Metadata Specifications
Derived from the Functional Requirements:
A Reference Model for
Business Acceptable Communications

In conformity with the functional requirements for evidence, we assert that evidence can only be made by compliant organizations using responsible, implemented and consistent recordkeeping systems. Records captured by such systems must be comprehensive, identifiable, accurate, understandable, meaningful and authorized. They must be maintained inviolate, coherent, auditable and removable. And to be used they must be available, renderable, evidential, exportable and redactable.

In addition to satisfying the requirements for evidence, business acceptable communications must carry metadata to satisfy the requirements of large scale, distributed implementations over long periods of time during which human memories of the contexts of creation will not suffice and software and hardware will have significantly changed.

The following reference model proposes a six layer structure of metadata:

Handle Layer

Terms & Conditions Layer

Structural Layer

Contextual Layer

Content Layer

Use History Layer

designed to satisfy the functional requirement for evidence and the requirements of business acceptable communication and support the effective management of any record over long periods of time.

For more information, please refer to the following papers

Metadata Requirements for Evidence, by David Bearman, Archives & Museum Informatics, and Ken Sochats, University of Pittsburgh, School of Information Sciences

Item Level Control and Electronic Recordkeeping, by David Bearman, Archives & Museum Informatics, DRAFT of a paper given at the 1996 Society of American Archivists Meeting in San Diego, CA, August 29, 1996.

I. HANDLE LAYER

I.A. Record Identification Metadata (Not Repeatable)
Consists of a unique identifier made up of three data elements (Record-Declaration, Transaction-Domain-Identifier, Transaction-Instance-Identifier).

I.A.1. Record-Declaration [Mandatory]
Identifies the data as a record. This data element consists of a bit stream asserting that what follows is a record. The presence of the record declaration can be determined without opening the record, but if the record is opened it loses this value.

I.A.2. Transaction-Domain-Identifier [Mandatory]
Uniquely identifies the domain from which the record originated with sufficient specificity to identify the transaction-type and the organization responsible.

I.A.3. Transaction-Instance-Identifier [Mandatory]
Uniquely identifies a transaction instance with date, time and necessary sequence identifiers.


I.B. Information Discovery Content Metadata (Repeatable)
Provides descriptors considered necessary to retrieve the record at a later date.
I.B.1. Content-Description-Standard [Optional, except in cases of privacy act defined content]
Identifies standards governing content-descriptors. Privacy controlled content must be identified according to privacy act standards.

I.B.2. Content-Descriptor [Optional]
Provides terms used by the office of origin/receipt to describe or index the record.

I.B.3 Record-Natural-Language [Optional]
Identifies the natural; language of the record (e.g. English, French, Portuguese)

II.A. Restrictions Status Metadata
Identifies whether any restrictions must be resolved before permitting access, use, or disposition.

II.A.1. Access-Rights-Status [Mandatory]
Defines if there are access restrictions which must be resolved.

II.A.2. Use-Rights-Status [Mandatory]
Defines if there are use restrictions which must be resolved.


II.B. Access Conditions Metadata (Repeatable)
Identifies the conditions for access to the record and how to satisfy them.

II.B.1. Access-Conditions-Resolver [Mandatory for records with access restrictions]
Identifies any resolvers that must be satisfied access requester meets conditions regarding payments, permissions, proof of identity or other restrictions on access.

II.B.2 Resolver-Terms [Mandatory for records with access restrictions]
Defines terms for access in a way that is recognized by the resolver.

II.C. Use Conditions Metadata (Repeatable)
Identifies the conditions for use of the record and how to satisfy them.
II.C.1. Use-Conditions-Resolver [Mandatory for records with use restrictions]
Identifies the resolvers that must be satisfied user meets conditions imposed on use and that the recordkeeping system is notified of how to impose such restrictions.

II.C.2 Use-Terms (Mandatory for records with use restrictions)



II.C.2.a. Use-Citation [Optional]
Consists of textual information supplied by the creator or owner of the record detailing limitations on use.

II.C.2.b. Redacted-Record-Rule [Mandatory if content view must be restricted]
Identifies views that are permitted to different users. It may be executed algorithmically or may require human intervention to produce a releasable view.

II.C.2.c. License-Terms [Mandatory for Licensed Data]
If the data is licensed, this data enables the proper resolution of use of the record according to the guidelines set by the license.

II.D. Disposition Requirements Metadata (Not Repeatable)
Identifies the conditions regarding retention and disposition of the records according to policy.

II.D.1. Removal-Authority [Mandatory]
Identifies under whose/what authority a record (whole or in part] may be purged from the system. The identification of this authority resides with the record and is established at the time of the record's creation.

II.D.2. Retention-Policy-Citation [Mandatory]
Comprised of textual information identifying the organization's internal policy/policies for record's retention - indicates the specific policy (s) governing retention and links to authority issuance.

II.D.3. Retention- Authority Issuance[Optional; unless retention-period-end-time is unspecified]
Comprised of textual information regarding the legislative or governmental law(s)/regulation(s) governing record retention (ex. Code of Federal Regulations) - indicating the specific legal/regulatory policy number, version, dates issued, dates effective, etc.

