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Records Management MetadataStandardStandard No: CIMS2032008City Clerk’s OfficeCorporate Information ManagementServices

Standard No.:Date:Version No:Records Management Metadata StandardCIMS20320081.0Records and Information Management StandardSubject:Records Management MetadataCovers:Standard No:CIMS203Revision No:V1Effective:Issued by:Approved by:Metadata Standards GroupDaphne Gaby Donaldson, Deputy City Clerk,Corporate Information Management ServicesContact Information:Manager, Information Policy & StandardsIssued on:Approved on:Tel: 416-392-4371City Clerk's OfficeFax: 416-392-3995Corporate Information Management ServicesMetro Hall21-55 John Street,Toronto, Ontario M5V 3C6Consultations:Version #1.01.0Consulted onApril 2007 - November2008June 2007 – December2008Consulted withPolicies, Programs andStandards, RIMRecords ManagementMetadata Working GroupCommentsRevision History:Revision #Revision DateIssued by11December 2008August 2019RIMCIMSChanges in Document Initial DocumentUpdated Standard No. based on 2011 ReorgApplication Statement updatedNextReviewTBDTBDApproval:Revision #1NameDaphne GabyDonaldsonTitleDeputy City Clerk,Corporate InformationManagement ServicesSignatureApproval DateJanuary 2009-2-

Standard No.:Date:Version No:Records Management Metadata StandardCIMS20320081.0Table of Contents1INTRODUCTION . 52PURPOSE . 53APPLICATION . 54FORMAT AND STRUCTURE OF THE RECORDS MANAGEMENT STANDARD . 54.14.24.35ORIENTATION . 6COMPULSORY ELEMENTS . 6ELEMENT SET . 6ELEMENTS . 75.1COLLECTION, CREATION, CAPTURE, RECEIPT . 75.1.1 Identifier . 75.1.2 Title . 75.1.3 Description . 75.1.4 Subject . 75.1.5 Type . 85.1.6 Creator . 85.1.7 Record Date . 85.1.8 Approved Date . 85.1.9 Approved By . 85.2ORGANIZATION, CLASSIFICATION, USE, DISSEMINATION, AND ACCESSIBILITY . 95.2.1 File Code . 95.2.2 Aggregation . 95.2.3 Compound Record Links . 95.2.4 File Name . 95.3MAINTENANCE, STORAGE, PROTECTION, AND PRESERVATION . 95.3.1 Record Locked . 95.3.2 Usage Conditions . 105.3.3 Supplemental Markings . 105.3.4 Addressee . 105.3.5 Access Rights . 105.3.6 Office of Primary Interest . 105.3.7 Freedom of Information (FOI) Indicator . 115.3.8 Trustee Individual Name . 115.3.9 Trustee Institution Name . 115.3.10Trustee Institutional Entity . 115.3.11Location . 115.3.12Format Medium . 115.3.13Format Extent . 125.3.14Data Format . 125.3.15Container . 125.3.16Vital Record . 125.4RETENTION AND DISPOSITION . 125.4.1 Retention Period. 125.4.2 Retention Trigger. 125.4.3 Retention Trigger Date . 135.4.4 Container from Date . 135.4.5 Container to Date . 135.4.6 Disposition Action . 135.4.7 Disposition Authority . 13-3-

Standard No.:Date:Version No:Records Management Metadata StandardCIMS20320081.05.4.8 Agent Individual Name . 145.4.9 Agent Individual Identifier . 145.4.10Agent Institution Name . 145.4.11Agent Institutional Entity . 145.4.12Agent Position Title . 145.4.13Agent Role . 155.4.14Event Date/Time. 155.4.15Event Description . 155.4.16Event Type . 156STANDARD REVIEW AND APPROVAL . 157REFERENCES . 158RELATED DOCUMENTS . 169GLOSSARY . 16-4-

