Metadata: Moreq and RKMS

FACULTY OF INFORMATION MANAGEMENT

UNIVERSITI TEKNOLOGI MARA

Master of Science in Information Management

(IS 770)

Management of Electronic Records

(SMM 750)

INDIVIDUAL ASSIGNMENT:

MOREQ AND RKMS AS A REPUTABLE STANDARD METADATA

By:

Mohamed Narazid Bin Mohd Dan

(2006652633 - FLP)

Prepared for:

Dr. Rusnah Bt. Johare


SMM750: MANAGEMENT OF ELECTRONIC RECORDS. OCTOBER 2007

1

Individual Assignment:

MOREQ AND RKMS AS A REPUTABLE STANDARD

METADATA

By:

Mohamed Narazid Bin Mohd Dan

(2006652633 – FLP)

Master of Science in Information Management

Faculty of Information Management

Universiti Teknologi MARA (UiTM)

Shah Alam, Selangor

17th October 2007



2

Table of Contests

Abstract 3

1.0 Introduction 4

2.0 Metadata 6

2.1 Conceptual Definition 6 2.2 Types, Principal and Features 10

2.3 The Values, Uses and Functions 14

3.0 Records 20

3.1 Theoretical Definition 20 3.2 Electronic Record 21

4.0 Model Requirements of Electronic Record (MoReq) 23

4.1 Introduction 23 4.2 MoReq Specification 25 4.3 The Uses of MoReq 26 4.4 MoReq: The weaknesses 28 4.5 MoReq: The Strength 29

5.0 Australian Record Keeping Metadata Schema (RKMS) 31

5.1 Introduction 31 5.2 RKMS: A Record Keeping Metadata 32 5.3 RKMS: The Elements and Uses 33 5.4 RKMS: Summary of Elements and Qualifiers 38

6.0 MoReq and RKMS Towards Reputable Standard Metadata 42

6.1: MoReq 42 6.2 RKMS 43

7.0 Conclusion 47

8.0 Bibliographies 48



3

Abstracts: The overall aim of this paper is to review and summarize two metadata standards in electronic records management. One of the intentions is to understand on MoReq (Model Requirements for the Management of Electronic Records) and RKMS (Australian Record Keeping Metadata Schema) able to perform as a reputable metadata standard in electronic record territory. This paper also examines the metadata elements including features and uses in their context. Finally, the paper concludes on the MoReq and RKMS as a reputable standard metadata in electronic record areas. Keywords: Metadata, Electronic Record.



4

1.0 INTRODUCTION

The emergence of computer technologies few decades ago has drastically

changed the requirements of metadata and its capabilities for using, capturing,

storing and retrieving. The growth of the Internet nowadays, with its focus on

accessibility to digital material stored has added a new level of the essence and

significant of metadata as a descriptive tool that facilitates the discovery and

retrieval of digital resources.

Metadata is a key to ensuring that resources will survive and continue to be

accessible into the future (National Information Standard Organization: 2004).

Metadata can describe resources at any level of aggregation such as collection,

a single resource, or a component part of a larger resource. Traditionally,

metadata is the information that was captured on file covers and index cards, and

is now being captured in electronic recordkeeping systems (Australian Society of

Archivists: 2004). Meanwhile, Gill (1998) mentioned that metadata is also often

used in the management and administration of digital network resources. This is

carry the meaning that metadata itself now becomes the significant information

that allows user to identify, find and manage records over the time in any

discipline of record management.

In the other category, metadata also can be embedding in a digital object or it

can be stored separately such as in HTML documents and in the headers of

image files. Yu, Lu and Chen (2005) agreed that metadata which have a

fundamental role of digital content before has now become an important part of

the global information construction in planning, processing, restoring and

managing. Meanwhile, Heery, Powell and Day (1997) pointed metadata has

become a fashionable term, and is often overused. In term of improve resource

discovery, metadata are also being developed for other purpose including

administrative control, security, personal information, management information,

content rating, rights management and preservation (Taylor: 2003).



5

Metadata provides the essential link between the information creator and the

information user. According to Dempsey and Heery (1998), metadata known as a

knowledge, where allows human and automated users to behave intelligently.

This paper will further explore on the two existing metadata in the records

territory as a reputable standard of metadata in electronic record management

areas.



6

2.0 METADATA

2.1 METADATA: CONCEPTUAL DEFINITION

Metadata is data about data. This statement are agreed by the several authors

such as Dempsey and Heery (1998), Bary (1996), Maxymuk (2005), Day (1998),

Yu, Lu and Chen (2005), Gilliland (1998), Gill (1998), McKemmish, Acland and

Reed (1999). In addition, Bary (1996) explained that metadata is an old

information management and engineering word that has been used for many

years in the design of information directories and systems.

In the other definition that has been highlighted by Taylor (2003), metadata is a

structured data that describes the characteristics of a resource. He explained

that each metadata schema usually have the characteristics such as limited

number of elements, the name of each element and the meaning of each

element. He added that metadata itself shares many similar characteristics to

the cataloguing that takes place in libraries, museums and archives. The

metadata record consists of a number of pre defined elements representing

specific attributes of a resource, and each element can have one or more

values. Figure 1 in the next page provides an example of a simple metadata

record that adapt from Taylor.

Meanwhile, Dempsey and Heery (1998) has given a preliminary definition of

metadata and declared that metadata is data associated with objects, which

relieves their potential user of having to have full advance knowledge of their

existence or characteristics. Bearman (1996), elucidate metadata as a

documentation which created by any computer system or digital application that

describes its design, functionality, performance and its use. Maxymux (2005) in

his further conclusion, clarify metadata as form of cataloging used to give

structure to unstructured digital information using standardized presentation and

content.



7

In the other sources that taken from Hendley (2007), metadata is the term used

in the computer industry to describe data that is held and associated with files

and folders to uniquely identify each content object, document or record and to

provide information on its content, context, structure and use. The metadata is

what is used to identify and retrieve the content, to organize it, control access to

it and assure its integrity.

Figure 1: Basic Metadata Record

Adapted from Chris Taylor (2003). An Introduction to Metadata, From World Wide Web http://www.library.uq.edu.au/iad/ctmeta4.html

Other delineation that has been raise by Evans, McKemmish and Bhoday (2005)

describe metadata as key component in the creation, management and

preservation of electronic records, as well as their innovative use as archives,

memory and knowledge. Gilliland (1998) in her further explanation, elucidate

metadata as an additional internal and external documentation for the

identification, representation, interoperability, technical management,

performance, and use of data contained in an information system. In addition,

Berners-Lee (1997) elucidates metadata as machine understandable information

about web resources or other things.

Through the international information and record management guidelines, the

conceptual of defining the metadata is wider and distinctness. ISO15489-1



8

Information and Documentation- Records Management (2001) and Territory

Record Office of Australian Capital Territory (2007) define metadata as “data

describing context, content, and structure of records and their management

through time.”

Meanwhile, Australian Society of Archivists (2004) defined the closer concept as

ISO15489-1 and Territory Record Office, where classify Metadata as the

information that allows user to identify, find, manage records over time and can

describe either paper or electronic records. It is information that captured on file

covers and index cards, and currently being capture in electronic recordkeeping

systems. The Minnesota Electronic Records Management Guidelines (2003)

provides one of the best descriptions and rationale for metadata where identify

metadata allows users to locate and evaluate data without each person having to

discover it further with every use. Its basic elements are a structured format and

a controlled vocabulary, which together allow for a precise and comprehensible

description of content, location, and value.

The definition of metadata also provided by the National Information Standards

Organization (2004). It states metadata is a structured information that describes,

explains, locates, or otherwise makes it easier to retrieve, use, or manage an

information resource. In addition, Model Requirement for the Management of

Electronic Records specification (2001) defined Metadata as structured or semi

structured information which enables the creation, management and use of

records through time and within and across domains in which they are created.

Table 1 in the next page is summarizing the definitions that given from several

sources in the different perspectives from the IT context, records management

context, archival context and information management context.



