IMS 5047 MANAGING BUSINESS RECORDS
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1 1 IMS 5047 MANAGING BUSINESS RECORDS TOPIC 3 - Records Management Systems Week Eight: Metadata, data structures and the capture of records Objectives see Unit Outline Some of the objectives of this unit are: To develop an understanding of how systems are designed and implemented, so that they meet business needs and evidential requirements. To develop skills in the design and implementation of electronic recordkeeping systems. This topic covers these objectives, and week 8 relates to some of the core design elements for any recordkeeping system. Reading: *Two introductory papers by Frank Upward, et al: F.Upward, A.Picot, B Reed, Records as Evidence, 2002 (attached) F.Upward, Records Systems and Records Capture, 2002 (attached) An , 2002, from the RMAA listserv, 2002 linking recordkeeping, evidence and accountability, in the context of the Sarbanes-Oxley Act 2002 (USA). (attached) *AS ISO : Records Management, Part 2, s Records as Evidence.pdf (105kb) Records Systems and Records Capture.pdf (103kb) Sarbanes-Oxley .pdf (60kb)
2 2 Some metadata standards choose some to look at State Records South Australia, South Australian Recordkeeping Metadata Standard, January South_Australian_Recordkeeping_Metadata_Standard State Records NSW, Standard No 5, NSW Recordkeeping Metadata Standard, June National Archives of Australia, Recordkeeping Metadata Standard for Commonwealth Agencies, VERS Metadata Scheme, PROS 99/007 (version #2), Specification 2, April 2003 VERS website - Standards Australia, AS , AGLS Metadata Element Set & AS AGLS (Available via the Library s Standards On-line Premium Database) State Records Office NSW, Keyword AAA A Thesaurus of General Terms, 1998 Australia and New Zealand Land Information Council (ANZLIC) Metadata Guidelines: core metadata elements for geographic information in Australia and New Zealand (v2 - February 2001), 02/2001
3 3 Definitions (AS ISO 15489, unless otherwise stated below) These are summarised here but discussed in more detail in the notes that follow. Metadata data describing context, content and structure of records and their management through time. Metadata set A collection of elements designed to perform a particular purpose. For example, the NSW Recordkeeping Metadata Standard is a metadata set intended to facilitate the management of records within the NSW public sector. A metadata set may also be referred to as a metadata standard, schema or specification. NSW Recordkeeping Metadata Standard, Standard no 5, June Capture #1 the process of determining that a record should be made and kept. This includes both records created and received by the organisation. Capture #2 - a deliberate action which results in the registration of a record into a recordkeeping system. (AS General (Clause 4)) Similar to registration Registration the act of giving a record a unique identifier on its entry into a system. The purpose of registration is to provide evidence that a record has been created or captured in a recordkeeping system. It involves recording brief descriptive information about the record in a register and assigning the record a unique identifier. Registration should link the record to descriptive information about the context of the record and to other related records. (Australian Standard AS ) Indexing the process establishing access points to facilitate retrieval of records and/or information. (In electronic systems registration and indexing are the same process.) Eg. the allocation of codes, locations and a system for retrieval. Classification #1 the systematic identification and arrangement of business activities and/or records into categories according to logically structured conventions, methods, and procedural rules represented in a classification system. Classification #2 - The process of devising and applying schemes based on the business activities which generate records, whereby they are categorised in systematic and consistent ways to facilitate their capture, retrieval, maintenance and disposal. Classification includes determining document or file naming conventions, user permissions and security restrictions on records. (Australian Standard superseded- AS ) Controlled vocabulary - An alphabetical list containing headings which are authorised or controlled so that one heading or form of heading is allowed to represent a concept or name. It contrasts with natural language. A controlled vocabulary is also referred to as a thesaurus. (Kennedy and Schauder, Records Management: A guide for students and practitioners of records management, p. 278)
4 4 (1) Capturing Records Determining which records should be captured into a recordkeeping system is based on an analysis of the regulatory environment, business and accountability requirements and the risk of not capturing the records. (AS ISO (Clause 9.1)) The requirement is likely to differ according to the type of organisation and the legal and social context in which it operates. Business or personal actions should be captured as records and linked with metadata which categorise their specific business context when they commit an organisation or individual to action, render an organisation or individual accountable, or document an action, a decision or a decision making process. Capture #1 the process of determining that a record should be made and kept. This includes both records created and received by the organisation. Capture #2 - a deliberate action which results in the registration of a record into a recordkeeping system. (AS General (Clause 4)) Similar to registration see below. What is the purpose of capturing records into a recordkeeping system? Establish a relationship between the record, the creator and the business context that originated it Place the record and its relationship within a recordkeeping system Link it to other records (AS ISO (Clause 9.3)) For example: in a paper-based records system, capture is done by putting documents in a chronological sequence in a file/folder that has a title. The grouping connects individual documents together, on a specific subject. In turn the documents are linked to their context by : Their relationship with each other. The chronology of time. Their relationship to the owner or creator of the file. The title or subject matter of the file. Adding papers to the file (capturing more records) becomes a deliberate/conscious process of determining which subject matter best suits each document, and placing it in a predefined sequence of documents on the relevant file. Files may be subject to a number of controls to assist in this process, eg. A titling system/scheme (classification). Numbering of documents within a file (for additional security). Additional indexing terms recorded, to assist retrieval later on. Security and access conditions applied. Retention/disposal conditions may be applied. Electronic records systems capture documents in a more deliberate and often more comprehensive process as capture and registration and classification occur at the same time.
