Minimum Metadata Set reference

Core

Metadata propertyIdentifier
AGRkMS property2.1 Identifier String (sub-property of 2. Identifier)
Definition

Unique identifier applied to each record. The Identifier string is the characters, numbers or letters, or a combination thereof, that uniquely identify the record within a given domain.

The Identifier property is used to:

  • Uniquely identify the record
  • Act as an access point to find the record with a system.
PurposeThe purpose of the Identifier property is to ensure that a record can be identified as unique within a system or during a system migration.
ObligationMandatory
RepeatabilityYes
Default value-
Conditions of useMust be used as part of the Core Minimum Metadata.
Transfer requirementsAt the point of transfer, the current and, where possible, all previous Identifiers should be captured for records transferred to the Archives.
Related AGRkMS sub-propertiesSub-propertyObligationConditions of use
2.2 Identifier scheme  – the scheme used to identify the recordConditionalMust be used where the identifier is assigned according to an externally or locally defined scheme
(Refer AGRKMS 2.0 Appendix D3)
Comments

Most identifiers are automatically generated by the information management system or business system within which the records are created or held.

The Identifier String is not repeatable, but the Identifier may be repeated where it has undergone changes, for example, when records are transferred from one agency to another. Where the record is assigned a new identifier string in the new agency, the previous identifier should be retained as a former value. A record may thus have multiple Identifiers, but each Identifier String will be unique.

Examples

R883252015
CM200617057
2015/55231

Metadata propertyCreator
AGRkMS property3.1 Name Words (sub-property of 3. Name)
DefinitionIdentifies the individual, work group or agency that created the record.
Captures the agency as the record ‘owner’ at the system level.
PurposeThe Creator property is essential to:
  • Show ownership for evidence and context purposes
  • Identify the creator of the record, either the agency or an individual
  • Supports user search, allowing information to be filtered.
ObligationMandatory
RepeatabilityYes
Default value-
Conditions of useMust be used as part of the Core Minimum Metadata.
Transfer
requirements
At the point of transfer, the Archives will accept whatever Creator values you have used for your business purposes.
Related AGRkMS sub-propertiesSub-propertyObligationConditions of use
3.2 Name Scheme – the type of vocabulary scheme used to name the recordConditionalMust be used when a naming scheme is used for assigning names i.e if an agency uses a name authority file such as its staff directory.
Comments

The Creator value should reflect your agency’s business requirements for recording creator details. The creator can be an individual, a work group or even the agency. For example, in a business system, the creator may be captured at the agency level. In an EDRMS, the creator may be the staff member or the work group which created the record.

Most systems automatically capture Creator metadata. Systems should be configured to capture a range of options for the Creator depending on agency business requirements.

When transferring records to another agency, the original Creator details should be retained for the creating agency.

ExamplesNational Archives of Australia (agency)
IT help desk (work group)
Peter Davison (individual)
Metadata propertyDate Created
AGRkMS property4.1Start Date (sub-property of 4. Date range)
DefinitionThe date on which the record was created.
PurposeThe purpose of the Date created property is to provide evidence that
  • The record is authentic
  • Record date information about the item.
ObligationMandatory
RepeatabilityNo
Default value-
Conditions of useMust be used as part of the Core Minimum Metadata.
Values for the Date Created property must meet ISO 8601: Standard for Representation of Dates and Times (refer AGRkMS D5).
Transfer
requirements
At the point of transfer to the Archives, Date created is the minimum requirement for all records. Other dates which indicate the date range of the record (eg date of last action) should also be transferred where possible.
Related AGRkMS sub-propertiesSub-propertyObligationConditions of use
4.2 End date  – the date a record ceases to exist, was dissolved or destroyedConditionalMust be used when the record ceases to exist e.g. after it has been destroyed
Comments

Date Created for each record is process metadata that can be automatically captured when the record is created in the system.

This system-generated metadata must use the ISO date and time format (ISO 8601 - Standard for Representation of Dates and Times).

Human generated Date created metadata can be translated into the ISO Date/time standard format as part of a system crosswalk for different date formats.

