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Libraries Faculty and Staff rP esentations Purdue

2015 Applying Archival Science to Digital Curation: Advocacy for the ’s Role in Implementing and Managing Trusted Digital Repositories Sammie L. Morris Purdue University, [email protected]

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Recommended Citation Morris, Sammie L., "Applying Archival Science to Digital Curation: Advocacy for the Archivist’s Role in Implementing and Managing Trusted Digital Repositories" (2015). Libraries Faculty and Staff Presentations. Paper 93. http://docs.lib.purdue.edu/lib_fspres/93

This document has been made available through Purdue e-Pubs, a service of the Purdue University Libraries. Please contact [email protected] for additional information. Applying Archival Science to Digital Curation: Advocacy for the Archivist’s Role in Implementing and Managing Trusted Digital Repositories

Sammie L. Morris Associate Professor, Purdue University Director, Virginia Kelly Karnes and Research Center Preface

The following is based on a research poster presented at the Society of American ’ Research Forum at the annual meeting and conference in 2012. Introduction

• Increasingly, archivists, , and technologists are focusing attention and resources on digital curation. Examples include curation of research datasets, establishment of institutional repositories, and providing virtual work spaces for researchers to collaborate and their scholarly output.

• Information professionals rely on models such as OAIS and standards such as ISO 16363 for design, audit, and certification of trustworthy digital repositories. Archivists have valuable knowledge, skills and abilities to contribute to digital curation efforts, but they must justify their involvement in these activities in ways that non-archivists can understand in order to be included. Problem Statement & Objectives

• Archivists are sometimes forgotten in an institution’s digital curation efforts, or added after the initial planning stages. If archivists allow their exclusion from this type of stewardship of unique digital materials, future archival collections and their researchers will suffer.

• Archivists need successful communication strategies to convince stakeholders of the expertise they bring to digital curation. Terms used by archivists to describe their skills may not be understood by librarians and technologists. Mapping traditional archival functions to terms describing digital curation functions will enable communication efforts across disciplines, allowing archivists to demonstrate how their existing knowledge and expertise in managing archival materials contribute towards digital curation and implementing trusted digital repositories. Methods

Using the functional entitles of the OAIS reference model, and the ISO16363 standard, functions were identified for digital curation. Using the 10 Basic Characteristics of Repositories as a framework, archival functions for analog holdings were mapped to functions for digital curation, listing sample Fig. 1. Functional entities of OAIS reference model techniques and guiding documents in each category to discern commonalities. Trusted Repositories vs. Traditional Archival Practice

Introduction to the Comparison Chart The functions necessary for digital curation for trusted digital repositories are very similar to traditional archives functions informed by archival theory and practice. The chart below addresses characteristics of a trustworthy digital repository and illustrates how each characteristic can be informed by traditional archival theory and practice. These practices are cross walked to the digital curation practices needed for managing born digital collections. In many cases there is overlap. In some cases, emerging best practices and additional documentation are needed to supplement archivists’ practices in managing traditional analog collections. Yet, the basic guiding principles and theory for archives work govern all aspects of trustworthy stewardship, whether the secure repository is a physical vault for storing analog materials or a trusted digital repository. Comparison Chart: Trusted Digital Repositories, Archival Practice & Digital Curation

Characteristics: Traditional Archival Practices Digital Curation Practices Trusted Digital Repositories

Maintenance Preservation reformatting; archival holdings Normalization, migration; checksums/fixity checks; maintenance DOIs; (technical, preservation)

Organizational Mission statement; qualified staff; adequate Mission statement; qualified staff, adequate resources, authority, support; fitness resources, authority, support; identification of core identification of core customers or communities customers or communities Legal rights Deeds of gift; research usage agreements; rights Deeds of gift or submission/ingest agreements, including research usage information included in guidelines; rights and usage information included in metadata

Policy framework Planning and policy documents: mission statement; Planning and policy documents: mission statement; strategic plan goals strategic planning goals and objectives; collection and objectives; policy; access and use policy; development policy; access and use policy; reproduction policy; digital preservation policy reproduction policy

Acquires/ingests Collecting policy; deed of gift; accessioning Collecting policy; deed of gift or submission agreement; accessioning based on criteria procedures, accession number/unique identifier, procedures, virus checks, accession number/unique identifier, physical physical control (location), intellectual control control (location of media or virtual file location), intellectual control (content description, documentation of ) (content description, documentation of provenance)