9

Table 1: Metadata Definitions from Several Perspectives

Authors Metadata Definitions Perspective Overview

Dempsey and Heery (1998), Bary (1996), Maxymuk (2005), Day (1998), Yu, Lu and Chen (2005), Gilliland (1998), Gill (1998), McKemmish, Acland

and Reed (1999)

Data about Data General

Bary (1996) Old information management and engineering word

Information Management

Taylor (2003) Structured data that describes the characteristics of a resource

Record Management

Dempsey and Heery (1998) Data associated with objects Record Management

Bearman (1996), Documentation which created by any computer system or digital application that describes its

design, functionality, performance and its use

Information Technology

Maxymux (2005) Form of cataloging used to give structure to unstructured digital information using standardized

presentation and content

Record Management

Hendley (2007) Describe data that is held and associated with files and folders to uniquely identify each content object, document or record and to provide information on its content,

context, structure and use

Information Technology

Evans, McKemmish and Bhoday (2005)

Key component in the creation, management and preservation of electronic records, as well as their

innovative use as archives, memory and knowledge

Record Management

Gilliland (1998) Additional internal and external documentation for the

identification, representation, interoperability, technical

management, performance, and use of data contained in an

information system


Berners-Lee (1997) As a machine understandable

information about web resources

or other things.


ISO15489-1 Information and Documentation- Records Management (2001) and Territory Record Office of Australian Capital Territory

(2007)

Data describing context, content, and structure of records and their

management through time

Record Management

Australian Society of Archivists (2004)

Information that allows user to identify, find, manage records

over time and can describe either paper or electronic records

Archival and Record Management



10

National Information Standards Organization (2004)

Structured information that describes, explains, locates, or otherwise makes it easier to retrieve, use, or manage an

information resource

Information Management and Record Management

Model Requirement for the Management of Electronic Records specification (2001)

Structured or semi structured information which enables the

creation, management and use of records through time and within and across domains in which they

are created

Information Management and Record Management

From the above classifications and outlines that has been given from the various

authors about the conceptual definition of metadata, able to conclude that

metadata itself as an entity of information where indicates context, content and

composition of records that can describes either paper or electronics records for

the management purpose either in business management, government

management or any organization management.

2.2 METADATA: TYPES, PRINCIPLES AND FEATURES

Metadata generally divided into three categories where includes the Descriptive

metadata, Structural metadata and Administrative metadata (Franks and Kunde:

2006). This assertion also supported by the National Information Standards

Organization (2004) and Day (1998) where giving the same classification of

metadata types. The descriptive metadata describes a resource for purposes

such as discovery and identification. Metadata in this area can include such

elements as author, title, and abstract. Elements that one would find in a typical

bibliographic record are examples of metadata. Meanwhile, the structural

metadata indicates how compound objects are located together, like the pages

and chapters in an e-book or the audio and text in a power point presentation.

The last categories of metadata is administrative metadata which provides

information to help manage a resource, such as when and how it was created,

file type and other technical information, and who can access it. Table 2 in the

next page is explained the types and function of metadata.



11

However, from the other sources Maxymuk (2005) and Gilliand (1998) has

pointed five types of metadata where added another two more types - Technical

and preservation metadata. The technical metadata outlines file characteristics

such as file format, scanning specifications, file size, software used, quality, and

extent. Meanwhile, preservation metadata is used to document the preservation

process used to create the digital object or collection.

According to Bearman (1996) the common types of metadata are includes

software and hardware documentation, information locator system such as GLIS,

Institutional Resources Directory System (IRDS), business classification system

and filing guidelines, standard and protocol for data structuring, input and output,

audit trails, and cataloging records.

Table 2: Types of Metadata and Their Functions

Type Definition Examples

- Acquisition information

- Rights and reproduction tracking

- Documentation of legal access requirements

- Location information

- Selection criteria for digitization

- Version control and differentiation between similar information objects

Administrative Metadata used in managing and administering

information resources

- Audit trails created by recordkeeping systems

- Cataloging records

- Finding aids

- Specialized indexes

Descriptive Metadata used to describe or identify information resources

- Hyperlinked relationships between resources



12

- Annotations by users

- Metadata for recordkeeping systems generated by records creators

- Documentation of physical condition of resources

Preservation Metadata related to the preservation management of

information resources

- Documentation of actions taken to preserve physical and digital versions of resources, e.g.,

data refreshing and migration

- Hardware and software documentation

- Digitization information, e.g., formats, compression ratios, scaling routines

- Tracking of system response times

Technical Metadata related to how a system functions or metadata

behave

- Authentication and security data, e.g., encryption keys, passwords

- Pages are ordered to form chapters. - Maps physical files (digital assets) to logical

items (complex digital objects)

- Scanned print material - A/V Material

Structural Metadata used for storage of objects in a repository and

for presentation

- Multimedia presentation

- E books

Adapted from Anne J. Gilliland (1998). Setting the Stage: Introduction to Metadata. Retrieved

24 August 2007, From World Wide Web http://www.getty.edu/research/conducting_research/standards/intrometadata/setting.html

In order to effectively develop the robust metadata, it is requiring a constructing

the theoretical framework for metadata principles and its uses (Han, Lee and

Jeong: 2006). They added that Metadata must have adequateness, where must

be designed in a community oriented or domain oriented manner. The metadata

must meet the functional requirements of applications and services required by

community, based on syntactic, semantic and operational features of information

resources. In this point, able to conclude that the systematic development of

metadata schema requires analyzing the conceptual features of community

information resources and the business guidelines.



13

Metadata must entail the modularity and reusability, where the reuse of well

define metadata is more effective to realize the quality of the representation.

When reusing metadata through the composition of schemas in the specific

domain, it should achieve the interoperability of heterogeneous metadata

elements and provide a mechanism to satisfy local requirements for the specified

domain. Metadata schema should secure modularity for the reusability, and

provide a mechanism for the interoperability.

Han, Lee and Jeong (2006) and National Information Standards Organization

(2004) also mentioning that Metadata must provide an appropriate level of

interoperability in functional requirements of communities or domains.

Interoperability is the ability of multiple systems with different hardware and

software platforms, data structures, and interfaces to exchange data with minimal

loss of content and functionality. The realization of interoperability requires

conceptual mapping or cross work for data elements.

Refinement and Specialization of Metadata pursues the generalization for the

representation of information resources in communities or domains. They added

that in the real applications of metadata schema, the communities tend to require

more specialized data elements to capture domain specific features including

functional requirements. Meanwhile, metadata also must have the Extensibility

where divided to two forms that include the addition of new data elements and

the mechanism for the accommodation of specified applications or local

requirements. The addition of new data elements is a management problem

related to the standards of metadata schemas. Application profiles can solve the

constraints on data element and semantic interoperability for accommodating

specified applications or local requirements.

In addition, Gilliland (1998) in her literature highlighted on three basic features of

metadata that includes content, context, and structure where can reflect through

metadata itself. The Content relates to what the object contains or is about, and



14

is essential to an information object. Context indicates who, what, why, where,

how aspects associated with the object's creation, while Structure relates to the

formal set of associations within or among individual information objects. There

are similar point as Gilliland that has been elucidated by Rusch-Feja (1998),

where defined six features of metadata which related to identification and

resource discovery purposes (“resource discovery"), access conditions and

usage requirements (“terms and conditions"), structural aspects (“structure"),

contextual aspects (“context"), content aspects (“content"), the use of this

resource (“use history").

Through the evidences and related sources, able to conclude here that metadata

are carry the complex and precision forms on their types, features and principles

that can benefits on the overall usage to the users in the context of record

management cycle. A good metadata can identify which systems, record types

and data elements exist within an organization. It also helps the system monitor

and describe itself, enforcement of standards, facilitate archival identification,

appraisal, and description of electronic records, implement records retention

schedules, facilitate short and long term retrieval and perform a collection of

statistics.