Standard No.:Date:Version No:Records Management Metadata Standard1CIMS20320081.0IntroductionPeople use metadata everyday and don’t even realize it. For example, whenever an individualuses the search engine GoogleTM, the user types in a keyword and usually finds what they arelooking for within the first few results. These keywords are known as metadata. Metadatadescribes background information about a record, web page, or document. Metadata helpsmanage records by storing important details about the content i.e. Title, Subject, or Create Date.Records Management Metadata goes a step further and captures keywords relative to thebusiness records such as Records Date, File Code and Retention Period. This ensures that Cityrecords are trustworthy, accurate and up-to-date, and meets regulatory and compliancerequirements.2PurposeThis document describes a metadata element set for the City’s records. The collection and useof records management metadata is not new. Records and information management havealways used metadata to assist in the management of the City’s records however as we moveforward into a complex electronic environment there is a need to formalize records managementmetadata. To formalize the process, the City of Toronto Records Management MetadataStandard (RMMS) was developed to aid in describing, locating, and managing records in asystematic and consistent way to meet business and accountability requirements. The RMMSis a tool that ensures City records are consistently managed throughout their lifecycle.Records management metadata is particularly important in managing digital records in anelectronic environment. The increasing volume of electronic records demands that metadatastandards are in place to ensure the accessibility, ease of use, and management of theserecords. Without metadata users would be unable to locate records, determine whether a recordhas been modified since its creation, determine who should have access to a record, and carryout the proper disposition of a record (e.g., archive, destroy) at the end of its retention period.Metadata is composed of elements (see definition in glossary). Elements are important tounderstand in the context of this standard. Simply put, elements are used to describe theproperties of a record. Some examples of records management metadata elements includeCreator, File Name, Retention Trigger Date, and are selected according to relevance andusefulness for the City’s programs and services. In a records management context, elementsare defined to capture different stages of the information lifecycle.3Application This Standard applies to all City of Toronto Divisions, City employees, volunteers andcontract employees hired by the City of Toronto. This Standard does not apply to Elected Officials, Accountability Officers or CityAgencies and corporations. The City of Toronto encourages City Agencies andCorporations to review, adopt or update this Standard appropriate to their businesscircumstances.-5-

Standard No.:Date:Version No:Records Management Metadata Standard4CIMS20320081.0 This Standard applies to all records, regardless of record format or the activities theyreflect. These elements are applicable to both paper and electronic records management.Format and Structure of the Records Management Standard4.1Orientation 4.2The elements in section 5 are listed according to the Information ManagementLifecycle.The RMMS is one of two metadata standards in the City of Toronto. The secondis the Descriptive Metadata Standard, which describes a record for identificationpurposes, published by the Information and Technology Division.The RMMS uses six Dublin Core descriptive metadata elements: Creator,Description, Identifier, Subject, Title, and Type.Compulsory ElementsThe following legend indicates when the elements of the standard should be used: 4.3Mandatory: indicates the element must be used in a records managementapplication.Mandatory, if applicable: indicates the element must be used in a recordsmanagement application if a condition exists that triggers the necessity tocapture a metadata value.Optional: indicates the element is not deemed critical to records management.The element would only be included in a records management application uponthe discretion of the organizational unit.Element SetThe following legend explains the key properties or features of the element set of the recordsmanagement metadata standard that follows in section 5:Element Number and NameDescriptionThe description of the element.Encoding SchemeType of scheme used to encode the element (see definition in glossaryfor more information).ObligationHow the element is to be used. Broken down into Mandatory, Mandatoryif Applicable and Optional.-6-

Standard No.:Date:Version No:Records Management Metadata StandardCIMS20320081.0Either the element: must be used (Mandatory) could be used if a condition exists (Mandatory if applicable) or is optional (Optional)5Elements5.1Collection, Creation, Capture, Receipt5.1.1 IdentifierDescriptionIdentifies a record by a unique string or number conforming to a formalidentification system.Encoding SchemeUniform Resource Identifiers (URI): Generic nMandatory5.1.2 TitleDescriptionA name given to the resource by which it is formally known.Encoding SchemeCity-specific scheme – Naming ConventionObligationMandatory5.1.3 DescriptionDescriptionAn account of the content of the resource. Description may include but isnot limited to: an abstract, table of contents, reference to a graphicalrepresentation of content or a free-text account of the content.Encoding SchemeCity-specific schemeObligationOptional5.1.4 SubjectDescriptionThe topic of the content of the resource. A subject should be expressedas keywords, key phrases or classification codes that describe a topic ofthe resource.Encoding SchemeTerms should be selected from controlled vocabularies registered withCity of Toronto’s Enterprise Thesaurus or recognized by the Dublin CoreMetadata Initiative.-7-

