Preserving Electronic Records - InterPARESinterpares.org/documents/interpares_preservation_tf.pdf · Richard Blake, Public Records Office, UK Paola Caruci, National Archives of Italy

Preserving Electronic RecordsThe Work of the Preservation Task Force

"There's Nothing Like the Real Thing" Preserving Authentic Electronic Records:

The Findings of InterPARES IJune 19, 2002

InterPARES ProjectPreservation Task ForceKenneth Thibodeau, NARA, ChairRichard Blake, Public Records Office, UKPaola Caruci, National Archives of ItalyMichele Cloonan, University of California, Los AngelesBabak Hamidzadeh, University of British ColumbiaP.C. Hariharan, Johns Hopkins UniversityHans Hofman, National Archives of the NetherlandsTorbjörn Hörnfeldt, National Archives of SwedenRichard Lysakowski, Collaborative Electronic Notebooks Systems Assn.Christine Petillat, National Archives of FranceWilliam Rhind, Pharmacia CorporationWilliam Underwood, Georgia Tech Research InstituteBruce Walton, National Archives of Canada

Preserving Authentic Electronic Records

• What is required to preserve authentic records is an archival question.

• Technology provides – and limits – options for implementing the answer(s) to the archival question.

• Archival Requirements and Technological Solutions are melded together in a Preservation Strategy for a given body of records.

• Anyone responsible for preservation should develop a Preservation Framework both to ensure that its Preservation Strategies are coherent and to enable evolution of those strategies over time.

Preserving Electronic Records• It is impossible to preserve an electronic record.• It is only possible to preserve the ability to

reproduce an electronic record.– Digital data inscribed on a physical medium do not have

the form of a record.– It is necessary to transform inscribed bits into the form

of the record.– The transformation is done by software.– An electronic record is reproduced by the correct

processing of the stored sequence(s) of bits which encode not only the content, but also all the intrinsic and extrinsic elements of form of the record.

Reproducing an Electronic RecordCorrectly

• All the necessary sequences of stored bits must be retrieved without error.

• The right software must be used.• The software must function properly.• If the reproduction has all the identifying

characteristics of the record and its integrity has been maintained, it is an authentic copy of the record.

Digital Component of an Electronic Record

• A digital object that is part of an electronic record, or of a reproduced electronic record, or that contains one or more electronic records, or reproduced electronic records, and that requires specific methods for preservation.

Digital Objects

• Multiple Inheritance:• Physical Object

• An inscription of signs on a physical medium

• Logical Object• A digital object recognized (& processed) by

software

• Conceptual Object• The object as recognized and understood by a

person.

Relationships of the Physical, Logical, & Conceptual Levels of an Object

• One-to-one– A report created with a word processing application,

saved as a word processing file, copied to diskette.• One-to-many

– A long report divided into a master and 3 subdocuments.– A digital photograph included in a textual report, but

stored in a separate, linked jpeg file.• Many-to-one

– 200 word processing files stored in a TAR file.• Many-to-many

– Data elements from several different database tablescombined, in different ways, to produce various reports.

The “Preserve Electronic Records” Model• Starting Point: the draft Open Archival Information

System (OAIS) Reference Model– But: OAIS is not specific to records

• Purpose: to articulate what must be done, and what information and resources are needed, to preserve authentic electronic records.– But: requirements for authenticity were not available

• Viewpoint: the person responsible for (carrying out actions needed for) preserving electronic records.

• Scope: from the determination that records have long term value to the production of an authentic copy.

