BS ISO 23081-2-2009 Information and documentation - Managing metadata for records - Conceptual and implementation issues《信息和文献工作 记录用管理元数据 概念和实施问题》.pdf

1、BS ISO23081-2:2009ICS 01.140.20NO COPYING WITHOUT BSI PERMISSION EXCEPT AS PERMITTED BY COPYRIGHT LAWBRITISH STANDARDInformation anddocumentation Managing metadata forrecordsPart 2: Conceptual andimplementation issuesThis British Standardwas published under theauthority of the StandardsPolicy and St

2、rategyCommittee on 31 August2009 BSI 2009ISBN 978 0 580 61763 8Amendments/corrigenda issued since publicationDate CommentsBS ISO 23081-2:2009National forewordThis British Standard is the UK implementation of ISO 23081-2:2009. Itsupersedes DD ISO/TS 23081-2:2007 which is withdrawn.The UK participatio

3、n in its preparation was entrusted to TechnicalCommittee IDT/2/17, Archives/records management.A list of organizations represented on this committee can be obtained onrequest to its secretary.This publication does not purport to include all the necessary provisionsof a contract. Users are responsibl

4、e for its correct application.Compliance with a British Standard cannot confer immunityfrom legal obligations.BS ISO 23081-2:2009Reference numberISO 23081-2:2009(E)ISO 2009INTERNATIONAL STANDARD ISO23081-2First edition2009-07-01Information and documentation Managing metadata for records Part 2: Conc

5、eptual and implementation issues Information et documentation Gestion des mtadonnes pour linformation et les documents Partie 2: Concepts et mise en oeuvre BS ISO 23081-2:2009ISO 23081-2:2009(E) PDF disclaimer This PDF file may contain embedded typefaces. In accordance with Adobes licensing policy,

6、this file may be printed or viewed but shall not be edited unless the typefaces which are embedded are licensed to and installed on the computer performing the editing. In downloading this file, parties accept therein the responsibility of not infringing Adobes licensing policy. The ISO Central Secr

7、etariat accepts no liability in this area. Adobe is a trademark of Adobe Systems Incorporated. Details of the software products used to create this PDF file can be found in the General Info relative to the file; the PDF-creation parameters were optimized for printing. Every care has been taken to en

8、sure that the file is suitable for use by ISO member bodies. In the unlikely event that a problem relating to it is found, please inform the Central Secretariat at the address given below. COPYRIGHT PROTECTED DOCUMENT ISO 2009 All rights reserved. Unless otherwise specified, no part of this publicat

9、ion 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 ISOs member body in the country of the requester. ISO copyright office Case postale 56 CH-1211 Geneva 2

10、0 Tel. + 41 22 749 01 11 Fax + 41 22 749 09 47 E-mail copyrightiso.org Web www.iso.org Published in Switzerland ii ISO 2009 All rights reservedBS ISO 23081-2:2009ISO 23081-2:2009(E) ISO 2009 All rights reserved iiiContents Page Foreword iv Introduction.v 1 Scope1 2 Normative references1 3 Terms and

11、definitions .1 4 Purpose and benefits of metadata.3 5 Policy and responsibilities .5 6 Metadata conceptual model .7 7 Concepts relating to metadata implementation .9 8 Metadata model for managing records .15 9 Generic metadata elements17 10 Developing a metadata schema for managing records.24 11 Imp

12、lementing metadata for managing records 27 Bibliography33 BS ISO 23081-2:2009ISO 23081-2:2009(E) iv ISO 2009 All rights reservedForeword ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies (ISO member bodies). The work of preparing Internat

13、ional 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 I

14、SO, 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 c

15、ommittees 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 th

16、e 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 23081-2 was prepared by Technical Committee ISO/TC 46, Information and documentation, Subcommittee SC 11, Archives/record

17、s management. This first edition cancels and replaces ISO/TS 23081-2:2007, which has been technically revised. ISO 23081 consists of the following parts, under the general title Information and documentation Managing metadata for records: Part 1: Principles Part 2: Conceptual and implementation issu

18、es BS ISO 23081-2:2009ISO 23081-2:2009(E) ISO 2009 All rights reserved vIntroduction The ISO 23081 series describes metadata for records. This part of ISO 23081 focuses on the framework for defining metadata elements for managing records and provides a generic statement of metadata elements, whether

19、 these are physical, analogue or digital, consistent with the principles of ISO 23081-1. It provides an extended rationale for metadata for managing records in organizations, conceptual models for metadata and a high-level element set of generic metadata types suitable for any records environment en

20、compassing, for example, current document or records management implementations or archival implementations. It defines the generic metadata types both for records entities as well as other entities that need to be managed in order to document and understand the context of records. This part of ISO

21、23081 also identifies, for key entities, a minimum number of fixed aggregation layers that are required for interoperability purposes. The models and generic metadata types outlined in this part of ISO 23081 are primarily focused on the “records” entity. However, they are also relevant to the other

22、entities. This part of ISO 23081 does not prescribe a specific set of metadata elements. Rather, it identifies generic types of metadata that are required to fulfil the requirements for managing records. This approach provides organizations with the flexibility to select specific metadata to meet th

23、eir business requirements for managing their records for as long as they are required. It provides diagrams for determining the metadata elements that may be defined in a particular implementation and the metadata that could apply to each aggregation of the entities defined. It acknowledges that the

24、se entities can exist at different layers of aggregation. It defines generic metadata types that are expected to apply at all layers of aggregation, while alerting implementers to specific metadata elements that may only apply at particular layers of aggregation. Implementing metadata for managing r