Standard No.:Date:Version No:Records Management Metadata StandardCIMS20320081.0Provided that a term has been selected from a registered controlledvocabulary, additional terms from division or unit specific schemes maybe selected.ObligationOptional5.1.5 TypeDescriptionThe nature or genre of the content of the resource. Includes termsdescribing general categories, functions, genres, or aggregation levelsfor content i.e. invoice, briefing note, memorandum, contract, etc.Encoding SchemeCity-specific schemeObligationOptional5.1.6 CreatorDescriptionAn entity primarily responsible for making the content of the resource.Examples of a Creator include a person, an organization, or a service.Typically, the name of a Creator should be used to indicate the entity.Encoding SchemeEnumerated entity values must be assigned from Lightweight DirectoryAccess Protocol (LDAP) and/or Municipal-specific schemes forindividual’s name, unit name, position title (e.g. SAP, directories, etc.)ObligationMandatory5.1.7 Record DateDescriptionThe date of an event in the lifecycle of the resource. Typically, Date willbe associated with the creation or availability of the resource.Encoding SchemeYYYY-MM-DD HH:MM:SS - ISO International Standard 8601 [W3CDTF]ObligationMandatory5.1.8 Approved DateDescriptionThe date when the content was approved.Encoding SchemeISO International Standard 8601 [W3CDTF] – YYYY-MM-DDObligationOptional5.1.9 Approved ByDescriptionThe name of the individual or business unit that approved the content.-8-

Standard No.:Date:Version No:Records Management Metadata StandardCIMS20320081.0Encoding SchemeEnumerated entity values must be assigned from Lightweight DirectoryAccess Protocol (LDAP) and/or Municipal-specific schemes forindividual’s name, unit name, position title (e.g. SAP, directories, etc.)ObligationOptional5.2Organization, Classification, Use, Dissemination, and Accessibility5.2.1 File CodeDescriptionThe unique code, derived from the City of Toronto business classificationscheme / file plan, of the file.Encoding SchemeCity approved corporate business classification system / file planObligationMandatory5.2.2 AggregationDescriptionThe resource’s level or position in a hierarchy i.e. Record level and Filelevel.Encoding SchemeCity-specific schemeObligationMandatory5.2.3 Compound Record LinksDescriptionIdentification of linkages of the components of a record.Encoding SchemeCity-specific schemeObligationMandatory, if Applicable5.2.4 File NameDescriptionThe name of the record.Encoding SchemeCity-specific schemeObligationMandatory5.3Maintenance, Storage, Protection, and Preservation5.3.1 Record LockedDescriptionAn indicator that a record may not be further changed.-9-

Standard No.:Date:Version No:Records Management Metadata StandardEncoding SchemeCity-specific schemeObligationMandatoryCIMS20320081.05.3.2 Usage ConditionsDescriptionLimitations or restrictions on how a record or file may be used.Encoding SchemeCity-specific schemeObligationOptional5.3.3 Supplemental MarkingsDescriptionSpecial handling requirements for the record or file.Encoding SchemeCity-specific schemeObligationOptional5.3.4 AddresseeDescriptionThe name of the recipient(s) to which a record has been sent.Encoding SchemeEnumerated entity values must be assigned from Lightweight DirectoryAccess Protocol (LDAP) and/or Municipal-specific schemes forindividual’s name, unit name, position title (e.g. SAP, directories, etc.)ObligationMandatory, if applicable5.3.5 Access RightsDescriptionPermissions assigned to a record or file that govern or restrict access toor actions taken on a record or file.Encoding SchemeCity-specific schemeObligationMandatory5.3.6 Office of Primary InterestDescriptionThe authority that approves the disposition of the records relating to aspecific function or activity.Encoding SchemeCity-specific schemeObligationMandatory- 10 -

Standard No.:Date:Version No:Records Management Metadata StandardCIMS20320081.05.3.7 Freedom of Information (FOI) IndicatorDescriptionIdentifies a record as a “Personal information Bank” or a “General Classof Record”.Encoding SchemeCity-specific schemeObligationMandatory5.3.8 Trustee Individual NameDescriptionThe name of the individual responsible for the stewardship of the record.Encoding SchemeCity-specific schemeObligationMandatory5.3.9 Trustee Institution NameDescriptionOfficial name of the division of the individual responsible for thestewardship of the record.Encoding SchemeTitle of City Division – Organizational ChartObligationOptional5.3.10 Trustee Institutional EntityDescriptionThe formal name of the work group, unit of work, business unit, etc. of theindividual responsible for the stewardship of the record.Encoding SchemeCity-specific schemeObligationOptional5.3.11 LocationDescriptionA description or indication of where the analog or digital record or fileresides.Encoding SchemeCity-specific schemeObligationMandatory5.3.12 Format MediumDescriptionThe material or physical carrier of the data.Encoding SchemeCity-specific schemeObligationMandatory- 11 -