2.3 METADATA: THE VALUES, USES AND FUNCTIONS

According to Day (1998), the computer science community primarily applies

metadata to help administer and manage resources as well as for documentation

purpose. Meanwhile, Dempsey and Heery (1998) pointed that metadata will

assist effective human use of resources and become knowledge where allows

human and automated users to behave intelligently. They added that metadata

will become integral to the web and desktop applications as an organizing

component to support information management and navigation.



15

Maxymux (2005) elucidate that using metadata is a one part of building a digital

collection. For example, such metadata allows libraries and publishers to

maintain a safe copy of owned digital resources and allows users to harvest,

organize, and archive digital assets. Metadata consists of complex structures that

can be expensive to create and maintain (Gilliland: 1998). The development of

the World Wide Web and other networked digital information systems has

provided information professionals with many opportunities, while at the same

time requiring them to confront issues that they have not had occasion to explore

previously. Gilliland added that metadata will increase the accessibility through

the effectiveness of searching that can be significantly enhancing the consistent

metadata.

Metadata can also make it possible to search across multiple collections or to

create virtual collections from materials that are distributed across several

repositories, but only if the descriptive metadata are the same or can be mapped

across each site. Such functions of metadata are includes the implementation of

specific rules for authentication of records such as specifying which records are

authenticated, by whom and how. It also helps to identify an authoritative record

when multiple copies or versions exist and document procedures used in the

removal and transfer of inactive records to archival storage.

Iannella and Waugh (1997), describe the uses of metadata in the significance

ways by justify few relevant elements and explained the eight points as

summarized in table 3. Meanwhile, metadata according to Gilliland is reacting as

retention of context. In the digital world it is not difficult for a single object from a

collection to be digitized and then to become separated from both its own

cataloging information and its relationship to the other objects in the same

collection. Metadata plays a critical role in documenting and maintaining those

relationships, as well as in indicating the authenticity, structural and procedural

integrity, and completeness of information objects. In addition, she described that

metadata are expanding it use through the digital information systems either in



16

museum and archival collections and make it easier to disseminate digital

versions of unique objects to users around the world.

Multi versioning is one of the uniqueness of metadata and its impotency to the

record management as clarify by Gilliland. She added that the existence of

information and cultural objects in digital form has heightened interest in the

ability to create multiple and variant versions of those objects. This process may

be as simple as creating both a high resolution copy for preservation or scholarly

research purposes and a low resolution thumbnail image that can be rapidly

transferred over a network for quick reference purposes.

In the other source, Day (2005) pointed another value of metadata in term of

facilitating data sharing and reuse. Large scale data sharing requires

standardized forms of data and metadata so that users are able to correctly

process the retrieved data. Many scientific disciplines and sub disciplines,

therefore, have been involved in developing standards that can facilitate the

exchange of data and metadata. He added the example on metadata sharing

where it is particular importance in the geosciences, where a number of

standardization initiatives have existed.

Day also elucidate on the value of metadata as a resource discovery and

retrieval. A large number of metadata standards have been developed to support

resource discovery, although most of these tend to be focused on particular

types of object or subject domain. The types of information required for resource

discovery tends to differ according to the type of digital object being described.

For document like objects, there tends to be a strong focus on the types of

information traditionally used by library catalogues or abstracting and indexing

services such as author and editor names, titles, abstracts and subject headings.

He also pointed that metadata standards supporting the discovery of images or

multimedia tend to include information describing semantic content as well as a

range of relevant technical characteristics.



17

Gilliland (1998) has stressed that metadata able to perform for helping in legal

issues. In this section, metadata allows repositories to track the many layers of

rights and reproduction information that exist for information objects and their

multiple versions. Metadata also documents other legal requirements that have

been entailed on objects such as the privacy concerns or proprietary interests. In

the other metadata value, she indicate that Metadata have the important role in

system improvement and economics. According to her, the technical data that

can be obtained automatically by a computer is necessary to evaluate and refine

systems in order to make them more effective and efficient from a technical and

economic standpoint. The data also can be use in planning and developing for

new systems.

Meanwhile, Gilliland (1998), Maxymux (2005), Day (2003) and National

Information Standards Organization (2004) agreed that metadata have the own

part values of preservation. If digital information objects that are currently being

created have a chance of surviving migrations through successive generations of

computer hardware and software or removal to entirely new delivery systems, it

is need to have metadata that enables to exist independently of the system that

is currently being used to store and retrieve. Technical, descriptive, and

preservation metadata that documents how a digital information object was

created, maintained, behaves and relates to other information objects will be

essential.

In the other sources, Rusch-Feja (1998) clarify that metadata are used to

describe digitized and non digitized resources that located in a distributed system

in a networked environment. According to her, metadata are most frequently

used in three ways as <META Tags> in the HEADER of HTML-documents,

separate file of Meta-Information <META =. . . > to describe a non-HTML-file

(sound, image, or program file) and as a database category in a subject-oriented

WWW-server or distributed information system (with its own Harvester and/or

search engine).



18

Metadata are essential to data management as enlightened by Pavlovic (2007).

He pointed four valuable aspects of metadata in exposing quality information to

clients and users, ensuring the right data for the right purpose, enabling discover

and search operations on products, services and resources. Meanwhile, Hofman

(2004) mention that metadata able to ensuring that business systems are

captured through a managed records, preventing unauthorised access, risk

mitigation, providing sustainability of systems and for long term retention of

electronic records.

Table 3: The Uses of Metadata

Summarize the meaning of the data

Allow users to search for the data

Retrieve and use a copy of the data

Instruct how to interpret the data

To give the history of data such as the original source of the data and any

subsequent transformations

To give contact information about the data such as the owner.

To indicate relationships with other resources

Iannella and Waugh (1997)

To control the management of the data such as archival requirements and

destruction authority

Day (1998) Help administer and manage resources for documentation purpose – Computer

Science

Dempsey and Heery (1998)

Assist the effective human use of resources and become knowledge - allows human and automated users to

behave intelligently

helping in legal issues Gilliland (1998) Planning and developing for new

systems.

Rusch-Feja (1998)

describe digitized and non digitized resources that located in a distributed system in a networked environment

exposing quality information to clients and users,

Pavlovic (2007)

Enabling discover and search operations on products, services and resources.

ensuring that business systems are captured through a managed records

The Uses of

Metadata

Hofman (2004)

Providing sustainability of systems and for long term retention of electronic

records.



19

From the above sources, able to conclude that in term of acting as a key

component in electronic records, metadata has the own values that can benefit

and giving the advantages to the territory of digital collections and also to

electronic records management areas.



20

3.0 ELECTRONIC RECORDS

3.1 RECORD: THEORETICAL DEFINITION

There are several delineation and definition about record in the various contexts.

Baltin (2002), Fresko (2005) and Territory Record Office of Australian Capital

Territory (2007) defined record as recorded information in any form, created or

received and maintained by an organization or person in the transaction of

business or the conducts of affairs and kept as evidence of such activity.

Meanwhile, according to the Federal Records Act (1950) a record is, “recorded

information, regardless of medium or characteristics, made or received by an

organization that is evidence of its operations and has value requiring its

retention for a specific period of time.”

As elucidated in National Archives and Records Administration (NARA) records

are include, “… all books, papers, maps, photographs, machine-readable

materials, or other documentary materials, regardless of physical form or

characteristics, made or received by an agency of the U. S. Government under

Federal law or in connection with the transaction of public business and

preserved or appropriate for preservation by that agency or its legitimate

successor as evidence of the organization, functions, policies, decisions,

procedures, operations, or other activities of the Government or because of the

informational value of the data in them.” The other definition of record has been

defined by Bearman (1996) where pointed record as a very specific type of

information and it should meet particular functional requirements in orders to be

considered trustworthy.

In the other literature, Mc Kemmish and Ward (1999) pointed record as a

recorded information in any form created or received and maintained by an

organization or person in the transaction of business or the conduct of affairs and

kept as evidence. They added that records have a fixed content, structure that



21

can continually be represented and enough persistently linked contextual

information to support meaning over time and beyond the domain in which they

were created.

