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

ISO 23081-1:2006 covers the principles that underpin and govern records management metadata. These principles apply through time 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 enregistrements — Métadonnées pour les enregistrements — Partie 1: Principes

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

Ta del ISO 23081 zajema načela, ki podpirajo in urejajo metapodatke za upravljanje z zapisi. Ta načela veljajo skozi čas za:
- zapise in njihove metapodatke;
- vse postopke, ki nanje vplivajo;
- kateri koli sistem, v katerem se nahajajo;
- katero koli organizacijo, ki je odgovorna za njihovo upravljanje.

General Information

Status
Withdrawn
Publication Date
30-Jan-2006
Withdrawal Date
30-Jan-2006
Current Stage
9599 - Withdrawal of International Standard
Completion Date
31-Oct-2017

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МЕЖДУНАРОДНЫЙ ISO
СТАНДАРТ
23081-1
Первое издание
2006-01-15


Информация и документация.
Процессы управления документами.
Метаданные для документов.
Часть 1.
Принципы
Information and documentation – Records management processes –
Metadata for records –
Part 1: Principles



Ответственность за подготовку русской версии несёт GOST R
(Российская Федерация) в соответствии со статьёй 18.1 Устава ISO
Ссылочный номер
ISO 23081-1:2006(R)
© ISO 2006

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ISO 23081-1:2006(R)
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лицензионных условий фирмы Adobe. Центральный секретариат ISO не несет никакой ответственности в этом отношении.
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секретариат по адресу, приведенному ниже.


ДОКУМЕНТ ЗАЩИЩЕН АВТОРСКИМ ПРАВОМ


© ISO 2006
Все права сохраняются. Если не указано иное, никакую часть настоящей публикации нельзя копировать или использовать в
какой-либо форме или каким-либо электронным или механическим способом, включая фотокопии и микрофильмы, без
предварительного письменного согласия ISO, которое должно быть получено после запроса о разрешении, направленного по
адресу, приведенному ниже, или в комитет-член ISO в стране запрашивающей стороны.
ISO copyright office
Case postale 56 • CH-1211 Geneva 20
Tel. + 41 22 749 01 11
Fax + 41 22 749 09 47
E-mail copyright@iso.org
Web www.iso.org
Опубликовано в Швейцарии
ii © ISO 2006 – Все права сохраняются

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ISO 23081-1:2006(R)
Содержание Страница
Предисловие .iv
Введение .v
1 Область применения .1
2 Нормативные ссылки .1
3 Термины и определения .1
4 Метаданные об управлении документами .2
5 Перспективы использования и назначение метаданных об управлении документами .3
5.1 Назначение и роль метаданных об управлении документами .3
5.2 Метаданные об управлении документами, применяемые в организации.3
6 Права и обязанности .5
7 Метаданные об управлении документами среди других областей использования
метаданных.6
7.1 Общие положения .6
7.2 Метаданные для деловых операций, проводимых в электронной форме.6
7.3 Метаданные для хранения .6
7.4 Метаданные для описания ресурса.6
7.5 Метаданные для открытия ресурсов .7
7.6 Метаданные для управления правами .7
8 Управление метаданными.7
8.1 Общие положения .7
8.2 Уровни применения метаданных .7
8.3 Моменты создания и применения метаданных .8
8.4 Процессы управления метаданными.8
8.6 Роль систем.11
9 Типы метаданных, требующиеся для поддержки ISO 15489-1.12
9.1 Представление типов метаданных.12
9.2 Метаданные о документах.13
9.3 Метаданные о правилах, политике и полномочиях ведения деловых операций.17
9.4 Метаданные об агентах .18
9.5 Метаданные о процессах деловых операций.19
9.6 Метаданные о процессах управления документами.20

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ISO 23081-1:2006(R)
Предисловие
Международная организация по стандартизации (ISO) является всемирной федерацией национальных
организаций по стандартизации (комитетов-членов ISO). Разработка международных стандартов
обычно осуществляется техническими комитетами ISO. Каждый комитет-член, заинтересованный в
деятельности, для которой был создан технический комитет, имеет право быть представленным в этом
комитете. Международные правительственные и неправительственные организации, имеющие связи с
ISO, также принимают участие в работах. Что касается стандартизации в области электротехники, то
ISO работает в тесном сотрудничестве с Международной электротехнической комиссией (IEC).
Проекты международных стандартов разрабатываются в соответствии с правилами Директив ISO/IEC,
Часть 2.
Основная задача технических комитетов заключается в подготовке международных стандартов.
Проекты международных стандартов, принятые техническими комитетами, рассылаются комитетам-
членам на голосование. Их опубликование в качестве международных стандартов требует одобрения
не менее 75 % комитетов-членов, принимающих участие в голосовании.
Следует иметь в виду, что некоторые элементы настоящего международного стандарта могут быть
объектом патентных прав. ISO не может нести ответственность за идентификацию какого-либо одного
или всех патентных прав.
Настоящий стандарт ISO 23081-1 подготовлен Техническим комитетом ISO/TC 46, Информация и
документация, Подкомитетом SC 11, Управление архивами и документами.
Настоящее первое издание отменяет и замещает Техническую Спецификацию ISO/TS 23081-1:2004,
которая была усовершенствована и технически пересмотрена.
ISO 23081 состоит из нескольких частей под общим названием, Информация и документация.
Процессы управления документами. Метаданные для документов:
— Часть 1. Принципы
iv © ISO 2006 – Все права сохраняются

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ISO 23081-1:2006(R)
Введение
Настоящий международный стандарт ISO 23081 устанавливает основы для создания, управления и
использования метаданных об управлении документами, а также объясняет принципы, лежащие в
основе управления ими.
Этот международный стандарт является руководством к пониманию и применению метаданных в
рамках ISO 15489. Стандарт подчеркивает значимость метаданных об управлении документами в
деловых процессах и на различные роли и типы метаданных, которые поддерживают деловые
1
процессы и процессы управления документами, а также устанавливает структуру управления этими
метаданными.
Настоящий международный стандарт не определяет обязательный для применения набор метаданных
об управлении документами, поскольку эти метаданные будут отличаться в зависимости от
требований законодательства. Однако, этот стандарт содержит набор основных метаданных,
соответствующий требованиям международного стандарта ISO 15489.
Эта часть стандарта ISO 23081 устанавливает основы для создания, управления и применения
метаданных об управлении документами, а также объясняет принципы, которые управляют ими.
Части 2 и 3 содержат более подробную информацию и обеспечивают практическое руководство по
внедрению, а также методы оценки набора метаданных об управлении документами в соответствие с
принципами этой части стандарта ISO 23081. Эти части стандарта будут подготовлены в виде
Технических отчетов, которые рассматриваются как документы, требующие регулярного обновления.


1
В стандарте ISO 23081 ведение деловых операций трактуется в широком смысле, не ограничиваясь
коммерческой деятельностью, а включает государственное управление, некоммерческие организации и другие
предприятия.
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МЕЖДУНАРОДНЫЙ СТАНДАРТ ISO 23081-1:2006(R)

Информация и документация. Процессы управления
документами. Метаданные для документов.
Часть 1.
Принципы
1 Область применения
Эта часть международного стандарта ISO 23081 закладывает принципы поддержки и управления
метаданными об управлении документами. Эти принципы применяются к:
— документам и их метаданным;
— всем процессам, которые их затрагивают;
— любой системе, в которой они хранятся;
— любой организации, ответственной за управление ими.
2 Нормативные ссылки
Этот документ не может быть применен без нижеуказанных документов. Для датированных ссылок
применяется только цитируемое издание. Для недатированных ссылок используется самое последнее
издание упомянутого документа (включая любые поправки).
ISO 15489-1:2000, Информация и документация. Управление документами. Часть 1. Общие
требования
3 Термины и определения
В настоящем стандарте используются термины и определения, данные в ISO 15489-1, а также
нижеуказанные термины.
3.1
агент
agent
отдельное лицо, рабочая группа или организация, ответственная за/или вовлеченная в процессы
создания, ввода и/или управления документами
3.2
схема кодирования
encoding scheme
контролируемый список всех допустимых значений на национальном языке и/или символов в виде
строки для компьютерного синтаксического кодирования
© ISO 2006 – Все права сохраняются 1

