Metadata (or structured data about data) is a concept used by many groups concerned with structuring data for their specific purposes. This standard represents the recordkeeping view of metadata. It is specifically designed to meet the obligations of government organisations under the Public Records Act 2005 to create and maintain records over time.
A record is created to provide evidence of business activity. It may be created in any format. However, the content alone is not sufficient for a record to be considered authentic and reliable. Recordkeeping metadata gives context to the content and ensures that the essential characteristics are persistently linked together to form the record. Recordkeeping metadata enables the record to be managed according to recordkeeping principles.
There are broadly two forms of recordkeeping metadata: the metadata generated at the point the record is created or imported into a system; and the metadata generated as the record is used and maintained by the business.
The initial context of a record’s creation is documented in the metadata and
captured at the time a record is ingested/registered into a system which
manages it. This metadata is ‘fixed’, and should not be altered once the record
is captured.
Metadata about the processes of managing the record, including the creation
of the record, must be documented to ensure the integrity and authenticity
of the record so that alterations, linkages, and uses of the record can be
authoritatively tracked over time.
This standard contains principles relevant to creating and managing recordkeeping
metadata. These are further refined into requirements against which public offices
and local authorities can measure their compliance with this standard.
This standard is accompanied by Technical Specifications that set out a schema for
recordkeeping metadata, including a reference set of metadata elements and encoding schemes.
The Technical Specifications is a best practice document. The implementation of
the recordkeeping metadata schema defined in the Technical Specifications is not
mandatory under the Public Records Act 2005. However, this standard does require
organisations to map their critical business systems to the recordkeeping metadata
schema in the Technical Specifications (Requirement 5).
The schema in the Technical Specifications is a slightly modified version of the
National Archives of Australia’s Australian Government Recordkeeping Metadata
Standard (AGRkMS). The schema has been modified for use within the New Zealand recordkeeping and legislative environment. It is anticipated that this will form the basis of an emerging joint Australian and New Zealand (A/NZ) recordkeeping metadata schema. When that work is finalised, the Technical Specifications will be updated for compliance with the A/NZ recordkeeping metadata schema.
The schema represents an emerging consensus on a set of elements applicable to
recordkeeping in any environment. The Technical Specifications outline elements of
recordkeeping metadata which apply to any environment in which records are created and managed. It is forward-looking, anticipating environments capable of managing complex electronic transactional records that exist in webs of relationships. The schema provides a broad reference set of metadata elements, from which individual agencies will be able to draw particular elements suited to their environment, in addition to the minimum required.
The guidance document Guide to Implementing Recordkeeping Metadata in Electronic Document/Records Management Systems (EDRMS) will provide modified views of the recordkeeping metadata schema in the Technical Specifications suited to specific implementation environments.
The structure of this standard and its relationship to other metadata standards
is illustrated below
Recordkeeping can only be successfully undertaken once risk management issues
have been considered and addressed. Organisations should assess their systems and procedures against the potential risks associated with not creating and managing appropriate recordkeeping metadata. Organisations should then find ways to mitigate identified risks. The joint Australian and New Zealand standard AS/NZS 4360:2004 Risk management and the explanatory companion guidelines set out a framework for assessing risk which can be applied to recordkeeping issues.
Benefits of good recordkeeping can mitigate against the organisational risks of poor
or unfocused information management. Recordkeeping metadata allows organisations to specify the information their systems need to capture about records, and provides a standardised way of capturing, managing and using this information. The ultimate benefit of creating and managing recordkeeping metadata is the creation of full and accurate records.
| BENEFITS | HIGH LEVEL BUSINESS RISKS MITIGATED |
|---|---|
| Good management of electronic records. |
The inability of organisations to prove the integrity, authenticity and reliability of their electronic records. Insufficient contextual detail to ensure that records are identifiable, and able to be managed and interpreted. |
| Improved discovery and retrieval of electronic records through sufficient description and the use of controlled vocabularies and other schemes. |
Unlawful disposal of records. Failure to meet regulatory and compliance requirements. |
| Improved security for records and improved implementation of user permissions. |
The deliberate and untraceable alteration of records. Lack of trust from clients, customers and the public and damage to business relationships. Greater risk of embarrassment to the chief executive, minister, the government and private individuals. |
| Reduced risk of data loss, or accidental destruction of records, through the accurate identification and management of electronic records. |
Unlawful disposal of records. Failure to meet regulatory and compliance requirements. |
| The increased ability to demonstrate accountability through the existence of records which document actions and decisions. |
Inability to provide evidence of the organisation’s activities or undertakings. |
| Increased public confidence in the integrity of an organisation’s records. |
Organisational embarrassment, loss of credibility, lowered public confidence and damage to reputation. |
| Increased opportunities to automate business and recordkeeping processes, such as triggering disposal actions and integrating with workflow processes. |
Inability to automate business and recordkeeping processes. Business inefficiencies in key areas and disconnection of workflow management. |
| Enhanced capability for crossorganisational and cross-business process interoperability. |
Inability to transfer data across organisational systems. Systems unable to communicate, resulting in a disconnection of business processes. Business critical information is not accessible for the conduct of business, dispute resolution, legal challenge or evidential purposes. |
| The protection of organisational records of historical and cultural value, through their transfer to archival repositories. |
Responsibility for the loss of information that has enduring value to society and New Zealand’s cultural and national identity. |
| Enhanced credibility and avoidance of financial or legislative penalties by timely production of accurate records of business activity. |
Insufficient evidence to resolve disputes in a timely and authoritative manner. Inability to successfully defend legal challenges. Legislative and regulatory compliance cannot be assured. |
| Identification of vital records for disaster planning, so that organisations can continue to function in the event of severe disruption. |
Inability to function or deliver services due to temporary information loss or risk of permanently disabled capability. |
| An increased ability to plan for migration of records by identifying, in standardised and explicit ways, the software and hardware dependencies of records. |
Dependencies on proprietary systems. Inability to transfer data across organisational systems. Inability to retrieve and interpret records in obsolete formats or systems. |
Authoritative and credible recordkeeping is essential to good governance and reliable and consistent business practice and service delivery. Organisations may carry out recordkeeping audits and surveys to establish their capability and identify areas of weakness. These processes should form a sound basis for implementing business continuity, contingency and disaster planning programmes.
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