3.2 ELECTRONIC RECORDS

Nowadays the form of record have been change from the manual record to the

digital and electronic record due to the drastically emergence of information

technology. There are several definitions on the concept of electronic record, but

the meaning is equally same on describing the delineation. Emery (2005)

highlighted that electronic records is a professional discipline that is primarily

concerned with the management of document based information systems. He

added that the purpose of records management is to promote economies and

efficiencies in recordkeeping, to assure that useless records are systematically

destroyed while valuable information is protected and maintained in a manner

that facilitates its access and use.

Meanwhile, the Minnesota Recordkeeping Metadata Standard (2003) defined

electronic record as a created, generated, sent, communicated, received, or

stored by electronic means. In addition, Model Requirement for the Management

of Electronic Records specification (2001) described a simple term of electronic

record as a record which is in electronic form. Another definition has been

highlighted by Thibodeau (2003) where pointed that electronic record as a

document encoded in digital form and requiring a computer for the processing.

According to the Kentucky Department for Libraries and Archives (2007),

electronic record is a record created, generated, sent, communicated, received,

or stored by electronic means. This is means that electronic records must be

maintained in a reliable and secure format for the entire retention period. They

added that electronic records are machine readable and require hardware and



22

software to be interpreted. To manage electronic records efficiently and

effectively it require automate processing trough the incorporate laws,

regulations, policies, sound archival and records management principles in the

system. Indirectly it will make electronic records more self describing and self

validating to facilitate processing and management.

The further discussion in this paper will elaborate the elements of Model

Requirement of Electronic Records (MoReq) and Australian Record Keeping

Metadata Schema (RKMS) as a reputable standard metadata in electronic record

territory.



23

4.0 MODEL REQUIREMENTS FOR THE MANAGEMENT OF

ELECTRONIC RECORDS (MoReq)

4.1 INTRODUCTION

The Model Requirements for the Management of Electronic Records (MoReq) is

a generic specification for systems designed to manage electronic records. It

can be used to design, select, and audit such systems (Piers: 2003). Moreq been

produced in 2001 in the framework of the IDA programmed as a comprehensive

specification of the functional requirements for the management of electronic

records (European Commission Archival Policy: 2007) and (Model Requirements

for The Managements of Electronic Records Specification: 2001). MoReq used

as basis for national regulations in several European countries and describes the

functional requirements from IT systems for managing electronic files called

ERMS (Electronic Records Management Systems). Fresko (2004) pointed that

MoReq covers the minimum requirements for good management of electronic

records. As MoReq mainly focuses on managing static documents in terms of a

classic document management system, it provides a starting point to develop

advanced specifications on the basis of a generally accepted platform.

In addition, MoReq able to assist organizations to ensure that the Electronic

Records Management System and procedures that develop comply with records

management principles. MoReq is created to be applicable to the private and

public sectors and it is become an international in scope and has translated into

the languages of the European member states (Handley: 2007). MoReq also

provides a template on setting out the requirements by describing each

requirement and then giving a detailed definition statement of each function

making recommendations if the function should be "mandatory" or "desirable."

An effort was made by the EU Document Lifecycle Management (DLM) Forum to

set up a new EU de facto standard (MoReq2) and an associated compliance



24

testing with an appropriate organization. The overall aims for the MoReq2

development are to build extended functional requirements within a European

context and to support a compliance scheme, strengthening from MoReq that

have become key areas and covering important new areas of requirements with

clarity, ensuring that the functional requirements are testable and developing test

materials to enable products to be tested for compliance with the requirements

and making the requirements modular to assist application in the various

environments in which they will be used (Handley: 2007) and (European

Commission Archival Policy: 2007).

To provide compatibility, MoReq2 is to be an evolutionary update to the original

MoReq, not a radically different product. The MoReq requirements are to be

arranged in a base module that constitutes the minimum necessary to provide

credible electronic records management and as optional modules. See Moreq2

optional modules in the figure 2 below.

Management of physical records and hybrid file retention and disposal (existing)

Document management and collaborative working (existing)

Integration with workflow (existing)

Casework (new)

Integration with content management systems (new)

Electronic signatures, encryption, electronic watermarking (existing)

Distributed systems (new, including existing requirements drawn from base and other sections)

Offline and remote working (new)

Definition and description of record keeping processes (new)

Fax integration (new)

MoReq optional Modules

Security categories

Figure 2: MoReq2 optional modules

Adapted from Handley, T. (2007). Managing information and documents: The definitive guide. Infoconomy Ltd & Cimtech Ltd. UK.



25

4.2 MOREQ SPECIFICATION

The MoReq specification is design to be pragmatic, easily used, and applicable

for all. According to Piers (2003), MoReq specification is clearly laid out and

structured and sometimes called a standard specification. There are separate

chapters covering classification schemes, controls and security, retention and

disposal, records capture, reference, search, retrieval, rendering, and

administrative functions. Other functions, such as managing non electronic

records, workflow, electronic signatures, encryption, electronic watermarks, and

workflow, are also touched upon. In addition, the specification covers

nonfunctional requirements such as ease of use, scalability, and technical

standards. In addition, there is an entire chapter on metadata requirements.

Macfarlane (2003), elucidated that MoReq specification was designed explicitly

with pragmatism and usability in mind. It was primarily intended to serve as a

practical tool in helping organizations meets their business needs for the

management of both computer-based and paper based records. Meanwhile,

Waldron (2002) in his literature, has pointed four main modules of MoReq where

includes core records management functions, other system functions that include

electronic signatures, document management and workflow, detailed metadata

elements and non functional aspects including operational needs and standards.

Figure 3 in the next page is explained the four main modules for MoReq as

described by Waldron.

Main Modules:

1. Metadata

2. Record management functions

3. Non functional Technical standard, Legal etc.

MoReq

4. Others function EDMS, Content, Workflow etc.

Figure 3: Main modules of MoReq



26

Adapted from Martin Waldron (2002). European Strategic Initiatives: Adoption of Electronic Records Management. Retrieved 23 September 2007, From World Wide Web: http://www.eapc.es/documents/2004/15061_erm_en.doc

Meanwhile, the Managing Information and Documents Guide (2007) have

pointed the twelve’s MoReq best module that included a few items as per figure 4

below:

1. Introduction

2. Overview of ERMS requirements

3. Classification scheme

4. Controls and security

5. Retention and disposal

6. Capturing records

7. Referencing

8. Searching, retrieval and rendering

9. Administrative functions

10. Optional modules (see below)

11. Non functional requirements

MoReq best module

12. Metadata requirements

Figure 4: MoReq best modules

Adapted from ________ (2007). Managing information and documents: The definitive guide. Infoconomy Ltd & Cimtech Ltd. UK.

MoReq are designed to be entirely generic. It does not consider any platform-

specific or sector-specific issues. MoReq consist 100 pages and 390

requirements where it is distributed as a Microsoft word document with 127

elements of metadata model in MoReq. The contents of Moreq as elucidated by

Fresko (2005) is included a reference model, glossary, introductory text,

references and appendices.

4.3 THE USE OF MOREQ

The European Commission Archival Policy (2007) and the Model Requirements

for The Managements of Electronic Records Specification (2001) elucidate

MoReq is widely utilized across the European Union and has achieved its

present status and intended to be used by:



27

User For

Potential ERMS users As a basis for preparing an invitation to tender

ERMS users As a basis for auditing or checking an existing ERMS

Training organizations As a reference document for preparing records management training, and as course material

Academic institutions As a teaching resource

ERMS suppliers and developers To guide product development by highlighting functionality required

Record management service

providers

To guide the nature of the services to be provided

Potential users of outsourced

record management services

As an aid in specifying the services to be procured

MoReq is useful on deciding between software applications that have been

certified as capable of managing electronic records, as its comprehensive list of

requirements could be used as prompt during this process.

