Information and documentation — Records management processes — Metadata for records — Part 1: Principles

ISO 23081-1:2017 covers the principles that underpin and govern records management metadata. These principles are applicable to: - records and their metadata; - all processes that affect them; - any system in which they reside; - any organization that is responsible for their management.

Information et documentation — Processus de gestion des documents d'activité — Métadonnées pour les documents d'activité — Partie 1: Principes

ISO 23081-1:2017 couvre les principes de base qui régissent les métadonnées liées à la gestion des documents d'activité. Ces principes s'appliquent: - aux documents d'activité et à leurs métadonnées; - à tout processus qui les affecte; - à tout système dans lequel ils se trouvent; - à tout organisme responsable de leur gestion.

Informatika in dokumentacija - Procesi upravljanja zapisov - Metapodatki za zapise - 1. del: Načela

Ta dokument zajema načela, ki podpirajo in urejajo metapodatke za upravljanje zapisov. Ta načela se uporabljajo za:
— zapise in njihove metapodatke;
— vse procese, ki vplivajo nanje;
— vse sisteme, v katerih se hranijo;
— vse organizacije, ki so odgovorne za njihovo upravljanje.

General Information

Status
Published
Publication Date
30-Oct-2017
Current Stage
9020 - International Standard under periodical review
Due Date
15-Oct-2022
Completion Date
15-Oct-2022

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INTERNATIONAL ISO
STANDARD 23081-1
Second edition
2017-10
Information and documentation —
Records management processes —
Metadata for records —
Part 1:
Principles
Information et documentation — Processus de gestion des
enregistrements — Métadonnées pour les enregistrements —
Partie 1: Principes
Reference number
ISO 23081-1:2017(E)
ISO 2017
---------------------- Page: 1 ----------------------
ISO 23081-1:2017(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 2017, Published in Switzerland

All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized otherwise in any form

or by any means, electronic or mechanical, including photocopying, or posting on the internet or an intranet, without prior

written permission. Permission can be requested from either ISO at the address below or ISO’s member body in the country of

the requester.
ISO copyright office
Ch. de Blandonnet 8 • CP 401
CH-1214 Vernier, Geneva, Switzerland
Tel. +41 22 749 01 11
Fax +41 22 749 09 47
copyright@iso.org
www.iso.org
ii © ISO 2017 – All rights reserved
---------------------- Page: 2 ----------------------
ISO 23081-1:2017(E)
Contents Page

Foreword ..........................................................................................................................................................................................................................................v

Introduction ................................................................................................................................................................................................................................vi

1 Scope ................................................................................................................................................................................................................................. 1

2 Normative references ...................................................................................................................................................................................... 1

3 Terms and definitions ..................................................................................................................................................................................... 1

4 Records management metadata ........................................................................................................................................................... 2

5 Perspectives and purpose of records management metadata .............................................................................. 3

5.1 Purpose and benefits of records management metadata .................................................................................. 3

5.2 Records management metadata that should be applied in an organization ..................................... 4

5.2.1 General...................................................................................................................................................................................... 4

5.2.2 Metadata at the point of record capture ...................................................................................................... 4

5.2.3 Metadata after record capture ............................................................................................................................. 5

6 Roles and responsibilities .......................................................................................................................................................................... 5

7 Records management metadata in relation to other metadata areas ..........................................................6

7.1 General ........................................................................................................................................................................................................... 6

7.2 Metadata for e-business .................................................................................................................................................................. 6

7.3 Metadata for preservation ............................................................................................................................................................ 6

7.4 Metadata for resource description ........................................................................................................................................ 6

7.5 Metadata for resource discovery ............................................................................................................................................. 7

7.6 Metadata for rights management............................................................................................................................................ 7

7.7 Metadata for sustainability across system boundaries ........................................................................................ 7

8 Management of metadata ............................................................................................................................................................................ 7

8.1 General ........................................................................................................................................................................................................... 7

8.2 Levels of application of metadata ........................................................................................................................................... 7

8.3 Points throughout the existence of records when metadata should be created

and applied ................................................................................................................................................................................................. 8

8.4 Processes of metadata management .................................................................................................................................... 8

8.4.1 General...................................................................................................................................................................................... 8

8.4.2 Defining policies and methods ............................................................................................................................ 8

8.4.3 Creating and maintaining metadata ................................................................................................................ 8

8.4.4 Creating and maintaining structures for managing metadata ................................................. 8

8.4.5 Determining when and how metadata should be captured ....................................................... 9

8.4.6 Documenting and enforcing standard definitions .............................................................................. 9

8.4.7 Access to metadata .................. ......................................................................................................................... .............. 9

8.4.8 Storing metadata ............................................................................................................................................................. 9

8.4.9 Description .................. .................................................... ...................................................................................................... 9

8.4.10 Maintenance of metadata ......................................................................................................................................10

8.5 Metadata structures ........................................................................................................................................................................10

8.6 Role of systems ....................................................................................................................................................................................11

9 Types of metadata required to support ISO 15489-1..................................................................................................11

9.1 Introduction to metadata types .............................................................................................................................................11

9.2 Metadata about records ...............................................................................................................................................................12

9.2.1 Metadata about records at the point of record capture ..............................................................12

9.2.2 Metadata about records after record capture ......................................................................................13

9.2.3 Metadata supporting the accessibility of records ............................................................................13

9.2.4 Metadata supporting the security of records .......................................................................................14

9.3 Metadata about the business rules, policies and mandates ..........................................................................15

9.3.1 Metadata about business rules, policies and mandates at the point of

record capture .................................................................................................................................................................15

9.3.2 Metadata about business rules, policies and mandates after record capture ..........16

9.4 Agent metadata....................................................................................................................................................................................16

© ISO 2017 – All rights reserved iii
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ISO 23081-1:2017(E)

9.4.1 Agent metadata at point of record capture ............................................................................................16

9.4.2 Metadata about agents after record capture ........................................................................................17

9.5 Business process metadata .......................................................................................................................................................17

9.5.1 Business process metadata at point of record capture ...............................................................17

9.5.2 Metadata about business processes after record capture ........................................................18

9.6 Metadata about records management processes ..................................................................................................18

9.6.1 Metadata about records management processes at the point of record capture .18

9.6.2 Metadata about records management processes after record capture .........................19

Bibliography .............................................................................................................................................................................................................................21

iv © ISO 2017 – All rights reserved
---------------------- Page: 4 ----------------------
ISO 23081-1:2017(E)
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 documents 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).

Attention is drawn to the possibility that some of the elements of this document may be the subject of

patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of

any patent rights identified during the development of the document will be in the Introduction and/or

on the ISO list of patent declarations received (see www.iso.org/patents).

Any trade name used in this document is information given for the convenience of users and does not

constitute an endorsement.

For an explanation on 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 the following

URL: www.iso.org/iso/foreword.html

This document was prepared by ISO/TC 46, Information and documentation, Subcommittee SC 11,

Archives/records management.

This second edition cancels and replaces the first edition (ISO 23081-1:2006), which has been

technically revised.
A list of all the parts of ISO 23081 can be found on the ISO website.
© ISO 2017 – All rights reserved v
---------------------- Page: 5 ----------------------
ISO 23081-1:2017(E)
Introduction

ISO 23081 sets a framework for creating, managing and using records management metadata and

explains the principles that govern them.

