University of Kentucky ETD 2001 Long-term Retention of ETDs Beth Kraemer and Tom Teper University of Kentucky

University of KentuckyETD 2001

Long-term Retentionof ETDs

Beth Kraemer and Tom Teper

University of Kentucky


Why is the Archiving of Electronic Documents a Hot Topic?

• Increase in “Born Digital” Documents

• Electronic is different from paper

• Future is unknown

• Recovery is more expensive than planning


Why Long-Term Retention is an issue for ETDs

• Prevalence of PDF as “archival” format for ETDs

• Lack of archival planning by ETD programs


Format of Original

• PaperOne format

Eye-legible, “permanent” back-up

No dynamic parts

• ElectronicInnumerable format types

No innate back-up


Factors Affecting the Ability to Archive Electronic Formats

• Well-documented• Well-tested• Non-proprietary• Platform independent (hardware and

software)• If forced to choose proprietary, look at

export formats


What is “preservation”?

• Preservation – An umbrella term that concerns itself with providing access to materials for as long as needed by whomever needs them

Cannot exist without the assistance of other branches of libraries.

• Asset Management – the business of providing access and protecting the institution’s investment.


Semantic Arguments I

• “Killing the Duck to Keep the Quack”

- Simon PockleyShort-term access

Long-term access

Preservation


Semantic Arguments II

• Digital Preservation – a misnomer

• Preservation through use of digital imagery – a possibility

• Preserving digital information – a necessity


Requirements of “Digital Preservation”

• Make use possible

• Protect the original item

• Protect the surrogateWhat about ETDs, when the surrogate is the original?

-Paul Conway, “Preservation in the Digital World”


Preserving Electronic Records

• Emulation – the process of using new technology to “emulate” the functionality of obsolete hardware/software on new technology

• Migration – according to CLIR and the RLG, a set of organized tasks designed to achieve the periodic transfer of digital materials from one hardware/software configuration to another, or from one generation of computer technology to another.


Requirements for Preserving Born-Digital Information

• Ability to be copied perfectly

• Ability to be accessed without geographic restraint

• Machine readability

• Ability to retain unique functionality.

-Jeff Rothenberg, “ Avoiding Technological Quicksand”


Three Preservation Models

• Technology-basedLOCKSS

CEDARS

• Analog

• Put it on the shelf and hope for the best


A Cautionary Tale…

• Who drives development?The Government

IndustryRecords Managers

Bell & Howell (UMI)

DjVu, or having faith in non-standard


“Now you can easily convert your paper documents to high-quality digital images with unbelievably small file sizes that can be viewed by anyone. “


Problems with PDF

• Proprietary

• De facto standards are not standards

• Can’t export to functional format

• Image v. text formatsMultiple PDF formats

Problems with non-Western characters


Bias in the ETD World

• Access NOW v. future

• One Document = One Format

• All document aspects deserve the same preservation attention


Considerations (Preliminary Issues)

• Ignoring “media” issues for now

• Importance of developing “standards”

• We’re not necessarily doing it right


Considerations

• FormatRequire archive-friendly submission, orConvert to archive-friendly

• ProcedureBalance

Ease of production (Students)Ease of migration (Library)


Format Considerations

• Different Formats for Different PurposesSubmission

Retention

Delivery

• Document as a Sum of its PartsDifferent formats for different archival needs


Procedure Considerations

• Identify “migratability” of various formatsBest

OK

Unacceptable

• Talk with ETD authors so they can choose


Example

Creation

(Submission):

• Word• HTML

Archival:

• (Native)• HTML• ASCII

Delivery:

• HTML• PDF• TIFF


Example

Creation

(Submission):

• Word• HTML

Archival:

• (Native)• HTML• ASCII

Delivery:

• HTML• PDF• TIFF


“Considerations” Summary

• Archiving, publishing, maintaining ETDs will require work.

• Electronic documents will have to be converted to be accessible and functional in the future.

