Collaboration for Success in Digital Records Management & Curation

a centre of expertise in data curation and preservation

ICA-SUV Seminar :: September 2006 :: Reykjavík

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Collaboration for Success in Digital Records Management &

Curation

Maureen PennockUK Digital Curation Centre, UKOLN, University of Bath



Overview

• Transition from analogue to digital• Challenges in managing digital records• Digital Curation & the life-cycle• Roles and Responsibilities• Conclusions



From Analogue to Digital• Digital infrastructure

now increasingly common

• Number of advantages in using digital records

• Range and type of records enormous

• Management and preservation of digital records has not kept pace with use

… to this

from this…



The First Solution



The First Solution

???

? ?

Doesn’t solve all the problems… … and may

even create extra ones!



Digital Curation• Offers a framework in which to address many

of the technical, cultural, and organisational issues in the management and preservation of digital records & data

• “Maintaining and adding value to a trusted body of digital information for current and future use”

• “The active management and appraisal of data over the entire life-cycle”



Archiving & Preserv-

ation

Transfer

Active Use

Appraisal &

Selection

Access & Re-use

Creation

Life-cycle model• Generic model• Takes control over the

records throughout lifetime• Meaningful chain of

custody• Requires compatibility of

different stages• Note that preservation

activities may be needed before archiving, depending on the retention period

Records

Disposal?

Disposal?



The Challenges• New paradigm -> different challenges

Technical Preservation Organisational

Legal Financial Cultural



Technical & Preservation issues (1)• Preservation

• Records highly environmentally dependent

• Software/hardware environments change many times during the lifetime of the records

• Records may be altered if action is undertaken• Records will become inaccessible if action is not

taken

File(s) Software Hardware RECORD



Technical & Preservation issues (2)• Preservation strategies

• Fragility of media• File deterioration• Media obsolescence• Hardware & software obsolescence

• Preservation tools/functionality• Repository storage• Metadata• Security



Organisational and Cultural issues• Organisational and cultural infrastructure not geared

towards digital records management• Records often created, stored, & managed ad hoc • Distributed across many PC’s, laptops, other devices

• Multiple copies made & problematic versioning• Sense of personal ownership• Need for senior managerial support, e.g policy, champions• The ‘that’s not part of my job description’ syndrome• Low awareness of staff/user responsibilities• Absence of effective communication pathways between

stakeholders & departments



Legal and Financial issues• Financial:

• Who will pay? • What are the cost benefits?• Where’s the business model?

• Legal:• Data Protection, • Freedom of Information, • Controlling IP rights…



Addressing the challenges• These challenges are present at different

stages throughout the records life-cycle• Necessitates a distinct change in the way the

universities manage their digital materials and digital records – isolated departments and faculties no more

• Requires attention by different stakeholders at different stages



Shared roles and responsibilities• Management – senior and departmental• Records creators – staff, students…• Records curators – information and records

management, archivists, librarians…• IT personnel – web managers, head of IT,

system administrators, system support…

• Communication and collaboration is required to achieve consistency and success



Stage 1 - CreationActivities Responsible

Policy on records creation, eg records to be properly constructed, use templates

Senior management; Records curators

Policy on acceptable use of records-creating systems (including mobile devices and technologies)

Senior management; Records curators; IT staff

Templates to be designed or provided Records curators; IT staff?

Good practice creation guidelines & advice Records curators; IT staff

Creation of well-formed records Records creators – staff, students, researchers



Stage 2 – Active UseActivities Responsible

Policy on responsibilities for personal records/data management, including legal issues

Senior management; Records curators

Policy on external distribution of records Senior management; Records curators

Policy on acceptable use of IT facilities (general) IT staff

Guidelines on good practice storage, versioning and filing

Records curators; IT staff

Good practice storage and filing Records creators



Stage 3 – Appraisal & SelectionActivities Responsible

Policy and guidelines/advice for users on desktop/systems appraisal, selection, retention

Records curators (IT staff)

Departmental training on responsibilities for retaining records at end of active life

Records curators; records creators

Enabling availability and accessibility of records Records creators

Automatic selection of records, based on metadata and business process classifications?




Stage 4 – Transfer or DisposalActivities Responsible

‘Pull’ transfer activities: awareness raising; pro-active communications; communicating metadata requirements and transfer requirements

Records curators

‘Push’ transfer activities: making records available and accessible for transfer; adding metadata

Records creator; Records curators

Providing technical transfer infrastructure (including metadata facilities)

IT staff

Policy on disposal Senior management; Records curators

Desktop disposal of non-transferred records Records curators; IT staff; records creators

Destruction of redundant data & records, including backups and offsite storage




Stage 5 – Archiving & PreservationActivities Responsible

Policy on storage and preservation Senior management; Records curators/Archivist)

Finances for preservation activities Senior management (Records curators)

Checking transferred records; adding metadata; developing preservation requirements

Records curators

Adhering to preservation requirements! IT staff

Providing storage, preservation tools and infrastructure, technology watch

IT staff; (Records curators?)

Preserving records through time Records curators; IT staff



Stage 6 - Access & Re-useActivities Responsible

Policy on data and records accessibility Senior management, Records curators

Ensuring Data Protection compliance in accessible records


Developing requirements for metadata-enabled accessibility

Records curators

Providing reliable access whilst protecting stored records from malicious or accidental harm

IT staff

Providing other access/re-use tools as required Records curators; IT staff

• Many previous activities, e.g. metadata creation, linkage between records, contribute to re-use



Summary & Conclusions• Digital records management comprises many levels of

challenges (not just technical)• ‘Print to paper’ is not the most appropriate solution for

managing digital records• More extensive collaborative relationships are needed

for complete life-cycle management than has traditionally been the case

• Collaboration enables organisations to fully reap benefits of digital records

• Wider cross-sectoral collaboration & communication will minimise investments in developing suitable approaches



Thank You

Questions?

Maureen [email protected]

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Collaboration for Success in Digital Records Management & Curation