This document gives guidelines for understanding, implementing and using metadata within the

framework of ISO 15489. It addresses the relevance of records management metadata in business

processes and the different roles and types of metadata that support business and records management

processes. It also sets a framework for managing those metadata.

NOTE In this part of ISO 23081, business and business activity are used as broad terms, not restricted to

commercial activity, but including public administration, non-profit and other activities.

It does not define a mandatory set of records management metadata to be implemented, since these

metadata will differ in detail according to organizational or specific requirements for jurisdiction.

However, it assesses the main existing metadata sets in line with the requirements of ISO 15489.

ISO 23081-2 and ISO 23081-3 are more explanatory and provide practical guidance on implementation

issues and how to assess records management metadata sets against the principles in this document.

vi © ISO 2017 – All rights reserved
---------------------- Page: 6 ----------------------
INTERNATIONAL STANDARD ISO 23081-1:2017(E)
Information and documentation — Records management
processes — Metadata for records —
Part 1:
Principles
1 Scope

This document covers the principles that underpin and govern records management metadata. These

principles are applicable to:
— records and their metadata;
— all processes that affect them;
— any system in which they reside;
— any organization that is responsible for their management.
2 Normative references

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 15489-1:2016, Information and documentation — Records management — Part 1: Concepts and

principles
3 Terms and definitions

For the purposes of this document, the terms and definitions given in ISO 15489-1 and the following apply.

ISO and IEC maintain terminological databases for use in standardization at the following addresses:

— ISO Online browsing platform: available at http://www.iso.org/obp
— IEC Electropedia: available at http://www.electropedia.org/
3.1
agent

individual, workgroup or organization responsible for, or involved in record creation, capture and/or

records management processes

Note 1 to entry: Technological tools such as software applications can be considered agents if they routinely

perform records processes.
3.2
aggregation
any accumulation of record entities at a level above record object
[SOURCE: ISO 16175-2:2011]
© ISO 2017 – All rights reserved 1
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ISO 23081-1:2017(E)
3.3
attribute
characteristic of an object or entity
[SOURCE: ISO 23081-2:2009, 3.2]
3.4
business activity

all the functions, activities and transactions of an organisation and its employeesNote 1 to entry:

Includes public administration as well as commercial business.
[SOURCE: ISO 16175-2:2011, modified]
3.5
capture

process of lodging a document or digital object into a records management system and assigning

metadata to describe the record and place it in context
[SOURCE: ISO 16175-3:2010, modified]
3.6
encoding scheme

controlled list of all the acceptable values in natural language and/or as a syntax-encoded text string

designed for machine processing
3.7
entity

concrete or abstract thing that exists, did exist, or might exist, including associations among those things

3.8
fixity

state of quality of being fixed, that is, protected against unauthorised alteration or disposition

[SOURCE: ISO 16175-3:2010, modified]
3.9
metadata for records

structured or semi-structured information, which enables the creation, management, and use of

records through time and within and across domains
[SOURCE: ISO 15489-1:2016, 3.12]
3.10
metadata schema

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
4 Records management metadata

Metadata management is an inextricable part of records management, serving a variety of functions and

purposes. In a records management context, metadata for records are defined as structured or semi-

structured information which enables the creation, management, and use of records through time and

within and across domains. (ISO 15489-1:2016, 3.12). Each domain represents an area of intellectual

discourse and of social and/or organizational activity with a distinctive or limited group of people who

share certain values and knowledge. Metadata for records can be used to identify, authenticate and

contextualize records and the people, processes and systems that create, manage, maintain and use

them and the policies that govern them (see 9.1).

Initially, metadata define the record at its point of capture, fixing the record into its business context

and establishing management control over it. During the existence of records or their aggregates,

2 © ISO 2017 – All rights reserved
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ISO 23081-1:2017(E)

new layers of metadata will be added, because of new uses in other business or usage contexts. This

means that metadata continue to accrue, over time. Information relating to the context of the records

management and the business processes in which the records are used continues to accumulate

as the record is managed and used. The record may also undergo structural changes or changes to

its appearance. Metadata can be sourced or re-used by multiple systems and for multiple purposes.

Metadata applied to records during their active life may also continue to apply when they cease to be

required for current business purposes but are retained for ongoing research or other values.

Metadata ensure authenticity, reliability, usability and integrity over time and enable the management

and understanding of information objects, whether these are physical, analogue or digital. However,

metadata also should be managed.

Records management has always involved the management of metadata. However, the digital

environment requires a different expression of traditional requirements and different mechanisms for

identifying, capturing, attributing and using metadata. In the digital environment, authoritative records

are those accompanied by metadata defining their critical characteristics. These characteristics must

be explicitly documented rather than being implicit, as in some paper-based processes. In the digital

environment, it is essential to ensure that the creation and capture of records management metadata

are implemented in systems that create, manage and use records. Conversely, the digital environment

presents new opportunities for defining and creating metadata and ensuring the complete,

contemporaneous capture of records. These records can be evidence of transactions or themselves be

transactions.
5 Perspectives and purpose of records management metadata
5.1 Purpose and benefits of records management metadata
Metadata support business and records management processes by:

a) protecting records as evidence and ensuring their accessibility and usability through time;

b) facilitating the ability to understand records;
c) supporting and ensuring the evidential value of records;
d) helping to ensure the authenticity, reliability and integrity of records;
e) supporting and managing access, privacy and rights;
f) supporting efficient retrieval;
g) supporting reuse and repurposing of records

h) supporting interoperability strategies by enabling authoritative capture of records created in

diverse technical and business environments and their sustainability for as long as required;

i) providing logical links between records and the context of their creation, and maintaining them in

a structured, reliable and meaningful way;

j) supporting the identification of the technological environment in which digital records were

created or captured, and the management of the technological environment in which they are

maintained in order that authentic records can be reproduced as long as they are needed;

k) supporting efficient and successful migration of records from one environment or computer

platform to another or any other preservation strategy.
© ISO 2017 – All rights reserved 3
---------------------- Page: 9 ----------------------
ISO 23081-1:2017(E)
5.2 Records management metadata that should be applied in an organization
5.2.1 General

Organizations should make decisions on which of the metadata requirements outlined in this document

are necessary in any or all organizational systems. These decisions will be dependent on:

a) business needs;
b) the regulatory environment;
c) risks affecting business operations.

This assessment may identify which types of metadata need to be applied in different areas of the

organization, depending on business risks or needs.

Different perspectives on records management metadata are possible and may coexist. These include:

1) the business perspective, where records management metadata support business processes;

2) the records management perspective, where metadata capture the characteristics of records and

their business context, and support their management over time;

3) the use perspective within or outside the records creating business context, where metadata

enable the retrieval, understandability and interpretation of records.

Broader levels of contextual detail may be required to understand and use records through time,

particularly their use in business environments outside those in which they were created.

Records management metadata consist of:

i) metadata that document the business context in which records are created or captured, as well as

the content, structure and appearance of those records;

ii) metadata that document records management and business processes in which records are

subsequently used, including any changes to the content, structure and appearance.