MoReq's target audience is very broad, covering every economic sector,

business and public organizations. It also can be used as a basis for invitations

to tender for ERMS, evaluating software products, preparing records

management training and course material as a resource for training and

education in Electronic Record Management (ERM), teaching resource for

academic institutions, product development guide that highlights required

functionality for ERMS suppliers and developers and as a guide for records

management service providers as a basis for the development of products by

software suppliers (Waldron: 2002) and (Piers: 2003).

According to Waldron (2002), MoReq perform to setting out the system

requirements to support the e-business and e-government strategy. He added

that there are various activities in implementing the corporate e-business and e-

government program adoption by organizations that has move to an e-business

world that is influencing the way organizations do their business, the business

methods of meeting governments' statutory or regulatory requirements and the

way services are received from local and central government.



28

In the other sources, Crumpton (2003) pointed that Moreq is use to assist in

introduction of ERMS or assess an ERMS, addresses the formal records

management techniques such as retention and disposition and adopt the needs

of users who are office workers in using ERMS as part of their routine such as

Records Managers or Archivists.

MoReq also defines and develops other terms implied in the management of

documents, such as electronic files and volumes, classification schemes,

classes, management systems, user roles, access, movements, safety copies

and entity-relationship models. The creation of this standard will consent the

implementation and extension of record management automation, with the

ambition on the part of the European Commission to fulfill its objectives while

simultaneously facilitating the search and the access of information by citizens

for their own interest, thereby increasing transparency to a maximum (IBM

Corporation Newsletter:2007)

4.4 MOREQ: THE WEAKNESSES

MoReq cannot provide answers to such basic performance requirements as

acceptable retrieval times which, in fact, are likely to be critical in deciding among

otherwise suitable software applications.

In some situations, such as integrated financial management systems in the

public sector, a bespoke solution may be necessary or preferable because of a

sector's special requirements. For bespoke systems, however, MoReq's length is

a key issue. It is difficult to imagine many IT directors showing much enthusiasm

for adding another 128 pages of electronic records management specifications to

a new system's already substantial mainstream requirements. The cost would be

significant, and unfortunately, most organizations regard records management as

an occasionally useful, but not particularly valuable, service.



29

In the Information Age online magazine (2005), MoReq is identified are having

lacks of feature. In addition, MoReq also require to an update due to it is now

more than three years old and the records management software industry has

been developing fast.

4.5 MOREQ: THE STRENGTH

The use of metadata to enable the creation, management and use of electronic

records is essential to any ERMS, and MoReq mention that the metadata should

be extracted automatically. According to Chalder (2007), MoReq is as a

communications tool for achieving corporate buy in and explains concepts well,

with a minimum of technical jargon, and provides reasons for each group of

requirements. In this context, the comprehensive scope of the requirements turns

into a benefit. The document may have a useful career either in its original format

in explaining electronic records management issues to IT directors, senior

management, and other stakeholders who need to know more about the subject

than just the high level issues. Events may show that MoReq has the greatest

potential and benefit for a wider audience in this area

MoReq recognizes that documents made or received in the course of business

become records when they are captured by the organization’s information

systems. MoReq provides detailed guidance around security controls (such as

access control, backup and recovery from backup, controls over information

transfer, authenticity and confidentiality, and audit), as well as detailed coverage

of retention schedules, identifying the need for a review process prior to record

destruction that allows for an individual record’s retention date to be changed

Crumpton (2003) clarify that MoReq have the own essence where included

generic, rigorous, detailed treatment of hybrid files, detailed metadata model and

designed for all situations. In addition, Clemens (2003) pointed that MoReq



30

supplies a very detailed requirement for functional requirements of an electronic,

paper based records system management, relevant electronic transaction

processing and document management systems. MoReq includes guidelines for

the consideration from operational systems and management systems and does

not establish only requirements for custody of electronic recordings, but also for

the requirements of other electronic document gotten functions as workflow, E-

Mail and Electronic Signatures. The requirement check lists of MoReq represent

a kind of stencil for every field of application. In these requirement lists, all

requirements are described and every individual function specifies defines

Through the evidences given, via unique features and specific functionality of

MoReq, it was indirectly perform the extraordinary strength and intensity to be a

reputable metadata in electronic records territory. The widest of concept with

several values are bringing MoReq to be more effectiveness and convenience

metadata standard where can be utilize by the users as a symbol of references in

the electronic record areas.



31

5.0 AUSTRALIAN RECORD KEEPING METADATA SCHEMA

(RKMS)

5.1 INTRODUCTION

Australian Record Keeping Metadata Schema (RKMS) had developed in for the

understanding of metadata and it designed to reliably assist archival processes

(Day: 1998). Therefore, its objectives range from ensuring the appropriate

creation and disposal of record entities, to identification and authentication of

collection items, rights management, and documenting the history of a record.

RKMS is an extensible scheme that makes explicit connections between

business such as social and organizational activity, the people of agents who do

business and the records which are the by-products of that business. It is also

links the dynamic world of business and social activity to the passive world of

information resource management in cyberspace. Based on the data model used

by the Resource Description Framework (RDF) the schema elements have been

mapped against several major metadata schemas, including Dublin Core and

EAD.

As pointed by Minnesota Recordkeeping Metadata Development Committee

(2001), the goal of the RKMS is to help agencies to identify, authenticate,

describe, and manage their electronic records in a systematic and consistent way

to meet business, accountability, and archival requirements. RKMS developed by

the Records Continuum Research Group lead by Monash University. The project,

amongst other things, attempted to specify and standardize the whole range of

recordkeeping metadata that would be required to manage records in digital

environments (McKemmish, et al., 1999). RKMS is also known as the ‘mother’ of

all entity model recordkeeping metadata as clarify by Australian Society of

Archivists (2004). It is quite a complex scheme but covers all the sorts of things

about records and the associated functions and entities.



32

5.2 RKMS: A RECORDKEEPING METADATA

What is record keeping? Record keeping performs a making and maintaining

complete, accurate and reliable evidence of business transactions in the form of

recorded in information that includes a creation of records, design, establishment

and operation of recordkeeping systems, management of records currently used

in business and as archives (McKemmish et. al: 1999).

Recordkeeping metadata is structured or semi structured information that

enables the creation, registration, classification, access, preservation and

disposal of records through time and across domains. Recordkeeping metadata

can identify, authenticate, and contextualize records and the people, processes

and systems that create, manage, maintain and use them (State Records Office

of Western Australia: 2004). Meanwhile, record keeping metadata as pointed by

McKemmish and Ward (1999) is a standardized information that identifies,

authenticates, describes, manages, makes accessible through time and space

and captured in recordkeeping, archival, workflow knowledge and document

management.

Record keeping metadata has supports the electronic business and contributes

to the reliability and responsibility of business transactions. According to

McKemmish and Acland (1999), record keeping metadata enables access to

essential evidence of business activity in networked environments by promoting

the visibility of records, facilitating searches for records through common user

interfaces, enabling records to be located and accessed by authorized users over

time, ensuring that records are always complete, accurate, reliable and authentic,

representing the records identically to any authorized user at any time, making

the meaning of the records clear over time by linking them to their business

contexts and the people who created and use them, enabling delivery of records

to authorized users in accordance with access policies and user permissions,

restricting unauthorized access and use and supporting interoperability.



33

Recordkeeping metadata includes descriptive metadata about records and

context encompassing people, organizational structures, functions and activities,

systems and processes. The RKMS uses recordkeeping understandings to make

explicit connections between business, defined broadly to encompass all social

and organizational activity, the people or agents who do business, and the

records which are by products of that business.

In addition, McKemmish and Ward (1999) has stressed the point that RKMS is

possible to identify, categories, label and present in formal, standardized way the

metadata that supports recordkeeping through time and space regardless of

where, when or how that metadata is captured. According to them,

recordkeeping metadata needs to be specified using protocols and conventions

of wider metadata community.