• Discuss and evaluate format options• Stop viewing born-digital documents through

paper vision


“Considerations” Summary

• Stop thinking of a document as one static, physical item

• Allow ETD authors to make decisions

• Be prepared for change

• Work toward standards

• Cooperation?


Short-Term Benefits v. Long-Term Costs I

• Preservation’s motto: “Think Twice, Cut Once.”

• ETDs: “Do it once, do it right”- Paul Conway – “Handbook for Digital Projects


Short-Term Benefits v. Long-Term Costs II

• Proactive Preservation v. Accident and Rescue

ISO Archiving Standards Working Group

National Archives of Australia-Seamus Ross, “Changing Trains at Wigan: Digital

Preservation and the Future of Scholarship”

• More costly for born-digital items….


Short-Term Benefits v. Long-Term Costs III

• Memory

• The “Long Nineteenth and Short Twentieth Centuries”

-Eric Hobsbawm ”The Age of Revolutions,” “The Age of Industry,” “The Age of Empire,” and “The Age of Extremes”


The Future…

• PDF will become (remain) archival standard

Lacks features of archival standard

Technology tends to change!

• PDF will give way to other formatsBackfiles will have to be migrated or will be lost


…and Choices

• Scholarly Obligations

• Obligations of the ETD Community


Selected Bibliography

• Avoiding Technological Quicksand. Jeff Rothenberg. http://www.clir.org/pubs/abstract/pub77.html. 1999.

• “File Formats to Support Long-Term Access to Electronic Records.” Managing Electronic Records 2000. Richard Fisher and Charles Dollar. 2000.

• Permanent Digital Records and the PDF Format. Stephen J. Gilheany, http://www.ArchiveBuilders.com 22025v177.

• Preservation in the Digital World. Paul Conway, http://www.clir.org/pubs/abstract/pub62.html. 1996.



• Can Libraries of Digital Materials Last Forever?, Richard H. Ekman, Change, March/April 2000

• Best Practices for Digital Archiving: An Information Life Cycle Approach, Gail M. Hodge, D-Lib Magazine, January 2000.

• LC21: A Digital Strategy for the Library of Congress (2001), http://www.nap.edu/books/0309071445/html/



• Archiving the Digital Public Record: An Internet Snail’s Pace, Henry M. Gladney, iMP Magazine, Oct. 23, 2000.

• Using Emulation to Preserve Digital Documents, Jeff Rothenberg, NELiNET, June 5, 2000.

• “Preserving Digital Information: Report of the Task Force on Archiving of Digital Information.” Council on Library and Information Resources and Research Libraries Group, ftp://ftp.rlg.org/pub/archtf/final-report.pdf, 1996.



• The Crisis in Electronic Government Record Keeping: A Strategy for Long-term Storage, Philip Coombs, Library Computing, 18(3), 2000.

• Phase II Report of the Working Group on Permanence of NLM Electronic Publications, 10/13/00, http://www.nlm.nih.gov/pubs/reports/permanence.pdf.



• Ross, Seamus. “Changing Trains at Wigan: Digital Preservation and the Future of Scholarship.” London: National Preservation Office, 2000.

• Russell, Kelly. “Digital Preservation and the Cedars Project Experience.” Presented at Preservation 2000: An International Conference on the Preservation and Long Term Accessibility of Digital Materials. York, England: 2000. http://www.rlg.org/events/pres-2000/russell.html.



• Reich, Vicky and David S.H. Rosenthal. “LOCKSS (Lots of Copies Keep Stuff Safe).” Presented at Preservation 2000: An International Conference on the Preservation and Long Term Accessibility of Digital Materials. York, England: 2000. http://www.rlg.org/events/pres-2000/reich.html.

• Barnum, George D. “The Federal Depository Library Program Electronic Collection: Preserving a Tradition of Access to United States Government Information.” Presented at Preservation 2000: An International Conference on the Preservation and Long Term Accessibility of Digital Materials. York, England: 2000. http://www.rlg.org/events/pres-2000/barnum.html.