SIST-TP ISO/TR 8344:2024
(Main)Information and documentation — Issues and considerations for managing records in structured data environments
Information and documentation — Issues and considerations for managing records in structured data environments
This document identifies issues and considerations for managing records in structured data environments.
Information et documentation — Enjeux et considerations pour la gestion des documents d'activité dans les environnements de données structurées
Informatika in dokumentacija - Vprašanja in premisleki za upravljanje zapisov v strukturiranih podatkovnih okoljih
Ta dokument opredeljuje vprašanja in premisleke za upravljanje zapisov v strukturiranih podatkovnih okoljih.
General Information
Standards Content (Sample)
SLOVENSKI STANDARD
01-november-2024
Informatika in dokumentacija - Vprašanja in premisleki za upravljanje zapisov v
strukturiranih podatkovnih okoljih
Information and documentation — Issues and considerations for managing records in
structured data environments
Information et documentation — Enjeux et considerations pour la gestion des documents
d'activité dans les environnements de données structurées
Ta slovenski standard je istoveten z: ISO/TR 8344:2024
ICS:
01.140.20 Informacijske vede Information sciences
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.
Technical
Report
ISO/TR 8344
First edition
Information and documentation —
2024-04
Issues and considerations for
managing records in structured
data environments
Information et documentation — Enjeux et considerations pour
la gestion des documents d'activité dans les environnements de
données structurées
Reference number
© ISO 2024
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ii
Contents Page
Foreword .v
Introduction .vi
1 Scope . 1
2 Normative reference . 1
3 Terms and definitions . 1
4 Basic concepts . 4
4.1 Understanding relationships among data, information, records and knowledge .4
4.2 Concept of structured data .5
4.2.1 Physical records and structured data .5
4.2.2 Business systems .5
4.2.3 Databases .5
4.3 Different interpretations of the concept of ‘record’ .7
4.4 Metadata for records as structured data .7
4.5 Characteristics of structured data .7
5 Issues for managing records in structured data environments . 8
5.1 General .8
5.2 Individual records are not self-contained .9
5.3 Systems are not designed to capture records .9
5.4 Data is often re-used .9
5.5 Records controls may not be able to be applied in business systems .9
5.6 Records processes may be different in business systems .10
5.7 Record meaning may depend on system documentation .10
5.8 Ownership and control of records in shared systems may not be clear .10
5.9 Disposition of individual records is not feasible .11
5.10 Conflict between disposition and the referential integrity rule for relational databases . 12
5.11 Preserving structured data records over the long-term . 12
5.12 Data may be highly dynamic . 12
6 Concerns about managing records in structured data environments .13
6.1 General . 13
6.2 Approaches to managing records in structured data environments . 13
6.3 Appraisal of records in structured data environments . 13
6.3.1 Appraisal to determine what records need to be captured . 13
6.3.2 Appraisal to determine retention requirements .14
6.4 Records management by design in structured data environments .14
6.4.1 General .14
6.4.2 Policy approach . 15
6.4.3 Technical approach . 15
6.5 Apply records controls or policies from other applications to business systems .16
6.6 Implement a management system for records across business systems .16
6.6.1 Strategic considerations .16
6.6.2 Operational considerations .16
Annex A (informative) Identification of concepts and characteristics of structured data . 17
Annex B (informative) Examples of relational database .18
Annex C (informative) Concepts of record from management perspective and technology
perspective .23
Annex D (informative) Template and use cases on records management in structured data
environments .30
Annex E (informative) Use case-1 as an example .35
Annex F (informative) Use case-2 as an example .40
iii
Annex G (informative) Use case-3 as an example .44
Annex H (informative) Use case-4 as an example .49
Annex I (informative) By design approach .53
Bibliography .60
iv
Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards
bodies (ISO member bodies). The work of preparing International Standards is normally carried out through
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The procedures used to develop this document and those intended for its further maintenance are described
in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for the different types
of ISO document should be noted. This document was drafted in accordance with the editorial rules of the
ISO/IEC Directives, Part 2 (see www.iso.org/directives).
ISO draws attention to the possibility that the implementation of this document may involve the use of (a)
patent(s). ISO takes no position concerning the evidence, validity or applicability of any claimed patent
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This document was prepared by Technical Committee ISO/TC 46, Information and documentation,
Subcommittee SC 11, Archives/records management.
Any feedback or questions on this document should be directed to the user’s national standards body. A
complete listing of these bodies can be found at www.iso.org/members.html.
v
Introduction
With the digital transformation of government, business, and society, records are increasingly being created
in structured data formats in databases, or in business systems that are underpinned by databases. Whilst
this has been occurring for several decades, there has been an increase in the volume of data created,
stored and analysed with widespread use of sensors and a focus on data driven decision-making. Data
structures are also changing, developing from the well-known relational database into new forms which
include distributed data systems that are not controlled by a single organization and which may exist across
jurisdictions. There is also a significant number of legacy databases that have been decommissioned from
active use, but which require ongoing management.
These changes mean that evidence and memory of government, business and society are increasingly
represented in structured data formats. This raises issues if structured data is to be trusted as an
authoritative source of information, or record, that meets business, legal, and regulatory requirements.
As the basis for decision making and operations, structured data becomes the evidence that is subject
to e-discovery requirements. If not properly managed, the business, legal, evidential, and information
value of structured data can diminish and adversely impact the organization’s productivity, compliance,
trustworthiness, transparency, accountability and reputation.
Building the capability to manage records in structured data environments has become essential to the
governance and management of organizations and communities. There is a growing business need for
guidance and recommendations around the design and implementation of adequate policies and procedures
to help ensure that records in structured data environments have the attributes of authenticity, reliability,
integrity and usability.
Whilst management systems for records as specified in ISO 30301 can be used to ensure that there is
appropriate leadership, planning, support, improvement and evaluation with respect to records in structured
data environments, there are also specific records control, process and system issues to be considered.
This document provides a landscape review of records management in structured data environments, and
identifies issues and considerations for managing records in these environments.
The primary audiences for this document are data policy makers, systems designers, business system
owners, data management professionals, database professionals, and the records management professionals
working together to ensure the application of appropriate records management approaches, processes,
controls and systems in structured data environments.
vi
Technical Report ISO/TR 8344:2024(en)
Information and documentation — Issues and considerations
for managing records in structured data environments
1 Scope
This document identifies issues and considerations for managing records in structured data environments.