5 5 How to establish the relationship between the record, the creator and the business context that originated it? METADATA Metadata Matadata #1- data describing context, content and structure of records and their management through time. (AS ISO 15489) A description or profile of a document or other information object which may contain data about its context, content and form or structure. Metadata #2 structured information that describes and/or enables finding, managing, controlling, understanding or preserving other information over time. (AS , AGLS Metadata Element Set & AS AGLS ) As such metadata is structured or semi-structured information that enables the creation, registration, classification, access, preservation and disposition of records through time and within and across the domains. Records management metadata can be used to identify, authenticate and contextualise records and the people, processes and systems that create, manage, maintain and use them and the policies that govern them. (Draft ISO Standard ISO/DIS Information and documentation Records Management Processes Metadata for Records Part 1 Principles, 2004) Uses of Metadata (Draft ISO Standard ISO/DIS Information and documentation Records Management Processes Metadata for Records Part 1 Principles, 2004) These are often related. For managing records see rest of notes. For e-business metadata about all stages of the e-business process can be captured including the location of a product, service, provider, and customer, the agreement of business terms and conditions, digital signatures and the business process transactions themselves. For preservation of information, especially digital information, for continued access is the concern of records management, library and archives communities. For resource description (i.e. items within a collection). These resources might be books, journals, videos, documents, images and artefacts. (AGLS is a good example of this.) For resource discovery, i.e. information retrieval, overlap with and extend beyond descriptive metadata (above). 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. For rights management (ie. the management of the rights over and use of an individual s or organisation s intellectual property). It encompasses the description, valuation, trading, monitoring and tracking of those rights and requires metadata that describes the three key entities involved in the use of intellectual property. They are the parties involved (e.g. creator, publisher and consumer); the content including both the creative content and its form; and the rights themselves (e.g. permissions, constraints and rewards for use).
6 6 Metadata for managing records Metadata is used in the process of records capture, registration, classification, indexing and assigning security status. See Metadata Tools below. Think about different types of systems that keep records - how is this metadata captured? Hardcopy files - how is the metadata captured? Manually - eg - a list is kept in a Word document. E-Records kept on the network drive - what context is there? Is it reliable? In a MS application - properties can be assigned to record context, and the columns of the drive (in list mode) provide context. systems? Context is usually provided by the message envelope (addressee, sender, date time) and the header information (transmission details such as date and time of sending, sender, recipients, time at the system gateway, full return address, full internet address, path traversed, encoding, attachment). Line of business applications or databases? Some of the metadata is the fields. Sometimes this information is behind the scenes ie as a user no information is available on the screen as to who entered, modified or deleted the data and when it was entered or modified or deleted - but this information is likely - in a good system - to be available to a systems administrator. (2) Registration of Records Registration the act of giving a record a unique identifier on its entry into a system. The purpose of registration is to provide evidence that a record has been created or captured in a recordkeeping system. It involves recording brief descriptive information about the record in a register and assigning the record a unique identifier. Registration should link the record to descriptive information about the context of the record and to other related records. (Australian Standard AS ) Registration involves allocating the following metadata as a minimum: Unique identifier assigned from the system. The date and time of registration A title or abbreviated description The author, sender or recipient. More detailed registration links the record to its context, content and structure and to other related records. What metadata might you attach to an electronic record? Document name or title Description/abstract Date of creation Date and time of communication and receipt Incoming, outgoing, internal Author
7 7 Sender Recipient Physical Form Classification according to the classification scheme (see below) Links to related records documenting the same sequence of business activity Business system from which the record was captured Software application and version of software in which the record was created or captured. Standard with which the records structure complies (SGML, XML) Details of embedded document links, including software and versions Templates required to interpret the document structure Access Retention Period Other structural and contextual information useful for management purposes (List from AS ISO , cl 4.3.3) If a classification scheme is used, the record is classified at the same time it is registered. (3) Classifying Records Classification #1 the systematic identification and arrangement of business activities and/or records into categories according to logically structured conventions, methods, and procedural rules represented in a classification system. Classification #2 - The process of devising and applying schemes based on the business activities which generate records, whereby they are categorised in systematic and consistent ways to facilitate their capture, retrieval, maintenance and disposal. Classification includes determining document or file naming conventions, user permissions and security restrictions on records. (Australian Standard superseded- AS ) Best example of this is a function or business-based Classification Scheme, used to group e-docs in virtual folder or to title and group paper-based files. Further descriptive details can be attached to a record by using Vocabulary Controls such as a list of authorised headings or thesaurus. The requirement for further levels of control depends on the size and complexity of the organisation, and the level of accountability, public scrutiny or risk. Controlled vocabulary - An alphabetical list containing headings which are authorised or controlled so that one heading or form of heading is allowed to represent a concept or name. It contrasts with natural language. A controlled vocabulary is also referred to as a thesaurus. (Kennedy & Schauder, Records Management: A guide for students and practitioners of records management, p. 278) The terms in the thesaurus are controlled to ensure consistency in titling, regardless of who is titling and where the titler may be. This means that the meanings and the way in which they should be used together (their relationships) are prescribed. Controlled vocabulary includes keywords, activity descriptors, subject descriptors, related terms and non-preferred terms. The alternative to controlled vocabulary is free text.
