1. a centre of expertise in data curation and preservation ICA-SUV Seminar :: September 2006 ::Reykjavík Funded by: This work is licensed under the Creative Commons Attribution-NonCommercial-ShareAlike 2.5 UK: Scotland License. To view a copy of this license, visit http://creativecommons.org/licenses/by-nc- sa/2.5/scotland/ ; or, (b) send a letter to Creative Commons, 543 Howard Street, 5th Floor, San Francisco, California, 94105, USA.http://creativecommons.org/licenses/by-nc- sa/2.5/scotland/ Collaboration for Success in Digital Records Management & Curation Maureen Pennock UK Digital Curation Centre, UKOLN, University of Bath

2. a centre of expertise in data curation and preservation ICA-SUV Seminar :: September 2006 ::Reykjavík Overview Transition from analogue to digital Challenges in managing digital records Digital Curation & the life-cycle Roles and Responsibilities Conclusions

3. a centre of expertise in data curation and preservation ICA-SUV Seminar :: September 2006 ::Reykjavík From Analogue to Digital Digital infrastructure now increasingly common Number of advantages in using digital records Range and type of records enormous Management and preservation of digital records has not kept pace with use … to this from this…

4. a centre of expertise in data curation and preservation ICA-SUV Seminar :: September 2006 ::Reykjavík The First Solution

5. a centre of expertise in data curation and preservation ICA-SUV Seminar :: September 2006 ::Reykjavík The First Solution ? ? ? ? ? Doesn’t solve all the problems… … and may even create extra ones!

6. a centre of expertise in data curation and preservation ICA-SUV Seminar :: September 2006 ::Reykjavík Digital Curation Offers a framework in which to address many of the technical, cultural, and organisational issues in the management and preservation of digital records & data “Maintaining and adding value to a trusted body of digital information for current and future use” “The active management and appraisal of data over the entire life-cycle”

7. a centre of expertise in data curation and preservation ICA-SUV Seminar :: September 2006 ::Reykjavík Life-cycle model Generic model Takes control over the records throughout lifetime Meaningful chain of custody Requires compatibility of different stages Note that preservation activities may be needed before archiving, depending on the retention period Records Disposal?

8. a centre of expertise in data curation and preservation ICA-SUV Seminar :: September 2006 ::Reykjavík The Challenges New paradigm -> different challenges TechnicalPreservationOrganisational LegalFinancialCultural

9. a centre of expertise in data curation and preservation ICA-SUV Seminar :: September 2006 ::Reykjavík Technical & Preservation issues (1) Preservation Records highly environmentally dependent Software/hardware environments change many times during the lifetime of the records Records may be altered if action is undertaken Records will become inaccessible if action is not taken File(s)Software Hardware RECORD

10. a centre of expertise in data curation and preservation ICA-SUV Seminar :: September 2006 ::Reykjavík Technical & Preservation issues (2) Preservation strategies Fragility of media File deterioration Media obsolescence Hardware & software obsolescence Preservation tools/functionality Repository storage Metadata Security

11. a centre of expertise in data curation and preservation ICA-SUV Seminar :: September 2006 ::Reykjavík Organisational and Cultural issues Organisational and cultural infrastructure not geared towards digital records management Records often created, stored, & managed ad hoc Distributed across many PC’s, laptops, other devices Multiple copies made & problematic versioning Sense of personal ownership Need for senior managerial support, e.g policy, champions The ‘that’s not part of my job description’ syndrome Low awareness of staff/user responsibilities Absence of effective communication pathways between stakeholders & departments

12. a centre of expertise in data curation and preservation ICA-SUV Seminar :: September 2006 ::Reykjavík Legal and Financial issues Financial: Who will pay? What are the cost benefits? Where’s the business model? Legal: Data Protection, Freedom of Information, Controlling IP rights…

13. a centre of expertise in data curation and preservation ICA-SUV Seminar :: September 2006 ::Reykjavík Addressing the challenges These challenges are present at different stages throughout the records life-cycle Necessitates a distinct change in the way the universities manage their digital materials and digital records – isolated departments and faculties no more Requires attention by different stakeholders at different stages