2 Normative reference
The following documents are referred to in the text in such a way that some or all of their content constitutes
requirements of this document. For dated references, only the edition cited applies. For undated references,
the latest edition of the referenced document (including any amendments) applies.
ISO 30300, Information and documentation — Records management — Core concepts and vocabulary
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO 30300 apply.
ISO and IEC maintain terminology databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at https:// www .electropedia .org/
3.1
attribute
characteristic of an object or entity
[SOURCE: ISO/IEC 2382-36:2019, 3.9.2]
3.2
data
set of characters or symbols to which meaning is or could be assigned
Note 1 to entry: From an ICT perspective, ISO/IEC 2382:2015, 2121272 and ISO 8000-8:2015, 3.1 define data as
“reinterpretable representation of information in a formalized manner suitable for communication, interpretation, or
processing”. In an ICT environment, data is a digital representation of information. It is considered to be the result of
how information has been recorded and consists of bits, bytes, characters and pixels.
[SOURCE: ISO 30300:2020, 3.2.4, modified — Note 1 has been added.]
3.3
database
collection of data organized according to a conceptual structure describing the characteristics of these data
and the relationships among their corresponding entities, supporting one or more application areas
Note 1 to entry: database: Term and definition standardized by ISO/IEC 2382-1:1993; ISO/IEC 2382-17:1999.
[SOURCE: ISO/IEC 2382:2015, 2121413, modified — Note 2 has been deleted]
3.4
database management system
system, based on hardware and software, for defining, creating, manipulating, controlling, managing, and
using databases
Note 1 to entry: The software for using a database may be part of the database management system or may be stand-alone.
Note 2 to entry: database management system; DBMS: term, abbreviation and definition standardized by
ISO/IEC 2382-17:1999.
[SOURCE: ISO/IEC 2382:2015, 2121417, modified — Note 3 has been deleted]
3.5
data element
unit of data for which the definition, identification, representation and permissible values are specified by
means of a set of attributes
[SOURCE: ISO/IEC 2382-36:2019, 3.8.21]
3.6
entity
any concrete or abstract thing that exists, did exist, or might exist, including associations among these things
EXAMPLE Person, object, event, idea, process, etc.
Note 1 to entry: An entity exists whether data about it are available or not.
[SOURCE: ISO/IEC 2382-36:2019, 3.9.5]
3.7
information
data (3.2) in context with a particular meaning
Note 1 to entry: ISO/IEC 2382:2015, 21212 2 and ISO 8000-8:2015, 3.3 define information as “knowledge concerning
objects, such as facts, events, things, processes, or ideas, including concepts, that within a certain context has a
particular meaning”.
[SOURCE: ISO 30300:2020, 3.2.7, modified — Note 1 to entry has been added]
3.8
knowledge
maintained, processed and interpreted information (3.7)
Note 1 to entry: From ICT and artificial intelligence domain perspectives, ISO/IEC 2382:2015, 2123771 defines
knowledge as a “collection of facts, events, beliefs, and rules, organized for systematic use”.
Note 2 to entry: Knowledge is data that is meaningful to particular context.
[SOURCE: ISO 5127:2017, 3.1.1.17, modified — Note 1 to entry and Note 2 to entry have been added.]
3.9
metadata
data about other data, documents, or records that describes their content, context, structure,
data format, provenance, and/or rights attached to them
Note 1 to entry: See also ISO/TR 14873:2013, 2.29.
[SOURCE: ISO 5127:2017, 3.1.10.26.01]
3.10
metadata for records
structured or semi-structured information, which enables the records processes through time and within
and across organizations
[SOURCE: ISO 30300:2020, 3.2.9]
3.11
record
information created or received and maintained as evidence and as an asset by an organization, in pursuit of
legal obligations or in the course of conducting business
Note 1 to entry: Records are normally used in plural.
Note 2 to entry: In a management system standard (MSS) implementation, the records created to conduct and direct
the management system and to document its implementation are called documented information.
[SOURCE: ISO 30300:2020, 3.2.10]
3.12
records control
instrument for helping in the conduct of records processes
Note 1 to entry: Example of records control include metadata schemas for records, business classification schemes,
access and permission rules, and disposition authorities.
[SOURCE: ISO 30300:2020, 3.5.6]
3.13
records management by design
approach in which records management is implemented in the initial design stage and throughout the
complete lifecycle of products, processes or services that involve handling record
[47]
[SOURCE: Records management by design – Some considerations ]
3.14
relational database
database in which the data are organized according to a relational model
Note 1 to entry: relational database: term and definition standardized by ISO/IEC 2382-17:1999.
[SOURCE: ISO/IEC 2382:2015, 17.04.05, modified — Note 2 to entry has been deleted]
3.15
relational database management system
database management system designed for relational databases
Note 1 to entry: In order to use relational data base management systems (RDBMS), it is necessary to represent
relational model of data that organizes data (see 4.5) with specific characteristics (tables or relations, unique key, etc.)
(see ISO/IEC 25024:2015, Table C.1).
[SOURCE: ISO/IEC 25024:2015, 4.34]
3.16
semi-structured data
aggregate datatype whose components' datatypes and their labels are not predetermined
Note 1 to entry: Semi-structured data are forms of structured data that do not follow structure of data models related
to relational databases or other forms of databases.
Note 2 to entry: Examples of semi-structured data include the data that contain HTML tags or other markers to
separate semantic elements and to represent hierarchies of records and fields within the data.
[SOURCE: ISO/IEC TS 38505-3:2021, 3.14]
3.17
structured data
data which are organized based on a pre-defined (applicable) set of rules
Note 1 to entry: The predefined set of rules governing the basis on which the data is structured needs to be clearly
stated and made known.
Note 2 to entry: A pre-defined data model is often used to govern the structuring of data.
Note 3 to entry: Example of structured data are data contained in relational databases.
[SOURCE: ISO/IEC TS 38505-3:2021, 3.15]
3.18
unstructured data
data which are characterized by not having any structure apart from that record or file level
Note 1 to entry: On the whole unstructured data is not composed of data elements.
EXAMPLE An example of unstructured data is free text.
[SOURCE: ISO/IEC 20546:2019, 3.1.37]
4 Basic concepts
4.1 Understanding relationships among data, information, records and knowledge
The concepts of data, information, records and knowledge are abstract and have different meanings
depending on professional perspectives.
From a records management perspective records are information created or received and maintained as
evidence and as an asset by an organization, in pursuit of legal obligations or in the course of conducting
business.
Records, therefore, are a specific form of information, which require particular management approaches,
processes, controls, and systems to ensure they have integrity and provide authentic, reliable and usable
evidence.