Depending on the system, where there is only one date, the Date created may be last date modified, last date copied etc.

Examples

2013:10:06
2015:11:04T09:31:07

Additional

Metadata propertyTitle
AGRkMS property3.1 Name Words (sub-property of 3. Name)
Definition

A name given to a record and/or an account of the content of the resource e.g. the subject of a video or the coverage of photographs. It provides searchable text and additional context.

PurposeThe purpose of the Title property is to:
  • Enable information search and discovery
  • Facilitate user choice
  • Provide additional context.
ObligationMandatory
RepeatabilityNo
Default value-
Conditions of useMust be used as part of the Additional Minimum Metadata.
Transfer requirementsAt the point of transfer to the Archives all records must include a title. Titles can be drawn from any text which assists in identifying the record and may for example be taken from Title information or Description information (e.g. applicant’s name where the record is in a business system which records details of applications).
Related AGRkMS sub-propertiesSub-propertyObligationConditions of use
3.2 Name scheme – the type of vocabulary scheme used to name the record.ConditionalMust be used when a naming scheme is used for assigning names to records such as controlled vocabularies.
This sub-property should not be used if the title is free text.
Comments

The Title property is flexible and can be used a number of ways to reflect the business needs of the agency:

  • May be a Title or a Description
  • Free text can be used to describe the content of the record.
  • May be a combination of a business classification scheme and free text.
  • Can be used for subject keywords and description/notes to support user search and provide context for a record.
  • Enables users to find records and can be helpful when sentencing records for disposal.
  • In a transactional business system such as an invoice payment system, titles may be a set field consisting of the person’s name and a payment date for invoices.
Examples

Briefing on the staff development program 2014
Staff meeting minutes 20 April 2012
Poster set of procedures for fire safety
ACCESS MANAGEMENT - ADVICE - Procedures and updates for Examiners – 2009

Metadata propertyProtective Marking
AGRkMS property9 Security Classification 10.1
Caveat Text
26 Dissemination Limiting Markers (DLMs)
Definition

A label that denotes the security status of a record.

Security classification denotes the security status or sensitivity of a record.

Caveat text is a warning that a security classified record requires special handling, and that only people cleared and briefed to see it may have access. Security caveats are additional to security classifications.

Dissemination Limiting Markers are labels that denote the sensitivity of a record. Access to some records may be restricted or prohibited by legislation or other records with sensitivities may require special handling.

PurposeThe purpose of the Protective Marking property is to:
  • Facilitate or restrict access to records by agency staff or the public.
  • Enable records with security sensitivities to be appropriately identified and managed.
  • Alert users to security restrictions on access to records.
  • Prevent access to records by those users with insufficient security permissions.
ObligationMandatory
RepeatabilityYes
Default valueUnclassified
Conditions of use

Must be used as part of the Additional Minimum Metadata.

The Protective Marking property must be used for all records.

Protective markings applied to items must be in line with the Protective Security Policy Framework (PSPF) requirements (refer AGRkMS appendices D8, D9, and D23).

The use of Caveats and Dissemination Limiting Markers should reflect the needs of the agency and its business.

Transfer requirementsAt the point of transfer to the Archives all records must have a minimum of one Protective Marking. This may be a security classification, security caveat or a DLM (or a combination thereof) depending on what is needed for business purposes.
Related AGRkMS sub-propertiesSub-propertyObligationConditions of use
10.2 Caveat category – the category of the security caveatConditionalMust be used if the caveat text fits into a caveat sub-category as set out in the Protective Security Policy Framework (PSPF).
Comments

Records must include a Protective Security Marking - this may be one of security classification, security caveat or a DLM, or a combination thereof.

Under the Protective Security Policy Framework, all agencies must appropriately safeguard all official information to ensure its confidentiality, integrity, and availability.

Protective Marking is metadata that can be applied at the system or record level.

