Government of Canada

Records Management Metadata Standard

Prepared by
Government On-Line Metadata Working Group – Records Management Sub-Group

Date:  February 7, 2006
Version: 1.00
Endorsed by GOL Metadata Working Group

Record Metadata

The following table uses metadata outlined in the Government of Canada Records Management Metadata Standard to describe the metadata standard itself:

Element	Value	
Title	Government of Canada Records Management Metadata Standard	
Creator	Treasury Board of Canada. Secretariat. Government On-Line Metadata Working Group. Records Management Sub-Group	
Record Date	2006-02-07	
Description	The Government of Canada Records Management Metadata Standard (GC RMMS) declares and defines the semantics of a core set of metadata elements necessary to ensure the authenticity, reliability, integrity and usability of records as espoused by ISO International Standard 15489-1 and ISO Technical Specification 23081-1.  
A companion document, the Government of Canada Records Management Application Profile (GC RMAP) provides business rules for the use of each element and the relationships among elements.  	

The following table uses metadata outlined in the Treasury Board of Canada, Secretariat, Guidelines for Metadata Application Profiles in the Government of Canada to describe the metadata standard itself.  This set of metadata follows the format advocated by ISO 11179 Information Technology – Metadata Registries and allows for the inclusion of the description in a future metadata registry.

Element	Value	
Name	Government of Canada Records Management Metadata Standard	
Label	Government of Canada Records Management Metadata Standard	
Organization Name	Treasury Board of Canada. Secretariat. Government On-Line Metadata Working Group. Records Management Sub-Group	
Defined By	-	
Description	The Government of Canada Records Management Metadata Standard (GC RMMS) declares and defines the semantics of a core set of metadata elements necessary to ensure the authenticity, reliability, integrity and usability of records as espoused by ISO International Standard 15489-1 and ISO Technical Specification 23081-1.  
A companion document, the Government of Canada Records Management Application Profile (GC RMAP) provides business rules for the use of each element and the relationships among elements	

TABLE OF CONTENTS

1	INTRODUCTION
1.1	What is metadata?
1.2	Why is metadata useful for records management?
1.3	Why use GC RMMS metadata?
1.4	Alignment with standards
1.5	Intended audience
2	SCOPE AND APPLICABILITY
3	DEVELOPMENT OF THE GC RMMS
4	CHARACTERISTICS OF THE GC RMMS
4.1	Metadata model
4.2	Adoption of Dublin Core elements
4.3	Element Names
5	ELEMENT ATTRIBUTES LEGENDS
6	DETAILS OF INDIVIDUAL METADATA ELEMENTS – DUBLIN CORE
6.1	Creator
6.2	Description
6.3	Identifier
6.4	Language
6.5	Subject
6.6	Title
6.7	Type
7	DETAILS OF INDIVIDUAL METADATA ELEMENTS – GOVERNMENT OF CANADA
7.1	Access Rights
7.2	Addressee
7.3	Agent Individual Identifier
7.4	Agent Individual Name
7.5	Agent Institution Name
7.6	Agent Institutional Entity
7.7	Agent Position Title
7.8	Agent Role
7.9	Aggregation
7.10	Approved By
7.11	Approved Date
7.12	Compound Record Links
7.13	Container
7.14	Container From Date
7.15	Container To Date
7.16	Data Format
7.17	Disposition Action
7.18	Disposition Authority
7.19	Encryption Description
7.20	Encryption Status
7.21	Essential Status
7.22	Event Date/Time
7.23	Event Description
7.24	Event Type
7.25	File Code
7.26	File Name
7.27	Format Extent
7.28	Format Medium
7.29	Location
7.30	Office of Primary Interest
7.31	Record Date
7.32	Record Locked
7.33	Releasable To
7.34	Retention Period
7.35	Retention Trigger
7.36	Retention Trigger Date
7.37	Security Clearance
7.38	Sensitivity
7.39	Supplemental Markings
7.40	Trustee Individual Name
7.41	Trustee Institution Name
7.42	Trustee Institutional Entity
7.43	Usage Conditions
APPENDIX A:  REFERENCES
APPENDIX B:  GLOSSARY
APPENDIX C:  RECORDS MANAGEMENT METADATA ELEMENT
      CONCORDANCE

1	INTRODUCTION  

This document defines a records management metadata element set recommended for use in the Government of Canada (“GC”). It outlines the metadata that should be captured in records management systems used by federal government institutions.  This element set shall be known as the Government of Canada Records Management Metadata Standard (“GC RMMS”).  It forms the basis of the Government of Canada Records Management Application Profile (“GC RMAP”).

Essentially, both the GC RMMS and GC RMAP outline the “language” of the business of records management, a language which consists of 50 concepts.

1.1	What is metadata?
In general terms, metadata is structured information about the characteristics of a analog or digital resource which helps identify and manage that resource.  It is information about a resource constructed for a purpose to fulfill an activity. 
There are many types of metadata, serving different functions: 
•	Descriptive metadata describes resources for purposes of identification, discovery and retrieval.
•	Structural metadata indicates how compound resources are constructed.
•	Administrative metadata indicates how resources may be used or must be handled (e.g. usage conditions).

1.2	Why is metadata useful for records management?
In the context of records management, ISO 15489 – Information and documentation – Records management – Part 1: General defines metadata as “data describing the context, content and structure of records and their management through time”.

