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A Semantic Ontology-Based Records Management Approach for Academic Users' Decision Support Information Systems Discipline Coll A Semantic Ontology-Based Records Management Approach for Academic Users’ Decision Support Ahmad Zam Hariro Samsudin BSc (Information Systems Management) MSc (Information Management) Information Systems Discipline College of Business, Victoria University Submitted in fulfilment of the requirements of the degree of Doctor of Philosophy August 2014 Abstract Context and purpose of the research project Within the field of information systems development, enterprise records management (ERM) technologies have largely failed to meet industry‟s demands, especially for context-sensitive records management and document preservation. Electronic document and record management systems (EDRMS), as an enterprise records management tool, have become well-recognised applications for academic users in higher education institutes. The systems often show limited decision support options for academic users such as educators and students, resulting in a lack of coordination and duplication of academic efforts. For sustainable records management, it is beneficial to have a more context-specific and systematic EDRMS for an individual‟s effective decision-making. This study intends to make two distinct contributions in the following ways: Firstly, the study outlines a four-phased approach adapting the step-by-step process to conduct the empirical investigation through case study data collection and analysis in order to create a new ontology-based records management approach. Secondly, the study proposes a new architecture of the domain ontology- based ERM approach that satisfies user requirements and promotes the value of using it to meet organisational standards. Method of analysis used A single case study approach was used and the main data collection method adopted is based on a number of semi-structured interviews. The study was conducted using a four-phase procedure: 1) problem identification 2) framework development 3) research outcomes and 4) solution development. ii Major conclusion reached Through the semantic technologies, the study found that ontology development is useful as a context-specific approach to enhance vocabulary and meaning that enable decision-makers to find the relevant information quickly about their targeted record items. In addition, the study shows the relevant ontology features have promise to enhance searching and navigating abilities for quick decision-making. iii Student Declaration “I, Ahmad Zam Hariro Samsudin, declare that the PhD thesis entitled A Semantic Ontology-Based Records Management Approach for Academic Users’ Decision Support is no more than 100,000 words in length including quotes and exclusive of tables, figures, appendices, bibliography, references and footnotes. This thesis contains no material that has been submitted previously, in whole or in part, for the award of any other academic degree or diploma. Except where otherwise indicated, this thesis is my own work”. Signature : Date: 29 August 2014 iv Publications Samsudin, A.Z.H., Miah, S.J. and McGrath, M. (2014). An Ontology Development Approach for Enhancing Search-ability of Records Management Systems - Asia- Pacific World Congress on Computer Science and Engineering 2014, 4-5 November 2014, Plantation Island, Fiji. Samsudin, A.Z.H., Miah, S.J. and McGrath, M. (2014). Issues of enterprise records management applications: a semantic ontology-based solution perspective. Journal of Information and Knowledge Management, 4(1), 1-8. Samsudin, A.Z.H., Miah, S.J. and McGrath, M. (2014). An ontology-based record management systems approach for enhancing decision support. In the Proceedings of the 20th Americas Conference on Information Systems (AMCIS 2014), August 7 - 10, Savannah, Georgia, 1-11. Samsudin, A.Z.H., Miah, S.J. and McGrath, M. (2013). A semantic web-based approach for enhancing oral history management systems. Journal of Information and Knowledge Management, 3(1), 1-14. v Table of Contents Abstract……………………………………….………………………………….. ii Student declaration………………………...……………………………………. iv Publications………………………..…….……………………………………...... v Table of Contents……………………………..……………………..…………... vi List of Figures…………………………………………...……………………...... x List of Tables……………………………………………..……………….……... xi Acknowledgement…………………………………………………...…...……… xii Glossary of Terms…………………………………………………...……........... xiii Abbreviations……………………………………………………...…………….. xv Chapter 1 Introduction…………………………………………...…………....... 1 1.1 Chapter introduction………………………………………………………….. 1 1.2 Motivation of study……………………………………………….......…......... 2 1.3 Aims, objectives and key contribution of the study………………………....... 4 1.4 Theoretical position of this study……………………………………...……… 6 1.5 Research design…………………………………………………………...…... 