  • It is part of security- related or mandated business requirements.
  • It aids in decisions on granting access to records with sensitivities.
  • Caveats and DLMs provides additional context for determining sensitivity of a record.
Examples

UNCLASSIFIED
PROTECTED
For Official Use Only (FOUO)
Sensitive: Personal
AUSTEO

Metadata propertyDisposal Class
AGRkMS property18.2 Disposal Class ID (sub-property of 18. Disposal)
Definition

Unique number that identifies the specific disposal class authorising the retention or destruction of the records.

Purpose

The purpose of Disposal Class is to identify the specific disposal class authorising the retention or destruction of the records.

The disposal class can also indicate the function or subject of the item.

ObligationMandatory
RepeatabilityNo
Default value-
Conditions of useMust be used as part of the Additional Minimum Metadata.
Transfer requirementsAt the point of transfer to the Archives, Disposal Class is required for all records. This assists to confirm the RNA status of the record, and also provides additional subject / function information about the record.
Comments

Disposal Class is usually applied at

  • The system level to cover disposal of high-volume low-value records held in simple transactional systems.
  • The container and/or record level when different disposal classes apply to individual records/aggregations in a system.

Individual records can only be covered by one disposal class.

While it is good practice in an agency to capture all Disposal metadata sub-properties to assist with accountable sentencing and disposal, only Disposal Class ID is required as part of the minimum metadata set for transfers to the Archives.

As Disposal Class IDs are unique across all records authorities, Records Authority is not required in addition to the Disposal class ID.

Examples

61755
20443

Metadata propertyFormat
AGRkMS property19. Format
Definition

Information about the format of the record to determine preservation, migration and other management actions.

Purpose

The purpose of the Format property is to determine actions for preservation, storage and migration of records by:

  • Providing specific information on requirements for the storage, preservation and rendering of records.
  • Enabling migration of records from one system to another based on their particular format so that records of the same type can be managed together and migrated at the same time.
ObligationMandatory
RepeatabilityNo
Default value-
Conditions of use

Must be used as part of the Additional Minimum Metadata.

Must use either 19.1 Format Name OR 19.3 Creating Application Name. See Related AGRkMS sub-properties below.

Transfer requirementsAt point of transfer to the Archives as much format information as possible for the records should be provided to ensure that file formats are accurately identified. This may for example include 19.1 Format Name and/or 19.3 Creating Application Name (with or without 19.2 Format Version and 19.4 Creating Application Version) as appropriate.
Related AGRkMS sub-propertiesSub-propertyObligationConditions of use
19.1 Format name – the logical file form of the record.ConditionalMust be used if sub-property 19.3 Creating Application Name is not used.
19.2 Format Version – version of the logical file form of the record.ConditionalMay only be used if 19.1 is used.
19.3 Creating Application Name – the name of the software application that created the recordConditionalMust be used if Sub-property 19.1 Format Name is not used.
19.4 Creating Application Version – the version of the software application that created the record.ConditionalMay only be used if 19.3 is used
Comments

The format of a record is determined by the application or software used to create it.

The Format property also assists with access so information managers and users know what application or system must be used to access these records.

Format names should be drawn from a recognised format registry such as PRONOM for consistency.

Where there are embedded records such as an Excel spreadsheet attached to an email, the format of each record must be captured. Format assists with identifying long term preservation requirements.

Examples

.ppt
.csv
.msg
.bmp
.jpeg
.xls

PowerPoint file
Comma Separated Values file
Text Message
bitmap
JPEG Image file
XML file

Transfer

Metadata propertyRights
AGRkMS property12.1 Rights Statement (sub-property of 12. Rights)
12.2 Rights Type (sub-property of 12. Rights)
Definition

Policies and requirements that govern or restrict access to, and the use of, records. Includes both Rights Statement and Rights type.

Rights Statement describes how access to or use of certain records is to be governed or restricted.

Rights Type specifies the type of rights associated with the record such as whether or not the record is open to the public.