The use of metadata helps government institutions identify, authenticate, describe, locate and manage their resources in a systematic and consistent way to meet business, accountability and archival requirements. In this respect, the metadata schema plays the same role as descriptive information captured in the registry tools used in the paper-based environment to apply intellectual and physical controls to resources. 

In the records management domain, metadata falls into two categories:
1.	Metadata at point of record capture: this documents the business context in which the records are created as well as the content, structure and appearance of the records.  This metadata helps users understand the reliability of the record-creating authority, the record-creation environment, the purpose/business activity for which the record was created and relationships with other records or record aggregations.  It also assists in the search and retrieval of records.
2.	Metadata after record capture: this documents the management of captured records and the processes in which they are used. This metadata contributes to the preservation of record authenticity, reliability, usability and integrity over time.
Additional information about metadata and its uses can be found on the GC Information Management Portal.

1.3	Why use GC RMMS metadata?

         ~~~ 

The GC RMMS and GC RMAP outline the ‘language’ of the business of records management.

         ~~~

The GC RMMS promotes a standardized approach to managing metadata necessary for records management within and among GC institutions.    It simplifies the management of records throughout their life cycle.  Furthermore, it promotes the ability to access the correct information at the required time for improved decision-making. 

Metadata identified in the GC RMMS helps institutions to meet their legislative, regulatory, policy and compliance requirements.  It supports the implementation of the GC’s Management of Government Information Policy (MGI Policy),  the purpose of which is to “ensure that information under the control of the Government of Canada is managed effectively and efficiently throughout its life cycle.”  

The GC RMMS establishes a common vocabulary that facilitates and promotes interoperability for accessing records across large knowledge management domains.  In addition, it and ensures that records transferred to Library and Archives Canada will contain appropriate metadata to assist in continued access and retrieval.

1.4	Alignment with standards
The GC endorses ISO standards for records management and is a proponent of their use.   

The GC RMMS conforms to the following ISO documents for records management: 
•	ISO International Standard 15489-1: Information and Documentation – Records Management – Part 1: General, 2001-09-15; and, 
•	ISO Technical Specification 23081-1: Information and Documentation – Records Management Processes – Metadata for Records – Part 1: Principles, 2004-05-01. 

Taken together, the GC RMMS and GC RMAP supersede a previous GC metadata element set, Record Keeping Metadata Requirements for the Government of Canada (January 2001).  This previous element set was originally developed by members of the Work Processes and Practices Working Group in the context of implementing Records, Document, and Information Management System (RDIMS), the shared solution for records, documents and information management in the GC.

The GC RMMS is aligned with the GC information management standard, TBITS 39:  Treasury Board Information Management Standard, Part 1: Government On-Line Metadata Standard.  A mapping is provided from the GC RMMS to the five mandatory metadata elements required to describe GC resources for information discovery purposes.    Elements requiring population with values from enumerated domains or controlled vocabularies are identified.

1.5	Intended audience
The GC RMAP is directed to employees of the GC and, in particular, to the following groups:
•	Information management professionals, especially records managers;
•	Knowledge management professionals;
•	Metadata specialists who work in the records management domain; 
•	EDRMS designers and developers; and
•	Information technology staff responsible for supporting EDRMS.
 
2	SCOPE AND APPLICABILITY  

The GC RMMS is independent of implementation considerations related to applications, systems or technical platforms. The concepts used are applicable to electronic records management environments (where only electronic records are managed in an electronic document/records management system (EDRMS)) and hybrid records management environments (where both electronic and paper records are managed through an EDRMS). Taken together, the GC RMMS and the GC RMAP should be regarded as a foundation for local implementations. Government institutions can build upon this foundation to satisfy additional specialized requirements using an institution-specific application profile; subject to the GC guidelines (refer to the GC RMAP for further details).

         ~~~

The GC RMMS is independent of implementation considerations related to applications, systems or technical platforms.

         ~~~

The GC RMMS applies to all records in the environments stated above regardless of the records’ format and their status of completion.  The concept of a “final”, or “made read only” or “locked” status does not determine the point at which a resource becomes a record.  Such terminology is usually technology-centric only.  A resource becomes a record when it satisfies the following definition:  “Any documentary material other than a publication, regardless of medium or form.”  Once a resource is deemed to be a record, it retains that status before and after it is declared “final”, or “made read only” or “locked” within any system.

Excluded from the scope of the GC RMMS are transitory records which are defined as “those records that are required only for a limited time to ensure the completion of a routine action `or the preparation of a subsequent record.”

Although the life cycle of a resource includes archival consideration, the emphasis of the GC RMMS is on records management and not on archival metadata.

The GC RMMS applies to all government institutions listed in Schedules I, I.1 and II of the Financial Administration Act (FAA).  The Records Management Sub-Group has developed this metadata standard to document metadata requirements that apply to all government records irrespective of the activities they reflect.