14. a centre of expertise in data curation and preservation ICA-SUV Seminar :: September 2006 ::Reykjavík Shared roles and responsibilities Management – senior and departmental Records creators – staff, students… Records curators – information and records management, archivists, librarians… IT personnel – web managers, head of IT, system administrators, system support… Communication and collaboration is required to achieve consistency and success

15. a centre of expertise in data curation and preservation ICA-SUV Seminar :: September 2006 ::Reykjavík Stage 1 - Creation ActivitiesResponsible Policy on records creation, eg records to be properly constructed, use templates Senior management; Records curators Policy on acceptable use of records-creating systems (including mobile devices and technologies) Senior management; Records curators; IT staff Templates to be designed or providedRecords curators; IT staff? Good practice creation guidelines & adviceRecords curators; IT staff Creation of well-formed recordsRecords creators – staff, students, researchers

16. a centre of expertise in data curation and preservation ICA-SUV Seminar :: September 2006 ::Reykjavík Stage 2 – Active Use ActivitiesResponsible Policy on responsibilities for personal records/data management, including legal issues Senior management; Records curators Policy on external distribution of recordsSenior management; Records curators Policy on acceptable use of IT facilities (general)IT staff Guidelines on good practice storage, versioning and filing Records curators; IT staff Good practice storage and filingRecords creators

17. a centre of expertise in data curation and preservation ICA-SUV Seminar :: September 2006 ::Reykjavík Stage 3 – Appraisal & Selection ActivitiesResponsible Policy and guidelines/advice for users on desktop/systems appraisal, selection, retention Records curators (IT staff) Departmental training on responsibilities for retaining records at end of active life Records curators; records creators Enabling availability and accessibility of recordsRecords creators Automatic selection of records, based on metadata and business process classifications? Records curators; IT staff

18. a centre of expertise in data curation and preservation ICA-SUV Seminar :: September 2006 ::Reykjavík Stage 4 – Transfer or Disposal ActivitiesResponsible ‘Pull’ transfer activities: awareness raising; pro- active communications; communicating metadata requirements and transfer requirements Records curators ‘Push’ transfer activities: making records available and accessible for transfer; adding metadata Records creator; Records curators Providing technical transfer infrastructure (including metadata facilities) IT staff Policy on disposalSenior management; Records curators Desktop disposal of non-transferred recordsRecords curators; IT staff; records creators Destruction of redundant data & records, including backups and offsite storage Records curators; IT staff

19. a centre of expertise in data curation and preservation ICA-SUV Seminar :: September 2006 ::Reykjavík Stage 5 – Archiving & Preservation ActivitiesResponsible Policy on storage and preservationSenior management; Records curators/Archivist) Finances for preservation activitiesSenior management (Records curators) Checking transferred records; adding metadata; developing preservation requirements Records curators Adhering to preservation requirements!IT staff Providing storage, preservation tools and infrastructure, technology watch IT staff; (Records curators?) Preserving records through timeRecords curators; IT staff

20. a centre of expertise in data curation and preservation ICA-SUV Seminar :: September 2006 ::Reykjavík Stage 6 - Access & Re-use ActivitiesResponsible Policy on data and records accessibilitySenior management, Records curators Ensuring Data Protection compliance in accessible records Records curators; IT staff Developing requirements for metadata-enabled accessibility Records curators Providing reliable access whilst protecting stored records from malicious or accidental harm IT staff Providing other access/re-use tools as requiredRecords curators; IT staff Many previous activities, e.g. metadata creation, linkage between records, contribute to re-use

21. a centre of expertise in data curation and preservation ICA-SUV Seminar :: September 2006 ::Reykjavík Summary & Conclusions Digital records management comprises many levels of challenges (not just technical) ‘Print to paper’ is not the most appropriate solution for managing digital records More extensive collaborative relationships are needed for complete life-cycle management than has traditionally been the case Collaboration enables organisations to fully reap benefits of digital records Wider cross-sectoral collaboration & communication will minimise investments in developing suitable approaches

22. a centre of expertise in data curation and preservation ICA-SUV Seminar :: September 2006 ::Reykjavík Thank You Questions? Maureen Pennock m.pennock@dcc.ac.uk Join the DCC Associates Network at http://www.dcc.ac.uk (it’s free!) m.pennock@dcc.ac.uk http://www.dcc.ac.uk