5.2.2 Metadata at the point of record capture

Metadata at the point of record capture include information about the context of record creation,

the business context, the agents involved and metadata about the content, appearance, structure

and technical attributes of the records themselves. They allow records to be used in an application

or information system and make them readable, usable and understandable. The context of records

includes information about the business processes in which they are created. These metadata will allow

users to understand the reliability of the record-creating authority, the environment in which records

were created, the purpose or business activity being undertaken and their relationships with other

records or aggregations. The metadata documenting the business context should be an integral part of

the records produced by the records creator and they should be captured at the same time as records

are captured into the records system.
The structure of a record consists of:
a) its physical or technical structure;

b) its logical structure, i.e. the relationships between the data elements comprising the record.

These aspects are as important as the content itself. Metadata about technical aspects should describe

the system with which records are created or captured, and the technical characteristics of the digital

components of which they are comprised.
4 © ISO 2017 – All rights reserved
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ISO 23081-1:2017(E)
5.2.3 Metadata after record capture

All records management processes performed upon a record, or on an aggregation of records, should

be documented. In order to preserve records and guarantee their authenticity, reliability, usability and

integrity over time, it is necessary to create metadata that facilitate the triggering or documentation

of these records management processes (in this document referred to as “process metadata”). These

metadata should include information about the management processes that have been or will be

applied to each record. The level of detail for documenting records management processes will vary

according to predetermined management needs. Metadata about records management processes can

be applied throughout the record’s existence. Records management processes also create and use

technical metadata for the rendering and reproduction of digital records, which should be recorded.

Additionally, any changes in the record content, context and structure caused by management activities

should be captured.

Business processes that access records should also be documented in the metadata throughout the

record’s life. Such business uses include associating records with actions, action triggers and other

records.

All metadata about the record and those accruing in its management and use also form a record: the

metadata record that also should be managed. It is essential to keep this metadata record at least for

as long as the original record exists. In the case of disposition of records, either by transfer of custody

or ownership, or by destruction, some metadata about them may still be needed to account for their

existence, management and disposition.
6 Roles and responsibilities

Roles and responsibilities with respect to records management metadata should be defined, assigned

and promulgated throughout the organization. Where a specific need to create and capture records

management metadata is identified, it should be clear who is responsible for taking the necessary

action (ISO 15489-1:2016, 6.3).

These responsibilities are a subset of the roles and responsibilities for carrying out business and

records management processes and should be assigned to all employees in the organization who create,

capture or manage metadata. This includes records professionals, allied information professionals,

executives, business unit managers, systems administrators and others who create or capture records

and associated metadata as part of their work. Specific leadership, responsibility and accountability

for the management of metadata should be assigned to a person with appropriate authority within the

organization and should be reflected in job descriptions, policies and similar statements.

Such responsibilities include the following.

a) Records professionals are responsible for the reliability, authenticity, usability and integrity

of metadata associated with records, and for training users on capturing, managing and using

metadata. Records professionals participate in the definition of metadata requirements, develop

related policies and strategies, and monitor the process of metadata creation.

b) All agents are accountable for ensuring the accuracy and completeness of the records management

metadata for which they are responsible.

c) Executives are responsible for ensuring that internal controls are in place so that customers,

auditors, courts, and other authorized users can rely on the information that the organization

produces. Executives are responsible for supporting the use of records management metadata and

related policies throughout the organization.

d) Information technology personnel are responsible for the reliability, usability and integrity of the

systems used to capture and maintain metadata. They are responsible for ensuring that all records

management metadata are linked to the related records and that these links are persistently

maintained.
© ISO 2017 – All rights reserved 5
---------------------- Page: 11 ----------------------
ISO 23081-1:2017(E)

Training programs should support the performance of these responsibilities. Audit procedures should

monitor their performance.
7 Records management metadata in relation to other metadata areas
7.1 General
Metadata may be created, captured and managed
...

SLOVENSKI STANDARD
SIST ISO 23081-1:2018
01-september-2018
1DGRPHãþD
SIST ISO 23081-1:2010

,QIRUPDWLNDLQGRNXPHQWDFLMD3URFHVLXSUDYOMDQMD]DSLVRY0HWDSRGDWNL]D]DSLVH

GHO1DþHOD
Information and documentation -- Records management processes -- Metadata for
records -- Part 1: Principles
Information et documentation -- Processus de gestion des enregistrements --
Métadonnées pour les enregistrements -- Partie 1: Principes
Ta slovenski standard je istoveten z: ISO 23081-1:2017
ICS:
01.140.20 Informacijske vede Information sciences
35.240.30 Uporabniške rešitve IT v IT applications in information,
informatiki, dokumentiranju in documentation and
založništvu publishing
SIST ISO 23081-1:2018 en,fr,de

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

---------------------- Page: 1 ----------------------
SIST ISO 23081-1:2018
---------------------- Page: 2 ----------------------
SIST ISO 23081-1:2018
INTERNATIONAL ISO
STANDARD 23081-1
Second edition
2017-10
Information and documentation —
Records management processes —
Metadata for records —
Part 1:
Principles
Information et documentation — Processus de gestion des
enregistrements — Métadonnées pour les enregistrements —
Partie 1: Principes
Reference number
ISO 23081-1:2017(E)
ISO 2017
---------------------- Page: 3 ----------------------
SIST ISO 23081-1:2018
ISO 23081-1:2017(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 2017, Published in Switzerland

All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized otherwise in any form

or by any means, electronic or mechanical, including photocopying, or posting on the internet or an intranet, without prior

written permission. Permission can be requested from either ISO at the address below or ISO’s member body in the country of

the requester.
ISO copyright office
Ch. de Blandonnet 8 • CP 401
CH-1214 Vernier, Geneva, Switzerland
Tel. +41 22 749 01 11
Fax +41 22 749 09 47
copyright@iso.org
www.iso.org
ii © ISO 2017 – All rights reserved
---------------------- Page: 4 ----------------------
SIST ISO 23081-1:2018
ISO 23081-1:2017(E)
Contents Page

Foreword ..........................................................................................................................................................................................................................................v

Introduction ................................................................................................................................................................................................................................vi

1 Scope ................................................................................................................................................................................................................................. 1

2 Normative references ...................................................................................................................................................................................... 1

3 Terms and definitions ..................................................................................................................................................................................... 1

4 Records management metadata ........................................................................................................................................................... 2

5 Perspectives and purpose of records management metadata .............................................................................. 3

5.1 Purpose and benefits of records management metadata .................................................................................. 3

5.2 Records management metadata that should be applied in an organization ..................................... 4

5.2.1 General...................................................................................................................................................................................... 4

5.2.2 Metadata at the point of record capture ...................................................................................................... 4

5.2.3 Metadata after record capture ............................................................................................................................. 5

6 Roles and responsibilities .......................................................................................................................................................................... 5

7 Records management metadata in relation to other metadata areas ..........................................................6

7.1 General ........................................................................................................................................................................................................... 6

7.2 Metadata for e-business .................................................................................................................................................................. 6

7.3 Metadata for preservation ............................................................................................................................................................ 6

7.4 Metadata for resource description ........................................................................................................................................ 6

7.5 Metadata for resource discovery ............................................................................................................................................. 7

7.6 Metadata for rights management............................................................................................................................................ 7

7.7 Metadata for sustainability across system boundaries ........................................................................................ 7

8 Management of metadata ............................................................................................................................................................................ 7

8.1 General ........................................................................................................................................................................................................... 7

8.2 Levels of application of metadata ........................................................................................................................................... 7

8.3 Points throughout the existence of records when metadata should be created

and applied ................................................................................................................................................................................................. 8

