Benchmarking the Preservation Process for Electronic Scholarly Journals Brian Lavoie Office of Research OCLC Online Computer Library Center, Inc. DLF Fall Forum - November 19, 2000

Digital Archiving Digital Archiving: outcome of processes carried out to effect long-term retention of digital objectsDigital Archiving: outcome of processes carried out to effect long-term retention of digital objects Digital Archiving Service: specification of:Digital Archiving Service: specification of: –expected outcome (digital objects future state) –processes required to achieve expected outcome Minimum Level of Archiving Service: combination of services sufficient to meet minimum requirements collectively articulated by stakeholders:Minimum Level of Archiving Service: combination of services sufficient to meet minimum requirements collectively articulated by stakeholders: –electronic scholarly journal publishers (information producers) –libraries (information consumers) –scholars (information producers and consumers)

Benchmark Services To ensure that minimum requirements are met:To ensure that minimum requirements are met: –stakeholders must clearly describe their core archiving requirements (minimum archiving service level) –digital archival repository must clearly describe the services it will supply (processes/outcome) Suggests a need for common ground: menu of benchmark services 1) a digital archival repository might supply, or 2) stakeholders might requireSuggests a need for common ground: menu of benchmark services 1) a digital archival repository might supply, or 2) stakeholders might require Starting point for discussion among stakeholders, from which a well-defined minimum archiving service level can emergeStarting point for discussion among stakeholders, from which a well-defined minimum archiving service level can emerge Blueprint for archival repositoriesBlueprint for archival repositories

Vault Services Bit Preservation Bit Rendering Intellectual Content Look and Feel Benchmark Digital Archiving Services

Vault Service How and in what form digital objects will be delivered to the vault serviceHow and in what form digital objects will be delivered to the vault service Storage media used by the vault serviceStorage media used by the vault service Documentation and metadata to accompany digital object at time of ingest (at a minimum, unique identifiers sufficient to locate deposited objects on behalf of the depositor)Documentation and metadata to accompany digital object at time of ingest (at a minimum, unique identifiers sufficient to locate deposited objects on behalf of the depositor) Inventory and validation proceduresInventory and validation procedures Storage conditions, disaster recovery strategiesStorage conditions, disaster recovery strategies Access procedures for depositorsAccess procedures for depositors

Bit Preservation Storage media refreshment and migration policiesStorage media refreshment and migration policies Responsibility for initiating refreshment or migration: service, data producer, fixed schedule, other? Criteria governing discretionary refreshment/migration?Responsibility for initiating refreshment or migration: service, data producer, fixed schedule, other? Criteria governing discretionary refreshment/migration? Documentation and metadata to accompany digital object (at a minimum, metadata supplied to vault service, plus administrative/structural metadata to document refreshment/migration activity)Documentation and metadata to accompany digital object (at a minimum, metadata supplied to vault service, plus administrative/structural metadata to document refreshment/migration activity) Validation procedures to document authenticity in concert with refreshment and migrationValidation procedures to document authenticity in concert with refreshment and migration Redundant, offsite storage or data vaulting facilitiesRedundant, offsite storage or data vaulting facilities

Bit Rendering Access policies for authorized usersAccess policies for authorized users Security measures to implement access restrictions (passwords, IP address filters)Security measures to implement access restrictions (passwords, IP address filters) Enforcement of copyright and license provisionsEnforcement of copyright and license provisions Documentation and metadata to accompany digital object (at a minimum, metadata supplied to bit preservation service, plus metadata for resource discovery and data rendering and interpretation)Documentation and metadata to accompany digital object (at a minimum, metadata supplied to bit preservation service, plus metadata for resource discovery and data rendering and interpretation) Finding aids and user support servicesFinding aids and user support services Ordering and dissemination mechanismsOrdering and dissemination mechanisms

Bit Rendering: Intellectual Content Acceptable digital object formats at time of ingestAcceptable digital object formats at time of ingest Format migration policies (e.g., frequency of migration, specification of new formats)Format migration policies (e.g., frequency of migration, specification of new formats) Characterization of the digital objects intellectual content that must be preserved despite change in formatCharacterization of the digital objects intellectual content that must be preserved despite change in format Back-up procedures supporting format migrationBack-up procedures supporting format migration –reversible format migration (original object recoverable from current format) –preserve copy of original digital object at all times

Bit Rendering: Look and Feel Specification of hardware/software environments supported by the bit rendering serviceSpecification of hardware/software environments supported by the bit rendering service –application –operating system –hardware configuration Strategies for preserving these environments (emulation?)Strategies for preserving these environments (emulation?) Policies for amending the list of supported environments: by whose discretion and by what criteria changes to the list are permitted?Policies for amending the list of supported environments: by whose discretion and by what criteria changes to the list are permitted?

Conclusions Objective: benchmark the broad classes of service a digital archival repository might supplyObjective: benchmark the broad classes of service a digital archival repository might supply –menu of possible services –common ground for discussion among stakeholders to achieve consensus on minimum service level Services collectively represent full spectrum of archiving activity:Services collectively represent full spectrum of archiving activity: –minimum service level may extend to all or part of spectrum –minimum does not mean minimal Services constituting minimum requirements may be:Services constituting minimum requirements may be: –provided by a single entity –de-centralized across multiple entities