8 8 (4) Indexing Records The process establishing access points to facilitate retrieval of records and/or information. (In electronic systems registration and indexing are also the same process.) Eg. the allocation of codes, locations and a system for retrieval. Index terms might include: Format of the record Further title details Subject content of the record An abstract Dates associated with transactions within the record (eg. a financial year) Names clients, organisations Other tasks associated with capturing records These include: Assigning rights or restrictions to access by staff (5) Applying links or relationships to other records (electronic or hardcopy) Identifying and assigning disposal status and retention period to the record. This can be automated in system design, especially if using a function-based classification scheme. (6) Determining where the record is to go eg. to a single person for action, into storage physically or committed to the database, or as part of a workflow. Metadata Tools Vocabulary Controls, eg. Classification Scheme Thesaurus Authorised list of subject headings Classification by : Subject or function > Used for titling records (can be known as a list of authorised headings ) > terminology based on business activity > Terminology is explained (scope notes) > Hierarchical Record types/formats - publications, document types (ministerials), maps/plans, audio visual records. Provenance - eg division; home locations and owner locations can segregate collections By action - if you want to attach a particular workflow (eg. FOI -28 days); By security and access. Thesaurus: Another controlled list of terms, could be hierarchical, but associative or equivalent relationships can also be indicated. Eg Keyword AAA
9 9 Security and Access Classification Scheme An access and security system - applying conditions or restrictions to access to records (either hardcopy via a key, or electronic via permissions to drives, applications etc) Use for legal or business reasons eg Privacy, FOI, security, Archives Apply to internal and external users Some examples of metadata schemes State Records Office NSW, Keyword AAA A Thesaurus of General Terms, 1998 (10pt text 168 pp long) handout extract State Records Office NSW, Keyword AAA Classification Scheme, 1998 State Records South Australia, South Australian Recordkeeping Metadata Standard, January South_Australian_Recordkeeping_Metadata_Standard National Archives of Australia, Recordkeeping Metadata Standard for Commonwealth Agencies, This last standard describes the metadata that NAA recommends should be captured in the recordkeeping systems used by Commonwealth government agencies. It is designed to be used as a reference tool by agency corporate managers, IT personnel and software vendors involved in the design, selection and implementation of electronic recordkeeping and related information management systems. It defines a basic set of 20 metadata elements (eight are mandatory), within 6 layers, and 65 subelements that may be incorporated within such systems, and explains how they should be applied within the Commonwealth sphere.