8.4 Processes of metadata management .................................................................................................................................... 8

8.4.1 General...................................................................................................................................................................................... 8

8.4.2 Defining policies and methods ............................................................................................................................ 8

8.4.3 Creating and maintaining metadata ................................................................................................................ 8

8.4.4 Creating and maintaining structures for managing metadata ................................................. 8

8.4.5 Determining when and how metadata should be captured ....................................................... 9

8.4.6 Documenting and enforcing standard definitions .............................................................................. 9

8.4.7 Access to metadata .................. ......................................................................................................................... .............. 9

8.4.8 Storing metadata ............................................................................................................................................................. 9

8.4.9 Description .................. .................................................... ...................................................................................................... 9

8.4.10 Maintenance of metadata ......................................................................................................................................10

8.5 Metadata structures ........................................................................................................................................................................10

8.6 Role of systems ....................................................................................................................................................................................11

9 Types of metadata required to support ISO 15489-1..................................................................................................11

9.1 Introduction to metadata types .............................................................................................................................................11

9.2 Metadata about records ...............................................................................................................................................................12

9.2.1 Metadata about records at the point of record capture ..............................................................12

9.2.2 Metadata about records after record capture ......................................................................................13

9.2.3 Metadata supporting the accessibility of records ............................................................................13

9.2.4 Metadata supporting the security of records .......................................................................................14

9.3 Metadata about the business rules, policies and mandates ..........................................................................15

9.3.1 Metadata about business rules, policies and mandates at the point of

record capture .................................................................................................................................................................15

9.3.2 Metadata about business rules, policies and mandates after record capture ..........16

9.4 Agent metadata....................................................................................................................................................................................16

© ISO 2017 – All rights reserved iii
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SIST ISO 23081-1:2018
ISO 23081-1:2017(E)

9.4.1 Agent metadata at point of record capture ............................................................................................16

9.4.2 Metadata about agents after record capture ........................................................................................17

9.5 Business process metadata .......................................................................................................................................................17

9.5.1 Business process metadata at point of record capture ...............................................................17

9.5.2 Metadata about business processes after record capture ........................................................18

9.6 Metadata about records management processes ..................................................................................................18

9.6.1 Metadata about records management processes at the point of record capture .18

9.6.2 Metadata about records management processes after record capture .........................19

Bibliography .............................................................................................................................................................................................................................21

iv © ISO 2017 – All rights reserved
---------------------- Page: 6 ----------------------
SIST ISO 23081-1:2018
ISO 23081-1:2017(E)
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 documents 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).

Attention is drawn to the possibility that some of the elements of this document may be the subject of

patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of

any patent rights identified during the development of the document will be in the Introduction and/or

on the ISO list of patent declarations received (see www.iso.org/patents).

Any trade name used in this document is information given for the convenience of users and does not

constitute an endorsement.

For an explanation on 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 the following

URL: www.iso.org/iso/foreword.html

This document was prepared by ISO/TC 46, Information and documentation, Subcommittee SC 11,

Archives/records management.

This second edition cancels and replaces the first edition (ISO 23081-1:2006), which has been

technically revised.
A list of all the parts of ISO 23081 can be found on the ISO website.
© ISO 2017 – All rights reserved v
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SIST ISO 23081-1:2018
ISO 23081-1:2017(E)
Introduction

ISO 23081 sets a framework for creating, managing and using records management metadata and

explains the principles that govern them.

This document gives guidelines for understanding, implementing and using metadata within the

framework of ISO 15489. It addresses the relevance of records management metadata in business

processes and the different roles and types of metadata that support business and records management

processes. It also sets a framework for managing those metadata.

NOTE In this part of ISO 23081, business and business activity are used as broad terms, not restricted to

commercial activity, but including public administration, non-profit and other activities.

It does not define a mandatory set of records management metadata to be implemented, since these

metadata will differ in detail according to organizational or specific requirements for jurisdiction.

However, it assesses the main existing metadata sets in line with the requirements of ISO 15489.

ISO 23081-2 and ISO 23081-3 are more explanatory and provide practical guidance on implementation

issues and how to assess records management metadata sets against the principles in this document.

vi © ISO 2017 – All rights reserved
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SIST ISO 23081-1:2018
INTERNATIONAL STANDARD ISO 23081-1:2017(E)
Information and documentation — Records management
processes — Metadata for records —
Part 1:
Principles
1 Scope

This document covers the principles that underpin and govern records management metadata. These

principles are applicable to:
— records and their metadata;
— all processes that affect them;
— any system in which they reside;
— any organization that is responsible for their management.
2 Normative references

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 15489-1:2016, Information and documentation — Records management — Part 1: Concepts and

principles
3 Terms and definitions

For the purposes of this document, the terms and definitions given in ISO 15489-1 and the following apply.

ISO and IEC maintain terminological databases for use in standardization at the following addresses:

— ISO Online browsing platform: available at http://www.iso.org/obp
— IEC Electropedia: available at http://www.electropedia.org/
3.1
agent

individual, workgroup or organization responsible for, or involved in record creation, capture and/or

records management processes

Note 1 to entry: Technological tools such as software applications can be considered agents if they routinely

perform records processes.
3.2
aggregation
any accumulation of record entities at a level above record object
[SOURCE: ISO 16175-2:2011]
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SIST ISO 23081-1:2018
ISO 23081-1:2017(E)
3.3
attribute
characteristic of an object or entity
[SOURCE: ISO 23081-2:2009, 3.2]
3.4
business activity

all the functions, activities and transactions of an organisation and its employeesNote 1 to entry:

Includes public administration as well as commercial business.
[SOURCE: ISO 16175-2:2011, modified]
3.5
capture

process of lodging a document or digital object into a records management system and assigning

metadata to describe the record and place it in context
[SOURCE: ISO 16175-3:2010, modified]
3.6
encoding scheme

controlled list of all the acceptable values in natural language and/or as a syntax-encoded text string

designed for machine processing
3.7
entity

concrete or abstract thing that exists, did exist, or might exist, including associations among those things

3.8
fixity

state of quality of being fixed, that is, protected against unauthorised alteration or disposition

[SOURCE: ISO 16175-3:2010, modified]
3.9
metadata for records

structured or semi-structured information, which enables the creation, management, and use of

records through time and within and across domains
[SOURCE: ISO 15489-1:2016, 3.12]
3.10
metadata schema

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
4 Records management metadata

Metadata management is an inextricable part of records management, serving a variety of functions and

purposes. In a records management context, metadata for records are defined as structured or semi-

structured information which enables the creation, management, and use of records through time and

within and across domains. (ISO 15489-1:2016, 3.12). Each domain represents an area of intellectual

discourse and of social and/or organizational activity with a distinctive or limited group of people who

share certain values and knowledge. Metadata for records can be used to identify, authenticate and

contextualize records and the people, processes and systems that create, manage, maintain and use

them and the policies that govern them (see 9.1).

Initially, metadata define the record at its point of capture, fixing the record into its business context

and establishing management control over it. During the existence of records or their aggregates,

2 © ISO 2017 – All rights reserved
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SIST ISO 23081-1:2018
ISO 23081-1:2017(E)

new layers of metadata will be added, because of new uses in other business or usage contexts. This

means that metadata continue to accrue, over time. Information relating to the context of the records

management and the business processes in which the records are used continues to accumulate

as the record is managed and used. The record may also undergo structural changes or changes to

its appearance. Metadata can be sourced or re-used by multiple systems and for multiple purposes.