3	DEVELOPMENT OF THE GC RMMS

This metadata standard is a project of the Government On-Line Metadata Working Group - Records Management Sub-Group in partnership with the Government Information Management Office of Library and Archives Canada. It draws on the expertise of specialists in records management, information management, library and information science, information technology, metadata and archives from across the GC. 
The current Records Management Sub-Group wishes to acknowledge work done by a previous Records Management Sub-Group from April 2003 to March 2004; materials produced from that group were invaluable in the preparation of this standard.
The members of the Records Management Sub-Group who developed this metadata standard were:

Name	Institution	
Colleen Armstrong-Quaile	Foreign Affairs Canada	
Kerry Badgley	Library and Archives Canada	
Michael Bannister	Agriculture and Agri-Food Canada	
Minda Bojin	Public Works and Government Services Canada	
Denise Bruno	Consultant (Group Facilitator and Editor)	
Diane Dagenais	Library and Archives Canada (Project Co-ordinator)	
Richard Dennis	Parks Canada	
Susan Fitzmaurice	Privy Council Office	
Peter Hanna	Canada Revenue Agency	
Rhonda Healey 	Library and Archives Canada (Chair)	
Laura Heron	Library and Archives Canada	
Mitch Martin	Department of Justice Canada	
Roddy McFall	Library and Archives Canada	
Claude Meunier	Industry Canada	
Michael Patenaude	Beyond the Source Inc.	
Diane Taylor	National Defence	

The members of the Steering Committee were:

Name	Institution	
Diane Dagenais	Library and Archives Canada (Project Co-ordinator)	
Susan Franklin	Library and Archives Canada	
Rhonda Healey 	Library and Archives Canada (Chair)	
Laura Heron	Library and Archives Canada	
Roddy McFall	Library and Archives Canada	
Gregory Renaud	Treasury Board of Canada, Secretariat 	
Deane Zeeman	Library and Archives Canada	

The Records Management Sub-Group also wishes to acknowledge the contribution of Cecil Somerton (Treasury Board of Canada, Secretariat) and Margaret Devey (Treasury Board of Canada, Secretariat), both of whom provided information on metadata models and application profiles, as well as all other volunteers who reviewed this document.

The GC RMMS was produced with financial support from the Records, Document 
and Information Management System (RDIMS) Project Office within Public Works and Government Services Canada. 
4	
CHARACTERISTICS OF THE GC RMMS
4.1	Metadata model
The purpose of the GC RMMS is to define the semantics of each element to ensure interoperability.

The GC RMMS employs an alphabetical listing of elements in order to promote flexibility in the combining of elements and the interpretation of relationships among elements.  It is a “flat” set in that it does not invoke parent-child (i.e. hierarchical) relationships or nesting (i.e. sub-division) of elements.  All elements are considered to be at the same level.  Institutions may wish to group elements in various ways in order to emphasize themes or functionality unique to their environments.  However, all 50 elements must retain their status of element and one element must not be subsumed or placed under another, for example, in a parent-child (i.e. hierarchical) relationship.

Additional information about the elements may be found in the GC RMAP.

4.2	Adoption of Dublin Core elements
The GC RMMS adopts seven Dublin Core descriptive metadata elements, namely, Creator, Description, Identifier, Language, Subject, Title and Type.  By adopting the Dublin Core elements, the GC RMMS acknowledges that the semantics of the seven elements are useable within a records management domain and hence, alleviates the need to declare locally defined descriptive elements.  Each is described in Section 6 using the format employed by the Dublin Core Metadata Initiative.  In the GC RMAP, the seven Dublin Core elements are defined by the Dublin Core namespace.  

In some instances, the names of elements declared within the GC RMMS appear to be synonymous with other Dublin Core elements (e.g. GC RMMS Data Format and DC Format) or element refinements (e.g. Access Rights); however, the GC RMMS elements are used for records management administration or management, and hence cannot adopt the semantic of the Dublin Core descriptive elements.

4.3	Element Names
The lowerCamelCase convention used to format the names of GC declared elements is based on best practices recommended within the Treasury Board of Canada, Secretariat, Government of Canada Metadata Implementation Guide for Web Resources and on syntactical rules for the construction of element names within XML.  

The names of Dublin Core elements are under the ownership and authority of the Dublin Core Metadata Initiative and are integrated as is into the GC RMMS.

The character strings representing the element names must remain immutable.  This is especially important for translating the human readable GC RMMS document into a machine readable format (e.g. XML) and for ensuring interoperability.  Changing the characters in element names will result in unpredictable behaviour in software applications.

5	ELEMENT ATTRIBUTES LEGENDS
  
Each metadata element in Section 6 is described by the use of three element attributes sourced from Dublin Core Metadata Initiative, DCMI Metadata Terms, 2005-06-13.  The element attributes are:

Attribute	Attribute Description	
Name	The unique token assigned to the term.	
URI	The Uniform Resource Identifier used to uniquely identify a term.	
Definition	A statement that represents the concept and essential nature of the term.	

Each metadata element in Section 7 is described by the use of four element attributes sourced from ISO International Standard 11179-3, Information Technology – Metadata Registries – Part 3: Registry Metamodel and Basic Attributes, 2nd Edition, 2003-02-15.  The element attributes are:

Attribute	Attribute Description	
Name	The designation of an object by a linguistic expression.	
Definition	Representation of a concept by a descriptive statement which serves to differentiate it from related concepts.	
Value Domain	A set of permissible values.  Permissible values may either be enumerated (i.e. taken from a controlled vocabulary) or expressed via a free-text description.	
Datatype Name	A designation for a datatype.  A datatype is a set of distinct values, characterized by properties of those values and by operations on those values.
Four datatypes are specified:
•	String – indicates that the value is comprised of any sequence of characters (e.g. alpha, numeric, special, etc.)
•	Date – indicates that the value represents a date only.
•	Date/Time – indicates that the value represents a combination of a date and time.
•	Boolean – indicates that the value can be either True or False, or Yes or No.