25、ecords in organizational and system settings involves a number of choices, which are determined by the circumstances of the organization, the systems in place and the requirements for managing records. Building upon the principles of ISO 23081-1, this part of ISO 23081 provides further explanation o

26、n the underlying concepts of metadata schemas for managing records, offers practical guidance for developing and constructing those schemas from an organizational point of view and finally goes into issues relating to the implementation and management of metadata over time. This part of ISO 23081 is

27、 intended for records professionals (or persons assigned within an organization for managing records in any environment) responsible for defining metadata for managing records at any layer of aggregation in either a business system or dedicated records application software, systems/business analysts

28、 responsible for identifying metadata to manage records in business systems, records professionals or systems analysts addressing system interoperability requirements involving records, and vendors, as suppliers of software applications that support and enable the creation, capture and management of

29、 metadata over time. BS ISO 23081-2:2009BS ISO 23081-2:2009INTERNATIONAL STANDARD ISO 23081-2:2009(E) ISO 2009 All rights reserved 1Information and documentation Managing metadata for records Part 2: Conceptual and implementation issues 1 Scope This part of ISO 23081 establishes a framework for defi

30、ning metadata elements consistent with the principles and implementation considerations outlined in ISO 23081-1. The purpose of this framework is to a) enable standardized description of records and critical contextual entities for records, b) provide common understanding of fixed points of aggregat

31、ion to enable interoperability of records and information relevant to records between organizational systems, and c) enable reuse and standardization of metadata for managing records over time, space and across applications. It further identifies some of the critical decision points that need to be

32、addressed and documented to enable implementation of metadata for managing records. It aims to identify the issues that need to be addressed in implementing metadata for managing records, identify and explain the various options for addressing the issues, and identify various paths for making decisi

33、ons and choosing options in implementing metadata for managing records. 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

34、 document (including any amendments) applies. ISO/IEC 11179-1, Information technology Metadata registries (MDR) Part 1: Framework ISO 15489-1:2001, Information and documentation Records management Part 1: General ISO 23081-1:2006, Information and documentation Records management processes Metadata f

35、or records Part 1: Principles 3 Terms and definitions For the purposes of this document, the terms and definitions given in ISO 15489-1, ISO 23081-1, ISO/IEC 11179-1 and the following apply. BS ISO 23081-2:2009ISO 23081-2:2009(E) 2 ISO 2009 All rights reserved3.1 archival system organized collection

36、 of hardware, software, policies, procedures and people, which maintains, stores, manages and makes available records over time 3.2 attribute characteristic of an object or entity ISO 11179-1:2004, definition 3.1.1 3.3 business system organized collection of hardware, software, supplies, policies, p

37、rocedures and people, which stores, processes and provides access to an organizations business information 3.4 class description of a set of objects that share the same attributes, operations, methods, relationships, and semantics ISO/IEC 19501:2005, Glossary 3.5 conceptual data model data model tha

38、t represents an abstract view of the real world NOTE A conceptual model represents the human understanding of a system. ISO 11179-1:2004, definition 3.2.5 3.6 entity any concrete or abstract thing that exists, did exist, or may exist, including associations among these things EXAMPLE A person, objec

39、t, event, idea or process. NOTE An entity exists whether data about it are available or not. ISO 11179-1:2004, definition 3.2.10; ISO/IEC 2382-17:1999, definition 17.02.05. 3.7 metadata for managing records structured or semi-structured information, which enables the creation, management, and use of

40、 records through time and within and across domains NOTE See ISO 23081-1:2006, Clause 4. 3.8 records application software specific application used to maintain, manage and provide access to an organizations record resources BS ISO 23081-2:2009ISO 23081-2:2009(E) ISO 2009 All rights reserved 34 Purpo

41、se and benefits of metadata 4.1 Purposes of metadata for managing records 4.1.1 General Organizations need information systems that capture and manage appropriate contextual information to aid the use, understanding, management of, and access to, records over time. This information is critical for a

42、sserting authenticity, reliability, integrity, usability and evidential qualities of records. Collectively, this information is known as metadata for managing records. Metadata for managing records can be used for a variety of purposes within an organization to support, identify, authenticate, descr

43、ibe, locate and manage their resources in a systematic and consistent way to meet business, accountability and societal requirements of organizations. Records application software and business systems with records functionality manage records by capturing and managing metadata about those records an

44、d the context of their creation and use. Records, particularly in the form of electronic transactions, can exist outside of formal records application software, often being created in business systems serving specific purposes (for example, licensing systems). Records are used and understood by peop

45、le who possess, or have access to, sufficient knowledge about the processes being undertaken, the people involved in the transaction, the records generated and their immediate context. Such records are not always robust, for reasons including the following. a) Contextual linkages can be unwritten an

46、d dependent upon individual and group memory. Such reliance on unwritten contextual understanding is not dependable; some people have access to more knowledge than others, over time the usability of records will be compromised by staff movement and diminishing corporate memory. b) The records often

47、lack explicit information needed to identify the components of a transaction outside the specific business context and are therefore difficult to exchange with other related business systems for interoperability purposes. c) The management processes necessary to assure the sustainability of the reco

48、rds for as long as they are required are not usually a feature of such systems. 4.1.2 Amount of metadata There are practical limits to the amount of contextual information that can be made explicit and captured into a given system in the form of metadata. Context is infinite, while a single informat

49、ion system has finite boundaries. Further contextual information will always exist outside the boundaries of any one system. A single records application software system only needs to capture as much metadata as is considered useful for that system and its users to interpret and manage the records for as long as they are required within the system and to enable migration of those records required outside the system. Good metadata regimes are dynamic and can add additional metadata for managing rec