9 1.6 Proposed high-level architecture……………………….......………………..... 13 1.7 Structure of the thesis…………………………………………...…………….. 14 1.8 Chapter summary………………………………………...………………........ 16 Chapter 2 Theoretical background………………………….……………......... 17 2.1 Chapter introduction………………………………………………………….. 17 2.2 Information Systems (IS) development………………………………………. 19 2.2.1 Knowledge management systems…………………………………………... 19 2.2.2 Decision Support Systems (DSS) development…………………...………... 21 2.2.3 Knowledge Management-Based DSS (KMDSS)…………………………... 22 2.3 Content and record management systems…………………………………….. 23 2.3.1 Various types of records management……….…………………………….. 26 2.3.1.1 Content management systems (CMS)……………………...……………... 27 2.3.1.2 Enterprise content management (ECM)………………...………………… 27 2.3.1.3 Enterprise records management (ERM)………………………...………… 28 vi 2.3.1.4 Digital asset management systems………………………..………………. 28 2.3.2 EDRMS and potential issues…………………..……………………………. 29 2.4 Semantic Web Technologies………………………..………………………… 30 2.4.1 Ontology and its benefits…………………………………..……………….. 31 2.4.2 Significance of SW……………………..…………………………………... 32 2.4.2.1 KM issues……………………………………..………………………….. 33 2.4.2.2 DB issues………………………………………..………………………... 33 2.4.2.3 Searching issues………………………………………..…………………. 34 2.4.2.4 Navigability issues……………………………..…………………………. 35 2.4.3 Benefits of ontology for educational users……………..…………………... 36 2.4.4 Benefits of ontology …………………………..……………………..……... 38 2.4.4.1 How SW can improve EDRMS………………………………...………… 38 2.4.4.2 Ontology and EDRMS…………………….……………………………… 39 2.5 Summary of the chapter……………………………..…....…………………... 40 Chapter 3 Research methodology…………………………….………….………..... 43 3.1 Introduction……………………………………………….…….………………… 44 3.2 Structure of the research project………………………………..…………………..43 3.2.1 Phase 1: Problem identification…………………………….……….………… 44 3.2.2 Phase 2: Conceptual framework development……………….………………… 47 3.2.3 Phase 3: Research outcomes……………………………………….…………… 51 3.2.4 Phase 4: Solution development…………………………….…………………… 52 3.3 Research philosophy…………………………………….………………………….5 3 3.3.1 Interpretive research approach……………………………….………………….. 55 3.3.2 Research ontology and epistemological positions……………….……………….56 3.3.3 Case study strategy………………………………………………….…………….5 7 3.4 Research design……………………………………………….………………….. 59 3.4.1 Data collection…………………………………………….……………………. 60 3.4.2 Case analysis……………………………………………………………………. 63 3.4.2.1 Coding/Conceptualizing……………………………………………………… 63 3.4.2.2 A process of analyzing the interview documents using Atlas.ti software………6 4 3.4.3 Focus groups……………………………………………………………………. 65 3.5 Chapter summary………………………………………………………………… 66 vii Chapter 4 Data collection and analysis………………………………..……………. 68 4.1 Introduction………………………………………………………..……………….6 8 4.2 Data collection…………………………………………………..………………….6 8 4.2.1 Rationale………………………………………………………….…………….. 68 4.2.2 Justification of the choice of data collection method……………….……………6 9 4.2.3 Demographics…………………………………………………….……………….70 4.3 Data collection method……………………………………………………….……..70 4.3.1 Materials………………………………………………………………….………7..2 4.4 Data analysis method……………………………………………………….………7 2 4.4.1 Coding/conceptualizing………………………………………….…………….….7 2 4.4.2 Labeling codes…………………………………………………..…………………73 4.4.3 Categories and sub-categories development………………………..…………….7 3 4.5. Issues of the existing EDRMS (Findings A)………………...……………… 73 4.5.1 Practical findings……………………………….………………..……………….7 4 4.5.1.1 Searching issues……………………………….…………………..……………7..4 4.5.1.2 Navigating……………………………………………………..……………….7 5 4.5.1.3 Knowledge management……………………………………….………………7..6 4.5.1.4 DB management………………………………………….……………….. 78 4.5.1.5 Other issues………………………………………………….…………………8 1 4.6 Benefits of EDRMS (Findings B)………………………………………………….8 4 4.6.1 Practical benefits……………………………………………………….………….8 4 4.6.1.1 Searching…………………………………………………..……………………8..4 4.6.1.2 Navigating………………………………………………………………………88 4.6.1.3 Knowledge management………………………………………………………..9 0 4.6.1.4 DB management issues…………………………………………………… 93 4.6.1.5 Others…………………………………………………………………………….94 4.7 Issues of Current EDRMS vs Benefits of Ontology-based approach………………9 5 4.8 Chapter summary…………………………………………………………………. 96 Chapter 5 System specifications……………………………………………………….98 5.1 Chapter introduction……………………………..…………………………………..98 5.2 Ontology development procedure………………………………………………….9 9 5.2.1Pre-development phase…………………….……………………………………….101 viii 5.2.2 Conceptual framework design…………………………………….………………..101 5.2.3 Ontology construction and evaluation……………………………………………10 2 5.3 Current state of the systems………………………………………….………………103 5.4 Proposed new ontology ……………………………………………………………10 5 5.5 Proposed ontology of the system…………………………………….………………107 5.6 Compliance with records management standards…………………….……………111 5.6.1 Designing a records systems………………………………………………………112
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