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@ulcc www.ulcc.ac.uk
IRMS Conference May 2015
From EDRMS to TDR: a wish-list
for ways to preserve digital
records
@ulcc www.ulcc.ac.uk
About me
• Ed Pinsent, Digital Archivist at ULCC since 2004
• Teaches digital preservation on the DPTP
• Background as archivist / records manager
• Experience in web-archiving, repository management, metadata projects, migration, digitisation, project management, etc.
• See more at digital archives blog http://dablog.ulcc.ac.uk/
@ulcc www.ulcc.ac.uk
Imagineering: Themes & Dreams for Tomorrow
• Do we need to preserve born-digital records?
• If so, how can we do it?
• Will refer to EDRMS (Electronic Document
Records Management Systems)…
• And to a TDR (Trusted Digital Repository)…
• That conforms with Open Archival Information
System (OAIS) Reference Model
@ulcc www.ulcc.ac.uk
Some issues
1. Need for keeping records may exceed life of the EDRMS
2. Need for keeping records may exceed life of file formats they are stored in
3. Can we get content / metadata out of the EDRMS?
4. If we need preservation, where do we do it?
@ulcc www.ulcc.ac.uk
#1: The EDRMS problem
• You may have a long-term business need
for retention
• May only affect a small percentage of
records (e.g. Pension records, contracts)
• Will your EDRMS last that long?
@ulcc www.ulcc.ac.uk
#2: The file format problem
• Digital file formats may become obsolete / unsupported / unreadable
• Common response in digital preservation is to migrate
• But it’s extra work: picking a suitable target format, finding a conversion tool
• Doing this creates even more metadata
• We’d want to automate it, ideally
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#3: Can we export from EDRMS?
• Can we get the digital objects / files out?
• Can we get the metadata out?
• Do we want to?
– Presumably MOREQ conformant…
– Reports on the system itself (audit trail)
– Reports on use of the records
– Both add authenticity / legal admissibility to
records
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#4. Where can we do preservation?
• In the EDRMS itself?
• Or in a dedicated archival repository
system?
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EDRMS might not work for preservation
• According to DIRKS (2012)…
• Q: Will the EDRMS automatically manage the long term needs of records?
• A: No. There are a number of factors that can still threaten the long term accessibility and use of records.
• Vendor support
• Software upgrades
• Move to new EDRMS must be handled carefully
• Data loss, corruption, alteration risks
@ulcc www.ulcc.ac.uk
EDRMS might not work for preservation
• Archives New Zealand:
• Archives New Zealand is now in a position to accept digital records exported into its custody where the records have been appraised as having ongoing archival value. Requirements for digital transfer remain flexible to incorporate existing digital records not accompanied by recordkeeping metadata to the standard.
@ulcc www.ulcc.ac.uk
Possible Gaps (Technical)
1. No “bridge” from EDRMS to TDR
2. Not always clear if we can export out of
EDRMS, or in what format
3. Do we want to capture the EDRMS audit
trail?
4. Can’t easily change file formats in the
EDRMS
5. Additional metadata needed for preservation
@ulcc www.ulcc.ac.uk
Possible Gaps (Human)
Records Manager Archivist IT Manager
All I care about is current
records and the next five years
Our selection policy means I have to
preserve a history of this organisation
forever
I don’t care about either
of you
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Life Cycle of Record
CreationMaintenance
and Use
Preservation
Destruction
Disposition
EDRMS Functions
OAIS Functions
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What is OAIS / TDR?
• ISO standard(s)
• Proposes a dedicated space for storing archival copies
• Allows us to protect important content in archival packages
• Can carry out migration in a controlled and professional way
• Uses tools which EDRMS doesn’t have
• Can create preservation metadata
@ulcc www.ulcc.ac.uk
Some proposed steps towards
preservation
1. Survey
2. Define use cases
3. Do preservation planning
4. Define ingest requirements
5. Define data management requirements
6. Define access requirements
7. Think about migration
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Terms…
• Migration = transforming digital objects
from one file format to another
• Moving = taking electronic records out of
the EDRMS
• Export = will use this term to apply only to
metadata
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1. Survey
• Survey record holdings
• Create an inventory
• Identify record types with long retention
needs (e.g. 30-50 years)
• Note file format types in use
• May be a small percentage
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2. Use cases
• Identify types of users
• Find out what these users expect to be
able to do with the records
• Make decisions about how much you can
support technically
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Example A
• Internal users might want…
– To find documents
– To read documents
– To amend or edit them (unlikely, but possible)
– To delete them
– To operate a disposal rule (if they are the
records manager)
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Example B
• External users might want access, but…
– Documents might be closed to the public
– When can they be opened?
– Can they be released in redacted form?
– What about an auditor or other legal official?
– What are your legal obligations?
@ulcc www.ulcc.ac.uk
And what about…
• Individual digital objects
– Will you need to retain formatting? Colours? Fonts?
– Editability and processability?
– Formulae in spreadsheets?
– Email attachments?
• Provenance and original order
– Will you retain original file names? Folder names? References? History of use?
@ulcc www.ulcc.ac.uk
The value of use cases
• Have implications for what kind of
preservation system you are going to build
– Functionality
– Search facilities
– Access mechanisms (security marking,
redaction)
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The value of use cases
• Have implications for managing digital
objects
– When and how will you migrate objects?
– What can you afford to lose in migration?
– How much do you need to support?
@ulcc www.ulcc.ac.uk
3. Preservation planning
• When will you move?
• What will you be moving?
• What about keeping metadata from the EDRMS,
e.g.:
– File plan scheme?
– Retention scheduling rules?
– Use history?
– Access / security markings?
• Will you migrate file formats? When? How?
@ulcc www.ulcc.ac.uk
Can we move / export?
• TNA have noted:
• Most systems “have not been designed for
easy import and export of information.”
• “It is rare that an EDRMS export captures
everything held in the system”.
• (Migrating Information between EDRMS,
Digital Continuity Project, 2010)
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4. Define ingest rules
• Move objects from EDRMS
• Export EDRMS metadata
• Extract technical metadata from objects
• Identify access / closure requirements
• Build preservable packages
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5. Define data management
• How will you store and manage metadata?
– Keep it as a chunk of XML
– Incorporate metadata with your database
– Map it to METS
• What about preservation metadata?
@ulcc www.ulcc.ac.uk
6. Define Access
• Devise access rules for records, e.g.:
– Security markings
– Authentication procedures
– Redaction processes
• Apply them to your preserved objects
@ulcc www.ulcc.ac.uk
7. Migration
• Convert old file formats into supported file formats
• Devise acceptance criteria (part of preservation
planning); what essential properties must not be lost
through migration?
• Learn from your use cases; you cannot support
“everything”
• Choose conversion tools
• Identify formats that may cause problems
• Decide when you will migrate
• Keep records when you do it (preservation metadata)
@ulcc www.ulcc.ac.uk
Possible result
OAIS compliant digital archive Access function
Internal user
External user
Auditor
SearchReadEditAuditDispose
- Preserves- Holds metadata- Keeps some object functionality- Replicates some functions of EDRMS- Builds accessible DIPs- Redacts- Migrates
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Wishlist: Technical
• Automation
• More bridge-building between systems
• Keeping as much original metadata as
possible
• Can we map MoREQ to METS?
• Move towards agreement on the ideal
sharing format (e.g. XML)
@ulcc www.ulcc.ac.uk
Wishlist: Planning
• An integrated digital records-to-digital
archives lifecycle
• Do migration early, where appropriate
• Authenticity and integrity of records
retained
• Someone in organisation taking ownership
of preservation