In the digital environment, records may be in the form of documents or emails, sometimes referred to as
files or unstructured data, that are created or communicated as part of business transactions. They are
often captured in records systems along with metadata for records.
Records may also be in the form of structured or semi-structured data, captured in business systems that
are used to support business processes. Often, these business systems are not designed to capture and
manage records. Nevertheless, the organizational need for authoritative evidence of the business processes
remains.
Records may form part of the knowledge assets within organizations, especially as documented information.
Figure 1 shows one perspective on the relationship between data, information, and knowledge with respect to
meaning. In this perspective, there is an abundance of data which often by itself may not have much meaning.
Information then is meaningful data. Meaningful data refers to data which has contributed to achieve
purposes or solving tasks. Knowledge is what humans know, understand, and can apply, based on what one
has perceived, discovered, and learned from processed, organized, contextualized and meaningful data.
Figure 1 — Relationships of data, information and knowledge
4.2 Concept of structured data
4.2.1 Physical records and structured data
Records managers have always managed records comprised of structured data. In the physical world, these
records included:
— registers;
— financial records including ledgers, journals and cash books;
— outputs of instruments, such as seismographs;
— completed forms and charts.
Most of these record forms were replaced by databases as computers were developed to process, organize
and record information in digital formats.
4.2.2 Business systems
Initially, data was entered directly into databases. Over time, databases came to underpin business systems
where data is entered and processed via a software application and stored in a database. Examples of
business systems include human resource management systems, financial systems, contract management
systems, case management systems and other transactional systems.
Records managers understand that business systems used to support business purposes often generate
data that is needed to serve as evidence of business activity.
However, these systems are usually not specifically designed to manage records.
As outlined in ISO 16175, many business systems generate and store data that can be subject to constant
updating (dynamic), are able to be transformed (manipulable), and only contain current data (non-
redundant). While business requirements for dynamic, manipulable, and non-redundant data can be entirely
legitimate, if records are to serve as reliable evidence of business functions and processes, they need to be
fixed and inviolable. Because of the dynamic and manipulable nature of business systems, the capture of
records and the ongoing management of their fixity, authenticity, reliability, usability and integrity can be
challenging.
4.2.3 Databases
4.2.3.1 General
A database is a collection of data organized according to a conceptual structure describing the characteristics of
these data and the relationships among their corresponding entities, supporting one or more application areas.
Databases are typically comprised fields or data items, usually organized in tables.
The content of every field in a row of a table is a data value and conforms to a data type such as string, date,
number, etc.
[15]
The set of fields or data items treated as a unit is known as a data record or tuple .
4.2.3.2 Relational databases
Relational databases have been a common database type for many years. A relational database is a database
in which the data are organized according to a relational model.
For example, Bo Wang from Rotterdam owns a house in Gouda, Netherlands, and wants to sell the house
using John Johnson’s housing broker services.
If the information is stored in a relational database, a data element containing the string 'Gouda' may be the
content of a data field of the field type named 'name_town' in a row about the entity Gouda in a table named
'towns'. This table may be part of a relational database named 'houses' owned and managed by John Johnson
(or even an association of housing brokers). Such data about towns in a table of a relational database can be
the result of a general process of gathering and storing data about towns.
In the same way, the data element 'Bo Wang' can be the content of a data field of the data type named 'name_
client' in a row about Bo Wang in a table named 'clients' in another relational database. This kind of data can
be the result of John Johnson’s specific client intake process. Bo Wang's residential address details are in a
table named 'addresses' with a reference from the table 'clients' to this table and another reference from the
table 'addresses' to the table 'towns' which includes both 'Gouda' and 'Rotterdam'.
When Bo Wang's house is sold, the sale date and sale price can be added to another table called 'sales'.
Thereafter, data already stored in the said tables and databases can be reused in a transaction document
prepared by John Johnson and in another transaction document prepared by a notary public.
Annex B provides examples of relational databases for better understanding of their complexity in many
and various different types of data models and the predefined set of rules.
4.2.3.3 Master data and transaction data
In some databases, there are two types of data tables: master tables and transaction tables.
Master data is data held by an organization to describe the entities that are both independent and
fundamental for the organization and are referenced in transactions. Types of master data include records
that describe customers, products, employees, services, etc.
Transaction data is data representing a business transaction. This data may be stored in a transaction table
containing data about one type of transaction. Transactions are the result of processes performed which
relate to entities recorded in the master data. Transaction data therefore often includes master data that can
be used to identify the entities that are party to the transaction.
For example, a credit card transaction relates to entities represented by master data, such as the credit
card account at the issuing bank (represented by a credit card number), and the merchant account at the
[2]
accepting bank (represented by a merchant number) .
4.2.3.4 Other forms of databases
The world of data is rapidly changing as familiar relational databases are replaced with alternative data
structures, such as graph databases. Graph databases are designed to depict relationships between data points.
The Internet of Things has also resulted in an increase in data being captured by sensors within everyday
items. Often, this data is captured in time series databases which record values in simple tables organized
by dates and times.
4.3 Different interpretations of the concept of ‘record’
Table C.1 shows there are different interpretations of the concept of “record”. For database managers and
[14]
administrators, a record is a set of related data items treated as a unit . Typically, a data record is a tuple
or row of data in a database table.
For records managers, a record comprises all of the information that is created or used in a business
transaction, so in a database this might typically comprise related data items from multiple data records
across multiple tables.
For example, a person submits an online application by entering information in a web-based form and
attaches a scanned document. The form includes fields that require specific items of data, as well as fields
that allow free text to be entered. The information is stored as structured, semi-structured and unstructured
data. The record comprises the data that was submitted as part of the online application, as well as the
metadata about the creation and submission of the application, such as the date and time of creation and the
person or agent/actor which created the record.
It may be a complex task to identify which combinations of data elements in a database are considered as a
specific record.
Because records managers focus on records as evidence, their aim is to ensure the information content of
the record, which may be stored as structured, semi-structured, or unstructured data, can be trusted as
authoritative proof of the business transaction.
However, records managers also recognize that records have value as information assets. As information
assets, records may be used in subsequent business processes and transactions, generating new records.
4.4 Metadata for records as structured data
In the digital environment, authoritative records are those accompanied by metadata defining their critical
characteristics (see ISO 23081-1:2017, Clause 4). According to ISO 15489-1, the metadata of a record itself
should be managed as a record. However, it should be noted that the content of a metadata set associated
with a given record, unlike the content of the record itself, is not fixed and new metadata are usually added
to it over time.