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ISO 23081-1:2006(R)
3.3
схема (метаданных)
schema
логический план, показывающий отношения между элементами метаданных, обычно посредством
установления правил использования и управления метаданными, особенно это касается семантики,
синтаксиса и опций (степени обязательности) данных
4 Метаданные об управлении документами
Управление метаданными - неотъемлемая часть управления документами, обеспечивающая
выполнение множества различных функций и целей. В отношении управления документами
метаданные определяются как данные, описывающие контекст, содержание и структуру документов, а
также процессы управления ими на протяжении всего жизненного цикла документа (ISO 15489-1:2001,
3.12). Сами по себе, метаданные являются структурированной или полуструктурированной
информацией, позволяющей создавать, регистрировать, классифицировать, обеспечивать доступ,
хранение и размещение документов в течение времени, в рамках и за пределами области
деятельности. Каждая из этих областей представляет сферу интеллектуального языкового общения,
социальной и/или организационной деятельности определенной или ограниченной группы людей,
разделяющих определенные ценности и обладающих определенными знания. Метаданные об
управлении документами могут использоваться для идентификации, подтверждения подлинности и
контекстуализации документов и людей, процессов и систем, которые создают, управляют,
поддерживают и используют их, а также принципов политики, на которых строиться управление ими
(см. 9.1).
Первоначально метаданные определяют документ в момент его ввода, записывая этот документ в
деловой контекст и устанавливая контроль за управлением им. В течение жизненного цикла
документов или их совокупностей новые слои метаданных будут добавляться в процессе и/или в связи
с использованием документов во вновь проводимых деловых операциях. Это означает, что
метаданные продолжают накапливать информацию, касающуюся контекста управления документами и
деловых процессов, в которых используются документы, и относятся к структурным изменениям
документа или к его образу (внешнему виду документа). Метаданные могут быть источником
информации о многократном использовании документа многими системами и для множества целей.
Метаданные, прилагаемые к документам в течение всего их жизненного цикла, можно продолжать
использовать, после того, как сами документы перестанут быть востребованы в деловых целях и будут
переданы на хранение.
Метаданные гарантируют подлинность, надежность, применимость и целостность документов,
обеспечивают управление ими и понимание информационных объектов, как физических, так и
аналоговых и цифровых. Однако, метаданными также необходимо управлять.
Управление документами всегда включает управление метаданными. Однако, цифровая среда
требует иного выражения традиционных требований и иных механизмов для идентификации, ввода,
определения свойств и использования метаданных. В цифровой окружающей среде документы
нормативного характера – это документы, сопровождаемые метаданными, определяющими их
нормативный статус. Этот нормативный статус должен быть четко документирован, а не
подразумеваться, как в некоторых процессах с бумажными документами. В цифровой окружающей
среде очень важно обеспечить гарантию того, чтобы в системах, которые создают, осуществляют ввод
и управление документами, осуществлялось создание и ввод метаданных об управлении документами.
И, наоборот, цифровая окружающая среда предоставляет новые возможности для определения и
создания метаданных, а также для обеспечения полного, своевременного ввода документов. Эти
документы могут быть свидетельствами транзакций или непосредственно быть транзакциями.
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ISO 23081-1:2006(R)
5 Перспективы использования и назначение метаданных об управлении
документами
5.1 Назначение и роль метаданных об управлении документами
Метаданные поддерживают деловые процессы и управление документами следующим образом:
a) защитой документов как свидетельств деловой деятельности и обеспечением их доступности и
используемости на протяжении всего их жизненного цикла;
b) обеспечением способности понимать (осмысливать) документы;
c) поддержкой и обеспечением доказательной силы документов;
d) помощью в обеспечении гарантии подлинности, надежности и целостности документов;
e) поддержкой управления доступом, секретностью и правами;
f) поддержкой эффективного поиска;
g) поддержкой интероперабельности путем контролируемого ввода документов, созданных в
различной технической и деловой окружающей среде, и их поддержкой в течение
необходимого периода времени;
h) обеспечением логических связей между документами и контекстом их создания, а также
хранением их структурированным, надежным и эффективным способом;
i) поддержкой идентификации технологической окружающей среды, в которой цифровые
документы были созданы или введены, а также управлением технологической окружающей
средой, в которой они поддерживаются, для воспроизведения подлинных документов так долго,
как это необходимо;
j) поддержкой эффективной и успешной миграции документов из одной окружающей среды или
компьютерной платформы в другую, а также любой другой стратегии хранения.
5.2 Метаданные об управлении документами, применяемые в организации
5.2.1 Общие положения
Организации должны установить, какие требования к метаданным, описанным в ISO 23081, являются
необходимыми для определенной или для всех систем организации. Эти решения будут зависеть от:
a) деловых потребностей;
b) нормативной среды;
c) негативных воздействий на деловые операции.
Эта оценка может идентифицировать, какие типы метаданных необходимо применять в различных
направлениях деятельности организации, в зависимости от степени риска или потребностей деловых
операций.
Существуют различные перспективы использования метаданных об управлении документами, которые
могут сосуществовать. Они включают:
1) деловую перспективу, в которой метаданные об управлении документами поддерживают
деловые процессы;
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ISO 23081-1:2006(R)
2) перспективу управления документами, в которой с помощью метаданных вводятся
характеристики документов и их деловой контекст, а также поддерживается их управление;
3) перспективу использования в пределах или за пределами делового контекста создающихся
документов, в которой метаданные позволяют осуществлять поиск, понимание и
интерпретацию документов.
Более детальные сведения контекстуальных составляющих могут потребоваться для понимания и
использования документов по прошествии времени, особенно при использовании их вне той деловой
окружающей среде, в которой они были созданы.
Метаданные об управлении документами состоят из:
i) метаданных, отражающих деловой контекст, в котором создаются или вводятся
документы, а также содержание, структуру, форму и образ (внешний вид) этих
документов;
ii) метаданных, документирующих процессы управления документами и деловые
процессы, в которых документы используются впоследствии, включая любые
изменения содержания, структуры и внешнего вида.
5.2.2 Метаданные в момент ввода документов
Метаданные в момент ввода документов включают информацию о контексте создания документа,
деловом контексте, участвующих агентах и метаданные о содержании, внешнем виде, структуре и
технических характеристиках самих документов. Они позволяют использовать документы в прикладной
или информационной системе и обеспечивают их читаемость, годность к употреблению и пониманию.
Контекст документов включает информацию о деловых процессах, в которых они создаются. Эти
метаданные позволяют пользователям оценить надежность фондообразователя, окружающую среду,
в которой документы были созданы, цель или предпринимаемые деловые операции, а также их
взаимоотношения с другими документами. Метаданные, документирующие деловой контекст, должны
быть неотъемлемой частью документов, созданных фондообразователем, и подлежат вводу
одновременно с вводом документов в систему управления документами.
Структура документа состоит из:
a) его физической или технической структуры;
b) его логической структуры, то eсть, отношений между элементами данных, составляющих
документ.
Эти аспекты столь же важны, как и само содержание. Метаданные о технических аспектах должны
описывать систему, с помощью которой создаются или вводятся документы, а также технические
характеристики цифровых компонентов, которые они включают.
5.2.3 Метаданные после ввода документов
Все процессы управления документами, осуществленные с отдельным документом, их группой или
комплексом должны быть документированы. Для сохранения документов и гарантии их подлинности,
надежности, применимости и целостности необходимо создавать метаданные, которые обеспечат
запуск или документирование процессов управления документами (в данном стандарте названные
"метаданные процесса"). Эти метаданные должны включать информацию о процессах управления,
которые были или будут применяться к каждому документу. Уровень детализации документирования
процессов управления документами будет меняться в зависимости от потребностей управления.
Метаданные о процессах управления документами должны применяться в течение всего жизненного
цикла документа. Процессы управления документами также создают и используют технические
метаданные для визуализации и воспроизведения цифровых документов, которые должны быть
документированы. Кроме того, любые изменения содержания, контекста и структуры документа,
вызванные управленческой деятельностью, должны быть документированы.
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ISO 23081-1:2006(R)
Деловые процессы, приведшие к обращению к документам, должны также документироваться в
метаданных в течение всего жизненного цикла документа. Такие процессы использования документов
включают установление связи документов: с действиями; инициированием действий и с другими
документами.
Все метаданные о документе, о включении его в процессы управления и использования, также
формируют документ, а именно документ метаданных, которым также нужно управлять. Документ
метаданных важно сохранять до тех пор, пока существует оригинал. В случае перемещения
документов хранителем или владельцем, а также при их уничтожении некоторые метаданные могут
понадобиться для подтверждения факта существования документов, управления ими и их
местонахождения.
6 Права и обязанности
В отношении метаданных об управлении документами, должны быть определены права и обязанности
ответственных лиц, которые должны быть доведены до сведения всех сотрудников организации. Там,
где идентифицирована определенная потребность в создании и вводе метаданных об управлении
документами, должно быть ясно, кто отвечает за принятие решений по проведению необходимых
действий (ISO 15489-1:2001, 6.3).
Сюда включаются права и обязанности, возникающие в ходе выполнения деловых операций и
процессов управления документами. Они должны быть распределены между всеми сотрудниками
организации, которые создают, вводят или управляют метаданными. Сюда входят: управляющие
документами (специалисты в области управления документами), специалисты в области смежных
информационных профессий, рядовые исполнители, руководители, администраторы систем
управления документами и другие специалисты, создающие или занимающиеся вводом документов и
соответствующих метаданных, в процессе своей деятельности. Особые права, ответственность и
отчетность, в отношении управления метаданными, должны быть поручены уполномоченному лицу в
пределах организации, что должно быть закреплено в соответствующих нормативных документах
организации.
Эти обязанности включают следующие положения:
a) Специалисты в области управления документами отвечают за надежность, подлинность,
применимость и целостность метаданных, связанных с документами, и за обучение
пользователей вводу, управлению и использованию метаданных. Они участвуют в
определении требований к метаданным, принципов соответствующей политики и стратегии, а
также контролируют процесс создания метаданных.
b) Все сотрудники организации выполняют свои обязательства по обеспечению точности и
полноты метаданных об управлении документами, за которые они отвечают.
c) Исполнители отвечают за обеспечение внутреннего контроля для того, чтобы клиенты,
аудиторы, суды и другие уполномоченные пользователи могли полагаться на информацию,
которую предоставляет организация. Исполнители ответственны за поддержку использования
метаданных об управлении документами и проведение соответствующей политики во всей
организации.
d) Персонал в области информационных технологий отвечает за надежность, применимость и
целостность систем, используемых для ввода и хранения метаданных. Они ответственны за
обеспечение того, чтобы все метаданные об управлении документами были связаны с
соответствующими документами, и за сохранность этих связей.
Исполнение этих обязанностей должны поддерживать специальные программы обучения. Выполнение
программ обучения должны контролировать аудиторские мероприятия.
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ISO 23081-1:2006(R)
7 Метаданные об управлении документами среди других областей
использования метаданных
7.1 Общие положения
Метаданные могут быть созданы, введены и использованы для конкретной цели или для многих целей
деловых операций. Эти цели могут включать деловые операции, проводимые в электронной форме:
хранение, описание, открытие ресурсов и управление правами. Метаданные об управлении
документами могут использоваться для выполнения всех этих целей. Например, метаданные в момент
ввода документа могут наследовать и расширять описание ресурсов, а также могут быть использованы
для открытия ресурсов. Метаданные об управлении документами могут быть унаследованы или
извлечены из систем путем: последовательного выполнения действий, стандартного офисного
программного обеспечения, систем электронной почты и других систем деловых операций.
Метаданные в момент ввода документа и процессы, относящиеся к метаданным об управлении
документами, не могут существовать в изоляции. Следовательно, необходимо рассматривать
создание и ввод метаданных об управлении документами в рамках более широкого контекста для
обеспечения гарантии установления соответствующих связей и отношений с целью избежания
дублирования или излишнего производства метаданных.
7.2 Метаданные для деловых операций, проводимых в электронной форме
Метаданные помогают осуществлять деловые операции в электронной форме, включая электронную
коммерцию и электронное управление. Могут быть введены метаданные обо всех стадиях процессов
деловых операций, проводимых в электронной форме. Сюда включаются: местонахождение изделий,
службы, поставщика и клиента, соглашения о сроках и условиях деловых операций, электронно-
цифровые подписи и сам процесс заключения сделок. Эти метаданные обеспечивают информацию о
деловом контексте и, таким образом, могут частично совпадать с контекстуальными метаданными (см.
9.2.1), а также со структурными метаданными (см. 9.2.1), метаданными безопасности (см. 9.2.4) и
метаданными доступности (см. 9.2.3).
7.3 Метаданные для хранения
Обеспечение сохранности и доступа к информации, особенно созданной в цифровой форме, – это
проблема документоведческих, библиотечных и архивных сообществ. Информационная технология
относительно изменчива по сравнению с технологией печатания на бумаге. Поэтому для соответствия
требованиям постоянно изменяющейся технологии требуются дополнительные технические
метаданные. Для обеспечения сохранности необходимы дополнительные структурные метаданные и
метаданные о хранении (см. 9.2.1), а также некоторые метаданные о процессах управления
документами (см. 9.6). Сюда включаются метаданные о процессах управления документами,
связанные с доступом и безопасностью, перемещением, конверсией и миграцией документов для
обеспечения не только доступности документов, а также и их подлинности, надежности, применимости
и целостности в течение длительного времени.
7.4 Метаданные для описания ресурса
Одной из первоочередных областей использования метаданных является описание ресурсов
(объектов деловой деятельности). Этими ресурсами могут быть книги, журналы, видеофильмы,
документы, изображения и артефакты. Сюда также включаются документы, переданные на архивное
хранение. Метаданные необходимы для идентификации ресурсов и могут включать название,
создателя/создателей, дату/даты, уникальный идентификатор, сведения об отношении к другим
ресурсам (например, положение в серии) и их параметры (например, размер или длина). Некоторые из
этих элементов метаданных также используются в контексте управления документами. Они сходны и
могут совмещаться с элементами первичных метаданных, созданных в момент ввода документа,
фиксирующих содержание документа. Однако, описательные метаданные об управлении документами
и применяемые для архивных целей являются более расширенными, чем стандартные метаданные об
описании ресурсов, и могут включать другие элементы, как, например, контекстуальные метаданные
(см. 9.2.1).
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ISO 23081-1:2006(R)
Существует тесная связь между указанным выше типом метаданных и архивным описанием. Архивные
учреждения используют метаданные для описания архивных документов с целью их хранения,
размещения их в административном контексте и контексте управления документами, а также для
обеспечения их использования и управления. Таким образом, существующие стандарты по архивному
2
описанию, а, именно, ISAD/G и ISAAR (CPF) напрямую пересекаются с метаданными об управлении
документами, поскольку оба направления связаны с документированием процессов делового
контекста и управления. Архивное управление, включая архивное описание, является дополнительной
и п
...

