Preserving Electronic Records The Work of the Preservation Task Force

Transcription

1 Preserving The Work of the Task Force "There's Nothing Like the Real Thing" Preserving Authentic : The Findings of InterPARES I June 19, 2002

2 InterPARES Project Task Force Kenneth Thibodeau, NARA, Chair Richard Blake, Public Office, UK Paola Caruci, National Archives of Italy Michele Cloonan, University of California, Los Angeles Babak Hamidzadeh, University of British Columbia P.C. Hariharan, Johns Hopkins University Hans Hofman, National Archives of the Netherlands Torbjörn Hörnfeldt, National Archives of Sweden Richard Lysakowski, Collaborative Notebooks Systems Assn. Christine Petillat, National Archives of France William Rhind, Pharmacia Corporation William Underwood, Georgia Tech Research Institute Bruce Walton, National Archives of Canada

3 Preserving Authentic 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 Strategy for a given body of records. Anyone responsible for preservation should develop a Framework both to ensure that its Strategies are coherent and to enable evolution of those strategies over time.

4 Preserving It is impossible to preserve an electronic record. It is only possible to preserve the ability to reproduce an electronic record. 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.

5 Reproducing an Correctly 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.

6 Component of an 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.

7 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.

8 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 tables combined, in different ways, to produce various reports.

9 The Preserve Model Starting Point: the draft Open Archival 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

10 A-0 Archival Requirements Institutional Requirements State of the Art of Technology about Selected for Reproduced Transfer of Selected for Request for and/or about Preserve A0 Certificate of Authenticity Reproducible Requested about a Preserved About Preserve NODE: TITLE: NUMBER: A-0 and Communications Technology Facilities Persons Responsible for v. 6.0

11 Archival Requirements about Selected for Suppliers and Communications Technology Transfer of Selected for Request for and/or about Manage the Function A1 Technological Infrastructure State of the Art of Technology Institutional Requirements Bring in A2 Accessioning Policy Strategy Targeted Method Accessioned Management About Maintain Retrieved about a Preserved A3 Output Retrieved A4 Retrieval Request Report on Authenticity of Requester About Reproduced Certificate of Authenticity Reproducible Preserve NODE: TITLE: NUMBER: A0 A0 Persons Responsible for v 6.0 Requested about a Preserved

12 about Selected for Determine Requirements A1.1 A2.3 Archival Requirements about of an and Communications Technology Institutional Requirements about Transferred and Accessioned Management About Request for Strategy Decision Select Technologies A1.2 Technology Specifications State of the Art of Technology Synthesized Requirements for Specify Strategy Technological Infrastructure Targeted Method A1.3 Strategy Evaluate Execution of A1.4 Evaluation of Execution Determination that Cannot be Preserved Appraiser Terms and Conditions for Transfer Appraiser Report on Authenticity of About Manage the Function NODE: TITLE: NUMBER: A1 A1 v 6.0 A0

13 about Selected for about Transferred and Accessioned Determine Transfer & Storage Requirements A1.1.1 Identify Archival Properties That Must be Preserved A1.1.2 Types of Aggregates about Presumption of Authenticity of Transferred Classes of about Presumption of Authenticity of Appraised Determine Requirements for Reconstituting and Presenting State of the Art of Technology A1.1.3 Determine Requirements for Reconstituting and Presenting Archival Aggregates Requirements A1.1.4 Archival Aggregate Requirements Determine Basis for Authenticity A1.1.5 Requirements for Physical and Logical Files about of an Synthesize Requirements for A1.1.6 Basis of Authenticity of Synthesized Requirements for A3 NODE: TITLE: NUMBER: A1.1 A1.1 Determine Requirements v. 6.0 A1 A0

14 Transfer of Selected for Registration Procedure Register Transfer A2.1 Registered Transfer Strategy Verify that the Transfer is Authorized A2.2 Targeted Method Accessioning Policy Notification of Receipt Submitter Request for about Authenticity A3.1 Rejected Transfer Submitter A3.1 Retrieved about Presumption of Authenticity Conforming Transfer Examine A2.3 Preservable Accession Rejected Accession A2.4 Accessioned of Accession Accessioning Dossier Technological Infrastructure Bring in NODE: TITLE: NUMBER: a2 A2 v. 6.0 A0

