1、 Collection of SANS standards in electronic format (PDF) 1. Copyright This standard is available to staff members of companies that have subscribed to the complete collection of SANS standards in accordance with a formal copyright agreement. This document may reside on a CENTRAL FILE SERVER or INTRA
2、NET SYSTEM only. Unless specific permission has been granted, this document MAY NOT be sent or given to staff members from other companies or organizations. Doing so would constitute a VIOLATION of SABS copyright rules. 2. Indemnity The South African Bureau of Standards accepts no liability for any
3、damage whatsoever than may result from the use of this material or the information contain therein, irrespective of the cause and quantum thereof. ISBN 978-0-626-23648-9 SANS 23081-2:2010Edition 1ISO 23081-2:2009Edition 1SOUTH AFRICAN NATIONAL STANDARD Information and documentation Managing metadata
4、 for records Part 2: Conceptual and implementation issues This national standard is the identical implementation of ISO 23081-2:2009, and is adopted with the permission of the International Organization for Standardization. Published by SABS Standards Division 1 Dr Lategan Road Groenkloof Private Ba
5、g X191 Pretoria 0001Tel: +27 12 428 7911 Fax: +27 12 344 1568 www.sabs.co.za SABS SANS 23081-2:2010 Edition 1 ISO 23081-2:2009 Edition 1 Table of changes Change No. Date Scope National foreword This South African standard was approved by National Committee SABS SC 46D, Information and documentation
6、Archives/records management, in accordance with procedures of the SABS Standards Division, in compliance with annex 3 of the WTO/TBT agreement. This SANS document was published in February 2010. Reference numberISO 23081-2:2009(E)ISO 2009INTERNATIONAL STANDARD ISO23081-2First edition2009-07-01Inform
7、ation and documentation Managing metadata for records Part 2: Conceptual and implementation issues Information et documentation Gestion des mtadonnes pour linformation et les documents Partie 2: Concepts et mise en oeuvre SANS 23081-2:2010This s tandard may only be used and printed by approved subsc
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13、ghts reservedSANS 23081-2:2010This s tandard may only be used and printed by approved subscription and freemailing clients of the SABS .ISO 23081-2:2009(E) ISO 2009 All rights reserved iiiContents Page Foreword iv Introduction.v 1 Scope1 2 Normative references1 3 Terms and definitions .1 4 Purpose a
14、nd 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 Implementing metadata for man
15、aging records 27 Bibliography33 SANS 23081-2:2010This s tandard may only be used and printed by approved subscription and freemailing clients of the SABS .ISO 23081-2:2009(E) iv ISO 2009 All rights reservedForeword ISO (the International Organization for Standardization) is a worldwide federation of
16、 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. Int
17、ernational 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 t
18、he 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
19、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 23081-2 was prepared by Technical Committee
20、 ISO/TC 46, Information and documentation, Subcommittee SC 11, Archives/records 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 metad
21、ata for records: Part 1: Principles Part 2: Conceptual and implementation issues SANS 23081-2:2010This s tandard may only be used and printed by approved subscription and freemailing clients of the SABS .ISO 23081-2:2009(E) ISO 2009 All rights reserved vIntroduction The ISO 23081 series describes me
22、tadata 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 these are physical, analogue or digital, consistent with the principles of ISO 23081-1. It provides an extended ratio
23、nale 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 encompassing, for example, current document or records management implementations or archival implementations. It define
24、s 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 23081 also identifies, for key entities, a minimum number of fixed aggregation layers that are required for interopera
25、bility 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 entities. This part of ISO 23081 does not prescribe a specific set of metadata elements. Rather, it identifies generic
26、 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 their business requirements for managing their records for as long as they are required. It provides diagrams for determ
27、ining 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 these entities can exist at different layers of aggregation. It defines generic metadata types that are expected to apply
28、 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 records in organizational and system settings involves a number of choices, which are determined by the circumstances o
29、f 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 on the underlying concepts of metadata schemas for managing records, offers practical guidance for developing and const
30、ructing 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 intended for records professionals (or persons assigned within an organization for managing records in any environmen
31、t) 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 responsible for identifying metadata to manage records in business systems, records professionals or systems analysts
32、 addressing system interoperability requirements involving records, and vendors, as suppliers of software applications that support and enable the creation, capture and management of metadata over time. SANS 23081-2:2010This s tandard may only be used and printed by approved subscription and freemai
33、ling clients of the SABS .SANS 23081-2:2010This s tandard may only be used and printed by approved subscription and freemailing clients of the SABS .INTERNATIONAL STANDARD ISO 23081-2:2009(E) ISO 2009 All rights reserved 1Information and documentation Managing metadata for records Part 2: Conceptual
34、 and implementation issues 1 Scope This part of ISO 23081 establishes a framework for defining 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 co
35、ntextual entities for records, b) provide common understanding of fixed points of aggregation 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
36、 applications. It further identifies some of the critical decision points that need to be 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 t
37、he various options for addressing the issues, and identify various paths for making decisions 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, on
38、ly the edition cited applies. For undated references, the latest edition of the referenced 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: Gener
39、al ISO 23081-1:2006, Information and documentation Records management processes Metadata for 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. SANS 23081-2:2010Th
40、is s tandard may only be used and printed by approved subscription and freemailing clients of the SABS .ISO 23081-2:2009(E) 2 ISO 2009 All rights reserved3.1 archival system organized collection of hardware, software, policies, procedures and people, which maintains, stores, manages and makes availa
41、ble 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, procedures and people, which stores, processes and provides access to an organizations business information
42、 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 that represents an abstract view of the real world NOTE A conceptual model represents the human understanding
43、 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, object, event, idea or process. NOTE An entity exists whether data about it are available or not. ISO 11179-1:2
44、004, 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 records through time and within and across domains NOTE See ISO 23081-1:2006, Clause 4. 3.8 records appli
45、cation software specific application used to maintain, manage and provide access to an organizations record resources SANS 23081-2:2010This s tandard may only be used and printed by approved subscription and freemailing clients of the SABS .ISO 23081-2:2009(E) ISO 2009 All rights reserved 34 Purpose
46、 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 ass
47、erting 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, describ
48、e, 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 and
49、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 people 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 a