INTERNATIONAL ISO
STANDARD 23081-1
First edition
2006-01-15

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 23081-1:2006(E)
©
ISO 2006

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ISO 23081-1:2006(E)
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ii © ISO 2006 – All rights reserved

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ISO 23081-1:2006(E)
Contents Page
Foreword. iv
Introduction . v
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 . 2
5.1 Purpose and benefits of records management metadata . 2
5.2 Records management metadata that should be applied in an organization. 3
6 Roles and responsibilities . 4
7 Records management metadata in relation to other metadata areas . 5
7.1 General. 5
7.2 Metadata for e-business. 5
7.3 Metadata for preservation. 5
7.4 Metadata for resource description. 5
7.5 Metadata for resource discovery . 6
7.6 Metadata for rights management . 6
8 Management of metadata. 6
8.1 General. 6
8.2 Levels of application of metadata . 6
8.3 Points throughout the existence of records when metadata should be created and applied. 7
8.4 Processes of metadata management . 7
8.5 Metadata structures. 9
8.6 Role of systems . 10
9 Types of metadata required to support ISO 15489-1 . 10
9.1 Introduction to metadata types . 10
9.2 Metadata about records . 12
9.3 Metadata about the business rules, policies and mandates. 15
9.4 Agent metadata . 16
9.5 Business process metadata. 16
9.6 Metadata about records management processes . 18

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ISO 23081-1:2006(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.
International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2.
The main task of technical committees is to prepare International Standards. Draft International Standards
adopted by the technical committees are circulated to the member bodies for voting. Publication as an
International Standard requires approval by at least 75 % of the member bodies casting a vote.
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.
ISO 23081-1 was prepared by Technical Committee ISO/TC 46, Information and documentation,
Subcommittee SC 11, Archives/records management.
This first edition cancels and replaces Technical Specification ISO/TS 23081-1:2004, which has been updated
and technically revised.
ISO 23081 consists of the following parts, under the general title Information and documentation — Records
management processes — Metadata for records:
⎯ Part 1: Principles
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ISO 23081-1:2006(E)
Introduction
ISO 23081 sets a framework for creating, managing and using records management metadata and explains
the principles that govern them.
This International Standard is a guide to understanding, implementing and using metadata within the
framework of ISO 15489. It addresses the relevance of records management metadata in business processes
1)
and the different roles and types of metadata that support business and records management processes . It
also sets a framework for managing those metadata.
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.
This part of ISO 23081 sets a framework for creating, managing and using records management metadata
and explains the principles that govern them.
The proposed Parts 2 and 3 will be more explanatory and provide practical guidance on implementation
issues and how to assess records management metadata sets against the principles in this part of ISO 23081.
These future parts will be Technical Reports that should be considered as more time-bound documents that
will need regular updates.


