Digital preservation from a records management perspective

A centre of expertise in digital information managementwww.ukoln.ac.uk

UKOLN is supported by:

Digital Preservation from a Records Management Perspective

Michael Day Research and Development Team Leader

UKOLN, University of Bath

Digital Preservation Roadshow, Manchester, 10 December 2009


Presentation outline

• Records management• Digital preservation basics

– Digital preservation challenges– The OAIS Reference Model– Digital preservation principles and strategies– Digital preservation tools:

• Preservation planning (Plato)• Repository audit (TRAC, DRAMBORA)

• Case studies:– E-mail– Websites


Records management (1)

• ISO 15489:2001– Defines records management as “The field of

management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including the processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records”


Records management (2)

• ISO 15489:2001 states that records management includes:– setting policies and standards; – assigning responsibilities and authorities; – establishing and promulgating procedures and

guidelines; – providing a range of services relating to the management

and use of records; – designing, implementing and administering specialized

systems for managing records; and – integrating records management into business systems

and processes.


Digital preservation challenges (1)

• Technical challenges– Digital media

• Currently magnetic or optical tape and disks, some devices (e.g., memory sticks)

• Uncertain lifetimes– Hardware and software dependence

• Most digital objects are dependent on particular configurations of hardware and software

• Relatively short obsolescence cycles



• Conceptual challenges:– Three levels of information required:

• Physical layer – unusually a bitstream• Logical layer – defines how to interpret the bitstream

(through software) to generate meaningful information (e.g. ASCII, XML, file formats)

• Conceptual layer – real world objects– Some are analogues of traditional objects, e.g.

meeting minutes, research papers– Others are not, e.g. Web pages, GIS, 3D models

of chemical structures» Complex and dynamic



– On which of the three layers should preservation activities focus?

• We need to preserve the ability to reproduce the objects, not just the bits

• In fact, we can change the bits and logical representation and still reproduce an ‘authentic’ conceptual object (e.g. by converting a text file into PDF or TIFF)

• Authenticity and integrity– How can we trust that an object is what it claims to be?– Digital information can easily be changed by accident or

design


Digital preservation basics

• An ongoing approach to managing digital content based on:– The identification and adoption of appropriate

preservation strategies• Creation or Ingest stages are normally the best time

to ensure that data are fit-for-purpose and “preservable”

– The collection and management of appropriate metadata• Capture of explicit and implicit knowledge, contexts

– The ongoing monitoring of technical contexts and the application of preservation planning techniques

– Continual monitoring of the organisation (audit)


OAIS Reference Model (1)

• Reference Model for an Open Archival Information System (OAIS)– ISO 14721:2003 Space data and information transfer

systems -- Open archival information system -- Reference model

– Defines:• Common vocabulary (definitions of key concepts)• Information model (information packages, metadata,

etc.)• Functional model (six functional entities)• Mandatory responsibilities



• OAIS Mandatory Responsibilities:– Negotiating and accepting information– Obtaining sufficient control of the information to ensure

long-term preservation– Determining the "designated community" – Ensuring that information is independently

understandable, i.e. can be (re)used without the assistance of those who produced it

– Following documented policies and procedures – Making the preserved information available



Administration

Ingest

ArchivalStorage

AccessData

Management

Descriptiveinfo.

P R O D U C E R

C O N S U M E R

MANAGEMENT

queries

result sets

Descriptiveinfo.

Preservation Planning

orders

OAIS Functional Entities (Figure 4-1)

SIP

SIP

SIP

DIP

DIP

AIP AIP



• OAIS Information Model:– Defines the “Information Packages” required

• Ingest (Submission Information Package)• Storage (Archival Information Package)• Access (Dissemination Information Package)

– General principle of Information Packages:• All objects are wrapped in multiple layers of metadata

(Representation Information, Descriptive Information, Packaging, etc.)