Integrity, Deed of gift and accessioning documents; appraisal Deed of gift or submission agreement; accessioning worksheet; virus authenticity, process; usability and preservation of materials checks; checksums; unique identifiers; capture provenance metadata; usability over time assessed during accessioning and processing; ongoing fixity checks; normalization/migration; audit trails/change notation of obsolete formats or critical preservation captured in metadata; usage metrics can inform continuing value challenges requiring action; usage metrics can (reappraisal) inform continuing value (reappraisal) Characteristics: Traditional Archival Practices Digital Curation Practices Trusted Digital Repositories

Metadata about Collection documentation including processing Processing notes; submission agreement; accessioning documents; audit actions taken, notes, deed of gift, donor correspondence, trails/change metadata; digital preservation policy documents access support, accessioning documents, condition reports, & commitment and challenges to long-term preservation, level of usage contexts finding aids document actions taken during commitment over time specified; reappraisal of content; deaccessioned preservation, accessioning, processing; access objects are documented; DOIs; commitment to access stated as part of support & usage processes documented in finding mission aid and/or use policies; commitment to access stated as part of mission.

Dissemination Materials used in secure environment (reading Materials used in secure digital environment according to usage policy; room) according to usage policy; rights information rights information in metadata; reproduction policy clarifies dissemination; in finding aid; reproduction policy clarifies links provided between related objects in metadata; repository enabled for dissemination; related materials listed in finding aid; harvesting by other repositories and aggregators; citation information in citation information in finding aid. metadata.

Program for Roles, responsibilities for preservation specified Roles, responsibilities for preservation specified in organizational structure preservation (structure, staffing, budget); preservation assessment (structure, staffing, budget); accessioning and processing workflows during accessioning, processing; stabilization, include identification and verification of file formats and virus checks; reformatting, and/or restoration completed as technology watch; regular fixity checks; preservation metadata; audit feasible; usage metrics and collecting priorities used trails/change history; usage metrics and collecting priorities used in future in future reappraisal; decisions documented; reappraisal; decisions documented; emergency response plan. emergency response plan.

Technical Access policies, limited access to collection storage Access policies, limited access/dark archive for master objects with infrastructure for areas; security and preservation monitoring; archival separate storage for access copies; ongoing fixity checks; audit maintenance, holdings maintenance; emergency response plan; trails/change history; firewalls; virus checks; emergency response plan; security some collections may be reproduced and stored in redundancy (LOCKSS) with geographic distribution. multiple locations (for example, separation of analog masters from digital or microfilm copies) Results

The actions necessary to building, implementing, and managing trusted digital repositories are very similar to traditional archival practices and are informed by both archival theory and practice. For traditional analog materials and digital materials, it is critical to have an infrastructure that includes guiding documents such as mission statements, collecting policies, and use policies. Adequate staffing and other resources are needed to ensure sustainability. Mapping traditional archival functions to functions for digital curation illustrates the ways archivists’ existing knowledge, skills, and abilities can be used to inform the processes needed in managing digital collections. Just as importantly, mapping these functions allows archivists to justify to librarians, technologists, administrators and other stakeholders the role archivists can and should play in digital curation and managing trusted digital repositories. Conclusion Archivists have led digital curation and preservation efforts for as long as computers have been used, to manage and preserve information of long-term value. Unfortunately, the groundbreaking work of archivists in digital preservation and data curation is not always recognized outside the archives profession. By using common terminology, and understanding how digital curation functions expand upon traditional archival functions, archivists can communicate with confidence the role they play and the value they bring to digital curation activities and creation of trustworthy digital repositories. The need for institutions to demonstrate trustworthiness offers opportunities for archivists to communicate specific ways they can contribute to meeting the ISO 16363 standard for digital repositories. Based on the functional mapping results, archivists are particularly well-suited to creation of policies and procedures relating to appraisal, accessioning, and preservation, including security and emergency plans, all critical components of trustworthy repositories. Literature Cited

• 10 Basic Characteristics of Digital Preservation Repositories, 2007. As accessed from Center for Research Libraries July 31 2012: http://www.crl.edu/archiving-preservation/digital- archives/metrics-assessing-and-certifying/core-re

• Audit and Certification of Trustworthy Digital Repositories; CCSDS 652.0-M-1; Consultative Committee for Space Data Systems: Washington, DC, 2011.