II.D.4. Retention-External -Authority [Optional; unless retention-period-end-time is unspecified]
Comprised of textual information identifying the issuing organization that has jurisdiction over the law(s)/regulation(s) governing records retention.

II.D.5. Retention-Period-End-Time [Mandatory]
Indicates scheduled retention period end date (mmddyyyy) for the record. This information is determined at the time of the record's creation. If unspecified (frequently indicated as (99999999), the record must contain citations to policy, regulation and authority (II.D.2-4)).

II.D.6. Disposition-Instruction-Code [Optional]
Identifies the methods that apply to the ultimate disposition of the record.

III. STRUCTURAL LAYER

III.A. File Identification Metadata (Repeatable for each file)
Enables the identification of individuals files that comprise the record and affords the ability to verify their authenticity.
III.A.1.File-ID [Mandatory]
Identifies each file that makes up the record. This affords the ability for the system to bring together all of the parts to form the whole.

III.B. File Encoding Metadata (Repeatable for each file)
Identifies the encoding pertinent to the individual files that comprise the record.
III.B.1.File-Modality [Mandatory]
Identifies the file modality (i.e. text, numeric, graphic, geographic, image, sound, video, multimedia etc.).

III.B.2.File-Data-Representation [Mandatory]
Identifies the data encoding standards used by the file (i.e., ASCII, EBCDIC, or UNICODE character data, ASN.1, CCITT Group III raster, etc.)

III.B.3.Data-Codes [Mandatory if non-standard methods of representation are used]
Indicates specifically how the data is encoded when registered methods are not being used. For example, for vector data whether it is topological, spaghetti, chain-node, etc., for raster data the number of dots per inch and their bit density, for sampled data the number of samples per second, etc.

III.B.4.Compression-Method [Mandatory]
Identifies the method of compression, if any, that was used (ex: None, JPEG, MPEG, Quicktime, LZW, etc.). If the method complies to a specific standard, this may consist of only the identification of that standard (name, version, etc.), otherwise the method may need to be defined in technical detail.

III.B.5.Encryption-Method [Mandatory]
Identifies the algorithms used by the record originator to encrypt the record's content. All records are stored in the de-encrypted form in which they would have be read by recipients.

III.C. File Rendering Metadata (Repeatable for each file)
Identifies how the record appeared in order to recreate it as it would have been viewed at the time of receipt.
III.C.1.Application-Dependency [Mandatory, Repeatable]
Indicates which applications, if any, the record is dependent upon. If there are dependencies, the name of one application, the version, and registration information is recorded in each occurrence of the field at the time of record creation. This information is intended to serve as a pointer to a registered library maintained by the creating organization or a public entity such as the Copyright Office or Patent Office.

III.C.2.Software-Environment-Dependency [Mandatory - Repeatable]
Indicates what software, including operating systems and API's, if any, the record is dependent upon. If there is a dependency, the name of the software package(s), the version, registration information, and display information (such as font sets or other software dependent attributes] is recorded at the time of record creation.

III.C.3.Hardware-Dependency [Mandatory - Repeatable]
Indicates what hardware, if any, the record is dependent upon. If there is a dependency, the hardware needed, model number, configuration, and output information (such as printers or viewers required or other hardware dependent attributes] are recorded at the time of record creation.

III.C.4.Rendering-Rules [Mandatory - Repeatable]
Identifies the procedures necessary to enable the record to be displayed, printed, or otherwise represented as it had been at the time of creation (macros, dimension, spatial reference data, etc.) - may operate at different levels.

III.C.5.Representation-Standard/De Facto Standard [Mandatory - Repeatable]
Identifies any standard(s) applied to the file that affect how the file is rendered (ex: SGML, Postscript, TIFF, etc.).and which version of the standard was used.

III.D. Record Rendering Metadata
Applicable to the record as a whole, once files have been correctly rendered according to their own rule.
III.D.1.File-Linking-Rule/Standard [Mandatory]
Identifies the rules or standards required to enable the necessary linkages between files that make up the record. Contains textual information regarding the actual rules or standards applied.

III.D.2.File-Interchange-Standard: Version [Mandatory]
Identifies the standard(s) (including identifying the appropriate version) employed by the record to enable file interchange.

III.E. Content Structure Metadata
Defines the structure of the contents of the record.
III.E.1.Content-Structure [Mandatory]
Indicates whether the content of the record is structured or unstructured.

III.E.2.Content-Data Set [Optional]
If the content is identified as being structured, this cites the data set which indicates how it is structured. Consists of the actual name of the data set definition. If a data set definition is neither registered or a well-known registered identity, then it will need to be registered.

III.E.3.Application-Dictionary [Mandatory, if structured and no content data set]
Identifies the data dictionary for the entire database. This consists of the actual data dictionary itself - or it could take the form of a set of referential integrity controls.

III.E.4.Delimiters/Labels [Optional, good practice]
Consists of the actual delimiters/labels used throughout the data and their usage rules.

III.E.5.Data Value-Lookup Tables [Mandatory, where present - Repeatable]
Consists of the authority file containing the values of the codes used throughout the record and their usage rules.

