Noark-4 (& -5) Noark standard

"Norsk arkivsystem" (Norwegian recordkeeping system)

Standard for elektronisk arkiv • Noark 5 versjon 2.0 - publisert 3. april 2009• Noark 5 versjon 1.0 - publisert 4. juli 2008• 1999 - Noark 4 ={ Noark3 + Koark} for:

„everybody within the Norwegian public administration”

• 1997 - "Elektronisk saksbehandling. Statens generelle kravspesifikasjon (SGK)"

• 1995 - Koark (Kommunal standard for edb-baserte sak-/arkivsystemer)

• 1994 - Noark 3 • 1987 - Noark 2 • 1984 „elektroniczny dziennik (podawczy)”

SGK• Electronic case handling. General specification of

requirements for the state administration - the Directorate of Public Management– Specifications of SGK are primarily aimed at what is

known as general or non-standardized case handling, i.e., various kinds of processing not associated with strictly defined handling procedures within a specific field. SGK is therefore relevant to most public bodies planning to implement an electronic case handling system. The specifications are mainly functional requirements at a general level. Thus, unlike Noark-4, SGK does not specify the information contents of the systems (apart from giving a few examples of document attributes) or data structure. Rather, the functional requirements are to be regarded as check lists for planning and designing case handling systems.

All public agencies (both state and municipal) have to report to the National Archives when they start using systems for

the management of electronic records.• Noark 5 specifies an archival (or record) component, called

Noark 5 core. The main topics in this component are: - the structure and organisation of the archive, consisting of the

following hierarchical units: archive - part of archive - classification scheme - classes - file and subfile - record - document

- the metadata associated with these units metadata is described in more detail in the appendix called metadata catalogue.

- records capture - retention and disposition - records periods - transfer of records - searching and retrieval - administration

• Functions for controls and security are not part of Noark 5 core, but are described in a component called Noark 5 complete. Here are also requirements for document management, workflow, email, user administration etc. Most of the requirements in Noark 5 complete are not mandatory.

Oparty na standardach międzynarodowych …..

• ISO 15489-1 og 2: 2001 Information and documentation - Records management (Part 1: General, Part 2: Guidelines). Dette er en internasjonal standard for arkivdanning.

• MoReq - Model Requirements for the management of electronic records (EU-kommisjonen 2002). Dette er en EU-standard for arkivdanning basert på ISO 15489. I februar 2008 kom MoReq2.

• ISO 23081-1: 2004 Information and documentation - Records management processes - Metadata for Records. Dette er en internasjonal standard for internasjonal standard for metadata for arkivdokumenter.

• ISO 14721: 2002 Reference Model for an Open Archival Information System (OAIS). Dette er en ISO-standard for bevaring av arkiv.

• Data Dictionary for Preservation Metadata: Final Report of the PREMIS Working Group (OCLC og RLG 2005). PREMIS står for Preservation Metadata: Implementation Strategies. PREMIS Working Group beskriver en modell - en kjerne av metadata – som kan brukes til all digital bevaring, uavhengig av type dokumenter eller bevarings-strategier.

MoReq2 v Noark 5 • MoReq2 will not become an EU Directive. It will

continue to be a recommendation and each EU Member State must decide whether, and if so how, MoReq2 will be implemented in the country concerned.

• In Norway, the Director General of the National Archival Services has decided that replacing the Noark standard with MoReq2 would not be appropriate. However, it has been a goal to bring Noark 5 as close to MoReq2 as possible.

I norweskich przepisach• Lov av 4. desember 1992 nr. 126 om arkiv (arkivloven). Prawo Archiwalne• Forskrift av 11.desember 1998 nr 1193 om offentlige arkiver (arkivforskriften). • Forskrift av 1. desember 1999 nr. 1566 om utfyllende tekniske og arkivfaglige

bestemmelser om behandling av offentlige arkiver (Riksarkivarens bestemmelser for offentlige arkiver).

• Lov av 10. februar 1967 om behandlingsmåten i forvaltningssaker (forvaltningsloven)

• Forskrift av 25. juni 2004 nr. 988 om elektronisk kommunikasjon med og i forvaltningen (eForvaltningsforskriften).

• Lov av 19. mai 2006 nr. 16 om rett til innsyn i dokument i offentleg verksemd (offentleglova), som erstatter Lov av 19. september 1970 nr. 69 om offentlighet i forvaltningen (offentlighetsloven).

