Controlled status values, the append-only history of what happened, and the distinct time anchors the record carries.
record-status-and-transitions
Record status and permitted transitions
The controlled status vocabulary, which transitions are permitted from each state, who may authorise them, and how withdrawal differs from destruction.
Questions
- What is the record's current status and since which instant has it held that status?state
Expected answer
- status code
- status-since instant
- status-setting agent
- Which transitions are permitted from the current status and who may authorise each?lifecycle
Expected answer
- permitted target statuses
- authorising role per transition
- required evidence per transition
- Is withdrawal or revocation distinct from destruction, and does a revoked record remain discoverable?exception
Expected answer
- withdrawal semantics statement
- discoverability rule for withdrawn records
- revocation notice reference
lifecycle-events-and-audit-trail
Lifecycle events and audit trail
The append-only history of everything done to and with the record, using controlled event types with actor, outcome, event time and separately recorded observation time.
Questions
- Which event types are recorded and from which controlled vocabulary are they drawn?event
Expected answer
- event type vocabulary reference
- event type list in use
- mapping to external event vocabularies
- Who performed each event, with what outcome and what detail?provenance
Expected answer
- event agent reference and role
- outcome code
- outcome detail note
- Is the trail append-only and how is its own integrity protected against tampering?security
Expected answer
- append-only enforcement mechanism
- trail digest or chaining scheme
- independent custody of the trail
- How long is the audit trail retained relative to the record, and does disposition erase it?retention
Expected answer
- trail retention period
- survival-after-disposition rule
- separate storage location
Artifacts
- Event history and audit trailAppend-only sequence of event entries covering every action on the record, each with type, agent, outcome, event time and recording time.
temporal-anchors-and-validity
Temporal anchors and validity periods
The distinct time anchors a record carries — created, issued, effective, expiry, received, observed — their precision, and the rule separating event time from ingestion time.
Questions
- Which datetime is the legally or operationally decisive one for this record type?temporal
Expected answer
- operative anchor name
- its value
- the rule making it decisive
- Over what period is the record valid or effective, and may the period be open-ended?temporal
Expected answer
- effective-from instant
- effective-to instant or open-ended marker
- period basis
- How are event time and observation or ingestion time kept distinct in every record of time?provenance
Expected answer
- event time field
- observation time field
- separation enforcement rule
- How are dates of unknown precision or unknown local offset recorded?exception
Expected answer
- precision qualifier
- unknown-offset convention used
- uncertainty note
document-versus-record
Document versus captured record
ISO 15489 applies to records regardless of structure or form and treats capture into a records system as the act that places identified information under records controls. RiC-CM defines a Record as discrete information content formed and inscribed, at least once, on any persistent recoverable carrier by an agent in the course of activity. US 36 CFR 1220.18 / 44 U.S.C. 3301 additionally excludes extra copies kept only for reference, library or museum materials for exhibit, and personal files. This model stores a record-status on the object: document-not-captured, captured-record, nonrecord-copy, or jurisdiction-specific Federal-record, rather than splitting into two meta-models.
Questions
- Has this object been captured as a record, and under which jurisdiction or policy is that determination made?classification
Expected answer
- Enum record-status; optional jurisdiction code; policy or statute citation; determined-by agent ref; determined-at RFC 3339.
- If it is a nonrecord, extra copy or personal file, what is the excluding criterion?classification
Expected answer
- Enum nonrecord-reason plus free-text justification and ownership (agency versus individual).
- Who has authority to determine record status when systems or staff disagree?authority
Expected answer
- Agent or role ref plus cited mandate. For US Federal records, NARA determination is binding per the Federal Records Act as reflected in 36 CFR.
Artifacts
- Capture or nonrecord declarationThe decision record that this object is or is not managed as a record, with authority and time.