electronic records management (erm) - aiim notes/erm-pract...title microsoft powerpoint -...

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Electronic Records Management (ERM)Managing electronic records effectively in the organisation

ERM ERM ERM Case Study

AIIM ERM Certificate Programme

ERMStrategy

ERMPractitioner

ERM Specialist

Case Study

2Copyright © AIIM | All rights reserved

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ERM Practitioner Course Outline

Foundations Classification Controls Technologies

1. Introduction

2. Create & Capture

4. Introduction to Classification

5.Developing Classification Tools

7. Search 10. RM Technologies

8. Controls & Security

11. Storage Technologies


3. Metadata 9. Retention & Disposition

12. Digital Preservation

6. Classifying Records

MODULE 3:MODULE 3: METADATAHow to create and manage metadata for electronic records


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Learning objectives

At the end of this session, you should be able tto:Describe what metadata is and its usesIdentify sources of metadataDescribe methods for collecting and applying metadata

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metadata

Copyright © AIIM | All rights reserved

Agenda

Metadata concepts and standards3.1

Applying metadata to records

Automated metadata collection

3.3

3 4

Metadata sources3.2

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Automated metadata collection3.4


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Definitions of metadata

•From ISO 15489“Data describing context content and structure of records and Data describing context, content and structure of records and their management through time”

•From ISO 23081“Initially, metadata define the record at its point of capture, fixing the record into its business context and establishing

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fixing the record into its business context and establishing management control over it.”


So, what is metadata?

Metadata = “Data about data”F d t d thi d t hFor a document or record this means data such as its author, its title, the issue date, and other information which can usefully be associated with it

Nothing new or uniqueDefined in terms of units called “Elements” or “Fields ”

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Fields.Some support “sub-elements” or “attributes”


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So, what is metadata?

An ERM system will hold metadata about items in its repository in two main categories:items in its repository in two main categories:Essential (mandatory), to identify and manage the itemOptional, to provide more information about it

Metadata applied to records, volumes, files,

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Metadata applied to records, volumes, files, and classes


Benefits of metadata

1. Ensuring accessibility of records over time2. Facilitating ability to understand records3. Supporting evidential value of records4. Ensuring the authenticity, reliability, and

integrity of records5 M i i d i ht

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5. Managing access, privacy, and rights


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Benefits of metadata cont’d

6. Efficient retrieval 7. Interoperability8. Links between records and context9. Identification of the technology environment

used to create the record and needed to access it

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access it10.Migration and preservation of records


Types of records-related metadata


Source: ISO 23081-1

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Metadata about the record

Provides minimal, but essential information b t itabout an item

May come directly from the file itselfExamples: Contributor, Creator, Date, Identifier, Status, Title, or Document Type


Metadata for discovery and context

Supports search and retrieval functionalityMore precise and targeted searches against a range of criteriaFacilitates collection of items into ‘virtual files’ that satisfy certain criteriaExamples: Audience Accessibility

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Examples: Audience, Accessibility, Addressee, Coverage, Description, Language, Location, Publisher, Relation, or Source


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Agent metadata

Who created the recordWho has access to the recordWho has access to perform records-related functionsExamples: Indexer, Scanner, User, Manager, Owner or Reviewer

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Owner, or Reviewer


Administrative metadata

Provides information on how to manage a llresource generally

Often includes technical metadata intrinsic to the file or its locationExamples: File Type, File Date, Compression Type or Access Level

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Type, or Access Level


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Records management metadata

Supports management of the item as a recordDesigned to identify, authenticate and contextualise records and the people, processes and systems that create, manage and use themExamples: Aggregation Digital signature

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Examples: Aggregation, Digital signature, Disposal, Mandate, Preservation, RightsStub metadata


Business-specific metadata

Use additional metadata elements and refinementsrefinements

Adding own refinements to standard metadata elements

P t fMedia.colour What we

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Parts ofDOD 5015.2

+ Media.densityApproval Level

= What weneed


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Examples of business-specific metadata

A business organisation might add a new refinement such as “date invoicepaid” to itsrefinement such as date.invoicepaid to its documents and recordsA university might introduce a Student element to label items specific to particular student groups


Mandatory vs. optional metadata

Metadata has to come from somewhere –d b t d f land be accurate and useful

Applying too many metadata inputs when creating or saving an item may be tedious to some users:

Too many mandatory entries can be counter-

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Too many mandatory entries can be counterproductiveToo many optional entries may be seen as just that – optional


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Metadata for physical objects

If the items are movable, then a Location t d t l t b i t tmetadata element becomes important

It helps if the physical items are labelled with text, barcodes, or have RFID chips attached

Record-keeping information and actions can l t h i l bj t j t ith

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apply to physical objects just as with electronic items – for example retention periods and disposal instructions


Agenda




3.2

3.3

3 4

Metadata sources

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Records as metadata sources

Intrinsic metadata from the electronic fileFile date, title, file format, file size, etc.

