents. Including records professionals, should identify what metadata to capture, when to capture them, and from what sources. These metadata requirements should be based on the records management processes defined in ISO 15489-1:2016. Clause 9. Part of this activity is also to determine how metadata should be captured (manually or autnmatkally).
8.4.6 Documenting and enforcing standard definitions
Agents, including records professionals, should document the rules and policies on consistent use of content standards, structures, terms and other related, relevant issues. They should ensure that those metadata structures, terms, entity descriptions, and attributes are used in a consistent way.
8.4.7 Access to metadata
Access to metadata should be limited to authorized persons and managed with approved policies and rules. Access and permissions rules should be In place. Agents should also define a policy and rules for interoperability oF records management metadats In order to facilitate exchange and retrieval of records across Information systems, organizations or lurisdictions.
There should be a mechanism to track and document access or usage, and any alterations or additions made to nietadata.
8.4.8 StorIng metadata
Agents. including records professionals, should decide upon the way metadata should be stored. Such decisions should take into account persistent linkage between metadata and the oblects to which they rebte or belong. Metadata can be stored together with the records or separately in a database(s), or both. Management criteria, such as costs and performance. may affect decisions on how metadata wilt be stored.
8.4.9 Description
The process of managing metadata is ongoing for as long as records and their relevant aggregates exist. To retain meaningful, reliable and usable records, new metadata should be added where necessary. This should be done through time and across domains, for example, when functions of one organization and the relevant parts of its records system are transferred to another. This can entail adaptation by the receiving organization of its existing metadata structures. Organizations should define procedures and policies for documenting these changes.
Several layers can be distinguished with an ever-expanding scope, depending on how widely records will be shared and used. Records are managed in systems, these systems are managed by organizations and these organizations are part ala broader context (a business sector, a government, a nation, the public or a society). At each of these levels, metadala should provide enough Information about the records to make them understandable and accessible to the community concerned.
In time, the original environment will change or disappear and the intellectual discourse and knowledge will evolve, These types of changes require translation of the original context of the creation of records Into this newer environment. This, too, will be done through metadala. Over time, this activity will be taken over by individuals In successor organizations who were not present at the point of creation,
e) facilitate the transaction of automated business functions, activities and transactions where required.
fJ facilitate the classification of business functions, activities and transactions.
g) facilitate the classification of records and
h) capture the date and time of a transaction when a record was created.
9.52 Metadata about business processes after record capture
Records systems accnie and continue to manage metadata about business processes in which records are used, as well as metadata about security, accessibility and the recerd management processes that are applied to records as long as required.
These metadata facilitate the ongoing usability and Interpretation of records and help to demonstrate the accountability of business activities, by identifying and documenting the operations that have been performed within any records system in which the records reside over time.
Requirements for the creation, capture and maintenance of metadata about business processes are contained in the following sub clauses of iSO 15489-1:2016.
5.2.2.1. Characteristics of authoritative records — Authcnticlty
5.2.22, CharacterIstics of authoritative records – Reliability
5.2.2.3, Characteristics of authoritative records — Integrity
S.2.2.4, Characteristics of authoritative records — Iiseability
5.3.2.1, Characteristics of records systems — Reliable
5.3.2.2, CharacterIstics of records systems — Secure
5.3.2.3. Characteristics of records systems — Compliant
5.3.2.4. Characteristics of records systems – Comprehensive
5.3.2.5. Characteristics of records systems – Systematic
7, Appraisal
8. Records controls
9, Processes for creating. capturing and managing records
9.5. Access control
9.6 Metadata about records management processes
9.6.1 Mei.adata about records management processes at the point of record capture
This type of records management metadata should facilitate or automate the records management operations thai need to be conducted in relation to a specific record or group of records. These records management operations are outlined in detail in ISO 15489-1:2016, Clause 9 (processes for creating, capturing and managing recordsJ
At the point of record capture, key elements of records management metadata, such as retention and disposal authorizations, classification and registration details, should be Identified and applied in order to facilitate the ongoing accouniability of an organization for, and the ongoing management of, records as long as they exist.