Additional element attributes, delineating the business rules for the use of each element, are provided in the GC RMAP.  For example, the GC RMAP also includes the attributes: rationale, obligation, encoding scheme, linkages, format, occurrence, etc.
6	
DETAILS OF INDIVIDUAL METADATA ELEMENTS – DUBLIN CORE
6.1	Creator

Attribute	Value	
Name	Creator	
URI	http://purl.org/dc/elements/1.1/creator 	
Definition	An entity primarily responsible for making the content of the resource.	
6.2	Description

Attribute	Value	
Name	Description	
URI	http://purl.org/dc/elements/1.1/description 	
Definition	An account of the content of the resource.	
6.3	Identifier

Attribute	Value	
Name	Identifier	
URI	http://purl.org/dc/elements/1.1/identifier  	
Definition	An unambiguous reference to the resource within a given context.	
6.4	Language

Attribute	Value	
Name	Language	
URI	http://purl.org/dc/elements/1.1/language 	
Definition	A language of the intellectual content of the resource.	

6.5	Subject

Attribute	Value	
Name	Subject	
URI	http://purl.org/dc/elements/1.1/subject 	
Definition	The topic of the content of the resource.	
6.6	Title

Attribute	Value	
Name	Title	
URI	http://purl.org/dc/elements/1.1/title 	
Definition	A name given to the resource.	
6.7	Type

Attribute	Value	
Name	Type	
URI	http://purl.org/dc/elements/1.1/type 	
Definition	The nature or genre of the content of the resource.	

7	
DETAILS OF INDIVIDUAL METADATA ELEMENTS – GOVERNMENT OF CANADA
7.1	Access Rights

Attribute	Value	
Name	accessRights	
Definition	Permissions assigned to a record or file that govern or restrict access to or actions taken on a record or file. 	
Value Domain	Enumerated strings of text representing permissions.	
Datatype Name	String	

7.2	Addressee

Attribute	Value	
Name	Addressee	
Definition	The name of the recipient(s) to which a record has been sent.	
Value Domain	Non-enumerated strings of text representing addressee(s).	
Datatype Name	String	

7.3	Agent Individual Identifier 

Attribute	Value	
Name	agentIndividualIdentifier	
Definition	A unique indicator that identifies the individual who performed an action on a record or file at the time the action was taken.	
Value Domain	Unique enumerated strings.	
Datatype Name	String	

7.4	
Agent Individual Name 

Attribute	Value	
Name	agentIndividualName	
Definition	The name of an individual who performed an action on a record or file at the time the action was taken.	
Value Domain	Enumerated strings of text representing names of individuals.	
Datatype Name	String	

7.5	Agent Institution Name 

Attribute	Value	
Name	agentInstitutionName	
Definition	Official name of the institution of the individual who performed an action on a record or file at the time the action was taken.	
Value Domain	Enumerated strings of text representing names of institutions.	
Datatype Name	String	

7.6	Agent Institutional Entity 

Attribute	Value	
Name	agentInstitutionalEntity	
Definition	The formal name of the work group, unit of work, business unit, etc. of the individual who performed an action on a record or file at the time the action was taken.	
Value Domain	Enumerated strings of text representing names of institutional entities.	
Datatype Name	String	

7.7	Agent Position Title 

Attribute	Value	
Name	agentPositionTitle	
Definition	The position held by the individual who performed an action on a record or file at the time the action was taken.	
Value Domain	Enumerated strings of text representing position titles.	
Datatype Name	String	

7.8	Agent Role 

Attribute	Value	
Name	agentRole	
Definition	A category that identifies the function or responsibility of a particular individual at the time an action was taken on a record or file.	
Value Domain	Enumerated strings of text representing roles.	
Datatype Name	String	

7.9	Aggregation 

Attribute	Value	
Name	aggregation	
Definition	The resource’s level or position in a hierarchy.	
Value Domain	Enumerated strings of text representing aggregation levels.	
Datatype Name	String	

7.10	Approved By

Attribute	Value	
Name	contentAuthority	
Definition	The name of the individual or entity that approved the content.	
Value Domain	Enumerated and/or non-enumerated strings of text representing the names of individuals or entities.	
Datatype Name	String	

7.11	Approved Date 

Attribute	Value	
Name	dateApproved	
Definition	The date when the content was approved.	
Value Domain	A range of dates expressed using the Gregorian calendar.	
Datatype Name	Date	

7.12	Compound Record Links

Attribute	Value	
Name	compoundRecordLInks	
Definition	Identification of linkages of the constituent parts of a record.	
Value Domain	Unique non-enumerated strings.	
Datatype Name	String	

7.13	Container 

Attribute	Value	
Name	container 	
Definition	The storage receptacle for the record.	
Value Domain	Enumerated strings of text representing containers.	
Datatype Name	String	

7.14	Container From Date 

Attribute	Value	
Name	containerFromDate	
Definition	The date of the earliest record in a container.	
Value Domain	A range of dates expressed using the Gregorian calendar.	
Datatype Name	Date	