• Nature: Delineates a process, not a system or a workflow

A-0

NODE: TITLE: NUMBER:Preserve Electronic RecordsA-0 v. 6.0

A0

Preserve Electronic Records

ArchivalRequirements

State of the Art ofInformation Technology

InstitutionalRequirements

Information aboutElectronic RecordsSelected forPreservation

Reproducible Electronic Record

Requested Informationabout a Preserved Record

Reproduced Electronic Record

Certificate of Authenticity

Information About Preservation

Persons Responsible forPreservationFacilities

Information andCommunicationsTechnology

Request for Recordand/or Informationabout Record

Transfer of ElectronicRecords Selected forPreservation

NODE: TITLE: NUMBER:Preserve Electronic RecordsA0 v 6.0

A1

Manage thePreservation

Function

A2

Bring inElectronicRecords

A3

MaintainElectronicRecords

A4

OutputElectronic

Record

Requester

Suppliers

State of the Art of Information Technology

Transfer ofElectronicRecordsSelected forPreservation

Archival Requirements

AccessionedElectronic Records

Institutional Requirements

RetrievalRequest


Retrieved Informationabout a PreservedRecord

Retrieved DigitalComponents

Requested Informationabout a PreservedRecord


Persons Responsiblefor Preservation

Certificate ofAuthenticity

ReproducibleElectronic Record

Accessioning Policy Report on Authenticityof Records

ReproducedElectronicRecord

Targeted Preservation Method

Preservation Strategy


Information About Preservation

ManagementInformation AboutPreservation

TechnologicalInfrastructure

A0

NODE: TITLE: NUMBER:Manage the Preservation FunctionA1 v 6.0

A1.1

DeterminePreservationRequirements

A1.2

SelectPreservationTechnologies

A1.3

SpecifyPreservation

Strategy

A1.4

Evaluate Execution of Preservation

Appraiser

Appraiser

A2.3

State of the Art ofInformation Technology

ArchivalRequirements

Institutional Requirements

Determination thatRecords Cannot bePreserved

Synthesized Requirementsfor Preservation

Management Information About Preservation

Information AboutPreservation

Evaluation ofExecution

Preservation TechnologySpecifications

Terms andConditions forTransfer

Report onAuthenticity ofRecords

TargetedPreservation Method

Information about Transferredand Accessioned Records

Technological Infrastructure

PreservationStrategy

Request for Strategy Decision


Information about DigitalComponents of anElectronic Record


A0

A1

A1.1

NODE: TITLE: NUMBER:Determine Preservation RequirementsA1.1 v. 6.0

A1.1.1

Determine Transfer &Storage Requirements

A1.1.2

Identify ArchivalProperties That

Must be Preserved

A1.1.3

DetermineRequirements for

Reconstituting andPresenting Records

A1.1.4

Determine Requirementsfor Reconstituting and

Presenting ArchivalAggregates

A1.1.5

DetermineBasis for

Authenticity

A1.1.6

SynthesizeRequirements

for Preservation

A3

Types ofRecordAggregates

Record PreservationRequirements

InformationaboutTransferredandAccessionedRecords

Information about DigitalComponents of anElectronic Record

Information about Presumption ofAuthenticity of Transferred Records

ArchivalAggregateRequirements

Basis of Authenticityof Records

Classes ofRecords

Information about Presumption ofAuthenticity of Appraised Records

State of the Art of Information Technology

InformationaboutElectronicRecordsSelected forPreservation

SynthesizedRequirementsforPreservation

Requirementsfor Physical andLogical Files

A1 A0

NODE: TITLE: NUMBER:Bring in Electronic RecordsA2 v. 6.0

A2.1

RegisterTransfer

A2.2

Verify that theTransfer isAuthorized

A2.3

ExamineElectronicRecords

A2.4

AccessionElectronicRecords

Submitter

A3.1

Submitter

A3.1 Accessioning Dossier

Registration Procedure

TechnologicalInfrastructure

Notification of Receipt

PreservableRecords

ConformingTransfer

Targeted PreservationMethod

Transfer ofElectronicRecordsSelected forPreservation

AccessionedElectronicRecordsRetrieved Information about

Presumption of Authenticity


Rejected Transfer

Request for Informationabout Authenticity

RegisteredTransfer

Record of Accession

RejectedAccession

Accessioning Policy

A0

a2

NODE: TITLE: NUMBER:Examine Electronic RecordsA2.3 v 6.0

A2.3.1

Map Records andDigital Componentswithin Transferred

Materials

A2.3.2

Verify that the Records in the Transfer Can Be Preserved and

Reproduced

A2.3.3

Take Action Needed to Preserve the

Record

A1

Technological Infrastructure


ConformingTransfer

Preservable Records

A3.3 Update DigitalComponents

Rejected Transfer

A 4 Output Records

ConformingDigitalComponents

MappedRecords andDigitalComponents

Digital Componentsof a Record ThatCannot bePreserved Request for

Strategy Decision

Non-ConformingDigitalComponents

Accessioning Policy

A0A2

A2.3

NODE: TITLE: NUMBER:Maintain Electronic RecordsA3 v 6.0

A3.1

ManageInformation

AboutRecords

A3.2

Manage Storage ofDigital Components

of Records

A3.3

UpdateDigital

Components

A1.1

AccessionedElectronicRecords

Method forUpdatingComponents

TargetedPreservationMethod

Retrieved Informationabout a Preserved Record

RetrievedDigitalComponents

Storage Method

Information aboutDigital Components

Request for DigitalComponents

UpdatedDigitalComponents

Updated StorageInformation

Digital Components ofAccessioned ElectronicRecords

Digital ComponentsThat Need Updating

Retrieval Request

Basis of Authenticity ofRecords

Information aboutUpdated DigitalComponents

Updated DigitalComponents

Information AboutAccessionedRecords


a3

e.g. A4 A0

A0A3

A3.1NODE: TITLE: NUMBER:Manage Information About Records

A3.1 v 6.0

A3.1.1

Maintain Information

About Records

A3.1.2

Retrieve Information

About Records

A3.1.3

RetrieveInformation