Standard No.:Date:Version No:Records Management Metadata StandardCIMS20320081.05.3.13 Format ExtentDescriptionThe size or duration of the data.Encoding SchemeDigital - auto populated and/or Analog – manual recordingObligationOptional5.3.14 Data FormatDescriptionThe logical format of the data.Encoding SchemeCity-specific schemeObligationMandatory5.3.15 ContainerDescriptionThe storage receptacle for the record.Encoding SchemeCity-specific schemeObligationMandatory, if Applicable5.3.16 Vital RecordDescriptionAn indicator that a record or file is considered to be vital in the event ofan emergency or disaster.Encoding SchemeCity-specific schemeObligationMandatory5.4Retention and Disposition5.4.1 Retention PeriodDescriptionThe period of time a record or file must be retained before authorizeddisposition.Encoding SchemeCity-specific retention scheduleObligationMandatory5.4.2 Retention TriggerDescriptionA condition that must be met to initiate the retention period countdown.- 12 -

Standard No.:Date:Version No:Records Management Metadata StandardEncoding SchemeCity-specific schemeObligationMandatoryCIMS20320081.05.4.3 Retention Trigger DateDescriptionThe date that initiates the retention period countdown.Encoding SchemeYYYY-MM-DD HH:MM:SS - ISO International Standard 8601 [W3CDTF]ObligationMandatory5.4.4 Container from DateDescriptionThe date of the earliest record in a container.Encoding SchemeISO International Standard 8601 [W3CDTF] - YYYY-MM-DDObligationMandatory, if Applicable5.4.5 Container to DateDescriptionThe date of the latest record in a container upon closure of the container.Encoding SchemeISO International Standard 8601 [W3CDTF] - YYYY-MM-DDObligationMandatory if Applicable5.4.6 Disposition ActionDescriptionThe action that will be taken on a record or file on expiry of its retentionperiod.Encoding SchemeCity-specific schemeObligationMandatory5.4.7 Disposition AuthorityDescriptionLegal authority issued by the City of Toronto that approves the transfer,archival and/or destruction of a record or file.Encoding SchemeCity-specific schemeObligationMandatory- 13 -

Standard No.:Date:Version No:Records Management Metadata StandardCIMS20320081.05.4.8 Agent Individual NameDescriptionThe name of an individual who performed an action on a record or file atthe time the action was taken.Encoding SchemeEnumerated entity values must be assigned from Lightweight DirectoryAccess Protocol (LDAP) and/or Municipal-specific schemes forindividual’s name, unit name, position title (e.g. SAP, directories, etc.)ObligationOptional5.4.9 Agent Individual IdentifierDescriptionA unique indicator that identifies the individual who performed an actionon a record or file at the time the action was taken.Encoding SchemeCity-specific schemeObligationMandatory5.4.10 Agent Institution NameDescriptionOfficial name of the division of the individual who performed an action ona record or file at the time the action was taken.Encoding SchemeTitle of City Division – Organizational ChartObligationMandatory5.4.11 Agent Institutional EntityDescriptionThe formal name of the work group, unit of work, business unit, etc. ofthe individual who performed an action on a record or file at the time theaction was taken.Encoding SchemeCity-specific schemeObligationOptional5.4.12 Agent Position TitleDescriptionThe position held by the individual who performed an action on a recordor file at the time the action was taken.Encoding SchemeEnumerated entity values must be assigned from Lightweight DirectoryAccess Protocol (LDAP) and/or Municipal-specific schemes forindividual’s name, unit name, position title (e.g. SAP, directories, etc.)ObligationOptional- 14 -