7.15	Container To Date

Attribute	Value	
Name	containerToDate	
Definition	The date of the latest record in a container upon closure of the container.	
Value Domain	A range of dates expressed using the Gregorian calendar.	
Datatype Name	Date	

7.16	Data Format 

Attribute	Value	
Name	formatMIME	
Definition	The logical format of the data.	
Value Domain	Enumerated strings of text representing format types.	
Datatype Name	String	

7.17	Disposition Action 

Attribute	Value	
Name	dispositionAction	
Definition	The action that will be taken on the record or file on expiry of its retention period.	
Value Domain	Enumerated strings of text representing disposition actions.	
Datatype Name	String	

7.18	Disposition Authority 

Attribute	Value	
Name	dispositionAuthority	
Definition	Legal instrument issued by Library and Archives Canada that authorizes the transfer, destruction, or alienation outside the control of the Government of Canada, of the record or file.	
Value Domain	Enumerated strings of text representing disposition authorities.	
Datatype Name	String	

7.19	Encryption Description 

Attribute	Value	
Name	encryptionDescription	
Definition	Information, or pointers to information, about how a record is systematically scrambled.	
Value Domain	Non-enumerated strings of text.	
Datatype Name	String	

7.20	Encryption Status

Attribute	Value	
Name	encryptionStatus	
Definition	An indicator that a record is systematically scrambled so that it cannot be read without knowing the coding key.	
Value Domain	Yes/No or On/Off representations.	
Datatype Name	Boolean	

7.21	Essential Status 

Attribute	Value	
Element Name	essentialStatus	
Definition	An indicator that a record or file is considered to be vital in the event of an emergency or disaster.	
Value Domain	Enumerated representations of essential status.	
Datatype Name	String	

7.22	Event Date/Time 

Attribute	Value	
Name	eventDateTime	
Definition	The date and time of the action taken on a record or file.	
Value Domain	A range of dates expressed using the Gregorian calendar and times.	
Datatype Name	DateTime	

7.23	Event Description 

Attribute	Value	
Name	eventDescription	
Definition	The details of the specific action taken on a record or file. 	
Value Domain	Non-enumerated strings of text describing events.	
Datatype Name	String	

7.24	Event Type 

Attribute	Value	
Element Name	eventType	
Definition	An action taken on a record or file during its life cycle.	
Value Domain	Enumerated strings of text representing event types.	
Datatype Name	String	

7.25	File Code 

Attribute	Value	
Name	fileCode	
Definition	The unique code, derived from a classification scheme / file plan, of the file.	
Value Domain	Enumerated strings of text representing file codes.	
Datatype Name	String	

7.26	File Name

Attribute	Value	
Name	fileName	
Definition	The name, derived from a classification scheme / file plan, of the file.	
Value Domain	Enumerated strings of text representing file names.	
Datatype Name	String	

7.27	Format Extent 

Attribute	Value	
Name	formatExtent	
Definition	The size or duration of the data.	
Value Domain	Non-enumerated strings of text representing extent.	
Datatype Name	String	

7.28	Format Medium 

Attribute	Value	
Name	formatMedium	
Definition	The material or physical carrier of the data.	
Value Domain	Enumerated strings of text representing mediums.	
Datatype Name	String	

7.29	Location 

Attribute	Value	
Name	location	
Definition	A description or indication of where the analog or digital record or file resides.	
Value Domain	Enumerated strings of text representing locations.	
Datatype Name	String	

7.30	Office of Primary Interest 

Attribute	Value	
Name	officeOfPrimaryInterest	
Definition	The institution and theentity within the institution that authorizes the disposition of the records of a function or activity on behalf of the Government of Canada.	
Value Domain	Enumerated strings of text representing the Offices of Primary Interest.	
Datatype Name	String	

7.31	Record Date

Attribute	Value	
Name	recordDate	
Definition	A date that best represents the record. 	
Value Domain	A range of dates expressed using the Gregorian calendar.	
Datatype Name	Date	

7.32	Record Locked

Attribute	Value	
Name	recordLocked	
Definition	An indicator that a record may not be further changed.	
Value Domain	Yes/No or On/Off representations.	
Datatype Name	Boolean	

7.33	Releasable To

Attribute	Value	
Name	releasableTo	
Definition	The entity to which a record or file may be disseminated outside the originating institution.	
Value Domain	Enumerated strings of text representing entities.	
Datatype Name	String	

7.34	Retention Period 

Attribute	Value	
Name	retentionPeriod	
Definition	The period of time, a record or file must be retained before authorized disposition.	
Value Domain	Enumerated strings of text representing retention periods.	
Datatype Name	String	

7.35	Retention Trigger 

Attribute	Value	
Name	retentionTrigger	
Definition	A condition that must be met to initiate the retention period countdown.	
Value Domain	Enumerated strings of text representing retention triggers.	
Datatype Name	String	

7.36	Retention Trigger Date 

Attribute	Value	
Name	retentionTriggerDate	
Definition	The date that initiates the retention period countdown. 	
Value Domain	A range of dates expressed using the Gregorian calendar.	
Datatype Name	Date	

7.37	Security Clearance 

Attribute	Value	
Name	securityClearance	
Definition	The level of security clearance held by an individual.	
Value Domain	Enumerated strings of text representing security clearances.	
Datatype Name	String	