1) 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.
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INTERNATIONAL STANDARD ISO 23081-1:2006(E)

Information and documentation — Records management
processes — Metadata for records —
Part 1:
Principles
1 Scope
This part of ISO 23081 covers the principles that underpin and govern records management metadata. These
principles apply through time 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 referenced documents are indispensable for the application 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 15489-1:2001, Information and documentation — Records management — Part 1: General
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO 15489-1 and the following apply.
3.1
agent
individual, workgroup or organization responsible for or involved in record creation, capture and/or records
management processes
3.2
encoding scheme
controlled list of all the acceptable values in natural language and/or as a syntax-encoded text string designed
for machine processing
3.3
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
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ISO 23081-1:2006(E)
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 are defined as data describing the context, content
and structure of records and their management through time (ISO 15489-1:2001, 3.12). As such, metadata
are structured or semi-structured information that enables the creation, registration, classification, access,
preservation and disposition of records through time and within and across domains. Each of these domains
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. Records management metadata 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, 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 and relating to structural changes to the record or 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
need to 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, capture and
manage 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 interoperability strategies by enabling authoritative capture of records created in diverse
technical and business environments and their sustainability for as long as required;
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ISO 23081-1:2006(E)
h) providing logical links between records and the context of their creation, and maintaining them in a
structured, reliable and meaningful way;
i) 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;
j) supporting efficient and successful migration of records from one environment or computer platform to
another or any other preservation strategy.
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 part of
ISO 23081 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 need to
be captured at the same time as records are captured into the records system.
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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.
5.2.3 Metadata after record capture
All records management processes performed upon a record, or on a group or 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 documented.
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 has to 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 15489-1:2001,
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 managers, 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 management 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 management professionals participate in the definition of metadata requirements, develop
related policies and strategies, and monitor the process of metadata creation.
b) All employees are accountable for ensuring the accuracy and completeness of the records management
metadata for which they are responsible.
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ISO 23081-1:2006(E)
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 maintained.
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 used for a single, particular purpose or for multiple business
purposes. These purposes may include e-business, preservation, resource description, resource discovery
and rights management. Records management metadata can be shared by all of these purposes. For
example, metadata at the point of record capture may inherit and extend the resource description and may be
used for resource discovery. Records management metadata can be inherited or extracted from workflow
systems, standard office software, e-mail systems and other business systems.
Neither point of record capture metadata nor process-related metadata for records management can exist in
isolation. It is therefore appropriate and necessary to consider the creation and capture of metadata for
records management within this broader context to ensure that appropriate links and relationships are
established and metadata are neither duplicated nor unnecessarily produced.
7.2 Metadata for e-business
Metadata help enable e-business, including e-commerce and e-government. Metadata about all stages of the
e-business processes can be captured. This encompasses the location of a product, service, provider and
customer, the agreement of business terms and conditions, digital signatures and the business process
transactions themselves. These metadata provide information about the business context and may therefore
overlap with contextual metadata (see 9.2.1) as well as structural and storage metadata (see 9.2.1), security
metadata (see 9.2.4), and some accessibility metadata (see 9.2.3).
7.3 Metadata for preservation
The preservation of information, especially digital information, for continued access is the concern of records
management, library and archives communities. Information technology is relatively volatile in comparison
with print-to-paper technology. Technical metadata are required to meet the challenge of constantly changing
technology. Additional structural and storage metadata (see 9.2.1) and some metadata about records
management processes (see 9.6) are needed to support preservation. This includes metadata about records
management processes including access and security, migration, conversion and transfer activities to ensure
not only the accessibility of records through time, but also their continued authenticity, reliability, usability and
integrity.
7.4 Metadata for resource description
One of the primary uses of metadata is for the description of resources. These resources might be books,
journals, videos, documents, images and artefacts. They also include records transferred into archival custody.
The metadata are needed to identify the resource and can include the title, creator(s), date(s), unique
identifier, relationship to other resources (e.g. within the same series) and its extent (e.g. size or length).
Some of these metadata elements are also used in a records management context. They are similar to, and
may overlap with, elements of the initial metadata at the point of record capture documenting a record’s
content. However, descriptive metadata for records management and archival purposes are generally broader
than standard resource description metadata and can include other elements such as, for example, contextual
metadata (see 9.2.1).
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There is a strong relationship between the type of metadata outlined and the archival description. Archival
institutions use metadata to describe archival records in order to preserve their meaning over time, to place
them in their records management and administrative contexts and to facilitate their use and management.
2)
Therefore, the existing standards of archival description, such as ISAD/G and ISAAR(CPF) , have an
extensive overlap with records management metadata, because both are concerned with documenting
business context and management processes. Archival management, including archival description, is a
complementary and continuing activity for those records that are identified as having archival value.
Functionality to enable the migration of metadata between organizational records systems and archival control
systems is therefore recommended.
7.5 Metadata for resource discovery
Metadata for resource discovery, i.e. information retrieval, overlap with and extend beyond descriptive
metadata (see 7.4). Business units, knowledge managers, librarians and the public all depend on metadata to
retrieve information. Indexing, classification and location metadata are examples that support resource
discovery. Such metadata also support records management objectives to facilitate the discovery of records
resources. In a records management context, these metadata are primarily related to accessibility metadata
(see 9.2.3).
7.6 Metadata for rights management
Rights management can be considered to be a particular type or aspect of e-business, since it is concerned
with the management of the rights over and use of an agent’s information resources. It encompasses the
description, valuation, trading, monitoring and tracking of those rights and requires metadata that describe the
three key entities involved in the use of information resources. These three entities are the parties involved
(e.g. creator, publisher and consumer); the content in all its forms; and the rights themselves (e.g. permissions,
constraints and rewards for use).
8 Management of metadata
8.1 General
Two areas of metadata management can be distinguished:
a) creating, capturing and managing the records management metadata;
b) creating, implementing, maintaining and managing the rules that govern these processes and the
structures that accommodate them, such as Document Type Definitions (DTDs), schemas or data
dictionaries.
8.2 Levels of application of metadata
The metadata described in this clause can be applied at different levels, such as to
a) individual records,
b) groups or aggregates of records and/or
c) entire records systems,

2) ISAD/G and ISAAR (CPF) are standards issued by the International Council on Archives (ICA, www.ica.org). ISAD/G
is the International Standard for Archival Description (General Principles) and provides guidelines for describing records
and their aggregations. ISA
...