Just like the data itself, the metadata also can be seen and managed both as a set of codes (e.g. when
metadata-supporting IT infrastructure such as special databases within electronic document and records
management system (EDRMS) systems or communication issues are considered) or as meaningful
information that supports integrity, authenticity, usability and confidentiality of records and the operation
of the relevant information infrastructure.
There are many kinds of the metadata, of which the “metadata for records” is a subset. In ISO 30300, the
metadata for records are defined as “structured or semi-structured information, which enables the records
processes through time and within and across organizations”. There are numerous other metadata that are
not directly related to the records processes (e.g. technical metadata associated with e-mail message and
describing its path through the internet).
4.5 Characteristics of structured data
Table A.1 in Annex A identifies characteristics of structured data from representative definitions mapping
with ISO 704. There are four characteristics about structured data show in Figure 2:
1) use of a pre-defined set of rules;
2) specified data model;
3) structured in an organized manner or identifiable way;
4) stored in distinct fixed fields.
Figure 2 — Formation of structured data concept
Figure 3 illustrates the mapping between the specific characteristics of structured data and the
characteristics of records defined in ISO 30300.
The first set of characteristics (e.g. authenticity, usability, reliability and integrity, as defined in ISO 30300)
is essential for the categorization of certain data as records.
The second set of characteristics is related to the management of data as records in compliance with the
principles and requirements defined in ISO 15489-1 and ISO 30301. These requirements are applicable to
all kinds of data (structured, semi-structured, or non-structured) that are managed as records. Besides,
managing non-structured data as records need extra work to ensure consistency of data processing and
management and the traceability of the management process with adequate metadata for records.
Figure 3 — Mapping concepts of structured data with ISO 30300
5 Issues for managing records in structured data environments
5.1 General
Annex D provides a template for identifying issues and concerns for managing records in structured data
environment. The following issues have been validated by four use cases collected in Annex E, Annex F,
Annex G, Annex H.
5.2 Individual records are not self-contained
Records in structured data environments are usually part of an overall data structure designed to capture
many records of the same type. Generally, all of the records of the same type will be aggregated as a set and
cannot be managed individually.
This has implications for the application of records controls and processes as specified in ISO 15489-1.
5.3 Systems are not designed to capture records
In most cases, business systems are still not designed to capture records as records managers hoped by
issuing ISO 16175.
Where systems require only current data values, then securing these values against unauthorized changes
through authentication and authorization measures may be sufficient.
However, if historical values, such as previous addresses of citizens, have to be available as evidence, it may
be challenging to create fixed-content records with data values linked to a point in time.
5.4 Data is often re-used
Once created and stored in a database, data that makes up specific records may be reused in other business
processes or transactions, often combined with data from other records.
This re-use may create new records, although the data itself has not changed.
For example, documents or reports generated containing data may need to be saved as separate records, if
these documents or reports are used in business processes.
Due to the high level of re-use of data elements, the same data elements can be part of multiple records each
of which is subject to numerous retention or disposition requirements.
5.5 Records controls may not be able to be applied in business systems
Records controls may not be able to be applied or implemented in business systems. Nevertheless, some of
these can be handled through the management system for records.
Business systems are rarely designed to include functionality that supports business classification schemes
and disposition authorities. This might not be an issue where all of the records relate to a single business
process and have the same retention or disposition requirements.
Metadata schemas and access and permissions rules are more likely to be able to be incorporated into
business systems although the type of metadata and rules are likely to differ compared with records
systems, as well as how these controls are implemented.
Metadata for records is different to the typical metadata that is part of structured data environments.
Business systems are unlikely to have all of the metadata for records. For example, business systems
may not create explicit identifiers for individual records that are human readable. Also, format or storage
metadata may not be explicit. However, this may not be an issue in active records system where records can
be retrieved through system functions and the format and storage are known by system users.
The concepts of metadata in ISO 15489-1 seem to be mostly applicable to EDRMS type systems. In business
systems, point of capture metadata that documents the circumstances of the creation of the records is
typically the name of the agent creating the record and the date and time of record creation.
ISO 15489-1 clarifies that records controls may be designed and implemented in a variety of forms depending
on the technological and business environment so these controls can be applied organisation-wide as part of
a management system for records, rather than necessarily being applied within records systems.
The management system for records can therefore be used to classify the records in a business system at an
aggregate level. Therefore, classification may not occur through application of structured or semi-structured
metadata to individual records but could occur through other documentation that shows how the business
system relates to business, legal or social contexts.
5.6 Records processes may be different in business systems
Records processes applied to business systems may also be different to those applied in records systems.
In business systems, records are usually captured at the same time as they are created. There is often no
significant distinction between creating and capturing records.
ISO 15489-1 seems to assume records are captured into systems that are different from where they are
created, which is not the case for many business systems, nor was the case for physical records that preceded
them such as financial ledgers.
In distributed ledger technology systems (DLT systems), for example (and like physical ledgers and registers
or even diaries), records are created and captured simultaneously with minimal metadata applied to
individual records, and no explicit identifier. Metadata was typically applied to the volume containing the
individual records.
In business systems, indexing can also occur without explicitly capturing subjects, locations or personal
names as indexing metadata. System indexing functions may index the data to enable retrieval of content.
Business systems are typically not designed to support execution of disposition actions, and unlikely to.
And yet disposition of records in these systems can still be managed through the management system for
records by applying disposition processes and actions at the time of system decommissioning or migration
or upgrade.
5.7 Record meaning may depend on system documentation
Records in structured data environments may lose meaning unless codes and additional system
documentation is retained, as records may not be meaningful in their own right. Sometimes, metadata for
records may or may not serve this purpose.
For example, if an audit entry for a record only includes codes that reference the entities involved in the
change event, this entry will be meaningless unless explicit system documentation is retained indicating
what the codes referred to.
In addition, it may be useful to retain system documentation showing the data entry screens that were
used to capture the records, so that relationships between data items can be understood. All changes to the
system can be documented and this documentation retained to help people understand the records.
5.8 Ownership and control of records in shared systems may not be clear
Many business systems are designed to be used by people outside of the organization that established the
system, such as systems jointly used by bodies belonging to different levels of government (local, regional,
or federal), or systems used by organization
...