• Implementation fundamentals:– OAIS is a reference model (a conceptual framework),

NOT a blueprint for system design– It informs the design of system architectures, the

development of systems and components– It provides common definitions of terms … a common

language, a means of making comparison– But it does NOT ensure consistency or interoperability

between implementations– Conformance only relates to mandatory responsibilities

and following the information model


OAIS and records management

OAIS Records Management

Main focus on system functions and information flows

Main focus on wider organisational needs

Ingest function implies a “custodial” model

Records management fully integrated with the business function

Fixity (bit level) Authenticity

Negotiating and accepting information Appraisal


The DCC Lifecycle Model

• Digital Curation:– “…The activity of, managing and promoting the use of

data from its point of creation, to ensure it is fit for contemporary purpose, and available for discovery and re-use” (Lord & MacDonald, 2003)

• DCC Digital Curation Lifecycle Model:– Focused on the entire lifecycle of objects (influenced by

records management and archives thinking) from creation, through appraisal, ingest, storage, to access and reuse

– Preservation activities at core of model …



Digital preservation principles (1)

• Most of the technical problems associated with long-term digital preservation can be solved if a life-cycle management approach is adopted – i.e. a continual programme of active management– Ideally, combines both managerial and technical

processes, e.g., as in the OAIS Reference Model– Many current preservation systems are attempting to

support this approach– Digital preservation strategies need to be seen in this

wider context• Wherever possible, retain also the original byte-

stream



• Preservation needs to be considered at a very early stage in an object's life-cycle

• There is a need to identify 'significant properties'– Recognises that preservation is context dependent, even

user specific (concept of 'designated community')– “Performance” model (National Archives of Australia)– Helps with choosing an acceptable preservation strategy

• Encapsulation– Surrounding the digital object - at least in theory - with all

of the information needed to decode and understand it (including software)



• Metadata and documentation is vitally important– Relates to OAIS Information Model concepts like

Representation Information and Preservation Description Information

– Functions• Records meaning• Records the context• Enables the development of finding aids

– Specific standards are being developed that support digital preservation activities (e.g., the PREMIS Data Dictionary)


Digital preservation strategies

• Technology preservation– Maintaining technology

• Computer museums, digital archaeology• Emulation

– Running original bit-streams and application software on emulator programs that mimic the behaviour of obsolete hardware and operating systems

• Migration– Periodic transfer of digital information from one hardware

and software configuration to another, or from one generation of computer technology to a subsequent one


Choosing a strategy (1)

• Preservation strategies are not in competition– Different strategies will work together, may be value in

diversification– Migration strategies mean difficult choices need to be

made about target formats• But the strategy chosen has implications for:

– The technical infrastructure required (and metadata)– Collection management priorities– Rights management

• Owning the rights to re-engineer software– Costs


Choosing a strategy (2)

• Plato preservation planning tool (EU Planets project)– A decision support tool that helps users explore the

evaluation of potential preservation solutions against specific requirements and for building a plan for preserving a given set of objects

– Integrates file format identification (using DROID); some migration services; XML-based generic format characterisation using XCL (eXtensible Characterisation Languages)

– http://www.ifs.tuwien.ac.at/dp/plato/intro.html


Preservation support on ingest

• Formats can be identified and validated on ingest or deposit into a repository– JHOVE (JSTOR/Harvard Object Validation Environment)– PRONOM, DROID (The National Archives)

• Metadata– Some tools exist for the automatic capture of metadata

• Standardisation on ingest– Received wisdom suggests the adoption of open or non-

proprietary standards, e.g. databases structured in XML, uncompressed images, 'preservation friendly' standards like PDF/A


Repository audit frameworks

• Repository audit frameworks first developed out of the OAIS Reference Model– OAIS Mandatory Responsibilities (only six of them):

• The main focus was on technical and organisational aspects, e.g.:

– That repositories ensure that preserved information (content) can be understood (independently understandable)

– That documented policies and procedures are being followed

• No clear concept of OAIS compliance (although this is often claimed by system developers)


TRAC Criteria and Checklist (1)

• Trusted Repositories Audit and Certification (TRAC): Criteria and Checklist– Background:

• Checklist developed by the RLG-NARA Digital Repository Certification Task Force

• Revised (following pilot audits) by the Center for Research Libraries and OCLC

• Based upon OAIS concepts


TRAC Criteria and Checklist (2)

• TRAC criteria cover three main aspects:– Organisational Infrastructure

• Governance and viability, structure and staffing, financial sustainability, contracts, etc.