Purpose

The purpose of the Rights property is to:

  • Facilitate the appropriate management and use of sensitive records or records with particular access and use restrictions.
  • To alert users to non-security related restrictions on access to, and use of, records, and to advise when such restrictions may change or cease.
ObligationMandatory
RepeatabilityYes
Default value-
Conditions of use

Must be used as part of the Transfer Minimum Metadata.
AGRkMS 2.0 states that the Rights property must be used if policies or legislation governing use of, and access to, specific information exist. As Transfer metadata applies to records which will be transferred to the Archives, and accessible under the Archives Act, Rights metadata must be captured.

Values for the 12.2Rights Type sub-property should be taken from the Rights Type Scheme(see AGRkMS, Appendix D12.1).

Values for the 12.3 Rights Status sub-property, if used, must be taken from the Rights Status Scheme (see AGRkMS, Appendix D12.2).

Transfer requirementsAt the point of transfer any metadata which will assist with the assessment of the suitability of information for public access should be provided. This may include metadata indicating if a record has been made publicly available (e.g. via publication on the agency's website), been released under FOI or has copyright restrictions.
Related AGRkMS sub-propertiesSub-propertyObligationConditions of use
12.3 Rights Status – information about whether a record may be released or published, or whether it is to be wholly or partially withheld from public access.ConditionalMust be used only if 12.2 Rights type is ‘Archival Access’, ‘Authorised Public Access’ or ‘FOI’
Comments

Access to and use of some records must be managed using the Rights property to specify the access or use conditions according to:

  • Relevant pieces of legislation, or
  • Access and use policies intended to protect the privacy of individuals and the interests of corporate entities.

Rights indicate the availability or suitability of information and records for public access and re-use.

A description of how access to, or use of, certain records is to be governed or restricted, the types of rights allocated and the status of the record. Rights are usually assigned in accordance with legislation such as the Freedom of Information Act 1988, the Copyright Act 1968 or the Archives Act 1983.

'Rights' is not the same as Permissions (AGRkMS property 11) which relates to regulation of the use of records and information within the creating agency according to security restrictions. Permissions may be used by an agency to regulate access for business purposes, but this metadata is not required for archival transfer purposes.

Examples

Authorised Public Access
Archival Access - Open
Embargo
FOI - May be Released Under FOI
FOI - Not for Release
FOI - Published

Metadata propertyIntegrity Check
AGRkMS property22.1 Hash Function Name (sub-property of 22 Integrity Check)
22.2 Message Digest (sub-property of 22 Integrity Check)
Definition

An integrity check is a method for determining whether the bits that make up a digital record have been changed in the course of transmission or storage. Must include both the Hash Function Name and the Message Digest.

The Hash Function Name is a reproducible algorithm that transforms a string of characters into a key that represents the original value of the record. It is used in combination with the Message Digest to specify the actual value generated by the Hash Function.

The Message Digest is the actual value that represents the record as a fixed length string of numbers and letters.

Purpose

The purpose of the Integrity Check property is to:

  • Verify if a record has been altered in an undocumented or unauthorised way.
  • Assist in preserving the integrity of the original record over time.
ObligationMandatory
RepeatabilityYes
Default value-
Conditions of use

Must be used as part of the Transfer Minimum Metadata.

The Integrity Check metadata is required for digital records transferred between systems, including those records transferred from agencies to the Archives. The Integrity Check metadata should be captured as part of these processes as a control record.

Transfer requirements

At point of transfer an integrity check must be performed on all records transferred to the Archives. The integrity check is to ensure that the records have not been not been tampered with or corrupted during transfer. The Integrity Check metadata provided on transfer will be compared with the integrity check undertaken by the Archives on ingest to ensure the records remain unaltered.

The Archives currently uses MD5, SHA256 and SH512 for the transfer of digital records to its custody (See AGRkMS Appendix D20).

Values to be used for the 22.1 Hash Function Name sub-property should be taken from a locally defined controlled vocabulary that includes the value ‘MD5’ (see AGRkMS Appendix D20).

Comments

An integrity check should be performed when migrating records to a new system or transferring records to another agency to ensure that the records remain unaltered and have not been interfered with or corrupted in any way.

Examples

 

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