Technical
Report
ISO/TR 8344
First edition
Information and documentation —
2024-04
Issues and considerations for
managing records in structured
data environments
Information et documentation — Enjeux et considerations pour
la gestion des documents d'activité dans les environnements de
données structurées
Reference number
© ISO 2024
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Published in Switzerland
ii
Contents Page
Foreword .v
Introduction .vi
1 Scope . 1
2 Normative reference . 1
3 Terms and definitions . 1
4 Basic concepts . 4
4.1 Understanding relationships among data, information, records and knowledge .4
4.2 Concept of structured data .5
4.2.1 Physical records and structured data .5
4.2.2 Business systems .5
4.2.3 Databases .5
4.3 Different interpretations of the concept of ‘record’ .7
4.4 Metadata for records as structured data .7
4.5 Characteristics of structured data .7
5 Issues for managing records in structured data environments . 8
5.1 General .8
5.2 Individual records are not self-contained .9
5.3 Systems are not designed to capture records .9
5.4 Data is often re-used .9
5.5 Records controls may not be able to be applied in business systems .9
5.6 Records processes may be different in business systems .10
5.7 Record meaning may depend on system documentation .10
5.8 Ownership and control of records in shared systems may not be clear .10
5.9 Disposition of individual records is not feasible .11
5.10 Conflict between disposition and the referential integrity rule for relational databases . 12
5.11 Preserving structured data records over the long-term . 12
5.12 Data may be highly dynamic . 12
6 Concerns about managing records in structured data environments .13
6.1 General . 13
6.2 Approaches to managing records in structured data environments . 13
6.3 Appraisal of records in structured data environments . 13
6.3.1 Appraisal to determine what records need to be captured . 13
6.3.2 Appraisal to determine retention requirements .14
6.4 Records management by design in structured data environments .14
6.4.1 General .14
6.4.2 Policy approach . 15
6.4.3 Technical approach . 15
6.5 Apply records controls or policies from other applications to business systems .16
6.6 Implement a management system for records across business systems .16
6.6.1 Strategic considerations .16
6.6.2 Operational considerations .16
Annex A (informative) Identification of concepts and characteristics of structured data . 17
Annex B (informative) Examples of relational database .18
Annex C (informative) Concepts of record from management perspective and technology
perspective .23
Annex D (informative) Template and use cases on records management in structured data
environments .30
Annex E (informative) Use case-1 as an example .35
Annex F (informative) Use case-2 as an example .40
iii
Annex G (informative) Use case-3 as an example .44
Annex H (informative) Use case-4 as an example .49
Annex I (informative) By design approach .53
Bibliography .60
iv
Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards
bodies (ISO member bodies). The work of preparing International Standards is normally carried out through
ISO technical committees. Each member body interested in a subject for which a technical committee
has been established has the right to be represented on that committee. International organizations,
governmental and non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely
with the International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization.
The procedures used to develop this document and those intended for its further maintenance are described
in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for the different types
of ISO document should be noted. This document was drafted in accordance with the editorial rules of the
ISO/IEC Directives, Part 2 (see www.iso.org/directives).
ISO draws attention to the possibility that the implementation of this document may involve the use of (a)
patent(s). ISO takes no position concerning the evidence, validity or applicability of any claimed patent
rights in respect thereof. As of the date of publication of this document, ISO had not received notice of (a)
patent(s) which may be required to implement this document. However, implementers are cautioned that
this may not represent the latest information, which may be obtained from the patent database available at
www.iso.org/patents. ISO shall not be held responsible for identifying any or all such patent rights.
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and expressions
related to conformity assessment, as well as information about ISO's adherence to the World Trade
Organization (WTO) principles in the Technical Barriers to Trade (TBT), see www.iso.org/iso/foreword.html.
This document was prepared by Technical Committee ISO/TC 46, Information and documentation,
Subcommittee SC 11, Archives/records management.
Any feedback or questions on this document should be directed to the user’s national standards body. A
complete listing of these bodies can be found at www.iso.org/members.html.
v
Introduction
With the digital transformation of government, business, and society, records are increasingly being created
in structured data formats in databases, or in business systems that are underpinned by databases. Whilst
this has been occurring for several decades, there has been an increase in the volume of data created,
stored and analysed with widespread use of sensors and a focus on data driven decision-making. Data
structures are also changing, developing from the well-known relational database into new forms which
include distributed data systems that are not controlled by a single organization and which may exist across
jurisdictions. There is also a significant number of legacy databases that have been decommissioned from
active use, but which require ongoing management.
These changes mean that evidence and memory of government, business and society are increasingly
represented in structured data formats. This raises issues if structured data is to be trusted as an
authoritative source of information, or record, that meets business, legal, and regulatory requirements.
As the basis for decision making and operations, structured data becomes the evidence that is subject
to e-discovery requirements. If not properly managed, the business, legal, evidential, and information
value of structured data can diminish and adversely impact the organization’s productivity, compliance,
trustworthiness, transparency, accountability and reputation.
Building the capability to manage records in structured data environments has become essential to the
governance and management of organizations and communities. There is a growing business need for
guidance and recommendations around the design and implementation of adequate policies and procedures
to help ensure that records in structured data environments have the attributes of authenticity, reliability,
integrity and usability.
Whilst management systems for records as specified in ISO 30301 can be used to ensure that there is
appropriate leadership, planning, support, improvement and evaluation with respect to records in structured
data environments, there are also specific records control, process and system issues to be considered.
This document provides a landscape review of records management in structured data environments, and
identifies issues and considerations for managing records in these environments.
The primary audiences for this document are data policy makers, systems designers, business system
owners, data management professionals, database professionals, and the records management professionals
working together to ensure the application of appropriate records management approaches, processes,
controls and systems in structured data environments.
vi
Technical Report ISO/TR 8344:2024(en)
Information and documentation — Issues and considerations
for managing records in structured data environments
1 Scope
This document identifies issues and considerations for managing records in structured data environments.
2 Normative reference
The following documents are referred to in the text in such a way that some or all of their content constitutes
requirements of this document. For dated references, only the edition cited applies. For undated references,
the latest edition of the referenced document (including any amendments) applies.
ISO 30300, Information and documentation — Records management — Core concepts and vocabulary
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO 30300 apply.
ISO and IEC maintain terminology databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at https:// www .electropedia .org/
3.1
attribute
characteristic of an object or entity
[SOURCE: ISO/IEC 2382-36:2019, 3.9.2]
3.2
data
set of characters or symbols to which meaning is or could be assigned
Note 1 to entry: From an ICT perspective, ISO/IEC 2382:2015, 2121272 and ISO 8000-8:2015, 3.1 define data as
“reinterpretable representation of information in a formalized manner suitable for communication, interpretation, or
processing”. In an ICT environment, data is a digital representation of information. It is considered to be the result of
how information has been recorded and consists of bits, bytes, characters and pixels.