The contents of the record


Manual data entry

Users expected or required to enter i f ti i t fil fi ldinformation into profile fieldsData entry into recordkeeping systemData entry into document metadata

Data entry staff vs. all users


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Document metadata/properties

Most office automation applications are bl f ti t d tcapable of accepting metadata

Example: Microsoft Office permits the entry of document Properties (under the File/Properties menu)

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Properties can consist of basic Summary information, and more detailed Custom data.


Metadata entry in Microsoft Office


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Records and inherited metadata

Records are declared into a fileThe item will have accumulated metadata entries during its lifeThe act of record declaration adds more metadataMore metadata can be ‘inherited’ from the file

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More metadata can be inherited from the fileMetadata can also be inherited from role


Records and inherited metadata cont’d

Title: 2009 Contract.docFile format: Word 2007

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e o at o d 00File size: 48.927 bytesFile date: Jan 2, 2009


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Metadata from other data sources

Metadata can be read from existing data sourcesLegacy applicationsDatabases


Metadata for classes, files etc.

Records are not the only objects that can i h it t d tinherit metadataClasses inherit metadata…Files inherit metadata…Volumes inherit metadata…


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Agenda


Automated metadata collection3 4

3.3

3.2


Metadata sources

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Perspectives on metadata

Entering metadata is often called “indexing” Different users of an ERM system will have different views of what metadata can do for them, and what metadata is requiredBusiness perspectiveRecords management perspective

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Records management perspectiveUser perspective


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Manual metadata entry

Users enter metadata from original recordPaperDigital

Application may prescribe types and/or values of metadataControlled vocabulary

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Controlled vocabularyData masks

Expensive!


Extraction from the record

Intrinsic metadata from the propertiesRecognition technologiesOCR/ICRBarcode recognitionSpecialised recognition technologies


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Metadata can be read or copied from existing d tdata sourcesData already stored in logical structuresData already cleansed and deduplicatedManual or automated



Customer ID 12345678Last Name WilkinsFi t N JFirst Name JesseDate of Policy 2/29/2008Date of Renewal 2/28/2009Coverage Type COMP RRCoverage Type COMP URCoverage Type COMP A2


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Controlled vocabularies

Supporting tools based on collections of terms hi h t d ib t fwhich users use to describe aspects of a

record, other than its business contextAllow records to be described using only 'official terms'


Controlled vocabularies - types

Simple lists SFSynonym rings

Classification schemeThesauriNaming conventions

SF

San Francisco

Frisco


Bay Area

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Agenda


3.2 Metadata sources

3 4

3.3



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3.4 Automated metadata collection


Automated metadata capture

Software can helpDocument templates can contain code to capture metadataTemplates can also contain ‘bookmarks’, ‘fields’ and other features to ‘grab’ metadata


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Automated metadata capture

Software can also be used to look-up details f th ( l d )of the user (as logged on)Author name and detailsJob title and departmentOther default values

Automate if you can!

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Automate if you can!One entry limit?


Metadata for disposed records

Records management has been described “th t f th i thi ”as “the art of throwing things away”

Most record collections get disposed of, after a review at the end of their retention periodIn many systems some metadata will be

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In many systems some metadata will be kept and additional metadata added


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Metadata for disposed records

Usually a whole file or series will be removedA record of what was disposed of could be kept, based on metadata The identifiers (ERM system and node information)Opening and closing dates (for classes and files)Disposal refinements (Retention schedule ID

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Disposal refinements (Retention schedule ID, disposal date, authorised by, and an optional comment)


Example after disposal of objects

C

C C C

C C C CC C C CC C

C C C C

S

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F FF F F

V VV V V V

S

S SS

S

S

S

S


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In this module we covered:

Summary

Metadata concepts and standardsMetadata sourcesMetadata collection and validation

In the next module we will introduce classification

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classification


electronic records management (erm) - aiim notes/erm-pract...title microsoft powerpoint -...

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