7.38	Sensitivity 

Attribute	Value	
Name	sensitivity 	
Definition	The highest security classification or designation assigned within a record or file.  	
Value Domain	Enumerated strings of text representing security classifications.	
Datatype Name	String	

7.39	Supplemental Markings 

Attribute	Value	
Name	supplementalMarkings	
Definition	Special handling requirements for the record or file.	
Value Domain	Enumerated strings of text representing special handling requirements.	
Datatype Name	String	

7.40	Trustee Individual Name

Attribute	Value	
Name	trusteeIndividualName	
Definition	The name of the individual responsible for the stewardship of the record.	
Value Domain	Enumerated strings of text representing names of individuals.	
Datatype Name	String	

7.41	Trustee Institution Name

Attribute	Value	
Name	trusteeInstitutionName	
Definition	Official name of the institution of the individual responsible for the stewardship of the record.	
Value Domain	Enumerated strings of text representing names of institutions.	
Datatype Name	String	

7.42	Trustee Institutional Entity

Attribute	Value	
Name	trusteeInstitutionalEntity	
Definition	The formal name of the work group, unit of work, business unit, etc. of the individual responsible for the stewardship of the record.	
Value Domain	Enumerated strings of text representing names of institutional entities.	
Datatype Name	String	

7.43	Usage Conditions 

Attribute	Value	
Name	usageConditions	
Definition	Limitations or restrictions on how a record or file may be used.	
Value Domain	Non-enumerated string of text representing limitations or restrictions.	
Datatype Name	String	

APPENDIX A:  REFERENCES

The Records Management Sub-Group consulted numerous resources, as outlined below, to assist in the development of the GC RMMS.  Some documents, such as the MGI Policy and ISO standards and technical reports/specifications influenced heavily the work of the Records Management Sub-Group while others, such as the Australian, Minnesota and UK standards provided a point of reference for crafting the approach specific to the GC.   

Government of Canada Sources

1.	Government of Canada, Records/Document/Information Management (RDIMS) Working Group on Work Processes and Practices (WPPWG), Record Keeping Metadata Requirements for the Government of Canada, January 2001.  
	http://www.imforumgi.gc.ca/products/meta/metadata3_e.pdf   Note:  This RDIMS element set is superseded by the GC RMMS.

2.	Government On-Line Metadata Working Group – Records Management Sub-Group, Agendas and Minutes, April 2003 – March 2004.

3.	Treasury Board of Canada, Secretariat, Common Look and Feel Standard 6.3: Metatags
	http://www.tbs-sct.gc.ca/clf-nsi/inter/inter-06-03_e.asp

4.	Treasury Board of Canada, Secretariat, Development and Sustainability of GC Metadata Element Sets General Principles, Version 1.1, January 28, 2005.

5.	Treasury Board of Canada, Secretariat, TBITS 39:  Treasury Board Information Management Standard, Part 1: Government On-Line Metadata Standard, 2001-11-08
	 http://www.tbs-sct.gc.ca/its-nit/standards/tbits39/crit391_e.asp 

6.	Treasury Board of Canada, Secretariat, TBITS 39:  Treasury Board Information Management Standard, Part 2: Controlled Vocabulary Standard, 2001-11-08
	http://www.tbs-sct.gc.ca/its-nit/standards/tbits39/crit392_e.asp

Other Sources 

1.	Dublin Core Metadata Initiative, DCMI Metadata Terms, 2005-06-13.  http://www.dublincore.org/documents/dcmi-terms/ 

2.	ISO International Standard 11179-3, Information Technology – Metadata Registries – Part 3: Registry Metamodel and Basic Attributes, 2nd Edition, 2003-02-15.    Available from http://www.iso.org 

3.	ISO International Standard 11179-4, Information Technology – Metadata Registries – Part 4: Formulations of Data Definitions, 2nd Edition, 2004-07-15.    Available from http://www.iso.org 

4.	ISO International Standard 15489-1, Information and Documentation – Records Management – Part 1: General, 2001-09-15.   Available from http://www.iso.org 

5.	ISO International Standard 15489-2, Information and Documentation – Records Management – Part 2: Guidelines, 2001-09-15.   Available from  http://www.iso.org 

6.	ISO Technical Report 20943-1, Information Technology – Procedures for Achieving Metadata Registry (MDR) Content Consistency – Part 1: Data Elements, 2003-08-01.    Available from http://www.iso.org 

7.	ISO Technical Report 20943-3, Information Technology – Procedures for Achieving Metadata Registry (MDR) Content Consistency – Part 3: Value Domains, 2004-03-01.    Available from http://www.iso.org 

8.	ISO Technical Specification 23081-1, Information and Documentation – Records Management Processes – Metadata for Records – Part 1: Principles, 2004-05-01.   Available from  http://www.iso.org

9.	Minnesota Historical Society, Minnesota Recordkeeping Metadata Standard (IRM Standard 20), Version 1.2, April 2003.  http://www.mnhs.org/preserve/records/metadatastandard.html 

10.	National Archives of Australia, Recordkeeping Metadata Standard for Commonwealth Agencies, May 1999.  http://www.naa.gov.au/recordkeeping/control/rkms/summary.htm 

11.	[UK], The National Archives, Requirements for Electronic Records Management Systems, 2: Metadata Standard, Revision 2004 [e-GMS3] version, August 2004.  http://www.govtalk.gov.uk/documents/Records_management_metadata_standard_2002.pdf 