Standard No.:Date:Version No:Records Management Metadata StandardCIMS20320081.05.4.13 Agent RoleDescriptionA category that identifies the job function or responsibility of a particularindividual at the time an action was taken on a record or file.Encoding SchemeCity-specific schemeObligationMandatory5.4.14 Event Date/TimeDescriptionThe date and time of the action taken on a record or file.Encoding SchemeYYYY-MM-DD HH:MM:SS - ISO International Standard 8601 [W3CDTF]ObligationMandatory5.4.15 Event DescriptionDescriptionThe details of the specific action taken on a record or file.Encoding SchemeCity-specific schemeObligationOptional5.4.16 Event TypeDescriptionAn action taken on a record or file during its life cycle.Encoding SchemeCity-specific schemeObligationMandatory6Standard Review and Approval 7CIMS, I&T, and stakeholders will review this standard yearly.Approval follows the process in effect at the time of review.ReferencesThe standard draws upon the research, guidelines, standards, efforts and publications of thefollowing organizations: Dublin Core Metadata InitiativeGovernment of Canada Records Management Metadata StandardGovernment of Canada Records Management Application ProfileGovernment of Alberta - Metadata Resources Guide- 15 -

Standard No.:Date:Version No:Records Management Metadata Standard 8Minnesota – Recordkeeping Metadata StandardNational Archives of Australia - Recordkeeping Metadata StandardThe New Zealand Government Locator ServiceUnited Kingdom – National Archives Records Management Metadata StandardAssociation of Records Managers and Administrators (ARMA)ISO 15489-1 Information and Documentation – Records Management - ISO TechnicalReport 15489-2, s. 4.3.8ISO 23081-1 Information and Documentation – Records Management Processes –Metadata for RecordsWhat is Metadata, its Value and its Role in Records Management – Denese BrunoRelated Documents 9CIMS20320081.0Information and Technology Descriptive Metadata Standard (2004)Glossary Agent: Individual, workgroup or organization responsible for or involved in recordcreation, capture and/or records management processes.(Source: ISO 23081-1:2006(E)) Information and Documentation – Records ManagementProcesses – Metadata for Records) Aggregation: The level at which the record(s) is/are being described and controlled.The level of aggregation of the unit of description.(Source: html) Dublin Core: The Dublin Core Metadata Initiative is a global open forum engaged in thedevelopment of metadata standards that support a broad range of purposes andbusiness models. (Source: Dublin Core, http://dublincore.org/) Element: Formally defined terms which are used to describe properties of a record orfile.(Source: Based on Dublin Core Metadata Initiative, DCMI guide/glossary.shtml) Encoding Scheme: A set of specific definitions that describe the philosophy used torepresent character data. Examples of specifications in such a definition are: the numberof bits, the number of bytes, the allowable ranges of bytes, maximum number ofcharacters, and meanings assigned to some generic and specific bit patterns.(Source: es/unicode.html) Entity - A person, place, thing, concept or even about which an organization collectsinformation.(Source: it.csumb.edu/departments/data/glossary.html ) File: In the analog environment, a collection of related records grouped together usuallyin reverse chronological order. In the digital environment, a named set of records storedor processed as a unit electronically.- 16 -

Standard No.:Date:Version No:Records Management Metadata StandardCIMS20320081.0(Source: Based on ARMA, Glossary of Records and Information Management Terms, 3rdEdition, 2007, http://insideto.toronto.ca/records archives/pdf/glossary-rim.pdf) Function - A group of related activities and/or projects for which an organizational unit isresponsible. This is also the principal purpose a program is intended to serve.(Source: www.ojp.usdoj.gov/BJA/evaluation/glossary/glossary f.htm) ISO: International Organization for Standards. (Source: http://www.iso.org/iso/home.htm) Life cycle (of a record): The distinct phases of a record’s existence, from creation tofinal disposition.(Source: ARMA Glossary of RIM Terms – 3rd Edition ndex 76) Lightweight Directory Access Protocol (LDAP): allows the City to access employeelists such as the address book in GroupWise to populate an access control list in anapplication such as Livelink. Metadata: “data describing context, content and structure of records and theirmanagement of through time” (Source: ISO International Standard 15489-1:2001 (E)) Properties: A property is a specific aspect, characteristic, attribute, or relation used todescribe a resource. (Source: uidelines/) Record: Constitute all documented information, regardless of media format, that provideverifiable evidence of the City of Toronto functions. (Source:http://insideto.toronto.ca/reco

Records Management Metadata Standard Date: 2008 Version No: 1.0 - 6 - This Standard applies to all records, regardless of record format or the activities they reflect. These elements are applicable to both paper and electronic records management. 4 Format and Structure of the