• Reference Model for an Open Archival Information System (OAIS); CCSDS 650.0-B-1; Consultative Committee for Space Data Systems: Washington, DC, 2002. Applying Archival Science to Digital Curation: Advocacy for the Archivist’s Role Sammie L. Morris — Purdue University Libraries, West Lafayette, Indiana

INTRODUCTION METHODS RESULTS CONCLUSION Archivists have led digital preservation Increasingly, archivists, librarians, and Using the functional entitles of the OAIS The functions necessary for digital curation for efforts for as long as computers have been technologists are focusing attention and reference model, and the ISO16363 standard, trusted digital repositories are very similar to used to record information of long-term resources on digital curation. Examples functions were identified for digital curation. traditional archives functions informed by value that archivists must preserve, but the include curation of datasets, establishment Using the 10 Basic Characteristics of Digital archival theory and practice (see Fig. 2). For groundbreaking work of archivists in digital of institutional repositories, and providing Preservation Repositories as a framework, both traditional analog materials and digital preservation and data curation are not virtual work spaces for researchers to archival functions for analog holdings were materials, it is critical to have an infrastructure always recognized outside the archives collaborate and archive their scholarly mapped to functions for digital curation, that includes guiding documents such as mission profession. By using common terminology, output. listing sample techniques and guiding statements, collecting policies and use policies, and understanding how digital curation documents in each category to discern as well as adequate staffing and other resources functions expand upon traditional archival Information professionals rely on models commonalities. to ensure sustainability. New techniques for functions, archivists can communicate with such as OAIS and emerging standards such expanding archival functions into digital confidence the role they play and the value as ISO 16363 for design, audit, and curation to address workflow revisions for they bring to digital curation activities and certification of trustworthy digital stewarding digital versus print collections are creation of trustworthy digital repositories. repositories. Archivists have valuable identified in the chart below in orange font. The need for institutions to demonstrate knowledge, skills and abilities to Mapping traditional archival functions to trustworthiness offers opportunities for contribute to digital curation efforts but functions for digital curation illustrates the ways archivists to communicate specific ways they must justify their involvement in these archivists’ existing knowledge, skills, and they can contribute to meeting the ISO activities in ways that non-archivists can abilities can be used to justify or inform new 16363 standard for digital repositories. understand in order to be included. processes needed in digital curation. Based on the functional mapping results,

Fig. 1. Functional entities of OAIS reference model archivists are particularly well-suited to creation of policies and procedures relating to appraisal, accessioning, and preservation,

Characteristic Traditional Archival Practices/Guiding Documents Digital Curation Methods including security and emergency plans, all PROBLEM STATEMENT Maintenance Preservation reformatting; archival holdings maintenance Normalization; checksums/ongoing fixity checks; DOIs; metadata (technical, preservation) critical components of trustworthy Organizational fitness Mission statement; qualified staff; adequate resources, authority, support; identification of core customers or Mission statement; qualified staff, adequate resources, authority, support; identification of core customers or communities repositories. AND OBJECTIVES communities

Legal rights Deeds of gift; research usage agreements; rights included in finding aid Deeds of gift or submission/ingest agreements; research usage guidelines and rights information included in metadata