– Digital Object Management• Ingest, preservation planning, archival storage, etc.

– Technologies, Technical Infrastructure, & Security• Systems and infrastructure, etc.


TRAC Checklist example page


DRAMBORA

• DRAMBORA (Digital Repository Audit Method Based on Risk Assessment)– Digital Curation Centre / Digital Preservation Europe– “Presents a methodology for self-assessment,

encouraging organisations to establish a comprehensive self-awareness of their objectives, activities and assets before identifying, assessing and managing the risks implicit within their organisation“

– Identifying risks and scoring each one on likelihood and impact

– Covers: organisational context, policies, assets, risks, etc.

– Online tool (http://www.repositoryaudit.eu/about/)


Repository audit frameworks

• A means of "asking the right questions" about your repository and documenting appropriate procedures and risks

• Both TRAC and DRAMBORA are under consideration by (different) ISO technical committees– External badge of quality (a "certified preservation

repository")– vs.– Management tool for self assessment


Case study 1: E-mail preservation

• Electronic Mail– Now ubiquitous in many business contexts– A mixture of records and other stuff– High-risk if not managed properly:

• Loss of accountability, efficiency, public credibility, organisational memory, etc.

• There also may be legal and financial consequences– An obvious candidate for the records management

approach


Some specific challenges of E-mail

• Inappropriate content– For example: spam, personal messages, illegal content

• Wide range of attachment types – some will provide preservation challenges of their own

• Unclear responsibilities:– Users can be reluctant to ‘manage’ incoming mail– E-mail seen as personal domain, not as organisational

property ... this can have consequences …



"All staff will be reminded of the appropriate use of Number 10 resources" – Downing Street spokesperson



“The unfortunate incident that has taken place through the illegal hacking of the private communications of individual scientists …” (Rajendra Pachauri, Chairman of the UN Intergovernmental Panel on Climate Change, statement, 4 Dec 2009, http://www.ipcc.ch/)

“Since emails are normally intended to be private, people writing them are, shall we say, somewhat freer in expressing themselves than they would in a public statement” (RealClimate Web pages, http://www.realclimate.org/)


Approaches to managing e-mail

• Developing specific policies for managing email within an organisation– Produce guidance for creators (and others)– Identify the chain of custody through lifecycle– Need to involve all people involved, e.g. creators,

managers, records managers, IT staff, etc.• Developing a preservation approach

– Appraisal - the identification of key e-mail content or records

– Preservation strategies – the adoption of suitable strategies to deal with that content that needs to be retained


E-mail policies (1)

• Policies need to cover:– Creation practices– Using business e-mail accounts for private use & vice

versa– Levels of organisational monitoring– Legal issues– Integrated records retention and preservation– Disposal


E-mail policies (2)

From: http://www.hm-treasury.gov.uk/about_record_mngmnt_pol.htm


E-mail preservation

– Appraisal• Determining what content needs to be preserved• Destruction of transient/unnecessary e-mails

– Saving e-mail records independently of the e-mail client– Check that content is complete - comprising message

body, headers & attachments– Consider authenticity requirements– Ingest into an organisational EDRMS or repository– Make decisions on appropriate preservation strategies for

content and attachments• Selecting a standard format?• Significant properties?