5.3 RKMS: THE ELEMENTS AND USES

According to Kilkki (2001), RKMS allows for documentation of all and any records

management actions such as audit, custody transfer, declassification and

publishing. He added that the design of RKMS based on a consistent theoretical

analysis of a recordkeeping environment to identify all possible metadata

elements required to support a recordkeeping system maintaining complete,

reliable and authentic records.

Meanwhile, Day (2003) pointed that RKMS also concerned with supporting

interoperability with more generic metadata standards like the Dublin Core and

relevant resource discovery schemas like the AGLS Metadata Standard. The

schema defined a highly structured set of metadata elements was designed to be

extensible and to be able to inherit metadata elements from other schemas. In

addition, RKMS proposes a conceptual model composed of business, agents,

records, business record keeping, relationships, and mandates entities after



34

analyzing record management business environment (Han, Lee and Jeong:

2006).

The RKMS itself has been designed as a framework standard with the capacity

to encompass all recordkeeping activity (NSW Recordkeeping Metadata

Standard: 2004). This standard captures and maintains information about

records, the people and agencies that create and manage the standard, the

functions and processes that generate the standard and the recordkeeping

business activities that affect and regulate the standard. Because of its wide

scope, the RKMS is able to document records at the document, file, record

series, recordkeeping system or collective archive level and its capacity to

document people, functions or recordkeeping business activities is similarly

extensive.

RKMS provided 6 categorizes as elucidated by McKemmish et al. (1999). Its

react as a standardized set of structured recordkeeping metadata elements,

including as a framework for developing and specifying recordkeeping metadata

standards, framework for reading or mapping metadata sets, a classification of

recordkeeping metadata according to functionality or purpose, input to an

Australian National Standard for Recordkeeping Metadata and input to research

and development in the broader metadata community either in national stage and

international stage.

RKMS metadata elements is viewed as an activity common to many records

management actions and consequently it is embedded into terms and conditions,

structural, contextual and history of use layers. The design of RKMS is based on

a consistent theoretical analysis of a recordkeeping environment. As a theoretical

construct, the model is designed to identify all possible metadata elements

required to support a recordkeeping system maintaining complete, reliable and

authentic records.



35

The Recordkeeping Metadata Scheme elements included generic elements

which identify and describe features of the business contexts in which records

are created, the people or agents involved the records, and the relationships

amongst and between these entities and elements that relate specifically to

recordkeeping processes. The Recordkeeping Metadata Scheme elements are

presented three subsets which included Business Metadata, Agent Metadata and

Record Metadata (McKemmish and Acland: 1999).

The Business Metadata are identifies and describes business dealings and

sometime defined as social and organizational activity of all kinds and

establishes relationships between the business being done, the people or agents

involved and the records created and used. Business metadata can be used to

identify and describe business transactions and activities as well as the business

functions and broader societal purposes that they serve.

Meanwhile, the Agent Metadata identifies and describes people or agents that

create, control, manage and use records and establishes relationships between

an agent and other agents, the business being done and the records that

document it.

The last elements is Record Metadata where identifies and describes records,

establishes relationships between a record and other records, agents and the

business context; and describes and manages recordkeeping processes.

Records may be at any level of desegregation or aggregation such as

component of a record, a file, a records system, a corporate archive and

collective archives.

The elements and qualifiers defined in the Recordkeeping Metadata Schema

identify and describe significant features of the business contexts in which

records are created, managed and used (Mc Kemmish et al.: 1999). The links of

the elements are described as per figure 5 in the next page. It identify, name,



36

date and place the Business, Business Recordkeeping, Agents and Records

entities (Identifier, Title, Date, Place). The schema also specified Record to

Record, Agent to Agent, Business to Business, Business Recordkeeping to

Business Recordkeeping relationships, and link Business and Business

Recordkeeping entities to the Agents involved and the Records themselves.

In addition, the schema describe relevant mandates (Mandate), provide for the

functional classification of the entity (Functional Classification), state the

language or script in which the Business is conducted, the Agent does business

or the Record is captured, stored or rendered (Language), and provide for a brief

descriptive note (Abstract). In relation to the Business class and Business

Recordkeeping sub-class, the Business Rules element provides for description of

business rules, work processes, procedures and system specifications.

The RKMS indirectly enables management of recordkeeping functions, activities

and transactions that are concerned with creating, capturing, and managing

records, and enabling their use in transactions and activities relating to the

recordkeeping functions of appraisal, control, preservation, retrieval, access and

use of records. This is achieved through the unique Records metadata elements

of Appraisal, Control, Preservation, Retrieval, Access, and Use. There is also

provision for the tracking and documenting of recordkeeping processes (through

the Event History element).

RKMS provides for the importation of a full range of metadata elements, element

qualifiers, value components, and value qualifiers from another metadata

schema for any of its entities (Mc Kemmish et al.: 1999). RKMS also visualize

legacy of data values from another schema. Particularly when specifying

metadata associated with agents and business, it does not seek to create

separate recordkeeping views of these entities. Rather it enables reference to

metadata schemas that have been defined in other circumstances.

RKMS uses the convention of specifying the "names" of other metadata schemas

in RDF diagrams to indicate inheritance of sets and subsets of metadata



37

elements, qualifiers, and values, and to identify the authority by which they were

created. However, the metadata community as a whole is only beginning to

explore the complexity of and relationships between, the schemas that govern

and control metadata elements, qualifiers, and values.

Figure 5: Record Keeping Metadata Elements

As conclusion, RKMS has embraces traditional expression of the vision and view

records as potential self managing information objects, intelligent agents that

transact business in complex way and dynamic organizational and social

environments. This is the rich metadata provided through the RKMS where

supporting the necessary functionalities. This vision links the dynamic world of

business and social activity in information resource management.



38

5.4 RKMS: SUMMARY OF ELEMENTS AND QUALIFIERS

The below figures is a summarize of RKMS elements and qualifiers from

business elements, business record keeping elements, agents elements and

records elements as pointed by Acland (1999).

Figure 6: Business Elements



39

Figure 7: Business Record Keeping Elements



40

Figure 8: Agents Elements



41

Figure 9: Records Elements



42

6.0 MoReq AND RKMS TOWARDS REPUTABLE STANDARD

METADATA

6.1 MoReq

A true standard must be accepted by a practitioner community, either because it

is required by law or because everyone agrees to use it. Good standards provide

useful solutions in fields where common conventions are important and make

sense. A standard is successful if it solves technical problems, formalizes

solutions, and the market accepts it.

MoReq does successfully solve a technical problem and formalize a solution, but

the problem is not vital to the conduct of business (Piers: 2003). For an example,

businesses exchange e-mails or documents using ICT standards every day,

without needing to use a common electronic records management specification

standard. Piers added that each business or organization can effectively act as

an island with regard to specifying its ERMS without penalty.

A standardized electronic records management specification's main benefit is to

lower procurement costs by minimizing the work needed to produce technical

specifications. In the European Community's public sector, the area where

MoReq which could have had the greatest impact where the European

governments have not made compliance with MoReq as a requirement for

procurement decisions, but have chosen to develop their own specifications

Kilkki: 2001). But at the outside Europe countries, MoReq is still relatively

unknown.

The main beneficiary of an international specification would be the ICT industry,

especially those suppliers wishing to develop ERMS or electronic document

management solutions that will be marketable in different national contexts. Such

a specification would relieve suppliers of the cost burden associated with product



43

certification by individual national archives. In addition, an internationally

accepted specification would facilitate a global market for ERMS.

MoReq's developers should be clear if they want the initiative to form the basis of

an international standard: Develop the business case for an international ERM

specification and sell the concept to the ICT industry either make the bound to an

international standard or allow MoReq to go down.

Macfarlane (2006) indicate that model requirements are intended to be flexible

and can be tailored to different environments. MoReq2 will be building on the fact

of wide agreement and adoption of the original MoReq. In scope, it is to be an

evolutionary update to the original MoReq, not a radically different product.

MoReq 2 is not intended to shift its focus from mainstream management of

electronic records to a new area, such as specialist management of archives. In

extending the scope to compliance testing, it is known that the concept has been

proved already in several countries.

