Operational Standard for Digital Archival Records’ Metadata

On this page

1. Effective date
2. Application
3. Definitions
4. Context
5. Purpose
6. Requirements
7. Roles and responsibilities
   • 7.1 LAC’s activities
   • 7.2 Government institutions’ activities
8. Monitoring, evaluation and review
9. Consequences
10. Information

• Appendix A: Definitions
• Appendix B: Sources and related documents
• Appendix C: Mandatory metadata concepts
• Appendix D: Levels at which mandatory metadata may apply to transfers of digital archival records
• Appendix E: Summary of metadata concept obligations

1. Effective date

This standard has been approved by the Director General, Government Record Branch, and takes effect on November 16, 2023.

2. Application

This standard applies to all government records in digital format under the control of Government of Canada (GC) institutions (hereinafter referred to as “government institutions”) that are considered to have historical or archival value (hereinafter referred to as “digital archival records”). Archival value is determined through a Disposition Authorization, as per sections 12 and 13 of the Library and Archives of Canada Act (LAC Act).

This standard forms part of the policy suite governed by LAC’s Evaluation and Acquisition Policy Framework and associated Policy on Making Holdings Discoverable. This standard also supports the Treasury Board Secretariat (TBS) Policy on Service and Digital, Directive on Service and Digital, Directive on Open Government, and Standard for Managing Metadata. It aligns with relevant legislation, regulations, and established standards for metadata, recordkeeping, and archival description (outlined in Appendix B).

This standard outlines the baseline of metadata (specified in Appendix C) that is mandatory to create and maintain with digital archival records under the control of government institutions.

Technical requirements concerning metadata format and structure at the time of transfer are out of scope of this standard.

3. Definitions

See Appendix A.

4. Context

Metadata supports the creation, management, use, and preservation of records by detailing information on the structure and meaning of records, and the context and systems within which they exist.

Metadata is necessary to establish the authoritativeness, authenticity, integrity, and reliability of records, as well as to enable the usability of those records over time.

As metadata offers essential descriptive, technical, and administrative information necessary to appropriately acquire, preserve, and provide access to digital archival records over the long term, this standard supports LAC in meeting its legislated mandate.

The LAC Act requires that government records identified as having historical or archival value are transferred to LAC under the terms set by the Librarian and Archivist of Canada, contained in instruments known as disposition authorizations. Within LAC’s government records disposition program, government institutions are required 1) to protect archival records until their transfer to LAC, and 2) transfer archival records to LAC at the expiry of their retention periods, in accordance with all applicable LAC policy instruments. The obligation to protect digital archival records to ensure their integrity and compatibility with transfer specifications is further expressed in the LAC Operational Standard for the Protection of Digital Archival Records.

This operational standard is complementary to, and should be applied in conjunction with, existing guidance for transfer: Procedures for the Transfer of Unpublished Information Resources of Enduring Value from Government of Canada Institutions to Library and Archives Canada and Guidelines on File Formats for Transferring Information Resources of Enduring Value.

5. Purpose

This operational standard specifies the mandatory metadata that all digital archival records must have for their protection throughout their lifecycle including when they are transferred to LAC. Maintaining this mandatory metadata throughout the digital archival records’ lifecycle is one mechanism that helps protect the records. It also aligns with general information management best practices, which dictate that metadata accumulated throughout the records’ lifecycle should be maintained with the records to support their authenticity, reliability, and usability. Mandatory metadata must accompany digital archival records when they are transferred to LAC. This metadata is essential for LAC to fulfill its legislated responsibilities to preserve and provide access to the digital archival records it acquires for its collections.

6. Requirements

The mandatory metadata concepts required for digital archival records throughout their lifecycle including at transfer are:

• Classification code
• Creator
• Date/time
• Disposition authorization
• Extent
• Format
• Integrity
• Language
• Record identifier
• Rights management information
• Technical environment information
• Title

Details for these requirements are provided in Appendix C. Appendix D offers an illustration of the different levels at which the mandatory metadata may apply to digital archival records. Appendix E summarizes metadata concept obligations.

7. Roles and Responsibilities

7.1 LAC’s Activities

The Director General, Government Record Branch ensures that LAC:

7.1.1 Establishes and maintains this standard.

7.1.2 Provides advice and services, as required, on the interpretation, application, and use of this standard.

7.1.3 Develops guidelines and tools, as needed, to support the application of this standard.

7.1.4 Monitors the presence of minimum metadata corresponding to each of the concepts outlined in Appendix C for all transfers of digital archival records to LAC.

7.2 Government Institutions’ Activities

The government institution’s Chief Information Officer or equivalent:

7.2.1 Ensures that, at minimum, metadata that correspond to each of the concepts outlined in Appendix C are present for digital archival records throughout their lifecycle including when transferring them to LAC.

7.2.2 Ensures that metadata values are accurate and are drawn from authoritative sources such as metadata stored as part of the computer file itself (i.e., embedded metadata), metadata stored externally from the computer file(s) with which they are associated (i.e., associated metadata), or a combination of the two.