Lost e-mails from the past

• The world’s very first network email– Sent by Ray Tomlinson (BBN Technologies), late 1971– A test message, probably something like

“QWERTYUIOP” (documented, but not preserved – the contents were “entirely forgettable, and I have, therefore, forgotten them”)

– First ‘real’ message explained to colleagues how to send messages over the network (exact text now unknown)

– Probably no significant records management implications, but a key step in the historical development of the Internet was not recorded


Case study 2: Preserving Websites

• Websites are ubiquitous:– “The Web has become the platform and interface of

choice for virtually every kind of information system” (JISC-PoWR Handbook)

– Typically run by IT staff (e.g., Web managers), main responsibilities relate to keeping systems online, stable and secure, and up-to-date … content is constantly evolving

– Potential role for records managers to identify which parts of institutional Websites need to be incorporated within RM guidelines


Preserving Websites (2)

• Things to consider:– The identification / appraisal of Web records– Change frequency– Ownership and rights– Databases and the “deep Web”– The use of Content Management Systems (CMS)– Streamed content– The use of third-party sites– Personalisation / Web 2.0 / social networking



• Collection approaches:– Various harvesting tools exist (e.g. Heritrix)– Domain harvesting, selective capture, periodic capture– Working with third parties – e.g.:

• European Archive (http://www.europarchive.org/)• Internet Archive (http://www.archive.org/)

• Some examples of existing initiatives:– UK Government Web Archive (TNA):

http://www.nationalarchives.gov.uk/webarchive/– UK Web Archive (BL, JISC, Wellcome Library, NLW)

http://www.webarchive.org.uk/ukwa/



• Aspects of Websites that could be preserved:– Information Content– Information Appearance– Information Behaviour– Information Relationships (e.g. links, embedded or linked

metadata)– Change history– Use history

– From: Kevin Ashley (ULCC), “The JISC-PoWR Handbook - Explaining Web Preservation,” via SlideShare: http://bit.ly/7GyJbd


Conclusions

• Records management approaches fit well with digital preservation requirements

• Both focused on:– The identification of the specific content that needs to be

managed over a certain period of time (e.g. appraisal, data audit, selection)

– The creation and capture of appropriate contextual information and metadata

– The development of appropriate organisational policies and procedures

– Both involve the consideration of organisational and technical challenges


Further reading (1)

• General– ISO 15489:2001 Information and documentation --

Records management – Part 1: General / Part 2: Guidelines

– Paradigm Project Workbook: http://www.paradigm.ac.uk/workbook/

– Tufts-Yale Fedora and the Preservation of University Records: http://dca.lib.tufts.edu/features/nhprc/reports/

– Plato Preservation Planning tool: http://www.ifs.tuwien.ac.at/dp/plato/intro.html

– DRAMBORA: http://www.repositoryaudit.eu/about/


Further reading (2)

• Preserving Emails:– Maureen Pennock, “Curating E-mails,” In: DCC Curation

Manual (2006): http://www.dcc.ac.uk/resource/curation- manual/chapters/curating-e-mails/

– The National Archives, Developing a policy for managing e-mail (2004): http://www.nationalarchives.gov.uk/documents/managing _emails.pdf

– Collaborative Electronic Records Project, Email records guidance (Smithsonian Institution Archives & Rockefeller Archives Center, 2007): http://siarchives.si.edu/pdf/CERP_Email_guidance_supp _0307.pdf


Further reading (3)

• Preserving Websites:– JISC-PoWR Handbook (Nov 2008):

http://jiscpowr.jiscinvolve.org/handbook/– JISC-PoWR blog: http://jiscpowr.jiscinvolve.org/– The National Archives - Web Continuity project:

http://www.nationalarchives.gov.uk/webcontinuity/– Adrian Brown, Archiving Websites: a practical guide for

information management professionals (London: Facet Publishing, 2006)

– Julien Masanès (ed.), Web Archiving (Berlin: Springer- Verlag, 2006)


Questions?

“Pigabyte”

King Bladud’s Pigs in Bath (public art project), Summer 2008

http://www.kingbladudspigs.org/


Acknowledgments

• UKOLN is funded by the Joint Information Systems Committee (JISC) of the UK higher and further education funding councils, the Museums, Libraries and Archives Council (MLA), as well as by project funding from the JISC, the European Union, and other sources. UKOLN also receives support from the University of Bath, where it is based.

• More information: http://www.ukoln.ac.uk/


Thank You!