As a reputable standard metadata, MoReq are formally supported in the

European Commission’s Report on archives in the enlarged European Union,

also by the Council of the European Union who accepted the report and

recommended that reinforcement of European interdisciplinary cooperation on

electronic documents and archives should be taken further. The recommendation

also specifies that updating and extending MoReq.

6.2 RKMS

Mc Kemmish and Ward (1999), mention that RKMS require on the further

modeling of RKMS set and ensuring the sufficient in the Business, Business

Recordkeeping, Agents, and Records entities. The current RKMS conceptual

framework in terms of metadata element sets is compulsory to re examined.



44

Possible new models of the set include treating “relation”, “mandates” and

“business rules” as entities rather than elements, and possibly modeling entities

in terms of “events”

To become a reputable standard metadata, RKMS need to perform in describing

and modeling the relationships. The relationship is related to type such as

business activity, definition, date, mandate and business rules. The RKMS has

also pushed the description of relationships beyond the requirements of other

information resource metadata sets such as Dublin Core. While the conceptual

understandings of relationships is well developed in the RKMS, issues to do with

the taxonomy of relationships, the precision of the depiction of relationships and

the metadata expression of such relationships is a fruitful area for future research

in both the recordkeeping and wider metadata communities.

In identifying and describing Metadata Schemas, RKMS can be extended by

other metadata schemas and need to understand those schemas due to

schemas change over time (Mc Kemmish, Acland and Reed: 1999). Most

metadata communities visualize to use of metadata elements, qualifiers and

schemes from external metadata schemas. Use of external metadata requires

mechanisms for including and defining external metadata schemas. An exciting

area for further research that is closely related to the establishment of metadata

registries is the development of metadata sets to better define and describe

schemas. Recordkeeping description metadata has unique needs in this regard.

For recordkeeping purposes, the external schemas may need to be described in

terms of their period of validity, authority and so on.

Future work includes the development of a RDF schema for RKMS. RDF has

mechanisms for defining metadata schemas, for including external metadata

schemas, and for capturing the complex metadata structure that found in RKMS.

RDF also has the feature of having XML syntax (Extensible Markup Language,

http://www.w3.org/TR/REC-xml). XML has a number of features useful for



45

archival descriptions where it is definite, easy to generate and read by a

computer, extensible, supports internationalization, and independent. RDF/XML

can also be self describing where it can contain a pointer to a definition of own

structure.

Towards metadata standard, RKMS in formal mapping of metadata schemas has

done many maps such as EAD and CRS (Hofman: 2004). Mapping techniques

that can more rigorously depict and map the interrelationships between them are

needed. The RKMS has been designed as a framework in which other sets can

be mapped against each other. This facilitates the discovery of equivalences and

correspondences between them. The capacity for achieving semantic

interoperability between specific implementations of metadata when mapped

against a standardized set is one of the resulting benefits for the recordkeeping

community, nationally and internationally. However, currently, these mappings

are presented in comparative tables of elements and qualifiers, or as text. There

is a further research need to formalize these mappings in terms of the metadata

data model. This formalization would make the mappings amenable to machine

processing, allowing semi automated translation between metadata schemas.

This could also enable metadata, implemented in legacy systems, to be

translated by current metadata schema, thus making the metadata interoperable

in current system environments.

RKMS require to persistence new recordkeeping paradigms (Hofman: 2004).

Much recordkeeping context is expressed in the RKMS as references between

entities descriptions manifested in the relation element. For example, a Record

entity may reference the Agent entity which created it. The Agent entity may in

turn reference the Business Function which the Agent is implementing. A

problem with this method of recording context is that if a link cannot be “de-

referenced” then the context is lost. In the short term, uncertainties about

persistence of links may lead to implementation of recordkeeping metadata in

records centric ways if other systems cannot be trusted to sustain the links over



46

time, then metadata must be brought explicitly within the boundaries of the

records system itself. This involves capturing metadata directly into the records

system or importing it from the other enterprise systems in which it was originally

created.

For conclusion, RKMS and MoReq have presented their own credibility, integrity

and veracity on the few aspects in term of strongest conceptual and

trustworthiness in certain areas especially in record management territory. Table

4 below pointed the main key elements of MoReq and RKMS towards reputable

metadata standard.

Table 4: Key Elements towards Reputable Standard Metadata

Towards Reputable Standard Metadata

MoReq RKMS

Technical Successfully solve a technical problem and formalize a

solution

Mapping of metadata schemas- has done many maps such as EAD and CRS

Specifications Develop own specifications - ICT industry

perform in describing and modeling the relationships

Flexibility Flexible and can be tailored to different environments

require to persistence new recordkeeping paradigms



47

7.0 CONCLUSION

In reality, metadata is a useful and popular for managing and storing knowledge

in heterogonous format. Metadata is now seen as an essential part of the digital

world. In the other words, it performs the management and reuse of all kinds of

digital and non digital object. Metadata is recognized as an important point in

electronic record and metadata itself have move through time and space.

The Metadata standards had developed to support an extremely wide range of

activities. These include facilitating the discovery of objects, the management of

access and integration, documentation of object origins, life cycles and contexts

at all multiple levels of aggregation, focused on particular subject domains and

preservation of electronic records over the time

As a reputable standard metadata in electronic record territory, Moreq and RKMS

via its elements and specific features have gone through the tough challenge to

become an importance metadata which directly related to the roles they play in

supporting the discovery, management and preservation of digital resources.



48

BIBLIOGRAPHIES

Australian Society of Archivists (2004). Electronic Records Special Interest

Group Newsletter. Retrieved 24 August 2007, From World Wide Web

http://www.archivists.org.au/files/Branch_and_SIG_pubs/ERSIG/ERSIG_Newsletter/2

00403_ERSIG_Newsletter.pdf

Berners-Lee, Tim (1997). Metadata Architecture: Documents, Metadata, and

Links. Retrieved September 10, 2007 From World Wide

Web:http://www.w3.org/DesignIssues/Metadata

Barry, R.E. (1996). Making a Difference: Comments on Electronic Records

Management R&D Projects. Retrieved 19 August 2007, From World Wide Web

http://mybestdocs.com/barry-r-saa1996-er-rd.html

Bantin, P.C. (2002). Records Management in a Digital World. Research Bulletin.

Educause Centre for Applied Research. 16 (2002).

Calder, A. (2007). Email: A Best Practice Approach to Compliance and

Information Management. Retrieved September 24, 2007 From World Wide Web:

http://www.itgovernance.co.uk/files/03819%20White%20paper%20FInal.pdf

Clemens, R. (2003). Standard in the E-Government. PROJECT CONSULT

GmbH & Comprendium. Retrieved September 23, 2007 From World Wide Web:

www.project-consult.net/Files/20030219_EN.pdf

Crumpton, R. (2003). About MoReq and DLM: European Initiatives in Records

Management. Retrieved September 14, 2007 From world Wide Web:

http://www.arkivochdokument.se/library/2003/Konf%20F%20Records%20Managemen

t%20-%20About%20MOREQ%20and%20DLM%20-%20Roger%20Crumpton.pdf

Day, Micheal (1998). Issues and approaches to preservation metadata. Guidelines

for digital imaging. National Preservation Office and Research Libraries Group

preservation conference. 73-84.

Day, Micheal (2003). Preservation metadata initiatives: practicality,

sustainability, and interoperability. In Training Seminar on Metadata in Digital

Preservation. Germany: Marburg.

Day, Micheal (2005). Installment on Metadata. Retrieved 20 August 2007, From

World Wide Web: http://www.dcc.ac.uk/resource/curation-manual/chapters/metadata

Dempsey, L. & Heery, R.M. (1998). Metadata: A Current View of Practive and

Issues. The Journal of Documentation. 54 (2), 145-172.