Policy framework Planning and policy documents: mission statement; strategic plan goals and objectives; collection development policy; Planning and policy documents: mission statement; strategic plan goals and objectives; collection development policy; access and use LITERATURE CITED Archivists are sometimes forgotten in an access and use policy; reproduction policy policy; reproduction policy; digital preservation policy institution’s digital curation efforts, or Acquires/ingests based on criteria Collecting policy; deed of gift; accessioning procedures, accession number/unique identifier, physical control Collecting policy; deed of gift or submission agreement signed; accessioning procedures, accession number/unique identifier, physical 10 Basic Characteristics of Digital Preservation added after the initial planning stages. If (location), intellectual control (content description, documentation of provenance) control (location of media or virtual file location), intellectual control (content description, documentation of provenance) Repositories, 2007. As accessed from Center for archivists allow their exclusion from Research Libraries July 31 2012: Integrity, authenticity, usability over time Deed of gift and accessioning documents; appraisal process; usability and preservation of materials assessed as part of Deed of gift or submission agreement; accessioning worksheet; checksums; unique identifiers; capture provenance metadata; ongoing stewardship of unique digital materials, accessioning and processing; notation of obsolete formats or critical preservation challenges fixity checks; audit trails/change history captured in metadata; usage metrics http://www.crl.edu/archiving- future archival collections and their preservation/digital-archives/metrics- Metadata about actions taken, access Processing notes, deed of gift, donor correspondence, accessioning documents, condition reports, & finding aids Processing notes; submission agreement; accessioning documents; audit trails/change histories metadata; digital preservation policy assessing-and-certifying/core-re researchers will suffer. support, usage contexts document actions taken during preservation, accessioning, processing,; access support & usage processes documented documents commitment and challenges to long-term preservation, level of commitment over time specified; reappraisal of content; in finding aid and/or use policies; commitment to access stated as part of mission. deaccessioned objects are documented; DOIs; commitment to access stated as part of mission. Archivists need successful communication Audit and Certification of Trustworthy Digital Repositories; CCSDS 652.0-M-1; Consultative strategies to convince stakeholders of the Dissemination Materials used in secure environment (reading room) according to usage policy; rights information in finding aid; Materials used in secure online environment according to usage policy; rights information in metadata; reproduction policy clarifies Committee for Space Data Systems: Washington, DC, reproduction policy clarifies dissemination; related materials in finding aid; citation information in finding aid. dissemination; links provided between related objects in metadata; repository enabled for harvesting by other repositories and aggregators; expertise they bring to digital curation. citation information in metadata. 2011. Terms used by archivists to describe their Reference Model for an Open Archival Information skills may not be understood by librarians Program for preservation Roles, responsibilities for preservation specified (structure, staffing, budget); preservation assessment during Roles, responsibilities for preservation specified in organizational structure (structure, staffing, budget); accessioning and processing accessioning, processing; stabilization, reformatting, and/or restoration completed as feasible; usage metrics and workflows include identification and verification of file formats and virus checks; technology watch; regular fixity checks; preservation System (OAIS); CCSDS 650.0-B-1; Consultative and technologists. Mapping traditional collecting priorities used in future reappraisal; decisions documented; emergency response plan. metadata; audit trails/change history; usage metrics and collecting priorities used in future reappraisal; decisions documented; emergency response plan. Committee for Space Data Systems: Washington, DC, archival functions to terms describing 2002. digital curation functions will enable communication efforts across disciplines. Technical infrastructure for maintenance, Access policies, limited access to collection storage areas; security and preservation monitoring; archival holdings Access policies, limited access/dark archive for master objects with separate storage for access copies; ongoing fixity checks; audit security maintenance; emergency response plan; some collections may be reproduced and stored in multiple locations trails/change history; firewalls; emergency response plan; redundancy (LOCKSS) with geographic distribution. Sammie L. Morris Purdue University Libraries-SPEC 504 W. State St., W. Lafayette, IN 47907 [email protected] Fig. 2. 10 Basic Characteristics of Digital Preservation Repositories: mapping traditional archival functions to functions for trustworthy digital repositories Orange text signifies new or expanded methods for digital curation (765) 494-2905 About the Author Sammie L. Morris is Associate Professor, University Archivist, and Head of Archives and Special Collections at Purdue University, where she directs the Virginia Kelly Karnes Archives and Special Collections Research Center. Morris has a MLIS specializing in archival enterprise from University of Texas at Austin and a BA in English Literature from Louisiana Scholars’ College. She is an active member of the Academy of Certified Archivists, Society of American Archivists, Midwest Archives Conference and is a past president of the Society of Indiana Archivists. She currently serves on the editorial board for Archival Issues and the Outreach Committee for MetaArchive. She has published and presented on a variety of topics relating to archival leadership, archival literacy, preservation and digitization. She is an alumna of the first class of the Archives Leadership Institute (2008). Morris served on the Indiana State Historical Records Advisory Board from 2006-2010. In previous positions she worked as Associate Dean for Special Collections at Florida State University and as Managing Archivist for the Dallas of Art.