About DigitalComponents

A2A2

Retrieval RequestRetrieved Information abouta Preserved Record

Basis of Authenticity ofRecords

Information aboutUpdated DigitalComponents

Retrieved Information aboutPresumption of Authenticity

Information AboutAccessioned Records

Request for Information about Authenticity

Information aboutDigital Components

Request for DigitalComponents


MaintainedInformationAbout Records

MaintainedInformation AboutDigital Components

Information IdentifyingDigital Components of aRequested Record


A0A3

A3.2

NODE: TITLE: NUMBER:Manage Storage of Digital Components ofRecordsA3.2 v. 6.0

A3.2.1

Place RecordComponents in

Storage

A3.2.2

RefreshStorage

A3.2.3

MonitorStorage

A3.2.4

CorrectStorage

Problems

A3.2.5

RetrieveComponentsfrom Storage

Digital Componentsof AccessionedElectronic Records

MonitoringMethod

StorageUpdateMethod

StorageProblem

ProblemCorrectionMethod

StoredDigital File

Updated DigitalComponents

RetrievalMethod

RecoveredFile

Storage Method

RefreshedFile


Request for Digital Components


NODE: TITLE: NUMBER:Output Electronic RecordA4 v 6.0

A4.1

Manage theRequest

A4.2

Review RetrievedComponents and

Information

A4.3

ReconstituteRecord

A4.4

PresentRecord

A4.5

PackageOutput

RequesterAccounting forUnsatisfied Request



Retrieval Request

RetrievedInformationabout aPreservedRecord

ReproducedElectronic Record




RequestedInformation about aPreserved Record


RequestControl

RequestedReconstitutedRecord


RequestedDigitalComponents

Report of Problemwith RetrievalResponse

RecordReconstitutionMethod

PresentationMethod

PackagingMethod

A0

A4

NODE: TITLE: NUMBER:Output Electronic RecordA4 v 6.0

A4.1

Manage theRequest

A4.2

Review RetrievedComponents and

Information

A4.3

ReconstituteRecord

A4.4

PresentRecord

A4.5

PackageOutput

RequesterAccounting forUnsatisfied Request



Retrieval Request

RetrievedInformationabout aPreservedRecord

ReproducedElectronic Record




RequestedInformation about aPreserved Record


RequestControl

RequestedReconstitutedRecord


RequestedDigitalComponents

Report of Problemwith RetrievalResponse

RecordReconstitutionMethod

PresentationMethod

PackagingMethod

A0

A4

Verify that a transfer is authorized• The Preservation Strategy (Control) ensures that terms and

conditions for transfer are satisfied:• Who is authorized to send the records; • when should transfer occur;• what records should be transferred together; • what format(s) should the records be in; • what information should accompany the transfer.

• Check information accompanying a Registered Transfer (Input) to verify that these conditions are satisfied.– If so, the transfer is a Conforming Transfer (Output).

• Request information about the basis for assuming that the creator maintained the records authentic (Output).

– If not, reject the transfer, notifying the submitter (Output).A2

Verify That Records Can Be Preserved and Reproduced

• Can each record be reconstituted from its digital components?– Does the data type of each component conform to the

Preservation Strategy?• If not, should the transfer be rejected?

– Do components in any data type need to be converted for preservation?

• If so, refer for appropriate action.

• Can each record be output, in proper order with respect to related records?– If not, should the transfer be rejected?

A2.3

Mapping Records• What records and aggregates of records are

reportedly included in a Transfer?• What are the digital components of each record?• Where are these components found in the physical

file(s) transferred?• Are all required components present?

– Does the transfer include any digital components that are not parts of records specified for the transfer?

Example: Workers Compensation Board Case Folder System

• Records– Aggregates: 1 series of case files– Records: 5 classes of documents

• Digital components– Each document stored as a multipage TIFF file– Relational database storing data about each document,

documents in each case file, and case files in the series.– Metadata about the database

Information About Accessioned Electronic Records

Digital Components of Accessioned Electronic Records

• Updated Basis of Authenticity• Records: Case folders n through n+i• Digital components:

– Relational Database Tables • Metadata defining each table• Metadata defining relationship between tables

– One TIFF file containing each document• Storage: map of tables and TIFF files to physical

files• Preservation Information

– Successful transfer– Successful updating of components, if any

Basis of Authenticity of Records


Manage Information

AboutRecords

Accessioned Electronic Records

Maintain Electronic Records

Manage Storage of Digital Components

of Records

Manage Information

AboutRecords






Digital Components of Accessioned Electronic Records Updated Storage

Information

Digital Components That Need Updating

UpdateDigital

Components

Information About Updated Digital Components

Updated Digital Components

Information about Digital Components

Retrieved Digital Components


Manage Information

AboutRecords







Information


UpdateDigital

Components


Retrieval Request

Request for Digital Components


of Records


Retrieved Information about a Preserved Record

Manage Information

AboutRecords







Information


UpdateDigital

Components



Retrieval Request

Request for Digital Components Retrieved

Digital Components


of Records

Retrieved Information about a Preserved Record


Documents

Preserving Electronic Records - InterPARESinterpares.org/documents/interpares_preservation_tf.pdf · Richard Blake, Public Records Office, UK Paola Caruci, National Archives of Italy