Metadata applied to records during their active life may also continue to apply when they cease to be

required for current business purposes but are retained for ongoing research or other values.

Metadata ensure authenticity, reliability, usability and integrity over time and enable the management

and understanding of information objects, whether these are physical, analogue or digital. However,

metadata also should be managed.

Records management has always involved the management of metadata. However, the digital

environment requires a different expression of traditional requirements and different mechanisms for

identifying, capturing, attributing and using metadata. In the digital environment, authoritative records

are those accompanied by metadata defining their critical characteristics. These characteristics must

be explicitly documented rather than being implicit, as in some paper-based processes. In the digital

environment, it is essential to ensure that the creation and capture of records management metadata

are implemented in systems that create, manage and use records. Conversely, the digital environment

presents new opportunities for defining and creating metadata and ensuring the complete,

contemporaneous capture of records. These records can be evidence of transactions or themselves be

transactions.
5 Perspectives and purpose of records management metadata
5.1 Purpose and benefits of records management metadata
Metadata support business and records management processes by:

a) protecting records as evidence and ensuring their accessibility and usability through time;

b) facilitating the ability to understand records;
c) supporting and ensuring the evidential value of records;
d) helping to ensure the authenticity, reliability and integrity of records;
e) supporting and managing access, privacy and rights;
f) supporting efficient retrieval;
g) supporting reuse and repurposing of records

h) supporting interoperability strategies by enabling authoritative capture of records created in

diverse technical and business environments and their sustainability for as long as required;

i) providing logical links between records and the context of their creation, and maintaining them in

a structured, reliable and meaningful way;

j) supporting the identification of the technological environment in which digital records were

created or captured, and the management of the technological environment in which they are

maintained in order that authentic records can be reproduced as long as they are needed;

k) supporting efficient and successful migration of records from one environment or computer

platform to another or any other preservation strategy.
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SIST ISO 23081-1:2018
ISO 23081-1:2017(E)
5.2 Records management metadata that should be applied in an organization
5.2.1 General

Organizations should make decisions on which of the metadata requirements outlined in this document

are necessary in any or all organizational systems. These decisions will be dependent on:

a) business needs;
b) the regulatory environment;
c) risks affecting business operations.

This assessment may identify which types of metadata need to be applied in different areas of the

organization, depending on business risks or needs.

Different perspectives on records management metadata are possible and may coexist. These include:

1) the business perspective, where records management metadata support business processes;

2) the records management perspective, where metadata capture the characteristics of records and

their business context, and support their management over time;

3) the use perspective within or outside the records creating business context, where metadata

enable the retrieval, understandability and interpretation of records.

Broader levels of contextual detail may be required to understand and use records through time,

particularly their use in business environments outside those in which they were created.

Records management metadata consist of:

i) metadata that document the business context in which records are created or captured, as well as

the content, structure and appearance of those records;

ii) metadata that document records management and business processes in which records are

subsequently used, including any changes to the content, structure and appearance.

5.2.2 Metadata at the point of record capture

Metadata at the point of record capture include information about the context of record creation,

the business context, the agents involved and metadata about the content, appearance, structure

and technical attributes of the records themselves. They allow records to be used in an application

or information system and make them readable, usable and understandable. The context of records

includes information about the business processes in which they are created. These metadata will allow

users to understand the reliability of the record-creating authority, the environment in which records

were created, the purpose or business activity being undertaken and their relationships with other

records or aggregations. The metadata documenting the business context should be an integral part of

the records produced by the records creator and they should be captured at the same time as records

are captured into the records system.
The structure of a record consists of:
a) its physical or technical structure;

b) its logical structure, i.e. the relationships between the data elements comprising the record.

These aspects are as important as the content itself. Metadata about technical aspects should describe

the system with which records are created or captured, and the technical characteristics of the digital

components of which they are comprised.
4 © ISO 2017 – All rights reserved
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SIST ISO 23081-1:2018
ISO 23081-1:2017(E)
5.2.3 Metadata after record capture

All records management processes performed upon a record, or on an aggregation of records, should

be documented. In order to preserve records and guarantee their authenticity, reliability, usability and

integrity over time, it is necessary to create metadata that facilitate the triggering or documentation

of these records management processes (in this document referred to as “process metadata”). These

metadata should include information about the management processes that have been or will be

applied to each record. The level of detail for documenting records management processes will vary

according to predetermined management needs. Metadata about records management processes can

be applied throughout the record’s existence. Records management processes also create and use

technical metadata for the rendering and reproduction of digital records, which should be recorded.

Additionally, any changes in the record content, context and structure caused by management activities

should be captured.

Business processes that access records should also be documented in the metadata throughout the

record’s life. Such business uses include associating records with actions, action triggers and other

records.

All metadata about the record and those accruing in its management and use also form a record: the

metadata record that also should be managed. It is essential to keep this metadata record at least for

as long as the original record exists. In the case of disposition of records, either by transfer of custody

or ownership, or by destruction, some metadata about them may still be needed to account for their

existence, management and disposition.
6 Roles and responsibilities

Roles and responsibilities with respect to records management metadata should be defined, assigned

and promulgated throughout the organization. Where a specific need to create and capture records

management metadata is identified, it should be clear who is responsible for taking the necessary

action (ISO 15489-1:2016, 6.3).

These responsibilities are a subset of the roles and responsibilities for carrying out business and

records management processes and should be assigned to all employees in the organization who create,

capture or manage metadata. This includes records professionals, allied information professionals,

executives, business unit managers, systems administrators and others who create or capture records

and associated metadata as part of their work. Specific leadership, responsibility and accountability

for the management of metadata should be assigned to a person with appropriate authority within the

organization and should be reflected in job descriptions, policies and similar statements.

Such responsibilities include the following.

a) Records professionals are responsible for the reliability, authenticity, usability and integrity

of metadata associated with records, and for training users on capturing, managing and using

metadata. Records professionals participate in the definition of metadata requirements, develop

...

NORME ISO
INTERNATIONALE 23081-1
Deuxième édition
2017-10
Information et documentation —
Processus de gestion des documents
d'activité — Métadonnées pour les
documents d'activité —
Partie 1:
Principes
Information and documentation — Records management processes
— Metadata for records —
Part 1: Principles
Numéro de référence
ISO 23081-1:2017(F)
ISO 2017
---------------------- Page: 1 ----------------------
ISO 23081-1:2017(F)
DOCUMENT PROTÉGÉ PAR COPYRIGHT
© ISO 2017, Publié en Suisse

Droits de reproduction réservés. Sauf indication contraire, aucune partie de cette publication ne peut être reproduite ni utilisée

sous quelque forme que ce soit et par aucun procédé, électronique ou mécanique, y compris la photocopie, l’affichage sur

l’internet ou sur un Intranet, sans autorisation écrite préalable. Les demandes d’autorisation peuvent être adressées à l’ISO à

l’adresse ci-après ou au comité membre de l’ISO dans le pays du demandeur.
ISO copyright office
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Tel. +41 22 749 01 11
Fax +41 22 749 09 47
copyright@iso.org
www.iso.org
ii © ISO 2017 – Tous droits réservés
---------------------- Page: 2 ----------------------
ISO 23081-1:2017(F)
Sommaire Page

