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Electronic records management

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Emerging problem. ISO15489. Application environments. Literature. Term of ... to consistency, talking to software designers. Characteristics of requirements ... – PowerPoint PPT presentation

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Title: Electronic records management


1
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Electronic records management
  • end of 2004.

Malcolm Todd, The National Archives LUCAS 24/11/04

3
Overview
  • Records management
  • Unprecedented spend on EDRM technologies, 2004,
    2005 targets
  • General characteristics
  • Positioning, meaning
  • Development of a UK software market
  • Sustainability, cumulation of confidence

4
Targets
  • Modernising government white paper, 1999
  • All? service online by 2005
  • All public records to be stored and retrieved
    electronically by 2004?
  • Some re-interpretation over time
  • Target IM / KM / ESD FOI / Information
    Governance
  • Priorities

5
EDRM technologies
  • Unprecedented capital spend
  • programs or evidence of programs
  • Functional requirements 1999, 2002
  • Evaluation scheme http//www.nationalarchives.gov
    .uk/electronicrecords/function.htm
  • Very successful

6
What is a document?
  • Emerging problem
  • ISO15489
  • Application environments
  • Literature
  • Term of art?
  • Documentary form
  • Cant be assumed
  • Is an application the answer?
  • ERM synonymous with RM

7
ERMactivity, not software
  • Intellectual control BCS, naming conventions
  • Change management user buy-in, other changes.
  • Some need to take UK practice to a higher
    conceptual level to deal with these issues
  • Conceptualisation imp. to consistency, talking to
    software designers

8
Characteristics of requirements
  • Lifecycle simulation
  • Support intellectual organisation
  • Support execution of policies
  • Capture integration, finalise, manage,
    dispose
  • Access, audit, fix, etc..

9
Pragmatic approach in UK tradition
  • DoD based on theoretical approach of UBC project
    preceding InterPARES 1
  • DoD 5015 more document-based
  • 2002 revision has required us to be on our mettle

10
Capture
  • Map from O/S, application fields, business
    systems
  • Circumstances of capture, finalisation
  • DM integration can vary., analogy.
  • e.g. workflow

11
Disposal
  • Scheduling
  • Inheritance
  • Auditability
  • Structured export of objects and metadata
  • Openness

12
Metadata
  • Its all about metadata!
  • ERMS advanced metadata tool
  • Metadata accrual though process
  • Linkage between metadata and object
  • Openness

13
Positioning the requirements
  • Not just about the testing scheme, but
  • 10 approved against 2002 requirements
  • Formal testing programme
  • Standard scripts
  • Transparent process, not a procurement scheme
  • Reputation for rigour
  • Interest in Canada, EU, SA, developing world

14
Positioning the products
  • Many are offerings of DM sector
  • Some required substantial architectural changes
  • Metadata esp.
  • Export
  • Openness
  • Varying degree of supplier understanding
  • More mainstream now

15
Limitations
  • Not a panacea, not the system
  • User buy in, integration, intellectual control
  • Maintenance
  • Office systems policy records
  • Not suitable for, e.g. databases
  • Legacy of unmanaged electronic records

16
Developments
  • Sustainability agenda later
  • Standard metadata, within wider e-Govt standard
  • Interoperability between platforms
  • Preserving recordness
  • Schema representation in XML
  • Feedback into archival preservation arena
  • Finalise 2005?

17
What TNA has to accession
  • Best available record
  • Records of public inquiries
  • Exotic objects
  • Non-standard metadata
  • Different environment, incl. Hybrid
  • Still records!

18
Thats it .for now!
  • http//www.nationalarchives.gov.uk/electronicrecor
    ds/
  • malcolm.todd_at_national archives.gov.uk

19
Lifecycle vs. continuum
  • Traditional view under scrutiny
  • Early 1990s -
  • Upward et al., Monash University
  • Influential in Australian theory and practice
  • Particularly powerful in digital environment
  • Relationships not always traditional,
    hierarchical

20
Why?
  • Repurposing
  • IM / KM agendas
  • Early identification and care for archival
    material
  • Functional appraisal?
  • Assoc. with DIRKs meth.gy
  • Basics of digital preservation
  • Storage cheap, management is not
  • Influential metadata work SPIRT project, late
    1990s
  • CRMP project, now

21
More.. metadata
  • Metadata requirements post-Bearman and UBC
  • Post DCMI
  • Same school of thought as AS4390
  • ISO15489, 23081.
  • http//www.sims.monash.edu.au/research/rcrg/resear
    ch/spirt/spirtmethod.html

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SPIRT entity model 1
.
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SPIRT entity model 2

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SPIRT entity model 3
.
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Observations
  • Like DIRKS, not just about records
  • Rigid?
  • Complex, bureaucratic?
  • Strong theoretical basis
  • Against several traditions
  • Commonality with much other thinking on esp.
    digital records
  • Powerful even if you dont buy the theory
  • Research methodology

26
Metadata
  • SPIRT lies behind most Antipodean metadata
    initiatives in our field
  • RKMS, NSW, SARKMS,
  • New draft pan-Australasian standard
  • Highly developed structured complex
  • Includes archival description record is a
    record, state of becoming

27
Metadata
  • Metadata as evidence
  • ERM paradigm lots available, more is good!!
  • Mapped to RD standards
  • Not part of them, difft. information model
  • Acruall is continuous
  • Contrast IP1 typology
  • Inconclusive?
  • Diplomatic approach
  • Different tradition
  • Very different research methodologies

28
UK approach
  • Pragmatic embedding of ERM m/d in e-GMS
  • Some perception, maintenance difficulties
  • Wider standards link helpful
  • Aiming at more demanding interoperability than
    searching
  • Incorporate basic preservation metadata into
    schema role of PRONOM technology watch

29
The wrong way to do it
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Better!
31
ERM vs. RD metadata
  • Evidence
  • Auto-capture
  • Context
  • Structure
  • Export objects linked to metadata
  • Information content
  • Web pages
  • Searching
  • Flat
  • Errr..Searching!

32
Draft XML schemas
  • Smoking out all sorts of significant issues
  • Conceptualisation very difficult
  • Terminology not settled ISO23081 part 2
  • 2 versions published so far, press articles
    placed
  • 2005 finalisation?
  • http//www.govtalk.gov.uk

33
Thank you for listening
  • Any questions?
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