Metadata Concerns in Document & Records Management

Metadata Concerns in Document & Records Management Dennis E. Hamilton AIIMDMwareTechnical Coordinator NuovoDoc System Architect Dennis.Hamilton@acm.org http://Dmware.info/activities/A030101.htm

The Bottom Line • All aspects of Metadata matter in Document and Records Management. • That importance will increase. • It is not a keen issue in current DM standards activity. ¾¾¾¾¾¾¾¾¾¾¾¾¾¾¾¾¾¾¾ • Thesis: Interoperability and coherent integration are not (yet) mantras of the DM and RM world.

If WebDAV is the Answer, What is the Question? • What open, public and heterogeneously-implemented specification provides a foundation for standards-based custody of managed materials? ¾¾¾¾¾¾¾¾¾¾¾¾¾¾¾¾¾¾¾ • Caveat 1: The WebDAV Working Group does not have managed materials on their radar and probably won’t. • Caveat 2: The IETF is not going to do it. It is seen as out-of-scope. W3C? OASIS?

Metadata Concerns in DM & RM • The Bottom Line • If WebDAV is the Answer, What is the Question? ¾¾¾¾¾¾¾¾¾¾¾¾¾¾¾¾¾¾¾ • What’s Important About Metadata in DM • Expansion of Interoperability and Interchange • Current DM Standards Initiatives • Anti-patterns: Where’s the Bandwagon? • WebDAV Opportunities

What’s Important About Metadata in EDM and ERM • Documents are situated in the world. • All systems are embedded systems. • It matters to establish and relate the context. ¾¾¾¾¾¾¾¾¾¾¾¾¾¾¾¾¾¾¾ • The content material is insufficient. • There is context and there is context history. • Maintaining perspectives and relationships in terms of collection membership, situation, and history. Even for “detached” documents. • Provenance, authenticity, authority and chain of custody all matter. Question of degree.

Expansion of Interoperability and Interchange • Government and civil authorities migrating to Web and XML as part of eGovernment initiatives for coordination of all agencies • Financial institutions and commercial firms using XML for eBusiness and Business-to-Business transactions (replacing EDI) • Healthcare services and insurers adopting XML profiles for interchange and preservation of digital medical records • Increasing interchange between different application domains served by XML

Expansion of Interoperability and Interchange - II • Accountability for electronic records expanding in civil, public, and commercial systems • Electronic-document preservation expands with adoption of ISO 9000, CMM, and other quality processes. • Document Management and Records Management each require archiving and preservation. Common solution desired. • Commodity products are everywhere being used in mission-critical applications. • Documents become managed at any time, requiring interoperability into the future • Must assume that managed-document may be accessed by others in the future – cannot employ isolated technology

Awareness of Metadata Concerns for DM (?) • AIIM Standards Efforts • http://standards.aiim.org/ • Digital imaging standards activities putting some attention to metadata concerns • ARMA Standards Efforts • http://www.arma.org/standards/ • Looking at software and migration issues • NARA • http://www.nara.gov/records/ • Source of DoD 5015.2 and related US information • Addressing Electronic Records Archiving • OASIS: http://www.oasis-open.org/ • Digital Preservation: http://digitalpreservation.org/ • Metadata Registration Repositories: ISO/IEC JTC1 SC32 efforts

AIIM Functional Requirements for Electronic DM/RM:Level of Metadata Consideration • Metadata Usage • Considering “Requirements for ERMS Metadata” (UK Public Records Office) • Appeal to ISO 15489 • Is functional and structural, not format or protocol • Have surveyed different schemes (DoD 5015.2, etc.) for metadata elements • Attention is on metadata of the management regime • Metadata Description • Textual, functional • Model Descriptions and Resource Schemata • Not identified • Registry and Repository Consideration • Not identified

AIIM Evidentiary Support:Level of Metadata Consideration • Metadata Usage • Defining Specific Metadata to be affixed to or embedded in content • Similar to CENSA/GESA Interest • Metadata Description • Presumably fixed • Model Descriptions and Resource Schemata • Not needed • Registry and Repository Consideration • Not addressed

AIIM Metadata Committee:Level of Metadata Consideration • Metadata Usage • Concerned with Metadata in Image Management • Reinventing metadata taxonomy (inspired by Getty Museum work) • Functional – not addressing interchange formats • Metadata Description • Text descriptions provided recommended elements • Model Descriptions and Resource Schemata • Not addressed • Registry and Repository Consideration • Not addressed

AIIM Image Metadata Committee:Level of Metadata Consideration • Metadata Usage • Defining XML Schema for Metadata of Image Content • Essentially Technical Metadata about Image Representation • Federation of other Metadata not addressed • Metadata Description • Text descriptions on the nature of the elements • Model Descriptions and Resource Schemata • Essentially fixed model • Registry and Repository Consideration • Not addressed

Digital Preservation Consortium:Level of Metadata Consideration • Metadata Usage • Not addressed in current materials • Attention is on preservation of raw digital content over time, and different technological approaches (migration, emulation, translation) • Metadata Description • Not identified – perhaps thought of as more content • Model Descriptions and Resource Schemata • Not identified • Registry and Repository Consideration • Not identified

WebDAV:Level of Metadata Consideration • Metadata Usage • Arbitrary attributes for filed objects (HTTP resources) • XML elements for properties and expression of values • Standard properties – support the protocol and WebDAV model • Metadata Description • Fledgling effort based on XML schema datatype model • Model Descriptions and Resource Schemata • Not on WebDAV agenda • Registry and Repository Consideration • Minimal registry using text records about identified properties • Working group unaware of metadata registry work

ODMA:Level of Metadata Consideration • Metadata Usage • Small fixed set of specifically-named attributes identified • Tunneling possible for using attributes of specific service • Metadata Description • None: tag and some character string value • Model Descriptions and Resource Schemata • None but what shows through from document manager disguised in one-file = one-document model • Registry and Repository Activity • Irrelevant in this model • Adoption • Marginal and diminishing: being retired

DMA:Level of Metadata Consideration • Metadata Usage • Extensive open-ended metadata system • Metadata Description • Full support for unstructured properties of fixed data-types, including lists and arbitrary objects of constrained type • Model Descriptions and Resource Schemata • Configurable and extensible object model for documents and collections; model is discoverable as a property on every object • Registry and Repository Activity • Enabled by use of globally-unique naming system and never taken up • Adoption • Never achieved demonstrable interoperability - abandoned

Anti-Patterns:Where’s the bandwagon? • Disciplined following of document-management requirements intrudes on people with jobs to do. Ease of use is paramount and difficult. • The business case for using interoperable, standards-based approaches is not that clearly established. True for customers & vendors. • Interoperability and substitution of components exposes vendors to commoditization and price competition.

WebDAV Opportunities: Metadata Opportunities GAP • WebDAV allows arbitrary metadata – is basic carrier of properties. • No agreed mechanism for knowing what metadata is required and rules to follow to satisfy management requirements on different objects. OPPORTUNITY • Supplement WebDAV with Standard Practice for discovery of metadata requirements and rules • Provide means for inter-working with other metadata schemes using registry standards • Deal with every DMS being its own “registry”

Metadata Concerns in Document & Records Management