49

European Commission Archival Policy (2007). Model requirements for the

management of electronic records (MoReq). Retrieved 27 August 2007, From World

Wide Web http://ec.europa.eu/transparency/archival_policy/moreq/index_en.htm

Evans, J., McKemmish, S. & Bhoday, K. (2005). Create Once, Use Many Times:

The Clever Use of Recordkeeping Metadata for Multiple Archival Purposes. Journal

Archival Science. 5 (1), 17-42.

Emery, P. (2005). Why Records Management?. Retrieved September 2, 2007

From World Wide Web: http://cmswatch.com/Feature/127-RM-101

Franks, Pat & Kunde, Nancy (2006). Why Metadata Matters. The information

Management Journal. 55-61.

Federal Records Act (1950). Retrieved September 10, 2007 From World Wide

Web: http://www.ed.gov/policy/gen/leg/fra.html

Fresko, M. (2005). MoReq and Beyond. Retrieved September 14, 2007 From

World Wide Web:

http://www.archives.govt.nz/continuum/documents/publications/s5.pdf

Fresko, M. (2004). MoReq – Model Requirement for Electronic Record

Management. Retrieved September 14, 2007 From World Wide Web:

http://dlmforum.typepad.com/MoReqPresentation_MarcFresko_copyrightCornwell.pdf

Gilliland, A.J. (1998). Setting the Stage: Introduction to Metadata. Retrieved 24

August 2007, From World Wide Web

http://www.getty.edu/research/conducting_research/standards/intrometadata/setting.ht

ml

Gill, Tony (1998). Metadata and World Wide Web: Introduction to Metadata.

Retrieved 24 August 2007, From World Wide Web

http://www.getty.edu/research/conducting_research/standards/intrometadata/index.htm

l Han, S.K., Lee, H.S. & Jeong, Y.S (2006). Conceptual Model of Metadata

Schema for Records Management. Retrieved 24 August 2007, From World Wide Web

ttp://grid.wonkwang.ac.kr/Paper/2006/Conceptual%20Model%20of%20Metadata%20S

chema%20for%20Records%20Management.pdf

Hendley, T. (2007). Managing information and documents: The definitive guide.

Infoconomy Ltd & Cimtech Ltd. UK

Heery, R., Powell, A. & Day, Michael (1997). Metadata. Library & Information

Briefings, 75.



50

Hofman, H. (2004). A Standard of Record Management Metadata. Retrieved

September 23, 2007 From World Wide Web:

http://www.sims.monash.edu.au/research/rcrg/resources/Seminar/HHofman.ppt#283,1

5,Conceptual issues.

Iannella, R and Waugh, A. (1997). Metadata: Enabling the Internet. Retrieved

September 25, 2007 From World Wide

Web:http://www.ifla.org/documents/libraries/cataloging/metadata/ianr1.pdf

IBM Corporation Newsletter (2007). EU creates unique model for electronic

document management. Retrieved September 24, 2007 From World Wide Web:

http://www.filenet.com/english/customer_center/EMEA_Newsletter/Moreq_EN.asp

Information Age Online Magazine (2005). The National Archives' decision to

back MoReq will be lamented by many, but will the move to MoReq make them happy?.

Retrieved September 23, 2007 From World Wide Web: http://www.information-

age.com/m-id/article/2005/march/standard_practice

ISO15489-1 Information and Documentation- Records Management (2001).

Retrieved 19 August 2007, From World Wide Web www.whitefoot-

forward.com/iso_15489-1.pdf

Kilkki, Jaana (2001). Comparison of Indiana University Recordkeeping Metadata

Specifications (IU RMS) to the Recordkeeping Metadata Standard of the National

Archives of Australia (RKMS). Retrieved August, 24 2007 From World Wide Web:

www.indiana.edu/~libarch/ER/iu-aus-metadata.pdf

Kentucky Department for Libraries and Archives (2007). Understanding Records

Management: Electronic Records. Retrieved September 29, 2007 From World Wide

Web: http://www.kdla.ky.gov/recmanagement/tutorial/electronicrecords.htm

Lin, L.S., Ramaiah, C.K. and Wal, P.K. (2003). Problem in preserve of electronic

records. Library Review. 52 (3), 117-125

Maxymuk, John (2005). Preservation and Metadata. The Bottom Line: Managing

Library Finances.18 (3), 146-148.

Mc Kemmish, S. and Ward, N. (1999). Describing Record in Context: The

Record Keeping Metadata Schema. The Australian Recordkeeping Metadata Schema,

Archivaria, 48, 3-43

McKemmish, S., Acland, G. & Reed, B. (1999). Towards a framework for

standardizing recordkeeping metadata: the Australian recordkeeping metadata schema.

Records Management Journal. 9 (3), 173–198.



51

McKemmish, S. and Acland, G. (1999). Accessing Essential Evidence on the

Web: Towards an Australian Recordkeeping Metadata Standard. Retrieved August 29,

2007 From World Wide Web:

http://ausweb.scu.edu.au/aw99/papers/mckemmish/paper.html

McKemmish, S., Acland, G., Ward, N., & Reed, B. (1999). Describing records in

context in the continuum: the Australian Recordkeeping Metadata Schema. Retrieved 15

August 2007, From world wide web: http://www.sims.monash.edu.au/

research/rcrg/publications/archiv01.htm

Model Requirement for the Management of Electronic Records specification

(2001). Retrieved 22 August 2007, From World Wide Web http://www.dlmforum.eu.org

Minnesota Recordkeeping Metadata Standard (2003). Retrieved 20 August 2007,

From World Wide Web http://www.mnhs.org/preserve/records/metadatastandard.html

Minnesota Recordkeeping Metadata Development Committee (2001).

Background to Australian Recordkeeping Metadata Standard. Retrieved August 20, 2007

From World Wide Web:

www.mnhs.org/preserve/records/docs_pdfs/rkms/metadevaubackground.pdf

National Information Standards Organization (2004). Retrieved 19 August 2007,

From World Wide Web http://www.niso.org/standards/resources/Understanding-

Metadata.pdf

Pavlovic, A. (2007). Features Catalogues and Metadata. In ICAO-SAM region

eTOD seminar, Lima Peru. Retrieved 12 September 2007, From World Wide Web:

http://www.lima.icao.int/meetprog/2007/CONCEPTOAISAIMTALLER/11eTODEurocont

rol.pdf

Piers, Cain (2003). MoReq: The standard of the future?. The Information

Management Journal. 15-23.

Rusch-Feja, Diann (1998). Metadata: Standards for Retrieving WWW Documents

(and Other Digitized and Non-Digitized Resources). Library and Information Services

in Astronomy III. pp. 157-165.

State Records Office of Western Australia (2004). Digital Recordkeeping:

Guidelines for the Making and Managing of Digital Records (MMDR): Part One.

Retrieved September 5, 2007 From World Wide Web:

www.sro.wa.gov.au/pdfs/SRC8/mmdrv1.3.pdf

State Records Authority of New South Wales (2004). NSW Recordkeeping

Metadata Standard. Retrieved September 16, 2007 From World Wide Web:

http://www.records.nsw.gov.au/publicsector/erk/metadata/NRKMSexplan.htm



52

Taylor, Chris (2003). What is Metadata?. Retrieved 22 August 2007, From World

Wide Web http://www.library.uq.edu.au/iad/ctmeta4.html

Territory Record Office of Australian Capital Territory (2007). Guideline No.6 -

Digital Records. Retrieved 29 August 2007, From World Wide Web

http://www.territoryrecords.act.gov.au/guidelines

Thibodeau, K. (2003). Taking Control: Managing the Records Lifecycle in an

Automated Environment. Retrieved September 30, 2007 From World Wide Web:

http://www.archives.gov/era/pdf/thibodeau-031903.pdf

Waldron, Martin (2002). European Strategic Initiatives: Adoption of Electronic

Records Management. Retrieved 23 September 2007, From World Wide Web:

http://www.eapc.es/documents/2004/15061_erm_en.doc

Yu, C.S., Lu, Y.K., & Chen, R.S. (2005). Metadata Management System: Design

and Implementation. The Electronic Library. 21 (2), 154-164.