Avant-propos ................................................................................................................................................................................................................................v

Introduction ................................................................................................................................................................................................................................vi

1 Domaine d'application ................................................................................................................................................................................... 1

2 Références normatives ................................................................................................................................................................................... 1

3 Termes et définitions ....................................................................................................................................................................................... 1

4 Métadonnées de gestion des documents d’activité .......................................................................................................... 2

5 Mise en perspective et finalités des métadonnées de gestion des documents d’activité ..........3

5.1 Finalités et bénéfices des métadonnées de gestion des documents d’activité ................................ 3

5.2 Métadonnées de gestion des documents d’activité à appliquer dans un organisme ................. 4

5.2.1 Généralités ............................................................................................................................................................................ 4

5.2.2 Métadonnées au moment de la capture du document d’activité ........................................... 5

5.2.3 Métadonnées après la capture d’un document d’activité ............................................................. 5

6 Rôles et responsabilités ................................................................................................................................................................................ 5

7 Métadonnées de gestion des documents d’activité en relation avec d’autres

domaines de métadonnées ........................................................................................................................................................................ 6

7.1 Généralités .................................................................................................................................................................................................. 6

7.2 Métadonnées pour les échanges électroniques .......................................................................................................... 7

7.3 Métadonnées destinées à la conservation ....................................................................................................................... 7

7.4 Métadonnées pour la description des ressources .................................................................................................... 7

7.5 Métadonnées pour la recherche de ressources .......................................................................................................... 7

7.6 Métadonnées pour la gestion des droits ........................................................................................................................... 8

7.7 Métadonnées pour la pérennité au-delà des frontières du système ........................................................ 8

8 Gestion des métadonnées ........................................................................................................................................................................... 8

8.1 Généralités .................................................................................................................................................................................................. 8

8.2 Niveaux d’application des métadonnées .......................................................................................................................... 8

8.3 Moments dans le cycle de vie des documents d’activité où il convient de créer et

d’appliquer des métadonnées .................................................................................................................................................... 8

8.4 Processus de gestion des métadonnées ............................................................................................................................ 9

8.4.1 Généralités ............................................................................................................................................................................ 9

8.4.2 Définition des procédures et des méthodes ............................................................................................. 9

8.4.3 Création et maintenance des métadonnées ............................................................................................. 9

8.4.4 Création et maintenance des structures de gestion des métadonnées............................. 9

8.4.5 Déterminer le moment où il convient de capturer les métadonnées et la

façon de procéder.........................................................................................................................................................10

8.4.6 Documentation et mise en application des définitions de la norme ................................10

8.4.7 Accès aux métadonnées ..........................................................................................................................................10

8.4.8 Stockage des métadonnées ..................................................................................................................................10

8.4.9 Description .................. .................................................... ...................................................................................................10

8.4.10 Maintenance des métadonnées ........................................................................................................................11

8.5 Structures de métadonnées ......................................................................................................................................................11

8.6 Rôle des systèmes ..............................................................................................................................................................................12

9 Types de métadonnées requis à l’appui de l’ISO 15489-1 .....................................................................................13

9.1 Présentation des types de métadonnées .......................................................................................................................13

9.2 Métadonnées des documents d’activité .........................................................................................................................14

9.2.1 Métadonnées des documents d’activité au moment de leur capture ..............................14

9.2.2 Métadonnées sur les documents d’activité après leur capture ............................................15

9.2.3 Métadonnées qui sous-tendent l’accès aux documents d’activité .................. ....................15

9.2.4 Métadonnées pour la sécurité des documents d’activité ...........................................................16

9.3 Métadonnées sur les règles, les procédures et les missions liées aux métiers .............................17

9.3.1 Métadonnées sur les règles, les procédures et les missions au moment de

la capture du document d'activité .................................................................................................................17

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ISO 23081-1:2017(F)
9.3.2 Métadonnées sur les règles, les procédures et les missions après la

capture des documents d’activité ...................................................................................................................18

9.4 Métadonnées sur les acteurs ...................................................................................................................................................18

9.4.1 Métadonnées sur les acteurs au moment de la capture du document d'activité ..18

9.4.2 Métadonnées sur les acteurs après la capture des documents d'activité ....................19

9.5 Métadonnées des processus métier...................................................................................................................................19

9.5.1 Métadonnées des processus métier au moment de la capture du

document d’activité ....................................................................................................................................................19

9.5.2 Métadonnées sur les processus après la capture des documents d’activité .............20

9.6 Métadonnées sur les processus de gestion des documents d’activité .................................................20

9.6.1 Métadonnées sur les processus de gestion des documents d’activité au

moment de la capture du document d’activité ...................................................................................20

9.6.2 Métadonnées sur les processus de gestion des documents d’activité après

la capture du document d’activité..................................................................................................................21

Bibliographie ...........................................................................................................................................................................................................................23

iv © ISO 2017 – Tous droits réservés
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ISO 23081-1:2017(F)
Avant-propos

L'ISO (Organisation internationale de normalisation) est une fédération mondiale d'organismes

nationaux de normalisation (comités membres de l'ISO). L'élaboration des Normes internationales est

en général confiée aux comités techniques de l'ISO. Chaque comité membre intéressé par une étude

a le droit de faire partie du comité technique créé à cet effet. Les organisations internationales,

gouvernementales et non gouvernementales, en liaison avec l'ISO participent également aux travaux.

L'ISO collabore étroitement avec la Commission électrotechnique internationale (IEC) en ce qui

concerne la normalisation électrotechnique.

Les procédures utilisées pour élaborer le présent document et celles destinées à sa mise à jour sont

décrites dans les Directives ISO/IEC, Partie 1. Il convient, en particulier de prendre note des différents

critères d'approbation requis pour les différents types de documents ISO. Le présent document a été

rédigé conformément aux règles de rédaction données dans les Directives ISO/IEC, Partie 2 (voir www

.iso .org/ directives).

L'attention est attirée sur le fait que certains des éléments du présent document peuvent faire l'objet de

droits de propriété intellectuelle ou de droits analogues. L'ISO ne saurait être tenue pour responsable

de ne pas avoir identifié de tels droits de propriété et averti de leur existence. Les détails concernant

les références aux droits de propriété intellectuelle ou autres droits analogues identifiés lors de

l'élaboration du document sont indiqués dans l'Introduction et/ou dans la liste des déclarations de

brevets reçues par l'ISO (voir www .iso .org/ brevets).

Les appellations commerciales éventuellement mentionnées dans le présent document sont données

pour information, par souci de commodité, à l’intention des utilisateurs et ne sauraient constituer un

engagement.

Pour une explication de la nature volontaire des normes, la signification des termes et expressions

spécifiques de l'ISO liés à l'évaluation de la conformité, ou pour toute information au sujet de l'adhésion

de l'ISO aux principes de l’Organisation mondiale du commerce (OMC) concernant les obstacles

techniques au commerce (OTC), voir le lien suivant: www .iso .org/ iso/ fr/ avant -propos .html.

Le présent document a été élaboré par le comité technique ISO/TC 46, Information et documentation,

sous-comité SC 11, Archives/Gestion des documents d'activité.

Cette deuxième édition annule et remplace la première édition (ISO 23081-1:2006) qui a fait l’objet

d’une révision technique.

Une liste de toutes les parties de la série ISO 23081 se trouve sur le site Web de l’ISO.