7.2.3 Provides, when requested, information about how each metadata element supplied at transfer corresponds to metadata concepts in Appendix C.

7.2.4 Notifies and/or consults with LAC on any matters that may impede their ability to adhere to this standard.

8. Monitoring, Evaluation and Review

LAC will monitor compliance with this standard on a regular basis and will evaluate and review this standard every five years.

9. Consequences

Consequences of non-compliance with this instrument may range from informal follow-ups by LAC, to formal direction on corrective measures to be put in place, to review, suspension or revocation of Disposition Authorizations as allowed by the LAC Act and determined appropriate by the Librarian and Archivist of Canada or their delegate.

10. Information

Please address any questions about this standard to:

Liaison Centre
Library and Archives Canada
550 de la Cité Boulevard
Gatineau, Quebec
K1A 0N4
centre.liaison.centre@bac-lac.gc.ca

Appendix A: Definitions

Administrative metadata [métadonnées administratives]

Information that facilitates both short-term and long-term management and processing of records, and includes the following:

• technical data on creation and quality control;
• rights management, access control and use requirements; and
• preservation action information, such as information on copying or treatment.^Footnote1

Aggregation [regroupement]

A grouping of records (i.e., files, series) accumulated and organized to reflect the creator's activities.^Footnote2 In the context of this standard, aggregation may also refer to the grouping of records transferred together at one time (i.e., a transfer).

Authenticity [authenticité]

The quality of being genuine, not a counterfeit, and free from tampering over the continuum of records creation, maintenance and preservation. It refers to a record’s reliability over time and is typically inferred from internal and external evidence.^Footnote3

Compound record [document composite]

A digital record comprising more than one component; components are constituent parts comprising a digital record (e.g., multimedia components of a web page; a digital document; a data element, such as an entry in a database).^Footnote4

Checksum [somme de contrôle]

A checksum on a computer file is a “digital fingerprint;” any change to the computer file will change the checksum. Checksums are typically created by tools using cryptographic techniques. A checksum can be used to detect if a computer file's contents have changed but cannot identify where in the computer file a change occurred.^Footnote5

Cryptographic hash function [fonction de hachage cryptographique]

An equation used to verify the validity of data, translating data of different lengths (the message) into a fixed size numerical string (hash).^Footnote6

Descriptive metadata [métadonnées descriptives]

Information that establishes the conceptual content, access rights and physical attributes of records to support their discovery.^Footnote7

File

1. An organized unit of records (i.e., an aggregation) brought together because they relate to the same subject, activity or transaction.^Footnote8 [dossier]
2. A conceptual level of arrangement of records that refers to a particular classification within a file plan.^Footnote9 [dossier]
3. [in computing, also computer file] A collection of information for use on a computer that is treated as a unit for storage.^Footnote10 [fichier informatique]

File name [nom de fichier]

[in computing] A series of characters used to identify a computer file in a system. ^Footnote11

Filepath [chemin d’accès au fichier]

[in computing] A list of one or more directory names and an object name (such as the name of a computer file) that are separated by an operating system-specific character, such as the backslash (\) in Windows operating systems. The directory names detail the path to follow, in left-to-right order, to locate the object within the file system.^Footnote12

File plan [plan de classement]

A classification scheme describing different types of files (i.e., groupings of records), how they are identified, where they should be stored, and how they should be indexed for retrieval.^Footnote13

Fixity [fixité]

Property of a computer file that indicates it has remained unaltered at the bit level between two points in time.^Footnote14

Item [pièce]

Smallest conceptually indivisible archival unit that is complete in itself and can be distinguished from a group.^Footnote15

Message digest algorithm [algorithme d’empreinte numérique]

The specific algorithm (i.e., procedure that maps input data of arbitrary length to an output of fixed length) used to construct the results of a cryptographic hash function for a computer file.^Footnote16

Metadata [métadonnées]

Information used to contextualize, manage, preserve and provide access to records.^Footnote17

Metadata element [élément de métadonnées]

Formally defined terms that are used to describe properties of a record or grouping of records.^Footnote18

Metadata schema [schéma de métadonnées]

Logical plan showing the relationships between metadata elements, normally through establishing rules for the use and management of metadata specifically as regards the semantics, the syntax and the optionality (obligation level) of values.^Footnote19

Protection [protection]

1. taking actions to prevent serious damage or loss.^Footnote20
2. in the context of digital records, protection can be interpreted as undertaking digital preservation, which comprises a combination of policies, strategies and actions ensuring the ongoing accessibility of authenticatable digital content over time regardless of technological changes.^Footnote21

Record [document]

Any documentary material other than a publication, regardless of medium or form.^Footnote22

Series [série]

A grouping (i.e., an aggregation) of similar records that are arranged according to a filing system and that are related as the result of being created, received, or used in the same activity.^Footnote23

Transfer [transfert]