SLOVENSKI STANDARD
SIST ISO 23081-1:2010
01-oktober-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 23081-1:2006
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 23081-1:2010 en
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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SIST ISO 23081-1:2010

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SIST ISO 23081-1:2010

INTERNATIONAL ISO
STANDARD 23081-1
First edition
2006-01-15

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 23081-1:2006(E)
©
ISO 2006

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SIST ISO 23081-1:2010
ISO 23081-1:2006(E)
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©  ISO 2006
All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any means,
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Published in Switzerland

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SIST ISO 23081-1:2010
ISO 23081-1:2006(E)
Contents Page
Foreword. iv
Introduction . v
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 . 2
5.1 Purpose and benefits of records management metadata . 2
5.2 Records management metadata that should be applied in an organization. 3
6 Roles and responsibilities . 4
7 Records management metadata in relation to other metadata areas . 5
7.1 General. 5
7.2 Metadata for e-business. 5
7.3 Metadata for preservation. 5
7.4 Metadata for resource description. 5
7.5 Metadata for resource discovery . 6
7.6 Metadata for rights management . 6
8 Management of metadata. 6
8.1 General. 6
8.2 Levels of application of metadata . 6
8.3 Points throughout the existence of records when metadata should be created and applied. 7
8.4 Processes of metadata management . 7
8.5 Metadata structures. 9
8.6 Role of systems . 10
9 Types of metadata required to support ISO 15489-1 . 10
9.1 Introduction to metadata types . 10
9.2 Metadata about records . 12
9.3 Metadata about the business rules, policies and mandates. 15
9.4 Agent metadata . 16
9.5 Business process metadata. 16
9.6 Metadata about records management processes . 18

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SIST ISO 23081-1:2010
ISO 23081-1:2006(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.
International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2.
The main task of technical committees is to prepare International Standards. Draft International Standards
adopted by the technical committees are circulated to the member bodies for voting. Publication as an
International Standard requires approval by at least 75 % of the member bodies casting a vote.
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.
ISO 23081-1 was prepared by Technical Committee ISO/TC 46, Information and documentation,
Subcommittee SC 11, Archives/records management.
This first edition cancels and replaces Technical Specification ISO/TS 23081-1:2004, which has been updated
and technically revised.
ISO 23081 consists of the following parts, under the general title Information and documentation — Records
management processes — Metadata for records:
⎯ Part 1: Principles
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ISO 23081-1:2006(E)
Introduction
ISO 23081 sets a framework for creating, managing and using records management metadata and explains
the principles that govern them.
This International Standard is a guide to understanding, implementing and using metadata within the
framework of ISO 15489. It addresses the relevance of records management metadata in business processes
1)
and the different roles and types of metadata that support business and records management processes . It
also sets a framework for managing those metadata.
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.
This part of ISO 23081 sets a framework for creating, managing and using records management metadata
and explains the principles that govern them.
The proposed Parts 2 and 3 will be more explanatory and provide practical guidance on implementation
issues and how to assess records management metadata sets against the principles in this part of ISO 23081.
These future parts will be Technical Reports that should be considered as more time-bound documents that
will need regular updates.


1) 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.
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SIST ISO 23081-1:2010
INTERNATIONAL STANDARD ISO 23081-1:2006(E)

Information and documentation — Records management
processes — Metadata for records —
Part 1:
Principles
1 Scope
This part of ISO 23081 covers the principles that underpin and govern records management metadata. These
principles apply through time 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 referenced documents are indispensable for the application 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 15489-1:2001, Information and documentation — Records management — Part 1: General
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO 15489-1 and the following apply.
3.1
agent
individual, workgroup or organization responsible for or involved in record creation, capture and/or records
management processes
3.2
encoding scheme
controlled list of all the acceptable values in natural language and/or as a syntax-encoded text string designed
for machine processing
3.3
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
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ISO 23081-1:2006(E)
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 are defined as data describing the context, content
and structure of records and their management through time (ISO 15489-1:2001, 3.12). As such, metadata
are structured or semi-structured information that enables the creation, registration, classification, access,
preservation and disposition of records through time and within and across domains. Each of these domains
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. Records management metadata 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, 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 and relating to structural changes to the record or 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
need to 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, capture and
manage 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 interoperability strategies by enabling authoritative capture of records created in diverse
technical and business environments and their sustainability for as long as required;
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SIST ISO 23081-1:2010
ISO 23081-1:2006(E)
h) providing logical links between records and the context of their creation, and maintaining them in a
structured, reliable and meaningful way;
i) 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;
j) supporting efficient and successful migration of records from one environment or computer platform to
another or any other preservation strategy.
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 part of
ISO 23081 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 need to
be captured at the same time as records are captured into the records system.
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ISO 23081-1:2006(E)
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.
5.2.3 Metadata after record capture
All records management processes performed upon a record, or on a group or 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 documented.
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 has to 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 15489-1:2001,
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 managers, 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 management 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 management professionals participate in the definition of metadata requirements, develop
related policies and strategies, and monitor the process of metadata creation.
b) All employees are accountable for ensuring the accuracy and completeness of the records management
metadata for which they are responsible.
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SIST ISO 23081-1:2010
ISO 23081-1:2006(E)
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 maintained.
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 used for a single, particular purpose or for multiple business
purposes. These purposes may include e-business, preservation, resource description, resource discovery
and rights management. Records management metadata can be shared by all of these purposes. For
example, metadata at the point of record capture may inherit and extend the resource description and may be
used for resource discovery. Records management metadata can be inherited or extracted from workflow
systems, standard office software, e-mail systems and other business systems.
Neither point of record capture metadata nor process-related metadata for records management can exist in
isolation. It is therefore appropriate and necessary to consider the creation and capture of metadata for
records management within this broader context to ensure that appropriate links and relationships are
established and metadata are neither duplicated nor unnecessarily produced.
7.2 Metadata for e-business
Metadata help enable e-business, including e-commerce and e-government. Metadata about all stages of the
e-business processes can be captured. This encompasses the location of a product, service, provider and
customer, the agreement of business terms and conditions, digital signatures and the business process
transactions themselves. These metadata provide information about the business context and may therefore
overlap with contextual metadata (see 9.2.1) as well as structural and storage metadata (see 9.2.1), security
metadata (see 9.2.4), and some accessibility metadata (see 9.2.3).
7.3 Metadata for preservation
The preservation of information, especially digital information, for continued access is the concern of records
management, library and archives communities. Information technology is relatively volatile in comparison
with print-to-paper technology. Technical metadata are required to meet the challenge of constantly changing
technology. Additional structural and storage metadata (see 9.2.1) and some metadata about records
management processes (see 9.6) are needed to support preservation. This includes metadata about records
management processes including access and security, migration, conversion and transfer activities to ensure
not only the accessibility of records through time, but also their continued authenticity, reliability, usability and
integrity.
7.4 Metadata for resource description
One of the primary uses of metadata is for the description of resources. These resources might be books,
journals, videos, documents, images and artefacts. They also include records transferred into archival custody.
The metadata are needed to identify the resource and can include the title, creator(s), date(s), unique
identifier, relationship to other resources (e.g. within the same series) and its extent (e.g. size or length).
Some of these metadata elements are also used in a records management context. They are similar to, and
may overlap with, elements of the initial metadata at the point of record capture documenting a record’s
content. However, descriptive metadata for records management and archival purposes are generally broader
than standard resource description metadata and can include other elements such as, for example, contextual
metadata (see 9.2.1).
© ISO 2006 – All rights reserved 5

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SIST ISO 23081-1:2010
ISO 23081-1:2006(E)
There is a strong relationship between the type of metadata outlined and the archival description. Archival
institutions use metadata to describe archival records in order to preserve their meaning over time, to place
them in their records management and administrative contexts and to facilitate their use and management.
2)
Therefore, the existing standards of archival description, such as ISAD/G and ISAAR(CPF) , have an
extensive overlap with records management metadata, because both are concerned with documenting
business context and management processes. Archival management, including archival description, is a
complementary and continuing activity for those records that are identified as having archival value.
Functionality to enable the migration of metadata between organizational records systems and archival control
systems is therefore recommended.
7.5 Metadata for resource discovery
Metadata for resource discovery, i.e. information retrieval, overlap with and extend beyond descriptive
metadata (see 7.4). Business units, knowledge managers, librarians and the public all depend on metadata to
retrieve information. Indexing, classification and location metadata are examples that support resource
discovery. Such metadata also support records management objectives to facilitate the discovery of records
resources. In a records management context, these metadata are primarily related to accessibility metadata
(see 9.2.3).
7.6 Metadata for rights management
Rights management can be considered to be a particular type or aspect of e-business, since it is concerned
with the management of the rights over and use of an agent’s information resources. It encompasses the
description,
...