[SOURCE: ISO 30300:2020, 3.2.4, modified — Note 1 has been added.]
3.3
database
collection of data organized according to a conceptual structure describing the characteristics of these data
and the relationships among their corresponding entities, supporting one or more application areas
Note 1 to entry: database: Term and definition standardized by ISO/IEC 2382-1:1993; ISO/IEC 2382-17:1999.
[SOURCE: ISO/IEC 2382:2015, 2121413, modified — Note 2 has been deleted]
3.4
database management system
system, based on hardware and software, for defining, creating, manipulating, controlling, managing, and
using databases
Note 1 to entry: The software for using a database may be part of the database management system or may be stand-alone.
Note 2 to entry: database management system; DBMS: term, abbreviation and definition standardized by
ISO/IEC 2382-17:1999.
[SOURCE: ISO/IEC 2382:2015, 2121417, modified — Note 3 has been deleted]
3.5
data element
unit of data for which the definition, identification, representation and permissible values are specified by
means of a set of attributes
[SOURCE: ISO/IEC 2382-36:2019, 3.8.21]
3.6
entity
any concrete or abstract thing that exists, did exist, or might exist, including associations among these things
EXAMPLE Person, object, event, idea, process, etc.
Note 1 to entry: An entity exists whether data about it are available or not.
[SOURCE: ISO/IEC 2382-36:2019, 3.9.5]
3.7
information
data (3.2) in context with a particular meaning
Note 1 to entry: ISO/IEC 2382:2015, 21212 2 and ISO 8000-8:2015, 3.3 define information as “knowledge concerning
objects, such as facts, events, things, processes, or ideas, including concepts, that within a certain context has a
particular meaning”.
[SOURCE: ISO 30300:2020, 3.2.7, modified — Note 1 to entry has been added]
3.8
knowledge
maintained, processed and interpreted information (3.7)
Note 1 to entry: From ICT and artificial intelligence domain perspectives, ISO/IEC 2382:2015, 2123771 defines
knowledge as a “collection of facts, events, beliefs, and rules, organized for systematic use”.
Note 2 to entry: Knowledge is data that is meaningful to particular context.
[SOURCE: ISO 5127:2017, 3.1.1.17, modified — Note 1 to entry and Note 2 to entry have been added.]
3.9
metadata
data about other data, documents, or records that describes their content, context, structure,
data format, provenance, and/or rights attached to them
Note 1 to entry: See also ISO/TR 14873:2013, 2.29.
[SOURCE: ISO 5127:2017, 3.1.10.26.01]
3.10
metadata for records
structured or semi-structured information, which enables the records processes through time and within
and across organizations
[SOURCE: ISO 30300:2020, 3.2.9]
3.11
record
information created or received and maintained as evidence and as an asset by an organization, in pursuit of
legal obligations or in the course of conducting business
Note 1 to entry: Records are normally used in plural.
Note 2 to entry: In a management system standard (MSS) implementation, the records created to conduct and direct
the management system and to document its implementation are called documented information.
[SOURCE: ISO 30300:2020, 3.2.10]
3.12
records control
instrument for helping in the conduct of records processes
Note 1 to entry: Example of records control include metadata schemas for records, business classification schemes,
access and permission rules, and disposition authorities.
[SOURCE: ISO 30300:2020, 3.5.6]
3.13
records management by design
approach in which records management is implemented in the initial design stage and throughout the
complete lifecycle of products, processes or services that involve handling record
[47]
[SOURCE: Records management by design – Some considerations ]
3.14
relational database
database in which the data are organized according to a relational model
Note 1 to entry: relational database: term and definition standardized by ISO/IEC 2382-17:1999.
[SOURCE: ISO/IEC 2382:2015, 17.04.05, modified — Note 2 to entry has been deleted]
3.15
relational database management system
database management system designed for relational databases
Note 1 to entry: In order to use relational data base management systems (RDBMS), it is necessary to represent
relational model of data that organizes data (see 4.5) with specific characteristics (tables or relations, unique key, etc.)
(see ISO/IEC 25024:2015, Table C.1).
[SOURCE: ISO/IEC 25024:2015, 4.34]
3.16
semi-structured data
aggregate datatype whose components' datatypes and their labels are not predetermined
Note 1 to entry: Semi-structured data are forms of structured data that do not follow structure of data models related
to relational databases or other forms of databases.
Note 2 to entry: Examples of semi-structured data include the data that contain HTML tags or other markers to
separate semantic elements and to represent hierarchies of records and fields within the data.
[SOURCE: ISO/IEC TS 38505-3:2021, 3.14]
3.17
structured data
data which are organized based on a pre-defined (applicable) set of rules
Note 1 to entry: The predefined set of rules governing the basis on which the data is structured needs to be clearly
stated and made known.
Note 2 to entry: A pre-defined data model is often used to govern the structuring of data.
Note 3 to entry: Example of structured data are data contained in relational databases.
[SOURCE: ISO/IEC TS 38505-3:2021, 3.15]
3.18
unstructured data
data which are characterized by not having any structure apart from that record or file level
Note 1 to entry: On the whole unstructured data is not composed of data elements.
EXAMPLE An example of unstructured data is free text.
[SOURCE: ISO/IEC 20546:2019, 3.1.37]
4 Basic concepts
4.1 Understanding relationships among data, information, records and knowledge
The concepts of data, information, records and knowledge are abstract and have different meanings
depending on professional perspectives.
From a records management perspective records are information created or received and maintained as
evidence and as an asset by an organization, in pursuit of legal obligations or in the course of conducting
business.
Records, therefore, are a specific form of information, which require particular management approaches,
processes, controls, and systems to ensure they have integrity and provide authentic, reliable and usable
evidence.
In the digital environment, records may be in the form of documents or emails, sometimes referred to as
files or unstructured data, that are created or communicated as part of business transactions. They are
often captured in records systems along with metadata for records.
Records may also be in the form of structured or semi-structured data, captured in business systems that
are used to support business processes. Often, these business systems are not designed to capture and
manage records. Nevertheless, the organizational need for authoritative evidence of the business processes
remains.
Records may form part of the knowledge assets within organizations, especially as documented information.
Figure 1 shows one perspective on the relationship between data, information, and knowledge with respect to
meaning. In this perspective, there is an abundance of data which often by itself may not have much meaning.