• Lov av 14. april 2000 nr. 31 om behandling av personopplyninger (personopplysningsloven).

• Forskrift av 15. desember 2000 nr. 1265 om behandling av personopplysninger (personopplysningsforskriften).

• Lov av 15. juni 2001 nr. 81 om elektronisk signatur (esignaturloven). • Lov av 20. mars 1998 nr. 10 om forebyggende sikkerhetstjeneste

(sikkerhetsloven). • Instruks av 17. mars 1972 nr. 3352 for behandling av dokumenter som trenger

beskyttelse av andre grunner enn nevnt i sikkerhetsloven med forskrifter (beskyttelsesinstruksen).

(+) Noark-5• Regulation of 25 June 2004 No. 988 on electronic communication with and

within public bodies (the e-Administration Regulation). • Act of 19 May 2006 No. 16 on right of access to documents held by the

public administration and public undertakings (Freedom of Information Act), which supersedes the Act of 19 September 1970 No. 69 on right of access within the public administration (Freedom of Information Act).

• Act of 14 April 2000 No. 31 on the processing of personal data (the Personal Data Act).

• Regulation of 15 December 2000 No. 1265 on the processing of personal data (the Personal Data Regulation).

• Act of 15 June 2001 No. 81 on electronic signatures (the e-Signature Act). • Act of 20 March 1998 No. 10 on preventive security services (the Security

Act). • Decree of 17 March 1972 No. 3352 on the processing of documents

requiring protection for reasons other than those referred to in the Security Act and regulations (the Protection Decree).

Historia projektu• The framework of the project was defined in note 06.12.96 from Riksarkivet

(the National Archives). An agreement had been reached with Kommunenes sentralforbund (KS; the specifications in a common Noark standard for state and local administration. In a letter of 31.01.97 to the Ministry of Cultural Affairs, the National Archivist (who is also the director general of the National Archives) presented a plan for the implementation of the project. The Ministry of Cultural Affairs has supported this scheme, also in terms of financing.

• The project group had its first meeting on 4 April 1997. The original project plan aimed at finishing the work with a version of Noark-4 to be circulated for comments in December 1997. The group has met 14 times.

• The version to be circulated for comments was ready by June 1998. It was published on the Internet and sent to a number of state and local bodies for comments, the deadline being 15 September. 53 opinions were received, and during the autumn of 1998 a number of adjustments were made and definitions incorporated based on comments received.

• Noark-4 includes a comprehensive technical specification where all attributes which are discussed in the report, are described.

– Part I: Functional description and specification of requirements– Part II: Specification of technical requirements

• The report is primarily aimed at two groups of users:• System vendors wishing to develop Noark systems for public administration• Administrative bodies and other institutions that use or plan to use a Noark system

Noark-4• Noark- and Koark-based systems have a very

large and heterogeneous group of users comprising practically everybody within the Norwegian public administration.

• In connection with Noark-4, users have voiced many wishes and suggestions calling for enhanced functionality as compared with Noark-3 and Koark. The suggestions all point towards making Noark-4 a more comprehensive and complete information system for those functions that deal with records management and document flow.

Noark-4• Technological progress (e.g. in terms of processing capacity, storage

capacity, window technique, network technology) makes it possible to fulfil more user wishes within a realistic technological framework, without the system becoming too hard to handle or too complex.

• Previous specifications have to a large extent concentrated on registering and keeping track of documents (recordkeeping/records management), while electronic storage of documents (electronic records) have only been described at a general level.

• The use of e-mail has exploded in recent years, and e-mail is probably used more and more even for documents in a legal sense being received or dispatched on behalf of organizations or enterprises.

• The recordkeeping system ought to be perceived as an integrated part of the worktool for executive officers within public administration. The system should be able to import and store information and documents from the executive functions, and it should be possible to search for information in the records database and distribute this information to all the users.

project group (7)• The project group was appointed in a letter of 24.03.97 from the

director general. The following people have been members of the group:

– Ivar Fonnes, Riksarkivet [National Archives], leader of the project group– Steinar Abrahamsen, Interkommunalt arkiv i Rogaland [Intermunicipal Archives of

Rogaland] (appointed by Kommunenes sentralforbund [Norwegian Association of Local and Regional Authorities])

– Katarina de Brisis, Statskonsult, later Arbeids- og administrasjonsdepartementet [Ministry of Labour and Government Administration] (appointed by Planleggings- og samordningsdepartementet [Ministry of Planning and Coordination])