III.E.6.Data View-at Creation [Mandatory, if partial view]
Identifies how the application viewed the record at the time of the record's creation. This is the redaction subset of the data dictionary.

III.E.7.Version-Relationships [Mandatory, if prior version exists]
Consists of any Record-Identifiers of previous versions of the record.

III.E.8.Set-Relationships [Mandatory, if other set members exist]
Identifies the record as belonging, for business purposes, to an overall set of records. Can consist of the classification of that set, or the Record-Identifier(s) of other records.

III.E.9.Dynamic-Relationships [Mandatory, if higher/lower exists]
Identifies what data is required from other records/files in order to populate other values. This is active in set relationships where a record cannot be opened unless the contents of other records are available.

III.F. Source Metadata
Identifies the source of the record and documents relevant circumstances of data capture.
III.F.1.Data-Source [Mandatory]
Identifies the source that created the record; eg. to the recordkeeping system.

III.F.2.Data-Source-System-Documentation [Optional]
Identifies or consists of the documentation that outlines the conditions needed to create the record - contains information on the data processing function.

III.F.3.Data Capture-Instrument-Type [Mandatory, if instrument captured source data]
Identifies the type of instrument was used to capture the data (i.e. light recording, sound recording, temperature recording, location recording, etc.) and the specific instrument used (manufacturer, model number, etc.).

III.F.4.Data Capture-Instrument-Settings [Mandatory, if instrument captured source data]
Identifies the settings, calibration, etc. were in effect when the data was captured.

III.F.5.Source Data-Quality [Optional, good practice]
Identifies the degree of reliability of the data generated by the source.

IV. CONTEXTUAL LAYER

IV.A. Transaction Context Metadata
Identifies the transaction of which this is a record.
IV.A.1. Originator-Identification [Mandatory]
Identifies the organization/person/system that initiated the transaction and the time of the transaction

IV.A.2. Recipient-Identification [Mandatory]
Identifies either the office/person/system that received the transaction and the time of receipt.

IV.A.3. Copy-Identification [Mandatory]
Identifies whether the copy encapsulated by the metadata is the sender's or the recipient's copy.

IV.A.4. Business-Transaction-Type [Optional]
Identifies the type of transaction (its business functional context].

IV.A.5. Business-Transaction Procedure Reference [Optional]
Identifies the originating organization's specific policy/policies and/or procedure(s) (i.e. business rules) governing this type of transaction. May consist of citations or of the actual policy/policies and/or procedure(s). In either case it should note the relevant version, effective dates, etc.

IV.A.6. Linked-Prior Transaction [Mandatory, if applicable]
Identifies the Record-Identifier(s) for transactions that are part of the same business activity.

IV.A.7. Action-Requested [Optional, good practice]
Identifies if an action was requested as a result of the transaction. Could enable links to past transactions if they occurred.

IV.A.8. Recipient Specific-Configuration Data [Optional, good practice]
Identifies the permissions and views that the recipient would have had. May reference the data dictionary.

IV.B. Responsibility Metadata
Identifies the organization, units and individuals responsible for the recorded transaction.
IV.B.1. Originating-Organization [Mandatory]
Identifies the organizational unit engaged in the recorded transaction - from the legal entity down to the specific office of origin.

IV.B.2. Authorization [Optional, good practice]
Identifies the source of authorization for specific office(s)/position(s)/individual(s) authorized to engage in the identified transaction.

IV.C System Accountability Metadata
Certifies the procedures and systems logs of the system during the period of operation.
IV.C.1 System Audit-Responsible [Mandatory]
Citation to most recent system and procedure audit transactions which contains evidence of the system being responsible.

IV.C.2 System Audit-Implemented [Mandatory]
Citation to most recent system and procedure audit transactions which contains evidence of the system being implemented.

IV.C.3 System Audit-Consistent [Mandatory]
Citation to most recent system and procedure audit transactions which contains evidence of the system being consistent.

V. CONTENT LAYER

V.A. Content [Mandatory*]
Contains the content of the record.
V.A.1. Content-Created [Optional*]
Contains the content created by the transaction.

V.A.2. Content-Incorporated [Optional*]
Contains identifiers of records incorporated into the content or the actual data contained in these records.

VI. USE HISTORY LAYER

VI.A. Use History Metadata (Repeatable)
Identifies the history of use of the record - the type of use, when it was used, and by whom. Also indicated any redactions of the data.
VI.A.1. Use-Type [Mandatory]
Identifies how the data was used: viewed, copied, edited, filed, indexed, classified, sent, disposed, etc. This involves identifying the various types of use permitted by the system.

VI.A.3. Use-Instance-Time [Mandatory]
Identifies when the data was used - i.e. the date and time the data was used.

VI.A.4. Use-Instance-User [Mandatory]
Identifies who or what used the data on a given date at a given time.

VI.A.5. Use-Evidential Consequences [Mandatory if redacted on release]
Identifies the impact of a particular use (for example, may identify the part of the record released, the terms used in indexing, the importance of a specific view what part of the record was viewed).

Last Modified: 9/18/96