Information then is meaningful data. Meaningful data refers to data which has contributed to achieve
purposes or solving tasks. Knowledge is what humans know, understand, and can apply, based on what one
has perceived, discovered, and learned from processed, organized, contextualized and meaningful data.
Figure 1 — Relationships of data, information and knowledge
4.2 Concept of structured data
4.2.1 Physical records and structured data
Records managers have always managed records comprised of structured data. In the physical world, these
records included:
— registers;
— financial records including ledgers, journals and cash books;
— outputs of instruments, such as seismographs;
— completed forms and charts.
Most of these record forms were replaced by databases as computers were developed to process, organize
and record information in digital formats.
4.2.2 Business systems
Initially, data was entered directly into databases. Over time, databases came to underpin business systems
where data is entered and processed via a software application and stored in a database. Examples of
business systems include human resource management systems, financial systems, contract management
systems, case management systems and other transactional systems.
Records managers understand that business systems used to support business purposes often generate
data that is needed to serve as evidence of business activity.
However, these systems are usually not specifically designed to manage records.
As outlined in ISO 16175, many business systems generate and store data that can be subject to constant
updating (dynamic), are able to be transformed (manipulable), and only contain current data (non-
redundant). While business requirements for dynamic, manipulable, and non-redundant data can be entirely
legitimate, if records are to serve as reliable evidence of business functions and processes, they need to be
fixed and inviolable. Because of the dynamic and manipulable nature of business systems, the capture of
records and the ongoing management of their fixity, authenticity, reliability, usability and integrity can be
challenging.
4.2.3 Databases
4.2.3.1 General
A database is a collection of data organized according to a conceptual structure describing the characteristics of
these data and the relationships among their corresponding entities, supporting one or more application areas.
Databases are typically comprised fields or data items, usually organized in tables.
The content of every field in a row of a table is a data value and conforms to a data type such as string, date,
number, etc.
[15]
The set of fields or data items treated as a unit is known as a data record or tuple .
4.2.3.2 Relational databases
Relational databases have been a common database type for many years. A relational database is a database
in which the data are organized according to a relational model.
For example, Bo Wang from Rotterdam owns a house in Gouda, Netherlands, and wants to sell the house
using John Johnson’s housing broker services.
If the information is stored in a relational database, a data element containing the string 'Gouda' may be the
content of a data field of the field type named 'name_town' in a row about the entity Gouda in a table named
'towns'. This table may be part of a relational database named 'houses' owned and managed by John Johnson
(or even an association of housing brokers). Such data about towns in a table of a relational database can be
the result of a general process of gathering and storing data about towns.
In the same way, the data element 'Bo Wang' can be the content of a data field of the data type named 'name_
client' in a row about Bo Wang in a table named 'clients' in another relational database. This kind of data can
be the result of John Johnson’s specific client intake process. Bo Wang's residential address details are in a
table named 'addresses' with a reference from the table 'clients' to this table and another reference from the
table 'addresses' to the table 'towns' which includes both 'Gouda' and 'Rotterdam'.
When Bo Wang's house is sold, the sale date and sale price can be added to another table called 'sales'.
Thereafter, data already stored in the said tables and databases can be reused in a transaction document
prepared by John Johnson and in another transaction document prepared by a notary public.
Annex B provides examples of relational databases for better understanding of their complexity in many
and various different types of data models and the predefined set of rules.
4.2.3.3 Master data and transaction data
In some databases, there are two types of data tables: master tables and transaction tables.
Master data is data held by an organization to describe the entities that are both independent and
fundamental for the organization and are referenced in transactions. Types of master data include records
that describe customers, products, employees, services, etc.
Transaction data is data representing a business transaction. This data may be stored in a transaction table
containing data about one type of transaction. Transactions are the result of processes performed which
relate to entities recorded in the master data. Transaction data therefore often includes master data that can
be used to identify the entities that are party to the transaction.
For example, a credit card transaction relates to entities represented by master data, such as the credit
card account at the issuing bank (represented by a credit card number), and the merchant account at the
[2]
accepting bank (represented by a merchant number) .
4.2.3.4 Other forms of databases
The world of data is rapidly changing as familiar relational databases are replaced with alternative data
structures, such as graph databases. Graph databases are designed to depict relationships between data points.
The Internet of Things has also resulted in an increase in data being captured by sensors within everyday
items. Often, this data is captured in time series databases which record values in simple tables organized
by dates and times.
4.3 Different interpretations of the concept of ‘record’
Table C.1 shows there are different interpretations of the concept of “record”. For database managers and
[14]
administrators, a record is a set of related data items treated as a unit . Typically, a data record is a tuple
or row of data in a database table.
For records managers, a record comprises all of the information that is created or used in a business
transaction, so in a database this might typically comprise related data items from multiple data records
across multiple tables.
For example, a person submits an online application by entering information in a web-based form and
attaches a scanned document. The form includes fields that require specific items of data, as well as fields
that allow free text to be entered. The information is stored as structured, semi-structured and unstructured
data. The record comprises the data that was submitted as part of the online application, as well as the
metadata about the creation and submission of the application, such as the date and time of creation and the
person or agent/actor which created the record.
It may be a complex task to identify which combinations of data elements in a database are considered as a
specific record.
Because records managers focus on records as evidence, their aim is to ensure the information content of
the record, which may be stored as structured, semi-structured, or unstructured data, can be trusted as
authoritative proof of the business transaction.
However, records managers also recognize that records have value as information assets. As information
assets, records may be used in subsequent business processes and transactions, generating new records.
4.4 Metadata for records as structured data
In the digital environment, authoritative records are those accompanied by metadata defining their critical
characteristics (see ISO 23081-1:2017, Clause 4). According to ISO 15489-1, the metadata of a record itself
should be managed as a record. However, it should be noted that the content of a metadata set associated
with a given record, unlike the content of the record itself, is not fixed and new metadata are usually added
to it over time.
Just like the data itself, the metadata also can be seen and managed both as a set of codes (e.g. when
metadata-supporting IT infrastructure such as special databases within electronic document and records
management system (EDRMS) systems or communication issues are considered) or as meaningful
information that supports integrity, authenticity, usability and confidentiality of records and the operation
of the relevant information infrastructure.
There are many kinds of the metadata, of which the “metadata for records” is a subset. In ISO 30300, the
metadata for records are defined as “structured or semi-structured information, which enables the records
processes through time and within and across organizations”. There are numerous other metadata that are
not directly related to the records processes (e.g. technical metadata associated with e-mail message and
describing its path through the internet).