SLOVENSKI STANDARD
oSIST ISO 23081-1:2007
01-april-2007
,QIRUPDWLNDLQGRNXPHQWDFLMD3URFHVLXSUDYOMDQMD]DSLVRY±0HWDSRGDWNL]D
]DSLVHGHO1DþHOD
Information and documentation - Records management processes - Metadata for
records - Part 1: Principles
Ta slovenski standard je istoveten z:
ICS:
01.140.20 Informacijske vede Information sciences
35.240.30 Uporabniske resitve IT v IT applications in information,
informatiki, dokumentiranju in documentation and
zaloznistvu publishing
oSIST ISO 23081-1:2007 English language
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

---------------------- Page: 1 ----------------------

INTERNATIONAL ISO
STANDARD 23081-1
First edition
2006-01-15

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 23081-1:2006(E)
©
ISO 2006

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ISO 23081-1:2006(E)
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©  ISO 2006
All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any means,
electronic or mechanical, including photocopying and microfilm, without permission in writing from either ISO at the address below or
ISO's member body in the country of the requester.
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Fax + 41 22 749 09 47
E-mail copyright@iso.org
Web www.iso.org
Published in Switzerland

ii © ISO 2006 – All rights reserved

---------------------- Page: 3 ----------------------

ISO 23081-1:2006(E)
Contents Page
Foreword. iv
Introduction . v
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 . 2
5.1 Purpose and benefits of records management metadata . 2
5.2 Records management metadata that should be applied in an organization. 3
6 Roles and responsibilities . 4
7 Records management metadata in relation to other metadata areas . 5
7.1 General. 5
7.2 Metadata for e-business. 5
7.3 Metadata for preservation. 5
7.4 Metadata for resource description. 5
7.5 Metadata for resource discovery . 6
7.6 Metadata for rights management . 6
8 Management of metadata. 6
8.1 General. 6
8.2 Levels of application of metadata . 6
8.3 Points throughout the existence of records when metadata should be created and applied. 7
8.4 Processes of metadata management . 7
8.5 Metadata structures. 9
8.6 Role of systems . 10
9 Types of metadata required to support ISO 15489-1 . 10
9.1 Introduction to metadata types . 10
9.2 Metadata about records . 12
9.3 Metadata about the business rules, policies and mandates. 15
9.4 Agent metadata . 16
9.5 Business process metadata. 16
9.6 Metadata about records management processes . 18

© ISO 2006 – All rights reserved iii

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ISO 23081-1:2006(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.
International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2.
The main task of technical committees is to prepare International Standards. Draft International Standards
adopted by the technical committees are circulated to the member bodies for voting. Publication as an
International Standard requires approval by at least 75 % of the member bodies casting a vote.
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.
ISO 23081-1 was prepared by Technical Committee ISO/TC 46, Information and documentation,
Subcommittee SC 11, Archives/records management.
This first edition cancels and replaces Technical Specification ISO/TS 23081-1:2004, which has been updated
and technically revised.
ISO 23081 consists of the following parts, under the general title Information and documentation — Records
management processes — Metadata for records:
⎯ Part 1: Principles
iv © ISO 2006 – All rights reserved

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ISO 23081-1:2006(E)
Introduction
ISO 23081 sets a framework for creating, managing and using records management metadata and explains
the principles that govern them.
This International Standard is a guide to understanding, implementing and using metadata within the
framework of ISO 15489. It addresses the relevance of records management metadata in business processes
1)
and the different roles and types of metadata that support business and records management processes . It
also sets a framework for managing those metadata.
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.
This part of ISO 23081 sets a framework for creating, managing and using records management metadata
and explains the principles that govern them.
The proposed Parts 2 and 3 will be more explanatory and provide practical guidance on implementation
issues and how to assess records management metadata sets against the principles in this part of ISO 23081.
These future parts will be Technical Reports that should be considered as more time-bound documents that
will need regular updates.


1) 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.
© ISO 2006 – All rights reserved v

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INTERNATIONAL STANDARD ISO 23081-1:2006(E)

Information and documentation — Records management
processes — Metadata for records —
Part 1:
Principles
1 Scope
This part of ISO 23081 covers the principles that underpin and govern records management metadata. These
principles apply through time 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 referenced documents are indispensable for the application 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 15489-1:2001, Information and documentation — Records management — Part 1: General
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO 15489-1 and the following apply.
3.1
agent
individual, workgroup or organization responsible for or involved in record creation, capture and/or records
management processes
3.2
encoding scheme
controlled list of all the acceptable values in natural language and/or as a syntax-encoded text string designed
for machine processing
3.3
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
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ISO 23081-1:2006(E)
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 are defined as data describing the context, content
and structure of records and their management through time (ISO 15489-1:2001, 3.12). As such, metadata
are structured or semi-structured information that enables the creation, registration, classification, access,
preservation and disposition of records through time and within and across domains. Each of these domains
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. Records management metadata 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, 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 and relating to structural changes to the record or 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
need to 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, capture and
manage 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 interoperability strategies by enabling authoritative capture of records created in diverse
technical and business environments and their sustainability for as long as required;
2 © ISO 2006 – All rights reserved

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ISO 23081-1:2006(E)
h) providing logical links between records and the context of their creation, and maintaining them in a
structured, reliable and meaningful way;
i) 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;
j) supporting efficient and successful migration of records from one environment or computer platform to
another or any other preservation strategy.
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 part of
ISO 23081 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 need to
be captured at the same time as records are captured into the records system.
© ISO 2006 – All rights reserved 3

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ISO 23081-1:2006(E)
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.
5.2.3 Metadata after record capture
All records management processes performed upon a record, or on a group or 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 documented.
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 has to 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 15489-1:2001,
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 managers, 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 management 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 management professionals participate in the definition of metadata requirements, develop
related policies and strategies, and monitor the process of metadata creation.
b) All employees are accountable for ensuring the accuracy and completeness of the records management
metadata for which they are responsible.
4 © ISO 2006 – All rights reserved

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ISO 23081-1:2006(E)
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 maintained.
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 used for a single, particular purpose or for multiple business
purposes. These purposes may include e-business, preservation, resource description, resource discovery
and rights management. Records management metadata can be shared by all of these purposes. For
example, metadata at the point of record capture may inherit and extend the resource description and may be
used for resource discovery. Records management metadata can be inherited or extracted from workflow
systems, standard office software, e-mail systems and other business systems.
Neither point of record capture metadata nor process-related metadata for records management can exist in
isolation. It is therefore appropriate and necessary to consider the creation and capture of metadata for
records management within this broader context to ensure that appropriate links and relationships are
established and metadata are neither duplicated nor unnecessarily produced.
7.2 Metadata for e-business
Metadata help enable e-business, including e-commerce and e-government. Metadata about all stages of the
e-business processes can be captured. This encompasses the location of a product, service, provider and
customer, the agreement of business terms and conditions, digital signatures and the business process
transactions themselves. These metadata provide information about the business context and may therefore
overlap with contextual metadata (see 9.2.1) as well as structural and storage metadata (see 9.2.1), security
metadata (see 9.2.4), and some accessibility metadata (see 9.2.3).
7.3 Metadata for preservation
The preservation of information, especially digital information, for continued access is the concern of records
management, library and archives communities. Information technology is relatively volatile in comparison
with print-to-paper technology. Technical metadata are required to meet the challenge of constantly changing
technology. Additional structural and storage metadata (see 9.2.1) and some metadata about records
management processes (see 9.6) are needed to support preservation. This includes metadata about records
management processes including access and security, migration, conversion and transfer activities to ensure
not only the accessibility of records through time, but also their continued authenticity, reliability, usability and
integrity.
7.4 Metadata for resource description
One of the primary uses of metadata is for the description of resources. These resources might be books,
journals, videos, documents, images and artefacts. They also include records transferred into archival custody.
The metadata are needed to identify the resource and can include the title, creator(s), date(s), unique
identifier, relationship to other resources (e.g. within the same series) and its extent (e.g. size or length).
Some of these metadata elements are also used in a records management context. They are similar to, and
may overlap with, elements of the initial metadata at the point of record capture documenting a record’s
content. However, descriptive metadata for records management and archival purposes are generally broader
than standard resource description metadata and can include other elements such as, for example, contextual
metadata (see 9.2.1).
© ISO 2006 – All rights reserved 5

---------------------- Page: 11 ----------------------

ISO 23081-1:2006(E)
There is a strong relationship between the type of metadata outlined and the archival description. Archival
institutions use metadata to describe archival records in order to preserve their meaning over time, to place
them in their records management and administrative contexts and to facilitate their use and management.
2)
Therefore, the existing standards of archival description, such as ISAD/G and ISAAR(CPF) , have an
extensive overlap with records management metadata, because both are concerned with documenting
business context and management processes. Archival management, including archival description, is a
complementary and continuing activity for those records that are identified as having archival value.
Functionality to enable the migration of metadata between organizational records systems and archival control
systems is therefore recommended.
7.5 Metadata for resource discovery
Metadata for resource discovery, i.e. information retrieval, overlap with and extend beyond descriptive
metadata (see 7.4). Business units, knowledge managers, librarians and the public all depend on metadata to
retrieve information. Indexing, classification and location metadata are examples that support resource
discovery. Such metadata also support records management objectives to facilitate the discovery of records
resources. In a records management context, these metadata are primarily related to accessibility metadata
(see 9.2.3).
7.6 Metadata for rights management
Rights management can be considered to be a particular type or aspect of e-business, since it is concerned
with the management of the rights over and use of an agent’s information resources. It encompasses the
description, valuation, trading, monitoring and tracking of those rights and requires metadata that describe the
three key entities involved in the use of information resources. These three entities are the parties involved
(e.g. creator, publisher and consumer); the content in all its forms; and the rights themselves (e.g. permissions,
constraints and rewards for use).
8 Management of metadata
8.1 General
Two areas of metadata management can be distinguished:
a) creating, capturing and managing the records management metadata;
b) creating, implementin
...