1. A grouping (i.e., an aggregation) of records moved as part of their scheduled disposition in a single transaction from a government institution to LAC or another repository.^Footnote24
2. The change in custody and ownership of government records from a government institution to LAC. Transfer occurs via the application of a valid disposition authority or transfer agreement by the transferring institution.^Footnote25

Appendix B: Sources and Related Documents

Legislation

• Access to Information Act
• Library and Archives of Canada Act
• Privacy Act

LAC Policy Instruments

• Access Policy Framework
• Evaluation and Acquisition Policy Framework
• Government Records Disposition Program
• Guidelines on File Formats for Transferring Information Resources of Enduring Value
• Operational Standard for the Protection of Digital Archival Records
• Policy on Making Holdings Available
• Policy on Making Holdings Discoverable
• Preservation Policy Framework
• Procedures for the Transfer of Unpublished Information Resources of Enduring Value from Government of Canada Institutions to Library and Archives Canada

TBS Policy Instruments

• Government of Canada Digital Standards
• Policy on Service and Digital
• 2023-2026 Data Strategy for the Federal Public Service
• Directive on Service and Digital
• Directive on Service and Digital, Appendix J: Standard on Systems that Manage Information and Data (SStMID)
• Directive on Service and Digital, Appendix L: Standard for Managing Metadata
• Directive on Open Government

TBS Tools/Initiatives

• Information Management Common Core (IMCC)^Footnote26
• Open Government Portal

National Standards

• Rules for Archival Description (RAD) (Canadian Council of Archives)
• CAN/CGSB-72.34-2017 Electronic records as documentary evidence (Canadian General Standards Board)

International Standards

• ISO 15489-1:2016 Information and documentation – Records management – Part 1: Concepts and principles
• ISO 16175-1:2020 Information and documentation – Processes and functional requirements for software for managing records – Part 1: Functional requirements and associated guidance for any applications that manage digital records^Footnote27
• ISO 23081-1:2017 Information and documentation – Records management processes – Metadata for records – Part 1: Principles
• ISO 23081-2:2021 Information and documentation – Managing metadata for records – Part 2: Conceptual and implementation issues
• ISO 15836-1:2017 Information and documentation – The Dublin Core metadata element set – Part 1: Core elements
• ISO 15836-2:2019 Information and documentation – The Dublin Core metadata element set – Part 2: DCMI Properties and classes

Appendix C: Mandatory Metadata Concepts

The following tables define the required metadata as concepts, in a system-agnostic manner, that accommodates a range of interpretations by government institutions to support their adherence to this standard.

Corresponding elements from established metadata schemas and sources are included as examples only and are not exhaustive or prescriptive.

Configuring metadata upstream for digital archival records ensures that the data endures throughout the lifecycle and is present at the point of transfer. Obligation statements provided for each metadata concept clarify in what way they are mandatory. To accommodate legacy metadata which may not fully meet the requirements of the standard, some metadata concepts are only mandatory for transfer if they are present (i.e., they had optionally been configured within the recordkeeping system and are available at the time of transfer).

If not identified as mandatory, then concepts are optional. For example, Extent is only mandatory for transfers (i.e., a specific kind of records aggregation); it is optional for items and aggregations. Unless identified as a transfer, “aggregation” refers to a series or file of records.

Classification code

Examples of corresponding elements

Creator

Examples of corresponding elements

Date/time

Examples of corresponding elements

Disposition authorization

Examples of corresponding elements

Extent

Examples of corresponding elements

Format

Examples of corresponding elements

Integrity

Examples of corresponding elements

Language

Examples of corresponding elements

Record identifier

Examples of corresponding elements

Rights management information

Examples of corresponding elements

Technical environment information

Examples of corresponding elements

Title

Examples of corresponding elements

Appendix D: Levels at which mandatory metadata may apply to transfers of digital archival records

Appendix D – Text equivalent

There are individual items (records) and aggregations of items (groupings of records). Items (records) may be compound, meaning that they are made up of more than one computer file.

Organization

• Corporate files can be grouped together into a file block or series.
• A file block or series can be organized as a directory, folder, or container.
• A directory, folder, or container can be organized as sub-directories, sub-folders, or containers.
• Sub-directories, sub-folders, or containers are made up of records (each having a single computer file), including compound records (each having multiple computer files).
• Conversely, a file block or series may not be organized as a directory, folder, or container; instead, it can be directly made up of records (each having a single computer file), including compound records (each having multiple computer files).
• When transferring aggregations, they may include records from one or more file blocks or series.

Metadata mandatory for transfers:

• Creator
• Disposition authorization
• Extent

Metadata mandatory for aggregations:

• Classification code
• Rights management information
• Technical environment information

Metadata mandatory where present for aggregations:

• Creator
• Date/time
• Disposition authorization
• Record identifier
• Title

Metadata mandatory for items:

• Date/time
• Format
• Integrity (at transfer)
• Record identifier
• Title

Metadata mandatory where present for items:

• Classification code
• Creator
• Language
• Rights management information

Appendix E: Summary of metadata concept obligations