4.5 Characteristics of structured data
Table A.1 in Annex A identifies characteristics of structured data from representative definitions mapping
with ISO 704. There are four characteristics about structured data show in Figure 2:
1) use of a pre-defined set of rules;
2) specified data model;
3) structured in an organized manner or identifiable way;
4) stored in distinct fixed fields.
Figure 2 — Formation of structured data concept
Figure 3 illustrates the mapping between the specific characteristics of structured data and the
characteristics of records defined in ISO 30300.
The first set of characteristics (e.g. authenticity, usability, reliability and integrity, as defined in ISO 30300)
is essential for the categorization of certain data as records.
The second set of characteristics is related to the management of data as records in compliance with the
principles and requirements defined in ISO 15489-1 and ISO 30301. These requirements are applicable to
all kinds of data (structured, semi-structured, or non-structured) that are managed as records. Besides,
managing non-structured data as records need extra work to ensure consistency of data processing and
management and the traceability of the management process with adequate metadata for records.
Figure 3 — Mapping concepts of structured data with ISO 30300
5 Issues for managing records in structured data environments
5.1 General
Annex D provides a template for identifying issues and concerns for managing records in structured data
environment. The following issues have been validated by four use cases collected in Annex E, Annex F,
Annex G, Annex H.
5.2 Individual records are not self-contained
Records in structured data environments are usually part of an overall data structure designed to capture
many records of the same type. Generally, all of the records of the same type will be aggregated as a set and
cannot be managed individually.
This has implications for the application of records controls and processes as specified in ISO 15489-1.
5.3 Systems are not designed to capture records
In most cases, business systems are still not designed to capture records as records managers hoped by
issuing ISO 16175.
Where systems require only current data values, then securing these values against unauthorized changes
through authentication and authorization measures may be sufficient.
However, if historical values, such as previous addresses of citizens, have to be available as evidence, it may
be challenging to create fixed-content records with data values linked to a point in time.
5.4 Data is often re-used
Once created and stored in a database, data that makes up specific records may be reused in other business
processes or transactions, often combined with data from other records.
This re-use may create new records, although the data itself has not changed.
For example, documents or reports generated containing data may need to be saved as separate records, if
these documents or reports are used in business processes.
Due to the high level of re-use of data elements, the same data elements can be part of multiple records each
of which is subject to numerous retention or disposition requirements.
5.5 Records controls may not be able to be applied in business systems
Records controls may not be able to be applied or implemented in business systems. Nevertheless, some of
these can be handled through the management system for records.
Business systems are rarely designed to include functionality that supports business classification schemes
and disposition authorities. This might not be an issue where all of the records relate to a single business
process and have the same retention or disposition requirements.
Metadata schemas and access and permissions rules are more likely to be able to be incorporated into
business systems although the type of metadata and rules are likely to differ compared with records
systems, as well as how these controls are implemented.
Metadata for records is different to the typical metadata that is part of structured data environments.
Business systems are unlikely to have all of the metadata for records. For example, business systems
may not create explicit identifiers for individual records that are human readable. Also, format or storage
metadata may not be explicit. However, this may not be an issue in active records system where records can
be retrieved through system functions and the format and storage are known by system users.
The concepts of metadata in ISO 15489-1 seem to be mostly applicable to EDRMS type systems. In business
systems, point of capture metadata that documents the circumstances of the creation of the records is
typically the name of the agent creating the record and the date and time of record creation.
ISO 15489-1 clarifies that records controls may be designed and implemented in a variety of forms depending
on the technological and business environment so these controls can be applied organisation-wide as part of
a management system for records, rather than necessarily being applied within records systems.
The management system for records can therefore be used to classify the records in a business system at an
aggregate level. Therefore, classification may not occur through application of structured or semi-structured
metadata to individual records but could occur through other documentation that shows how the business
system relates to business, legal or social contexts.
5.6 Records processes may be different in business systems
Records processes applied to business systems may also be different to those applied in records systems.
In business systems, records are usually captured at the same time as they are created. There is often no
significant distinction between creating and capturing records.
ISO 15489-1 seems to assume records are captured into systems that are different from where they are
created, which is not the case for many business systems, nor was the case for physical records that preceded
them such as financial ledgers.
In distributed ledger technology systems (DLT systems), for example (and like physical ledgers and registers
or even diaries), records are created and captured simultaneously with minimal metadata applied to
individual records, and no explicit identifier. Metadata was typically applied to the volume containing the
individual records.
In business systems, indexing can also occur without explicitly capturing subjects, locations or personal
names as indexing metadata. System indexing functions may index the data to enable retrieval of content.
Business systems are typically not designed to support execution of disposition actions, and unlikely to.
And yet disposition of records in these systems can still be managed through the management system for
records by applying disposition processes and actions at the time of system decommissioning or migration
or upgrade.
5.7 Record meaning may depend on system documentation
Records in structured data environments may lose meaning unless codes and additional system
documentation is retained, as records may not be meaningful in their own right. Sometimes, metadata for
records may or may not serve this purpose.
For example, if an audit entry for a record only includes codes that reference the entities involved in the
change event, this entry will be meaningless unless explicit system documentation is retained indicating
what the codes referred to.
In addition, it may be useful to retain system documentation showing the data entry screens that were
used to capture the records, so that relationships between data items can be understood. All changes to the
system can be documented and this documentation retained to help people understand the records.
5.8 Ownership and control of records in shared systems may not be clear
Many business systems are designed to be used by people outside of the organization that established the
system, such as systems jointly used by bodies belonging to different levels of government (local, regional,
or federal), or systems used by organizations which are part of the same supply chain. Unless agreed up
front, there can be a lack of clarity of who owns or is responsible for the records in these shared systems.
Increasingly, people using systems, in which they enter or submit data as part of a business transaction, may
also have rights over the data which may be part of an organization’s records.
It can be difficult to clearly isolate or separate one organization’s records from those of another, each of
which may be subject to different legal and regulatory requirements.
Additional challenges are also present in the case of records stored in third-party controlled storage (e.g.
cloud) although in general this is not an issue, as usually records are kept separate for joint tenants of shared
cloud infrastructure.
Some distributed systems such as blockchain and distributed ledger systems are designed to not necessarily
rely on the sole control of one organization, and copies of the ledger are deliberately distributed across the
network nodes as part of the system design. This raises additional questions about which are the ori
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