Preserving Electronic Records -...
Transcript of Preserving Electronic Records -...
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
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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
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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
Information aboutElectronic RecordsSelected forPreservation
Retrieved Informationabout a PreservedRecord
Retrieved DigitalComponents
Requested Informationabout a PreservedRecord
Request for Recordand/or Informationabout Record
Persons Responsiblefor Preservation
Certificate ofAuthenticity
ReproducibleElectronic Record
Accessioning Policy Report on Authenticityof Records
ReproducedElectronicRecord
Targeted Preservation Method
Preservation Strategy
Information andCommunicationsTechnology
Information About Preservation
ManagementInformation AboutPreservation
TechnologicalInfrastructure
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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 aboutElectronic RecordsSelected forPreservation
Information about DigitalComponents of anElectronic Record
Information andCommunicationsTechnology
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A1
A1.1
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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
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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
Preservation Strategy
Rejected Transfer
Request for Informationabout Authenticity
RegisteredTransfer
Record of Accession
RejectedAccession
Accessioning Policy
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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
Preservation Strategy
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
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A2.3
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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
Preservation Strategy
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A3.1NODE: TITLE: NUMBER:Manage Information About Records
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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
Updated StorageInformation
MaintainedInformationAbout Records
MaintainedInformation AboutDigital Components
Information IdentifyingDigital Components of aRequested Record
Preservation Strategy
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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
Updated StorageInformation
Request for Digital Components
Retrieved DigitalComponents
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
Preservation Strategy
Persons Responsiblefor Preservation
Retrieval Request
RetrievedInformationabout aPreservedRecord
ReproducedElectronic Record
Certificate ofAuthenticity
Retrieved DigitalComponents
ReproducibleElectronic Record
RequestedInformation about aPreserved Record
Request for Recordand/or Informationabout Record
RequestControl
RequestedReconstitutedRecord
Targeted Preservation Method
RequestedDigitalComponents
Report of Problemwith RetrievalResponse
RecordReconstitutionMethod
PresentationMethod
PackagingMethod
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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
Preservation Strategy
Persons Responsiblefor Preservation
Retrieval Request
RetrievedInformationabout aPreservedRecord
ReproducedElectronic Record
Certificate ofAuthenticity
Retrieved DigitalComponents
ReproducibleElectronic Record
RequestedInformation about aPreserved Record
Request for Recordand/or Informationabout Record
RequestControl
RequestedReconstitutedRecord
Targeted Preservation Method
RequestedDigitalComponents
Report of Problemwith RetrievalResponse
RecordReconstitutionMethod
PresentationMethod
PackagingMethod
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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
Preservation Strategy
Manage Information
AboutRecords
Accessioned Electronic Records
Maintain Electronic Records
Manage Storage of Digital Components
of Records
Manage Information
AboutRecords
Basis of Authenticity of Records
Preservation Strategy
Accessioned Electronic Records
Maintain Electronic Records
Information About Accessioned Electronic Records
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
Information about Digital Components
Manage Information
AboutRecords
Basis of Authenticity of Records
Preservation Strategy
Accessioned Electronic Records
Maintain Electronic Records
Information About Accessioned Electronic Records
Digital Components of Accessioned Electronic Records Updated Storage
Information
Digital Components That Need Updating
UpdateDigital
Components
Information About Updated Digital Components
Retrieval Request
Request for Digital Components
Manage Storage of Digital Components
of Records
Updated Digital Components
Retrieved Information about a Preserved Record
Manage Information
AboutRecords
Basis of Authenticity of Records
Preservation Strategy
Accessioned Electronic Records
Maintain Electronic Records
Information About Accessioned Electronic Records
Digital Components of Accessioned Electronic Records Updated Storage
Information
Digital Components That Need Updating
UpdateDigital
Components
Information About Updated Digital Components
Updated Digital Components
Retrieval Request
Request for Digital Components Retrieved
Digital Components
Manage Storage of Digital Components
of Records
Retrieved Information about a Preserved Record
Information about Digital Components