This section outlines assumptions made in providing advice for implementation of the Technical Specifications' recordkeeping metadata schema in EDRMS. It also discusses EDRMS functionality, end users and metadata and ‘how to’ options for using the Technical Specifications.
Using the Technical Specifications with EDRMS
Assumptions
Background to EDRMS
End users and metadata
Archives New Zealand’s Technical Specifications can be used in electronic document and records management systems (EDRMS) implementations in three major ways. It can be used:
This Technical Guide has been written to help public office and local authority recordkeeping professionals to configure EDRMS so end users are required to do a minimum of manual metadata attribution.
These general guidelines have been written to apply to all EDRMS; they are not specific to one particular EDRMS.
Generally, EDRMS currently on the market are not able to implement the full relational 5 entity model specified in the Technical Specifications. For most, it will be necessary to flatten the entities (for more information see the section Flattening Recordkeeping Metadata). This Technical Guide has been written using the assumption that most EDRMS will be able to implement a single entity (records) set of metadata. Some may be able to implement a two-entity (records and agents) model while in the in the future, others may be able to implement a three-entity model (records, agents and relationships). Guidance is provided for all of these views of EDRMS.
This Technical Guide provides three options for simplifying the recordkeeping metadata schema for implementation in EDRMS. They are:
These options are further explored in the section Options for Simplifying Recordkeeping Metadata for Implementation in EDRMS.
Electronic Document and Records Management Systems (EDRMS) are metadata systems. They register records of various types (eg, files, documents) and formats (eg, email, audio, tapes, paper etc). The act of registration, or capture into the EDRMS, involves the assigning or associating of point of capture metadata to the record object. Metadata structures such as files/folders (aggregations of the conceptual entity record) are defined. These structures are logical or virtual structures, they are containers used for various management purposes, with which record objects are associated (or in some instances physically placed).
Once registered, a number of recordkeeping processes can be invoked or performed on a record object or aggregation (for example, classification, tracking, versioning, retrieval, storing, disposal etc). Individuals who interact with records are also registered into these systems. Different types of users have different user permissions which allow them to perform different recordkeeping processes in the system (for example, administrators, users etc). Through event logs associated with the record, they retain a trace of all the actions performed on the records.
Typically, EDRMS can be used to manage both paper and electronic records. When managing paper records, EDRMS are purely metadata systems. They contain structured information about the paper records, which themselves contain some of the metadata physically inscribed onto the record (for example, the physical file will often have a label generated from the EDRMS system containing its title, owner etc).
When managing electronic records, the EDRMS is typically both a metadata system and a storage place or repository for the electronic record objects, which are linked to the metadata.
EDRMS are usually relational databases and are designed to maximise performance and processing efficiency. Until recently, there have been no agreed recordkeeping metadata standards. Consequently, system vendors designed their systems to facilitate functionality. Some of the elements needed to sustain the record and its meaning are therefore not easily found or identified in standardised terms.
As organisations move to greater dependence on electronic records as the record of business, measures to ensure that these records can be maintained as long as they are required, with all their evidential characteristics, and can be migrated across systems, becomes very important. Techniques to maintain and manage electronic records all depend on metadata – hence the need to achieve as much standardisation as possible in identifying and capturing metadata in EDRMS.
Almost all recordkeeping metadata should be generated automatically, with very few metadata elements needing to be attributed manually. In setting systems up, implementers should be sensitive to the fact that users resist manually applying metadata of any kind to the record object.
While metadata is a concept of great significance to recordkeeping professionals, it has quite limited immediate interest to end users. Metadata requirements and language should remain mostly a background concern and not something that end users need to consider. While discussion with the business will be necessary to work out the initial configuration and set up of the EDRMS to suit particular records needs and business requirements, care should be taken not to talk in records-specific or metadata terminology.
After initial consultation about how to configure EDRMS to meet user needs, users’ interaction with metadata should be mediated through the EDRMS via drop down lists, automatic population of fields, confirming template values etc. However, where default values are used, the end user must understand when accepting the proposed default is appropriate. For example, if a default of unclassified is assigned to a file which a user knows will contain sensitive material, it is the responsibility of the end user to ensure that the assigned value is appropriate and that they will be held accountable for the default values assigned (for more information see the Electronic Recordkeeping Metadata Standard Requirement 2). Working out how this will be undertaken is up to individual implementations. Options may include:
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Last updated 28 September 2009