Simone Görl │ 18th may 2006

1. DIGITAL PRESERVATION Preserving Authentic Electronic Records: The InterPARES Project & The InterPARES Model Simone Görl │ 18th may 2006

2. Digital Preservation: The InterPARES Project & The InterPARES Model Structure of the paper: • Introduction • InterPARES Project • InterPARES Model • Conclusion • Discussion • References

3. InterPARES: I. Introduction – „in scaelius authenticus“ „[history] seeks only to show what actually happened (wie es eigentlich gewesen).“ 1 Leopold von Ranke (1795-1886) German Historian Quotation from Rankes Introduction to „The History of the Latin and Teutonic Nations“ (1824), reference: http://germanhistorydocs.ghidc.org/sub_document.cfm?document_id=358 1

4. InterPARES: II. The InterPARES Project • What is InterPARES? • The International Research on Permanent Authentic Records • in Electronic Systems (InterPARES) • InterPARES aims at developing the theoretical and methodological • knowledge essential to the long-term preservation of authentic • records created and/or maintained in digital form. • This knowledge should provide the basis from which to formulate • model policies, strategies and standards capable of ensuring the • longevity of such material and the ability of its users to trust its • authenticity.

5. InterPARES: II. The InterPARES Project • What is InterPARES? • The InterPARES Project relies on an intellectual framework based on • archival science and diplomatics, but is committed to • an inter-disciplinary process involving a wide spectrum of academic • and professional fields • The InterPARES Project is based at the • School of Library, Archival and Information Studies • at the University of British Columbia, in Vancouver, • British Columbia, Canada. • The InterPARES Project Director • is Dr. Luciana Duranti.

6. InterPARES: II. The InterPARES Project InterPARES has developed in two phases: InterPARES 1 - 1999-2001 - focused on the preservation of the authenticity of records and/or mainted in database and document management systems in the couse of administrative activities. InterPARES 2 - 2002-2006 - focused on records produced in complex digital environments in the course of artistic, scientific and e-government activities. Concern of the InterPARES Project: The project is concerned with the preservation of electronic records that have been selected after they are no longer needed for the practical purposes for which they were originally created.

7. InterPARES: II. The InterPARES Project • The four research domains of the InterPARES Project: • Conceptual Requirements for Preserving Authentic Electronic Records • Appraisal Criteria and Methodology for Authentic Electronic Records • Methodologies for Preserving Authentic Electronic Records • Frameworks for Developing Policies, Strategies and Standards

8. InterPARES: II. The InterPARES Project InterPARES Domain 3: Methodologies for Preserving Authentic Electronic Records • focused on Preservation • establishing a Preservation Task Force including a research plan: • - What methods, procedures, and rules • of long-term preservation are in use or being developed? • - What are the procedural methods • of authentication for preserved electronic records? • - What are the technical methods • of authentication for preserved electronic records? • - What are the principles and criteria for media and storage • management that are required for the preservation of • authentic electronic records? • - What are the responsibilities • for long-term preservation of authentic electronic records?

9. InterPARES: II. The InterPARES Project • What exactly does the Preservation Task Force (PTF) do? • gathering empirical data about existing programms, plans and technologies • for preserving electronic records • undertaking a structured analysis of the process of preserving • electronic records • conducting a survey of programs that are preserving, are planning to • preserve, or are conducting research related to the preservation of • electronic records • collecting information on methods of authentication being used • in organizations that are participating in InterPARES and preserving • electronic records The PTF developed a IDEF(0) Model, „Preserve Electronic Records“ [IDEF = Integrated Computer-Aided Manufacturing DEFinition Language]

10. InterPARES: III. The InterPARES Model • What is the InterPARES Model & what does it do? • intentionally generic • identifies and describes the process to preserve electronic records • articulates • - the inputs needed by each process • - the controls under which it operates • - the mechanisms necessary to accomplish the process • - the output(s) produced by each process • defines the relationship among these entities and processes • the Model = systematic, no prescription of an implementation • OAIS Reference Model = basis for the content of the preservation • process model

11. InterPARES: III. The InterPARES Model What does the InterPARES Model do? The Model provides a comprehensive, precise, and coherent road map that institutions and persons concerned with the preservation of electronic records can use in designing, developing, and evaluating systems which address their specific requirements, objectives, and constraints.

12. InterPARES: III. The InterPARES Model What does the InterPARES Model do? The Model provides a comprehensive, precise, and coherent road map that institutions and persons concerned with the preservation of electronic records can use in designing, developing, and evaluating systems which address their specific requirements, objectives, and constraints. What is the purpose of the InterPARES Model? The purpose of this model is to articulate the functions, information, and resources required to preserve authentic electronic recods.

13. InterPARES: III. The InterPARES Model What does the InterPARES Model do? The Model provides a comprehensive, precise, and coherent road map that institutions and persons concerned with the preservation of electronic records can use in designing, developing, and evaluating systems which address their specific requirements, objectives, and constraints. What is the purpose of the InterPARES Model? The purpose of this model is to articulate the functions, information, and resources required to preserve authentic electronic recods. What is the viewpoint of the InterPARES Model? The model is construced from the viewpoint of the person responsible for preservation of authentic records.