© ISO 2017 – Tous droits réservés v
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ISO 23081-1:2017(F)
Introduction

L'ISO 23801 établit un cadre permettant de créer, gérer et utiliser les métadonnées associées à la gestion

des documents d’activité et explique les principes qui les régissent.

Le présent document fournit des lignes directrices pour comprendre, mettre en œuvre et utiliser les

métadonnées dans le cadre de l'ISO 15489. Il aborde la pertinence des métadonnées liées à la gestion

des documents d’activité dans les processus métiers et les différents rôles et types de métadonnées à

l’appui. Il établit aussi un cadre de gestion de ces métadonnées.

NOTE Dans la présente partie de l'ISO 23081, « professionnel » et « activités professionnelles » sont utilisés

au sens large et non limités aux seules activités commerciales, mais ils comprennent l’administration publique,

les activités non lucratives et autres.

Il ne définit pas un jeu obligatoire de métadonnées pour mettre en œuvre un système de gestion des

documents d’activité, puisque le choix des métadonnées varie en fonction des impératifs spécifiques

d’ordre organisationnel ou juridique. Toutefois, il évalue les principaux jeux existants de métadonnées

pour répondre aux exigences de l'ISO 15489.

L'ISO 23081-2 et l'ISO 23081-3 sont plus explicatives et constituent des lignes directrices pratiques sur

les aspects de mise en œuvre et la façon d’évaluer les jeux de métadonnées par rapport aux principes du

présent document.
vi © ISO 2017 – Tous droits réservés
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NORME INTERNATIONALE ISO 23081-1:2017(F)
Information et documentation — Processus de gestion des
documents d'activité — Métadonnées pour les documents
d'activité —
Partie 1:
Principes
1 Domaine d'application

Le présent document couvre les principes de base qui régissent les métadonnées liées à la gestion des

documents d’activité. Ces principes s'appliquent:
— aux documents d'activité et à leurs métadonnées;
— à tout processus qui les affecte;
— à tout système dans lequel ils se trouvent;
— à tout organisme responsable de leur gestion.
2 Références normatives

Les documents suivants cités dans le texte constituent, pour tout ou partie de leur contenu, des

exigences du présent document. Pour les références datées, seule l’édition citée s’applique. Pour les

références non datées, la dernière édition du document de référence s'applique (y compris les éventuels

amendements).

ISO 15489-1:2016, Information et documentation — Gestion des documents d’activité — Partie 1: Concepts

et principes
3 Termes et définitions

Pour les besoins du présent document, les termes et définitions donnés dans l’ISO 15489-1 ainsi que les

suivants s'appliquent.

L'ISO et l'IEC tiennent à jour des bases de données terminologiques destinées à être utilisées en

normalisation, consultables aux adresses suivantes:

— ISO Online browsing platform: disponible à l'adresse https:// www .iso .org/ obp

— IEC Electropedia: disponible à l’adresse http:// www .electropedia .org/
3.1
acteur

personne, groupe de travail ou organisme responsable ou impliqué dans la création d’un document

d'activité, sa capture et/ou dans les processus liés à la gestion des documents d’activité

Note 1 à l'article: Des outils technologiques, tels que des applications logicielles, peuvent être considérés comme

des acteurs s'ils exécutent régulièrement des processus liés aux documents d'activité.

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ISO 23081-1:2017(F)
3.2
agrégation

toute accumulation d'entités document d'activité à un niveau supérieur à l'objet document d'activité

[SOURCE: ISO 16175-2:2011]
3.3
attribut
caractéristique d'un objet ou d'une entité
[SOURCE: ISO 23081-2:2009, 3.2]
3.4
activité professionnelle

ensemble des fonctions, activités et transactions d'un organisme et de ses employés

Note 1 à l'article: Elle inclut l'administration publique ainsi que les activités commerciales.

[SOURCE: ISO 16175-2:2011, modifiée]
3.5
capture

processus de dépôt d'un document ou d'un objet numérique dans un système de gestion des documents

d'activité et d'assignation de métadonnées pour décrire le document d'activité et le situer dans son

contexte
[SOURCE: ISO 16175-3:2010, modifiée]
3.6
schéma d’encodage

liste contrôlée de toutes les valeurs acceptables en langage naturel et/ou en tant que chaîne de

caractères encodée conçue pour le traitement par machine
3.7
entité

chose concrète ou abstraite qui existe, a existé ou peut exister, y compris des associations entre de

telles choses
3.8
intégrité

qualité de ce qui est fixe, c'est-à-dire protégé contre toute altération ou élimination non autorisée

[SOURCE: ISO 16175-3:2010, modifiée]
3.9
métadonnées de gestion des documents d'activité

informations structurées ou semi-structurées, qui permettent la création, la gestion et l'utilisation de

documents d'activité dans le temps, au sein de divers domaines et entre ces domaines

[SOURCE: ISO 15489-1:2016, 3.12]
3.10
référentiel de métadonnées

plan logique qui montre les relations entre les éléments de métadonnées, habituellement par

l’établissement de règles d’utilisation et de gestion des métadonnées qui portent en particulier sur la

sémantique, la syntaxe et la condition des valeurs (niveau d’obligation)
4 Métadonnées de gestion des documents d’activité

La gestion des métadonnées constitue une partie indissociable de la gestion des documents d’activité

servant diverses fonctions et divers objectifs. Dans le cadre de la gestion des documents d'activité, les

2 © ISO 2017 – Tous droits réservés
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ISO 23081-1:2017(F)

métadonnées de gestion des documents d'activité sont définies comme des informations structurées

ou semi-structurées, qui permettent la création, la gestion et l'utilisation de documents d'activité

dans le temps, au sein de divers domaines et entre ces domaines (ISO 15489-1:2016, 3.12). Chaque

domaine représente une aire du savoir intellectuel et de l’activité sociale et/ou organisationnelle d’un

groupe distinct ou limité de personnes partageant certaines valeurs et savoirs. Les métadonnées de

gestion des documents d’activité peuvent servir à identifier, authentifier, contextualiser des documents

d’activité et des personnes, des processus et des systèmes qui créent, gèrent, maintiennent et utilisent

ces documents, ainsi que les règles qui les régissent (voir 9.1).

Initialement, les métadonnées définissent le document d’activité au moment de sa capture, l’inscrivant

dans son contexte d’activité et établissant le mode de contrôle de sa gestion. Au cours de l’existence des

documents d’activité ou de leurs agrégats, de nouvelles couches de métadonnées viendront s’ajouter

en raison de nouvelles utilisations dans d’autres contextes métiers ou d’autres usages. Cela signifie

que les métadonnées continuent à s'accumuler au fil du temps. Des informations relatives au contexte

de gestion des documents d’activité et des processus métiers dans lesquels ils sont utilisés continuent

à s'accumuler au fil de la gestion et de l'utilisation des documents d'activité. Le document d'activité

peut également subir des modifications affectant sa structure ou son apparence. Les métadonnées

peuvent avoir pour origine de multiples systèmes qui les utiliseront à nouveau à de nombreuses fins.

Les métadonnées qui s’appliquent aux documents d’activité au long de leur cycle de vie active peuvent

aussi garder une utilité lorsqu’ils ne sont plus nécessaires à la gestion courante des affaires, mais sont

conservés pour des recherches ultérieures ou d’autres fonctions.