NORME ISO
INTERNATIONALE 23081-1
Première édition
2006-01-15
Information et documentation —
Processus de gestion des
enregistrements — Métadonnées pour les
enregistrements —
Partie 1:
Principes
Information and documentation — Records management processes —
Metadata for records —
Part 1: Principles
Numéro de référence
ISO 23081-1:2006(F)
©
ISO 2006

---------------------- Page: 1 ----------------------
ISO 23081-1:2006(F)
DOCUMENT PROTÉGÉ PAR COPYRIGHT
© ISO 2006
Droits de reproduction réservés. Sauf prescription différente, 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 et les microfilms, sans l’accord écrit
de l’ISO à l’adresse ci-après ou du comité membre de l’ISO dans le pays du demandeur.
ISO copyright office
Case postale 56 • CH-1211 Geneva 20
Tel. + 41 22 749 01 11
Fax + 41 22 749 09 47
E-mail copyright@iso.org
Web www.iso.org
Version française parue en 2012
Publié en Suisse
ii © ISO 2006 – Tous droits réservés

---------------------- Page: 2 ----------------------
ISO 23081-1:2006(F)
Sommaire Page
Avant-propos .iv
Introduction . v
1 Domaine d’application . 1
2 Références normatives . 1
3 Termes et définitions . 1
4 Métadonnées liées à la gestion des documents d’activité . 1
5 Mise en perspective et finalités des métadonnées liées à la gestion des documents d’activité
et objectifs . 2
5.1 Finalités et bénéfices des métadonnées de la gestion des documents d’activité . 2
5.2 Métadonnées liées à la gestion des documents d’activité à appliquer dans un organisme . 3
6 Rôles et responsabilités . 4
7 Métadonnées liées à la gestion des documents d’activité en relation avec d’autres domaines
de métadonnées . 5
7.1 Généralités . 5
7.2 Métadonnées pour les échanges électroniques . 5
7.3 Métadonnées destinées à la conservation . 5
7.4 Métadonnées pour la description des ressources . 6
7.5 Métadonnées pour la recherche . 6
7.6 Métadonnées pour la gestion des droits . 6
8 Gestion des métadonnées . 7
8.1 Généralités . 7
8.2 Niveaux d’application des métadonnées . 7
8.3 Moments dans le cycle de vie des documents d’activité où il convient de créer et d’appliquer
des métadonnées . 7
8.4 Processus de gestion des métadonnées . 7
8.5 Structures de métadonnées .10
8.6 Rôle des systèmes .10
9 Types de métadonnées requis à l’appui de l’ISO 15489-1 . 11
9.1 Introduction aux types de métadonnées . 11
9.2 Métadonnées des documents d’activité .12
9.3 Métadonnées sur les règles, les procédures et les missions liées aux métiers .15
9.4 Métadonnées sur les acteurs .16
9.5 Métadonnées des processus métier .17
9.6 Métadonnées sur les processus de gestion des documents d’activité .18
Bibliographie .21
© ISO 2006 – Tous droits réservés iii