10 10 Extract: Features of the Commonwealth Recordkeeping Metadata Set + see handout Layers Registration Element 14. RECORD IDENTIFIER 10. DATE 18. LOCATION Terms and conditions Structural Contextual Content History of use 2. RIGHTS MANAGEMENT 19. DISPOSAL 11. TYPE 12. AGGREGATION LEVEL 13. FORMAT 17. PRESERVATION HISTORY 1. AGENT 7. RELATION 9. FUNCTION 20. MANDATE 3. TITLE 4. SUBJECT 5. DESCRIPTION 6. LANGUAGE 8. COVERAGE 15. MANAGEMENT HISTORY 16. USE HISTORY Individual agencies may add new elements and/or sub-elements to the basic metadata set to suit their particular business recordkeeping requirements. Draft ISO Standard ISO/DIS Information and documentation Records Management Processes Metadata for Records Part 1 Principles, 2004 It provides guidance in understanding, implementing and using metadata within the framework of ISO It addresses the relevance of records management metadata in business processes and the different functions of records management metadata in managing records. It will consist of three parts:: Part 1: Principles Part 2: Implementation issues Part 3: Evaluation of existing metadata sets and initiatives to ISO
11 11 VERS Metadata Scheme, PROS 99/007 (version #2), Specification 2 The purpose of this Specification is to define the metadata that may occur within a VERS Encapsulated Object (VEO). The metadata defined in this Specification has a number of functions: To structure the information contained within the VEO. To document the standards and specifications used in producing the VEO. To contain a digital signature and sufficient information to verify the signature. To describe the record or folder and its relationship with other records or folders in the recordkeeping system. To contain information used to document the history of the record or folder. To support the management of the record or folder. A recordkeeping system must be capable of generating the mandatory metadata defined in this Specification when exporting a VEO. The metadata that supports the management, finding, and retrieval of the electronic record is the metadata used by the National Archives of Australia (NAA) in its metadata standard. Descriptive information about the NAA recordkeeping metadata has been derived directly from the NAA s Recordkeeping Metadata Standard for Commonwealth Agencies, but, where necessary, has been adapted to suit the Victorian administrative environment. See Table of Contents, or tree structure or graphical representation of all the metadata elements. (handout) AS , AGLS Metadata Element Set & AS AGLS Originated in the Commonwealth Government Objective was to produce a set of metadata elements which would improve the visibility, accessibility and interoperability of government information and services through the provision of standardized Web-based resource descriptions which enable users of search engines to locate the information or service that they require. Since 1998 the use of AGLS has spread beyond the public sector for which the standard was originally developed. In recognition of the wide potential adoption of AGLS within Australia, Standards Australia decided to adapt and issue AGLS as an Australian Standard in AGLS extends the Dublin Core Metadata Element Set of 15 descriptors, now issued by the American National Standards Institute as ANSI/NISO Z in Intended to make information on the Web more findable, more discoverable especially for users of government services. Using standardized descriptions makes web-based search engines do their job more efficiently. Primarily the creator of a resource (eg. a web page) will create the metadata that describes it.
12 12 19 element set: Creator Publisher Contributor Availability Title Subject Date Identifier Rights Description Source Language Relation Coverage Function Type Format Audience Mandate
13 13 Exercise Classification using a thesaurus for the fictional Department of Health. Write the appropriate keyword and descriptors from the list below to describe the following list of correspondence items. 1. Review of the accrual of employee sick leave 2. Purchase of a new vehicle for the car pool 3. Notification of the number of children immunised 4. Pest inspection at the hospital maternity unit 5. Nurses uniform changes 6. Restructuring the capital works department 7. Applications for a training course to delivery immunisations 8. Press release on the opening of the new hospital 9. Procedures to control the spread of HIV/AIDS amongst staff 10.Notice to staff on where the first aid kits are located
14 14 Exercise cont... EXAMPLE OF THESAURUS DISEASE CONTROL Immunisations Notifications Outbreaks ESTABLISHMENT Duty Statements Organisational Charts Organisational Structure EQUAL EMPLOYMENT OPPORTUNITY Grievances Harassment Procedures EQUIPMENT Acquisition Disposal Leases Maintenance FINANCE Audit Budgeting Financial Statements Taxation MEDIA RELATIONS Media Releases OCCUPATIONAL HEALTH AND SAFETY Accident Reports Procedures PERSONNEL Leave Recruitment Safety Training Uniforms PREMISES Capital Works Construction Gardening Pest Control Tendering
15 15 Manual/Paper Environment Record Capture and Metadata (1) Capture (2) Registration (3) Classification Subject Class Scheme Thesaurus Authorised list of subject headings Security (6) Location File (5) Links/relationships (4) Indexing Subject/title words Names Abstracts Dates (1) Capture (2) Registration Document (5) Links/relationships Other documents File/s (3) (Subject)Classification (4) Indexing Subjects Names Abstracts/précis Dates
16 16 Electronic Environment In an electronic environment, most of these functions are done at the same time, on creation of the document and capture into the EDRMS using the document or object profile. Some of it is captured automatically by the system, eg. author, date of creation, software application, version. (1) Capture (2) Registration (properties) (3) (Subject)Classification (properties) (6) Location Virtual Workflow e-document (5) Links/relationships Other documents Hardcopy objects Virtual folders (4) Indexing (properties) Profile index Full text index Format Dates (1) Capture (2) Registration Virtual folder (5) Links/relationships (3) Classification Subject Class Scheme Thesaurus Authorised list of subject headings Security (4) Indexing (properties) (6) Location virtual
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