APPENDIX B:  GLOSSARY

Agency:  See Institution

Alienation:  Removal of records from the care and control of the Government of Canada.
(Source:  Information Management Services, Records and Information Life Cycle Management, Stage 6: Disposition, http://www.collectionscanada.ca/06/0625/062507_e.html)

Application Profile:  In DCMI [Dublin Core Metadata Initiative] usage, an application profile is a declaration of the metadata terms an organization, information resource, application, or user community uses in its metadata. In a broader sense, it includes the set of metadata elements, policies, and guidelines defined for a particular application or implementation. The elements may be from one or more element sets, thus allowing a given application to meet its functional requirements by using metadata elements from several element sets including locally defined sets. For example, a given application might choose a specific subset of the Dublin Core elements that meets its needs, or may include elements from the Dublin Core, another element set, and several locally defined elements, all combined in a single schema. An application profile is not considered complete without documentation that defines the policies and best practices appropriate to the application.
(Source: Dublin Core Metadata Initiative, DCMI Glossary, http://www.dublincore.org/documents/usageguide/glossary.shtml)

Attribute:  See Element Attribute  

Authority:  See Records Disposition Authority

Classification:  Systematic identification and arrangement of business activities and/or records into categories according to logically structures conventions, methods, and procedural rules represented in a classification system.  Not to be confused with security classification.
(Source: ISO International Standard 15489-1:2001)

Container:  A file jacket, Shannon file, expansion folder or similar object that provides methods for inserting or removing records on a specified function/activity/subject which is arranged therein in some sequence, usually by date order.
(Source:  Based on Canada Customs and Revenue Agency, Finance and Administration Manual Glossary, January 2000)

Controlled Vocabulary:  A list of standardized terminology, words, or phrases, used for indexing or content analysis and information retrieval usually in a defined information domain. It is characterized by consistent format and syntax and may include synonyms and cross-references. In a controlled vocabulary, one of a set of possible terms representing a concept can be used as the representative term for that concept. Consequently, all resources about, or pertinent to, that particular concept, within a body of information resources, can be indexed using this representative term.  
(Source:  Government On-Line Metadata Working Group - Controlled Vocabulary Sub-Group, Guide for Implementing Controlled Vocabularies in the Government of Canada)

Department:  See Institution

Destruction:  The definitive obliteration of a record or file beyond any possible reconstitution.
(Source:  Based on ARMA Glossary of Records and Information Management Terms, 2nd Edition, 2000)

Digital:  Representing information through a sequence of discrete units, especially binary code.  ‘Digital’ is distinguished from ‘analog’, the latter representing information as a continuous signal.  Often used as a synonym of automated, computerized, electronic or the prefix e-.  ‘Digital’ and ‘electronic’ are often used synonymously, although ‘electronic’ may include analog as well as digital formats.
(Source:  Society of American Archivists, A Glossary of Archival and Records Terminology,  http://www.archivists.org/glossary/index.asp)

Disposition:  Range of processes associated with implementing records destruction or transfer decisions which are documented in disposition authorities or other instruments.
(Source:  Based on ISO International Standard15489-1:2001) 

Disposition Authority:  See Records Disposition Authority 

Element:  Formally defined terms which are used to describe properties of a record or file.   
(Source: Based on Dublin Core Metadata Initiative, DCMI Glossary, http://www.dublincore.org/documents/usageguide/glossary.shtml)

Element Attribute:  A characteristic of an element.
(Source: Based on ISO International Standard 11179-3:2003)

Essential Records:  Records essential to continuing or re-establishing critical institutional functions; examples include records that:
•	Affect the basic, legal, property, and other rights of individuals and corporate bodies; 
•	Have the greatest use and demand; 
•	Would require an inordinate commitment in terms of time, money, and labour if the records themselves and the systems have to be reconstructed; 
•	Are common to those selected by other government institutions as part of their essential records program; and 
•	Are required to be maintained by law or regulation 
(Source:  Treasury Board of Canada, Secretariat, Policy on the Management of Government Information, 2003, http://www.tbs-sct.gc.ca/pubs_pol/ciopubs/TB_GIH/mgih-grdg_e.asp)

File:  In the analog environment, a collection of related records grouped together usually in reverse chronological order.  In the digital environment, a named set of records stored or processed as a unit electronically. 
(Source:  Based on ARMA, Glossary of Records and Information Management Terms)

Function:  (1) Any high level purpose, responsibility, task or activity which is assigned to the accountability agenda of an institution by legislation, policy or mandate;
(2) Typically common administrative or operational functions of policy development and program and/or delivery of goods or services;
(3)  A set or series of activities (broadly speaking a business process) which, when carried out according to a prescribed sequence, will result in an institution or individual producing the expected results in terms of the goods or services it is mandated or delegated to provide.  
(Source:  Information Management Services, Business Activity Structure Classification System (BASCS) Guidance, http://www.collectionscanada.ca/information-management/0630_e.html)

Government Institution:  See Institution  

Institution:  A government institution listed in Schedule I to the Access to Information Act or the schedule to the Privacy Act or any institution designated by the Governor in Council.  
(Source:  Library and Archives of Canada Act, 2004, c.11, http://laws.justice.gc.ca/en/L-7.7/80647.html)