– Ole Gausdal, Kommunaldepartementet [Ministry of Local Government], later Næringsdepartementet [Ministry of Industry] (appointed by Arkivledergruppen for departementene [the group of records managers in the state administration])

– Torbjørn Nystadnes, KITH AS, hired as a consultant– Trond Sirevåg, Riksarkivet [National Archives], secretary of the project group– Jon Atle Haugen, Riksarkivet[National Archives], member of the project group from

January 1998

Noark-5• Ivar Fonnes, National Archival Services (chairman) • Trond Sirevåg, National Archival Services • Ingvar Engen, Ministry of Culture and Church Affairs • Katarina de Brisis, Ministry of Modernisation (September 2005–

September 2006) • Henrik Linnestad, Ministry of Government Administration and Reform

(September 2006–March 2007) • Christer Gundersen, Norwegian Association of Local & Regional

Authorities (September 2005–September 2006) and Ministry of Government Administration and Reform (March 2007–May 2007)

• Kristian Bergem, Ministry of Government Administration and Reform (from May 2007)

• Line Richardsen, Norwegian Association of Local & Regional Authorities (from September 2006)

• Anne Mette Dørum (project manager and secretary of the Steering Group)

reference group (15)• representatives of

– Office of the Prime Minister,– Ministry of Cultural Affairs, – Ministry of Planning and Coordination – Ministry of Justice, – Norwegian Association of Local and Regional Authorities– local archives, – Norwegian Press Association, – the state archives and – selected Noark/Koark vendors

• Siemens-Nixdorf Informasjonssystemer• Telenor Allianse• IBM

Applications for Noark 5• Noark 5 is to be used for all types of

recordkeeping, irrespective of the technological solution or type of public body. All activities that generate documents which need to be stored and retrieved in authentic form should in principle be covered by a recordkeeping function. This is completely independent of whether the documents are dealt with by traditional case handling, the number of years that they are to be archived for and whether they are to be transferred to an archival repository.

• Noark 5 is a technology-independent standard. Specific requirements concerning technologies, such as approved archival formats for electronic documents, have been removed from the standard and placed in the regulations issued pursuant to the Archives Act. The requirements are technology-neutral and not based on or formulated with regard to any particular technological solutions.

Pamiętajmy że…• The notion of an archive is:

– Focused on the document– There is no word equivalent to English

”record”– We often refer to information in databases as

professional systems

Pamiętajmy że…

• The ”registry” is important:– As log for finding documents– Norvegian Freedom of Information Act (FOI)

is based on using the registry for identifying documents one wants access to

– The registry is also the basis of transferring archives to a repository

Pamiętajmy że…

• Norvegians refer to an administrative officer as a ”saksbehandler” when working with documents and their contents– Literally a case handler

• The documents are collected in a ”sak”– literally a case or one could say a folder

• ”Saksbehandling” ??? (”Case handling”)

CASE = FOLDER

It must be stressed that the case concept of Noark is not primarily a question of what is correct and what is incorrect, but rather of how it can be used in an appropriate way. Registering cases and case information is primarily a tool for grouping case documents which belong together, under a common identity, which facilitates clarity and retrieval for both electronic records and physical records. The use of a separate case level replaces the traditional linking that was used with manual registration.

Part I:• Functional description and specification of

requirements– general description and functional requirements– main structure of the data model– purpose, design and functional requirements for the

various parts of the system (modules)– main tables and their information contents (details:

see list of attributes in part II)– assumptions related to administrative routines– reports and statistics– integration with e-mail and executive functions– deviations from Noark-3 and Koark

Part II:

• Specification of technical requirements– data models for the individual modules– a complete list of attributes for all tables,

associated with individual modules– requirements for exchange and export

formats– deviations from Noark-3 and Koark with

suggested principles for converting

• Noark 5 inner core

• Noark 5 outer core

entity-relationship modelmodel związków encji

• In the specification of information content and data structure, a simplified version of the principles in the so-called E-R model ("entity-relationship") is used. The entities in the data model are referred to as tables (corresponding to the concept of "entity" in the E-R model). The table concept has been chosen because it is easy to understand intuitively for those who are not specialists in data modelling, and because it is often natural to implement a table in the data model as a table in the data base.