Les métadonnées assurent l’authenticité, la fiabilité, l’exploitabilité et l’intégrité dans le temps des

objets d’information, qu’ils soient physiques, analogiques ou numériques, et en permettent la gestion et

la compréhension. Mais il convient également de gérer ces métadonnées.

La gestion des documents d’activité a toujours impliqué la gestion de métadonnées. Toutefois,

l’environnement numérique requiert une expression différente des spécifications habituelles et

des mécanismes différents pour identifier, capturer, attribuer et utiliser ces métadonnées. Dans

l’environnement numérique, les documents d’activité qui feront autorité sont ceux qui seront

accompagnés de métadonnées qui en définissent les caractéristiques essentielles. Il importe que ces

caractéristiques soient documentées explicitement plutôt que demeurer implicites comme c’est le cas

de certains processus fondés sur le document papier. Dans l’environnement numérique, il est essentiel

de s’assurer que la création et la capture des métadonnées de gestion des documents d’activité soient

mises en œuvre dans les systèmes qui créent, gèrent et utilisent ces documents d’activité. En revanche,

l’environnement numérique offre de nouvelles occasions pour définir et créer des métadonnées et

assurer la capture complète et simultanée des documents d’activités. Ces derniers peuvent constituer

des preuves de transactions ou être eux-mêmes des transactions.
5 Mise en perspective et finalités des métadonnées de gestion des documents
d’activité
5.1 Finalités et bénéfices des métadonnées de gestion des documents d’activité

Les métadonnées sont indispensables à la gestion des affaires et aux processus liés à la gestion des

documents d’activité car elles

a) assurent la valeur de preuve des documents d’activité et assurent leur accessibilité et exploitabilité

dans le temps;
b) facilitent la capacité à comprendre les documents d’activité;
c) apportent et assurent la valeur de preuve des documents d’activité;

d) concourent à assurer l’authenticité, la fiabilité et l’intégrité des documents d’activité;

e) prennent en compte et gèrent l’accès, la confidentialité et les droits;
f) assurent un repérage efficace;
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ISO 23081-1:2017(F)
g) assurent la réutilisation et la réaffectation des documents d'activité;

h) garantissent les stratégies d’interopérabilité en permettant la capture contrôlée des documents

d’activité, créés dans des contextes techniques et métiers divers, et leur pérennité aussi longtemps

que nécessaire;

i) fournissent des liens logiques entre les documents d’activité et le contexte de leur création, puis les

maintiennent de façon structurée, fiable et compréhensible;

j) prennent en compte l’identification de l’environnement technologique dans lequel les documents

d’activité numériques ont été créés ou capturés et la gestion de l’environnement technologique dans

lequel ils sont maintenus afin que les documents d’activité authentiques puissent être reproduits

aussi longtemps que de besoin;

k) assurent une migration efficace et satisfaisante des documents d’activité d’un environnement ou

d’une plate-forme informatique vers un(e) autre ou toute autre stratégie de conservation.

5.2 Métadonnées de gestion des documents d’activité à appliquer dans un organisme

5.2.1 Généralités

Il convient que les organismes arbitrent les exigences concernant les métadonnées décrites dans le

présent document nécessaires à leur(s) système(s) organisationnel(s). Ces décisions dépendent

a) des besoins de l’organisme;
b) de son environnement réglementaire;
c) des risques affectant son fonctionnement.

Ces évaluations permettent d’identifier les types de métadonnées qu’il est nécessaire d’appliquer dans

les différents départements de l’organisme en fonction des risques ou des besoins de l’organisme.

Différents points de vue sur les métadonnées de gestion des documents d’activité sont possibles et

peuvent coexister. Ils comprennent

1) le point de vue de l’organisme, pour lequel les métadonnées de gestion des documents d’activité

sous-tendent les processus métiers;

2) le point de vue du responsable de la gestion des documents d’activité, pour lequel les

métadonnées capturent les caractéristiques et le contexte des documents d’activité, et en garantissent

la gestion dans le temps;

3) le point de vue de l’utilisation, interne ou externe au contexte de création des documents

d’activité, les métadonnées permettant le repérage, la compréhension et l’interprétation de ces derniers.

Des niveaux plus étendus de précisions sur le contexte peuvent être requis pour comprendre et utiliser

les documents d’activité dans le temps, en particulier dans des environnements différents de ceux de

leur création.
Les métadonnées de gestion des documents d’activité consistent en

i) métadonnées qui documentent le contexte dans lequel les documents d’activité sont créés ou

capturés ainsi que le contenu, la structure et l’apparence de ces derniers;

ii) métadonnées qui documentent la gestion des documents d’activité et les processus métiers dans

lesquels les documents d’activité sont utilisés par la suite, y compris toute modification de contenu,

de structure et d’apparence.
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ISO 23081-1:2017(F)
5.2.2 Métadonnées au moment de la capture du document d’activité

Au moment de la capture du document d’activité, les métadonnées comprennent les informations sur

le contexte de la création de ce document, le contexte métier, les acteurs impliqués et les métadonnées

liées au contenu, à l’apparence, à la structure et aux attributs techniques des documents d’activité eux-

mêmes. Elles permettent d’utiliser les documents d’activité dans une application ou dans un système

d’information et de les rendre lisibles, utilisables et compréhensibles. Le contexte des documents

d’activité comprend aussi les informations sur les processus métiers dont ils sont issus. Ces métadonnées

permettront aux utilisateurs d’appréhender la fiabilité de l’autorité de création des documents d’activité,

l’environnement dans lequel ils ont été créés, l’objectif visé ou l’activité de l’entreprise et leurs relations

avec d’autres documents d’activité ou agrégats. Il convient que les métadonnées qui documentent le

contexte des activités fassent partie intégrante des documents d’activité produits par leur créateur

et soient capturées en même temps que ces documents dans le système de gestion des documents

d’activité.
La structure d’un document d’activité est constituée de
a) sa structure physique ou technique;

b) sa structure logique, c’est-à-dire les relations entre les éléments de données qui le composent.

Ces aspects sont aussi importants que le contenu lui-même. Il convient que les métadonnées qui

concernent les aspects techniques décrivent le système dans lequel les documents d’activité sont créés

ou capturés ainsi que les caractéristiques techniques de leurs composantes numériques.

5.2.3 Métadonnées après la capture d’un document d’activité

Il convient de documenter tous les processus de gestion des documents d’activité dont a fait l’objet un

document ou un agrégat de documents d’activité. Afin de conserver les documents d’activité et d’en

garantir l’authenticité, la fiabilité, l’exploitabilité et l’intégrité dans le temps, il est nécessaire de créer

des métadonnées qui favorisent le déclenchement ou la documentation de ces processus de gestion

des documents d’activité (dénommées dans le présent document « métadonnées de processus »). Ces

métadonnées doivent comprendre les informations sur les processus de gestion qui ont été ou seront

appliqués à chaque document d’activité. Le niveau de détail destiné à documenter les processus de

gestion des documents d’activité variera en fonction des impératifs prédéterminés de gestion. Les

métadonnées relatives aux processus de gestion des documents d’activité peuvent être appliquées tout

au long de la vie du document d’activité. Les processus de gestion des documents d’activité créent et

utilisent également des métadonnées techniques pour la présentation et la reproduction des documents

d’activité numériques qu’il con
...

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