Life Cycle of a Record:  The life cycle of information management encompasses the following: planning; the collection, creation, receipt, and capture of information; its organization, use and dissemination; its maintenance, protection and preservation; its disposition; and evaluation. 
(Source:  Treasury Board of Canada, Secretariat, Policy on the Management of Government Information, 2003, http://www.tbs-sct.gc.ca/pubs_pol/ciopubs/TB_GIH/mgih-grdg_e.asp)

Metadata: 	Data describing context, content and structure of records and their management through time.  
(Source: ISO International Standard 15489-1:2001)

Metadata Element:  See Element

Metadata Schema:  See Schema  

Office of Primary Interest:  The federal government institution – department, agency, board, office, or commission – to which the authority, responsibility, and accountability to perform a particular function on behalf of the Government of Canada has been specifically assigned by legislation, regulation, policy, or mandate.  
(Source:  Information Management Services, Multi-Institutional Disposition Authorities, http://www.collectionscanada.ca/information-management/06040125_e.html)

Property:  See Element.

Record:  Any documentary material other than a publication, regardless of medium or form.  
(Source:  Library and Archives of Canada Act, 2004, c.11, http://laws.justice.gc.ca/en/L-7.7/80647.html)    

Records Management:  Field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records.  
(Source:  ISO International Standard15489-1:2001)

Resource:  Anything that has identity. Familiar examples include an electronic document, an image, a service, and a collection of other resources. Not all resources are network "retrievable"; e.g., human beings, corporations, and bound books in a library can also be considered resources.
(Source: Dublin Core Metadata Initiative, DCMI Glossary, http://www.dublincore.org/documents/usageguide/glossary.shtml)

Retention Schedule:  A comprehensive list of records series titles, indicating for each series the length of time it is to be maintained.  May include retention in active office areas, inactive storage areas, and when and if such series may be destroyed or formally transferred to another entity such as an archives for historical preservation.
(Source:  ARMA, Glossary of Records and information Management Terms, 2nd Edition, 2000)

Schema:  Framework that specifies and describes a standard set of metadata elements and their interrelationships.
(Source: ISO Technical Specification 23081-1:2004)

Scheme:  A source of information that provides instructions for the encoding of a data value, such as a metadata element.
(Source:  New South Wales, NSW Recordkeeping Metadata Standard, http://www.records.nsw.gov.au/)

Transfer:  The record has archival value and care and control will be transferred to Library and Archives Canada at the end of the retention period or removed from the care and control of the Government of Canada (i.e. the act of alienation).
(Source:  Information Management Services, Records and Information Life Cycle Management, Stage 6: Disposition, http://www.collectionscanada.ca/06/0625/062507_e.html)

APPENDIX C:  RECORDS MANAGEMENT METADATA ELEMENT CONCORDANCE

Government of Canada
Records Management Metadata Standard	Record Keeping Metadata Requirements for the Government of Canada
(January 2001)	Dublin Core Metadata Elements	Common Look and Feel Standard 6.3
(Five mandatory elements)	
Access Rights	Access Rights	Rights	-	
Addressee	Designated Recipient	-	-	
Agent Individual Identifier	-	-	-	
Agent Individual Name	-	-	-	
Agent Institution Name	-	-	-	
Agent Institutional Entity	-	-	-	
Agent Position Title	-	-	-	
Agent Role	-	-	-	
Aggregation	-	-	-	
Approved By	Signed By	-	-	
Approved Date	Date	Date 	Date	
Compound Record Links	-	Relation	-	
Container	-	-	-	
Container From Date	-	-	-	
Container To Date	-	-	-	
Creator*	Author	[adopted]	Creator	
Data Format	Format	Format	-	
Description*	Description	[adopted]	-	
Disposition Action	Disposition Action	-	-	
Disposition Authority	-	-	-	
Encryption Description	-	-	-	
Encryption Status	-	-	-	
Essential Status	Essential Status	-	-	
Event Date/Time	Disposition Date	Date	Date	
Event Description	-	-	-	
Event Type	History	-	-	
File Code	Subject Code	-	-	
File Name	Subject Name	-	-	
Format Extent	Format	Format	-	
Format Medium	Format	Format	-	
Identifier*	Document Number	[adopted]	-	
Language*	Language	[adopted]	Language	
Location	Location	-	-	
Office of Primary Interest	Departmental Identifier,
Organization	-	-	
Record Date	Date	Date	Date	
Record Locked	Final	-	-	
Releasable To	-	-	-	
Retention Period	Retention Period	-	-	
Retention Trigger	Retention Trigger	-	-	
Retention Trigger Date	-	-	-	
Security Clearance	-	-	-	
Sensitivity 	Security	-	-	
Subject*	-	[adopted]	Subject	
Supplemental Markings	-	-	-	
Title*	Title	[adopted]	Title	
Trustee Individual Name	Trustee	-	-	
Trustee Institution Name	Departmental Identifier	-	-	
Trustee Institutional Entity	Organization	-	-	
Type*	Type	[adopted]	-	
Usage Conditions	-	Rights	-	
-	Preservation and Migration History	-	-	
-	-	Contributor	-	
-	-	Coverage	-	
-	-	Publisher	-	
-	-	Source	-	
-	-	Audience	-	

* Indicates a Dublin Core element adopted by the GC RMMS.  Consequently, the element is referenced by the Dublin Core namespace.