• It should be noted, however, that the specification does not make specific requirements in terms of how the tables of the model should be implemented. This is left to the individual developer/vendor to decide.

• The concept of attribute is used to represent the various pieces of information that can be included in a table. In normal usage, this is the same as a field in a table. An attribute may be assigned different values, which in effect constitute the pieces of information that are entered.– Example: The table Case contains, among other things, the

attribute Case date, which may be assigned the value 12.11.1997

4 grupy functional requirementsO Obligatory basic version; must be satisfied for the system to be Noark-4 compliant

– O1 Extended version; more advanced functionality, but without electronic records

– O2 Full version; advanced functionality, and with electronic records– A Recommendations

E Basic version for functionality related to integrated e-mail

E1 Advanced functionality related to integrated e-mail

S Basic version for functionality related to integration with case handling

S1 Advanced functionality related to integration with case handling

U Basic version for functionality related to board handling

U1 Advanced functionality related to board handling

NOARK-5

Type: Specifies the type of requirement. The following are used here:

• O (Obligatory) • B (Conditional obligatory) • V (Optional)

K8.70 When registering an access code for a registry entry, one should check off for screening of information related to that registry entry, and for electronic documents related to the registry entry (see ch. 8.61 and ch. 8.62).

O

K8.71 When a registry entry has several senders or addressees, these should be screened individually, but collective checking should also be provided for.

O1

K8.72 Screening of registered electronic documents should always be performed from a registry entry with which they are associated. It should be possible to register an access code for the registry entry when associated documents are to be screened, without any of the record information being checked off for screening (see screening code 1 of Noark-3 and Koark).

O2

Exchange and export formats• An absolute requirement is that all Noark

systems should be able to export data in a uniform way, irrespective of the level at which they are implemented. This format is based on SGML syntax (YYYYMMDD for date fields)

• During export, each attribute should be tagged with the unique field name specified in the list of attributes.

Combinations• O + U : Noark-4 version of Koark• O1 : Enhanced version of registration and records management

system• O1 + U : Enhanced Koark version• O2 : Electronic recordkeeping system• O2 + U : Electronic recordkeeping system with board handling• O2 + S : Electronic recordkeeping system integrated with case

handling• O2 + E : Electronic recordkeeping system integrated with

external e-mailOn top level, several types of functionality may be combined:• O2 + S + E• O2 + S + U• O2 + E + U• O2 + S + E + UIn addition, functions in E, S and U may be supplied with more

advanced additional functions from E1, S1 and U1.

O2 : Electronic recordkeeping system

• The most significant enhancement, however, relates to the functionality of electronic recordkeeping. When case documents are stored electronically, even information such as notes, control information, etc., associated with those documents must be stored electronically. The result is a completely electronic recordkeeping system.

New functionality• Case documents may be stored electronically in several versions and

formats.• The same case document may be associated with several cases and

registry entries.• Notes may be stored electronically and associated with case, registry

entry or case documents in various versions and formats.• Parties outside the registry (executive officers and managers) get

extended access to registering in the records system, and the recordkeeping part of the decision-making process is managed by functions and status values in the system for entry into records.

• The system has functions for logging process information, etc.• The recordkeeping system may be integrated with external e-mail, and

provision is made for partly automated registering of e-mail received from other Noark-systems.

• The recordkeeping system may be integrated with or into a case handling system which includes electronic document flow, handling of documents and information residing outside the registry and electronic production of case documents

NOARK 4 ( 5 modułów)

• Module for registration and records management (records management module)

• Module for electronic recordkeeping• Module for administrative structure and record

structure (record structure model)• Module for access control and user management

(access-control module)• Module for board handling (board-handling

module)

pomocnicze

rozszerzony

Document typesI Incoming lettersU Outgoing lettersN Internal documents (memos, reports, etc.) which

require following-up and depreciation in the registry

X Internal documents which do not require following-up or depreciation

S Case drafts and other registered documents associated with the decision-making process (minute, opinion).

Essential tables in the module1. Case2. Registry entry3. Sender/addressee4. Notes5. Additional information6. Filing plan code7. Part in case8. Confer case9. Precedent

records management module

MODULE FOR ELECTRONIC RECORDKEEPING

• The electronic records must contain the same types of documents as those which are currently stored in paper form: text documents, construction sketches, maps, pictures, etc.