14. InterPARES: III. The InterPARES Model What does the InterPARES Model do? The Model provides a comprehensive, precise, and coherent road map that institutions and persons concerned with the preservation of electronic records can use in designing, developing, and evaluating systems which address their specific requirements, objectives, and constraints. What is the purpose of the InterPARES Model? The purpose of this model is to articulate the functions, information, and resources required to preserve authentic electronic recods. What is the viewpoint of the InterPARES Model? The model is construced from the viewpoint of the person responsible for preservation of authentic records. What is the scope of the InterPARES Model? The model encompasses activities from the point where it is determined that a body of electronic records has long-term value to the production of a copy of a preserved electronic record.

15. InterPARES: III. The InterPARES Model The Process of Preserving Electronic Records - Overview Nodes (compare with the following charts) 0. Preserve Electronic Records (A0) 1. Manage the Preservation Function (A1) Determine Preservation Requirements (A1.1) 2. Bring In Electronic Records (A2) Examine Electronic Records (A2.3) 3. Maintain Electronic Records (A3) Manage Information About Records (A3.1) Manage Storage of Digital Components of Records (A3.2) 4. Output Electronic Records (A4)

16. InterPARES: III. The InterPARES Model The Process of Preserving Electronic Records TOP Preserve Electronic Records A0

17. InterPARES: III. The InterPARES Model The Process of Preserving Electronic Records TOP State of the Art of Information Technology Archival Requirements Institutional Requirements Preserve Electronic Records A0

18. InterPARES: III. The InterPARES Model The Process of Preserving Electronic Records TOP State of the Art of Information Technology Archival Requirements Institutional Requirements Preserve Electronic Records A0 [ ] [ ] Information and Communi- cations Technology Infrastructure Persons Responsible for Preservation Facilities

19. InterPARES: III. The InterPARES Model The Process of Preserving Electronic Records TOP State of the Art of Information Technology Archival Requirements Institutional Requirements Information about Electronic Records Selected for Preservation Transfer of Electronic Records Selected for Preservation Preserve Electronic Records Request for Record and/or Information About Record A0 [ ] [ ] Information and Communi- cations Technology Infrastructure Persons Responsible for Preservation Facilities

20. InterPARES: III. The InterPARES Model The Process of Preserving Electronic Records TOP State of the Art of Information Technology Archival Requirements Institutional Requirements Information about Electronic Records Selected for Preservation Reproduced Electronic Record Transfer of Electronic Records Selected for Preservation Certificate of Authenticity Preserve Electronic Records Requested Information About a Preserved Record Request for Record and/or Information About Record A0 Information about Preservation [ ] [ ] Information and Communi- cations Technology Infrastructure Persons Responsible for Preservation Facilities

21. Manage the Preservation Function A1 Bring in Electronic Records A2 Maintain Electronic Records A3 Output Electronic Records A4

22. Manage the Preservation Function A1 Bring in Electronic Records A2 Maintain Electronic Records A3 Output Electronic Records A4

23. Manage the Preservation Function A1 Bring in Electronic Records A2 Maintain Electronic Records A3 Output Electronic Records A4

28. Manage the Preservation Function A1 Bring in Electronic Records A2 Maintain Electronic Records A3 Output Electronic Records A4

33. Manage the Preservation Function A1 Bring in Electronic Records A2 Maintain Electronic Records A3 Output Electronic Records A4

38. Manage the Preservation Function A1 Bring in Electronic Records A2 Maintain Electronic Records A3 Output Electronic Records A4

45. InterPARES: IV. Conclusion • Much attention to the preservation of electronic records • has focused on the twin problems: • relatively short life expectancy of digital media • rapid obsolescence of hardware and software • The InterPARES project • started with recognition of these problems and • cast the preservation issue in terms of evaluating practical • methods for solving them. • The InterPARES model • provides an extensive, detailed and highly coherent framework for • identifiying and analyzing the specific challenges faced in implementing • apppraisal decisions that select specific bodies of electronic records • to be preserved ...... and at the end coming back to Leopold von Ranke‘s intention “let the sources speak for themselves”

46. InterPARES: V. Discussion • authenticity / trustworthiness / objectivity / reliability • Empirically, it is not possible to preserve an electronic record: • it is only possible to preserve the ability to reproduce the • record • If the creator did not articulate documentary form, • there is no obvious basis for determing the impact of • reproduction.

47. InterPARES: VI. References • InterPARES Project: Preservation Task Force Report • http://www.interpares.org/book/interpares_book_f_part3.pdf • InterPARES Model: A Model of the Preservation Function • http://www.interpares.org/book/interpares_book_n_app05i.pdf • InterPARES: Homepage • http://www.interpares.org/ Any Questions?