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ISO 23081-1:2006(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 (CEI) en ce qui concerne la normalisation électrotechnique.
Les Normes internationales sont rédigées conformément aux règles données dans les Directives ISO/CEI, Partie 2.
La tâche principale des comités techniques est d’élaborer les Normes internationales. Les projets de Normes
internationales adoptés par les comités techniques sont soumis aux comités membres pour vote. Leur publication
comme Normes internationales requiert l’approbation de 75 % au moins des comités membres votants.
L’attention est appelée 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.
L’ISO 23081-1 a été élaborée par le comité technique ISO/TC 46, Information et documentation, sous-comité
SC 11, Gestion des archives courantes et intermédiaires.
Cette première édition annule et remplace la Spécification technique ISO/TS 23081-1:2004 qui a fait l’objet
d’une révision technique.
L’ISO 23081 comprend les parties suivantes, présentées sous le titre général Information et documentation —
Processus de gestion des enregistrements — Métadonnées pour les enregistrements:
— Partie 1: Principes
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ISO 23081-1:2006(F)
Introduction
La présente Norme internationale est un guide destiné à comprendre, mettre en œuvre et utiliser les
métadonnées dans le cadre de l’ISO 15489. Elle aborde la pertinence des métadonnées liées à la gestion des
1)
documents d’activité dans les processus métiers et les différents rôles et types de métadonnées à l’appui .
Elle établit aussi un cadre de gestion de ces métadonnées.
Elle 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, elle évalue les principaux jeux existants de métadonnées pour répondre
aux préconisations de l’ISO 15489.
La présente partie de l’ISO 23081 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.
Les Parties 2 et 3 seront plus explicatives et constitueront des lignes directrices pratiques sur les aspects de
mise en œuvre et la façon d’évaluer les jeux de métadonnées par rapport aux principes de la présente partie
de l’ISO 23081. Ces deux futures parties seront des Rapports techniques correspondant à des documents
temporaires qui devront faire l’objet de mises à jour régulières.
1) 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.
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NORME INTERNATIONALE ISO 23081-1:2006(F)
Information et documentation — Processus de gestion des
enregistrements — Métadonnées pour les enregistrements —
Partie 1:
Principes
1 Domaine d’application
La présente partie de l’ISO 23081 couvre les principes de base qui régissent les métadonnées liées à la
gestion des documents d’activité. Ces principes s’appliquent dans le temps
— aux enregistrements et à leurs métadonnées,
— à tout processus qui les affecte,
— à tout système dans lequel ils se trouvent, et
— à tout organisme responsable de leur gestion.
2 Références normatives
Les documents de référence suivants sont indispensables à l’application du présent document. Pour les
références datées, seule s’applique l’édition citée. Pour les références non datées, la dernière édition du
document de référence s’applique (y compris les éventuels amendements).
ISO 15489-1:2001, Information et documentation — «Records management» — Partie 1: Principes directeurs
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.
3.1
acteur
personne, groupe de travail ou organisme responsable ou impliqué dans la création d’un enregistrement, sa
capture et/ou dans les processus liés à la gestion des documents d’activité
3.2
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
3.3
référentiel
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 liées à la 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 métadonnées
sont définies en tant que données qui décrivent le contexte, le contenu et la structure des documents d’activité,
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ISO 23081-1:2006(F)
ainsi que leur maintenance dans le temps (ISO 15489-1:2001, 3.12). Ainsi, les métadonnées sont-elles des
informations structurées ou semi-structurées qui permettent la création, l’enregistrement, la classification,
l’accès, la conservation et de définir le sort final des documents d’activité dans le temps, et ce dans tous
domaines. Chacun de ces domaines 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 liées à la 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 les documents d’activité au moment de leur capture, l’inscrivant
dans son contexte économique et établissant le mode de contrôle de sa gestion. Au cours de l’existence des
documents d’activité ou de ses agrégats, de nouvelles couches de métadonnées viendront s’ajouter en raison
de nouvelles utilisations dans d’autres contextes métiers ou d’autres usages. Cette démarche signifie que les
métadonnées continuent à accumuler, au fil du temps, des informations relatives au contexte de gestion des
documents d’activité et des processus dans lesquels ils sont utilisés et qui se rapportent aux modifications qui
en affectent la structure ou l’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 cours de leur 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 est également nécessaire 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 d’assurer que la création et la capture des métadonnées liées à
la gestion des documents d’activité soient mises en œuvre dans les systèmes qui créent, capturent et gèrent
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 liées à la gestion
des documents d’activité et objectifs
5.1 Finalités et bénéfices des métadonnées de la 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) confèrent aux documents d’activité leur valeur de preuve 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 probante 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,
g) garantissent les stratégies d’interopérabilité en permettant la capture contrôlée des documents d’activité,
créés dans des contextes techniques et métiers divers, et leur durabilité aussi longtemps que nécessaire,
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ISO 23081-1:2006(F)
h) fournissent des liens logiques entre les documents d’activité et le contexte de leur création, puis les
maintiennent de façon structurée, fiable et claire,
i) 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, et
j) assurent une migration efficace et satisfaisante des documents d’activité d’un environnement ou d’une
plate-forme informatique vers une autre ou toute autre stratégie de conservation.
5.2 Métadonnées liées à la gestion des documents d’activité à appliquer dans un organisme
5.2.1 Généralités
Il convient que les organismes sélectionnent les préconisations concernant les métadonnées décrites dans la
présente partie de l’ISO 23081 nécessaires à leur(s) système(s) organisationnel(s). Ces décisions dépendent
a) des besoins de l’organisme,
b) de son environnement réglementaire, et
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 liées à la gestion des documents d’activité peuvent exister et
coexister. Ils comprennent
1) le point de vue de l’organisme, pour lequel les métadonnées de la 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 des documents d’activité, leur contexte, et en garantissent la gestion
dans le temps, et
3) le point de vue de l’utilisation, interne et 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 liées à la 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, et
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
contenus, de structure et d’apparence.
5.2.2 Métadonnées au moment de l’intégration 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 dans lesquels ils sont créés. Ces métadonnées permettront aux utilisateurs
d’appréhender la fiabilité de l’autorité de création des documents d’activité, l’environnement dans lequel ils
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ISO 23081-1:2006(F)
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 elles nécessitent d’être 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, et
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 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 groupe 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 des 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 sur les 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 convient d’enregistrer. En outre, il convient de documenter toute modification du
contenu, du contexte et de la structure d’un document d’activité induite par les activités de gestion.
Il convient de documenter les processus métiers qui donnent accès aux documents d’activité dans les
métadonnées tout au long de la vie de ces derniers. Ces pratiques comprennent l’association des documents
d’activité à des actions, à des déclenchements d’actions et à d’autres documents d’activité.
Toutes les métadonnées liées au document d’activité ainsi que celles qui s’ajoutent au cours de sa gestion et
de son utilisation, forment aussi un document d’activité, document des métadonnées qu’il importe aussi de
gérer. Il est essentiel de conserver les documents d’activité de métadonnées au moins aussi longtemps que
le document d’activité d’origine existe. Dans le cas de l’élimination des documents d’activité, soit par transfert
de dépôt ou de propriété, soit par destruction, il est possible que certaines métadonnées les concernant
demeurent nécessaires pour en justifier l’existence, la gestion et l’élimination.
6 Rôles et responsabilités
Il convient de définir, d’attribuer et de répartir les rôles et les responsabilités attachées aux métadonnées
liées à la gestion des documents d’activité au sein de l’organisme. Lorsque le besoin spécifique de créer ou
de capturer des métadonnées est identifié, il convient que la personne responsable de prendre les mesures
nécessaires soit clairement désignée (ISO 15489-1:2001, 6.3).
Ces responsabilités constituent un sous-ensemble des rôles et responsabilités censées mener à bien les
processus métiers de gestion des documents d’activité. Aussi convient-il de les confier au personnel de
l’organisme qui crée, capture ou gère les métadonnées. Ce sont les gestionnaires des documents d’activité,
les autres professionnels de l’information, les cadres supérieurs, les responsables de département, les
administrateurs de systèmes et tout autre collaborateur qui crée ou capture les documents d’activité et les
métadonnées associées qui entrent dans leurs fonctions. Il convient que la conduite, la responsabilité et le
suivi de la gestion des métadonnées soient confiés à une personne habilitée au sein de l’organisme et il
convient que ces missions figurent dans la fiche du poste, le règlement intérieur et les dispositions similaires.
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ISO 23081-1:2006(F)
Ces responsabilités sont les suivantes.
a) Les professionnels de la gestion des documents d’activité sont responsables de la fiabilité, l’authenticité,
l’exploitabilité et l’intégrité associées aux documents d’activité, ainsi que de la formation des utilisateurs
à la capture, la gestion et l’utilisation des métadonnées. Les professionnels de la gestion des documents
d’activité participent à la définition des métadonnées requises, mettent au point les dispositions et
stratégies correspondantes et conduisent le processus de création de ces métadonnées.
b) L’ensemble du personnel est chargé d’assurer l’exactitude et l’exhaustivité des métadonnées liées à la
gestion des documents d’activité dont il a la responsabilité.
c) Les cadres supérieurs sont responsables de la mise en place des contrôles internes de sorte que les
utilisateurs, les auditeurs, les juristes et tout autre utilisateur autorisé puissent se fier aux informations
produites. Ces cadres ont également la responsabilité de garantir l’utilisation des métadonnées et des
règles associées au sein de leur organisme.
d) Les professionnels des technologies de l’information sont responsables de la fiabilité, de l’exploitabilité et
de l’intégrité des systèmes servant à capturer et à maintenir les métadonnées. Ils ont la responsabilité de
s’assurer que les métadonnées liées à la gestion des documents d’activité sont bien reliées aux documents
d’activité correspondants et que ces liens sont maintenus.
Il convient d’inscrire aux programmes de formation ces fonctions de responsabilité. Il convient que des
procédures d’audit en contrôlent la mise en application.
7 Métadonnées liées à la gestion des documents d’activité en relation avec d’autres
domaines de métadonnées
7.1 Généralités
Les métadonnées peuvent être créées, capturées et utilisées dans un but unique, particulier, ou à de multiples
objectifs. Ces objectifs peuvent comprendre les échanges électroniques, la conservation, la description de la
ressource, la découverte de la ressource et la gestion des droits. Dans tous ces cas, les métadonnées liées à
la gestion des documents d’activité peuvent être partagées. Par exemple, il se peut que les métadonnées au
moment de la capture du document d’activité héritent de la description de la ressource et l’enrichissent, puis
servent à sa découverte. Les métadonnées liées à la gestion des documents d’activité peuvent être héritées
ou extraites de systèmes d’automatisation des processus, de logiciels standard de bureau, de systèmes de
messagerie électronique et d’autres systèmes de gestion.
Ni les métadonnées au moment de la capture ni les métadonnées associées aux processus de gestion des
documents d’activité ne peuvent exister isolément. Il est donc opportun et nécessaire d’examiner la création
et la capture des métadonnées destinées à la gestion des documents d’activité dans ce contexte élargi pour
s’assurer que les liens et les relations appropriés sont établis et que les métadonnées ne sont ni dupliquées ni
produites inutilement.
7.2 Métadonnées pour les échanges électroniques
Les métadonnées facilitent les échanges électroniques, dont le commerce et l’administration électroniques. Il
est possible de capturer des métadonnées à toutes les étapes des échanges électroniques. Elles englobent la
localisation d’un produit, d’un service, d’un fournisseur et d’un client, l’accord sur les modalités et les conditions
des échanges, les signatures électroniques et les transactions mêmes des processus métier des transactions.
Ces métadonnées fournissent les informations sur le contexte métier. Elles peuvent donc recouvrir les
métadonnées contextuelles (voir 9.2.1), aussi bien que les métadonnées structurelles et de stockage (voir
9.2.1), les métadonnées liées à la sécurité (voir 9.2.4) et les métadonnées d’accès (voir 9.2.3).
7.3 Métadonnées destinées à la conservation
La conservation des informations, en particulier des informations numériques, pour un accès pérenne, est
du ressort de la gestion des documents d’activité, des communautés des bibliothèques et des archives.
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ISO 23081-1:2006(F)
Les technologies de l’information sont relativement instables en comparaison des technologies papier. Des
métadonnées techniques sont nécessaires pour répondre au défi des techniques en constante évolution. Des
métadonnées supplémentaires structurelles et de stockage (voir 9.2.1) et certaines métadonnées des processus
de gestion des documents d’activité (voir 9.6) sont nécessaires à l’appui de la conservation. Ces métadonnées
comprennent les métadonnées du processus de gestion des documents d’activité dont l’accès et la sécurité,
la migration, la conservation et les actions de transfert pour assu
...

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