• Document link• Document link meeting document• Document description• Version• Topic word• Note• Additional information• Digital signature

Essential tables in the moduleelectronic recordkeeping module

Status electronic recordkeeping 1• This is our situation:

– RMS (ERMS?): Noark-4, • electronic case-working • and partial or fully electronic filing • many still keep and define the paper as the original record

– dedicated task systems (ERMS?): • there is no common design for record-keeping functions,• often not included in the registry, and no internal registry

– No integration between professional systems and RMS • duplicate registration and filing • or no filing!

System requirements

– Electronic document systems must conform to the Noark-4 standard

• Folder (case)• Registry post• Documents

– All main documents in a “folder” must be electronic

– Attachments may be stored on paper, but normally electronic storage

Noark-3database

ClassificationScheme

Folder

Docu-ment

StaticAdministrative

partitioning

Skjematisk tolkning av Noark 3-4-5. NB: Noark-5 er ikke ferdigstilt pr dato.

Noark-5database?

Arkiv

ClassificationScheme

Record section

Folder

Registry-post

Docu-ment

VersionVersjonVariantFormat

Delarkiv

Primary folders

Secondary folders

Exa: Project-,

Presedens-folder

Basis-folder

Simplified registry

AdministrativePartitioning by date

(also non-hierarchical)

Exz:Other EMRS

Expansion

Hovedstruktur som Noark-4

Loggeddocument

Noark-4database

ClassificationSchemeProj

ect

Registry-post

Docu-ment

Version

AdministrativePartitioning by date

VersjonVariantFormat

Archive Archive

Folder

Record section

Starting point

• The function of Archives and Records Management (or the creation of records/archives) is– to document transactions in an

organisation– In the sense of actions and/or decisions

that take place within an office or with its surroundings

.

Starting point

• Documentation in two parts– The content of the transaction (normally a

document of some sort)– metadata: information showing that the

transaction has taken place, • when, • how, • Who were involved, • relations to other transactions etc.

– These two parts can be intermixed.

• A dedicated task systems is a specialized system to support or control the process of documents in relation.– Supportive functions: A tool to monitor the information

and process in order to communicate with other, to produce documents, simplify the case flow etc.

– Control: A tool that controls the process, e.g. the case flow. The process can be automated If it is sufficient formalised

– Transactions has a central role in dedicated task systems , and the systems are often designed to automatically acquire and document these transactions.

Dedicated task systems

Noark version 5 (2008)• Specification of an ERM standard

- Logical structure specified• Two levels of standardization

- Functional requirements• Very few mandatory core requirements• Optional requirements for integration with other tools to build

complete stand-alone ERMS’ (like Noark-4)• Optional requirements for embedding in business

applications- Transfer format (samples will be tested by The

National Archives during the certification process)• Focus on the records rather than the

applications

Specification and guidance• Noark-5 says WHICH functionality, not HOW it is going to be

solved– Conceptual data models are modelled only when there is a

need for detailed specification (i.e. function for excerpts for delivery to repository)

– Specifies demands to document registry and functionality that can be utilized in “any” given context

• Two-folded standard– A specification without work processes– A manual that describes standard administrative routines

and areas of utility

Noark-5 and Integration• Integration with dedicated task systems

– E-mail– Word-processing systems– Portals– Automated decision processes– Registers– Other Noark-systems– Joint databases between public offices

Logging of document and case working

• Focus on logging of what happens with the document and the case working– The work processes are now to be logged more

thoroughly– A larger focus on development and demands for

automated tracking logs. • The work processes of record managers becomes less

important than documenting the processes of administrative officers.

The transfer format of Noark 5 (2008)

• Transfers are radically simplified - and more robust- Confined to 8 archival units (metadata objects)- 175 metadata in one hierarchical XML file as defined in an XML

Schema• Archival information is liberated from the technical

structure- By focusing on archival records, preservation can be confined to

the logical structure of the records themselves- Identification of the 8 archival units is not based on the original

database primary key values- All codes employed by the application system are substituted by

the texts represented by the codes

Wyniki• Completely different language (XML vs. tables) for

transfers- Makes the distinction between transfer format and database

structure obvious- Relations are represented by position (containment in the XML

hierarchy) instead of explicit links (foreign keys)- Object identification is implicit in the XML path instead of explicit

by unique keys• Distinction between exchange and transfer formats• Repository access

- by style sheets and XML tools- import to an XML database and use XML queries (e.g. XPath)- convert and import to a database system and use database tools

Noark 5:

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