15 Strategy Accessioning Policy Conforming Transfer Map and within Transferred Materials Rejected Transfer A2.3.1 Mapped and Verify that the in the Transfer Can Be Preserved and Reproduced A2.3.2 of a That Cannot be Preserved Preservable Request for Strategy Decision Take Action Needed to Preserve the A2.3.3 Conforming A1 Non-Conforming Examine NODE: TITLE: NUMBER: A2.3 A2.3 Technological Infrastructure A 4 Output v 6.0 A3.3 Update A2 A0

16 Basis of Authenticity of A1.1 Retrieval Request About Accessioned Accessioned Manage About Strategy A3.1 Request for of Accessioned Updated Storage Manage Storage of of Retrieved about a Preserved A3.2 Storage Method about Retrieved Targeted Method Method for Updating about Updated Updated That Need Updating Update A3.3 Updated Maintain NODE: TITLE: NUMBER: a3 A3 v 6.0 e.g. A4 A0

17 Strategy About Accessioned Basis of Authenticity of Updated Storage about Updated Maintain About A3.1.1 Maintained About Maintained About Retrieve About A3.1.3 Identifying of a Requested Request for about Retrieval Request Retrieve About Retrieved about a Preserved A2 Request for about Authenticity A3.1.2 Retrieved about Presumption of Authenticity A2 NODE: TITLE: NUMBER: A3.1 A3.1 Manage About v 6.0 A3 A0

18 Storage Method of Accessioned Updated Place in Storage A3.2.1 Storage Update Method Stored File Monitor Storage Monitoring Method Problem Correction Method Retrieval Method A3.2.3 Storage Problem Correct Storage Problems A3.2.4 Updated Storage Request for Refresh Storage A3.2.2 Refreshed File Recovered File Retrieve from Storage A3.2.5 Retrieved NODE: TITLE: NUMBER: A3.2 A3.2 Manage Storage of of v. 6.0 A3 A0

19 Request for and/or about Retrieved Retrieved about a Preserved Strategy Manage the Request A4.1 Request Control Report of Problem with Retrieval Response Review Retrieved and Requested A4.2 Reconstitute A4.3 Targeted Method Presentation Method Reconstitution Method Requested Reconstituted Present A4.4 Package Output A4.5 Packaging Method Retrieval Request Requester Accounting for Unsatisfied Request Requested about a Preserved Reproducible Reproduced Certificate of Authenticity Output NODE: TITLE: NUMBER: A4 A4 Persons Responsible for v 6.0 A0

20 Request for and/or about Retrieved Retrieved about a Preserved Strategy Manage the Request A4.1 Request Control Report of Problem with Retrieval Response Review Retrieved and Requested A4.2 Reconstitute A4.3 Targeted Method Presentation Method Reconstitution Method Requested Reconstituted Present A4.4 Package Output A4.5 Packaging Method Retrieval Request Requester Accounting for Unsatisfied Request Requested about a Preserved Reproducible Reproduced Certificate of Authenticity Output NODE: TITLE: NUMBER: A4 A4 Persons Responsible for v 6.0 A0

21 Verify that a transfer is authorized The 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

22 Verify That Can Be Preserved and Reproduced Can each record be reconstituted from its digital components? Does the data type of each component conform to the 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

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24 Mapping 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?

25 Example: Workers Compensation Board Case Folder System Aggregates: 1 series of case files : 5 classes of documents 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

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27 Basis of Authenticity of About Accessioned Accessioned Strategy Manage About of Accessioned Updated Basis of Authenticity : Case folders n through n+i 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 Successful transfer Successful updating of components, if any Maintain

28 Strategy Basis of Authenticity of About Accessioned Accessioned Manage About of Accessioned about Manage Storage of of Updated Storage About Updated That Need Updating Maintain Update Updated

29 Strategy Basis of Authenticity of Retrieval Request About Accessioned Accessioned Manage About of Accessioned about Request for Manage Storage of of Updated Storage Retrieved Retrieved about a Preserved About Updated That Need Updating Maintain Update Updated

30 Strategy Basis of Authenticity of Retrieval Request About Accessioned Accessioned Manage About of Accessioned about Request for Manage Storage of of Updated Storage Retrieved Retrieved about a Preserved About Updated That Need Updating Maintain Update Updated