A Shared Preservation Model for Institutional Repositories: SHERPA DIGITAL PRESERVATION Cambridge, J

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A Shared Preservation Model for Institutional
RepositoriesSHERPA DIGITAL PRESERVATIONCambridg
e, July 6th 2005

• Sheila Anderson
• Arts and Humanities Data Service

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SHERPA

• Acronym Securing a Hybrid Environment for
  Research Preservation and Access
• Initiator CURL (Consortium of University
  Research Libraries)
• Development Partners Nottingham (lead),
  Edinburgh, Glasgow, Leeds, Oxford, Sheffield,
  York, British Library, AHDS
• Duration 3 years, November 2002 November 2005
• Funding JISC and CURL
• Programme FAIR (Focus on Access to Institutional
  Resources)
• Aims
• to construct a series of institutional
  OAI-compliant e-print repositories
• to investigate key issues in populating and
  maintaining e-print repositories
• to work with service providers to achieve
  acceptable standards and the dissemination of the
  content
• to investigate standards-based digital
  preservation e-prints
• to disseminate learning outcomes and advocacy
• materials

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RCUK recognises the distinction between (a)
making published material quickly and easily
available, free of charge to users at the point
of use (which is the main purpose of open access
repositories), and (b) long-term preservation and
curation, which need not necessarily be in such
repositories. It is important to make the
distinction between these overlapping but
separate purposes. A resilient and
technologically robust framework for the
long-term storage and management of digital
resources will require the development of a
highly specialised and well coordinated service.
E-print repositories may have an important
contribution to make to such a service, for
instance through helping to set standards for the
formatting of data and metadata. Providing
effective access to such resources over the long
term will pose even greater challenges, and RCUK
will monitor the development and implementation
of the notion of Trusted Digital Repository as
a means of setting out clearly-defined standards
for the long term maintenance of digital
resources. However, it should not be presumed
that every e-print repository through which
published material is made available in the short
or medium term should also take upon itself the
responsibility for long-term preservation.From
RCUK Position Statement on Access to Research
Outputs www.rcuk.ac.uk/access/statement.pdf
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SHERPA DP Project

• Acronym Securing a Hybrid Environment for
  Research Preservation and Access Digital
  Preservation
• Development Partners AHDS at Kings College
  London (Lead), Nottingham, Glasgow, Edinburgh,
  White Rose Consortium, London Leap Consortium
• Repository Software DSpace and Eprints AHDS
  Preservation Repository
• Duration 2 years, March 2005 February 2007
• Funding JISC and CURL
• Programme JISC Digital Preservation and Records
  Management Programme

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SHERPA DP Project

• Aims
• To develop a persistent preservation environment
  for SHERPA Partners, based on the OAIS reference
  model, and including a set of protocols and
  software tools
• To explore the use of METS for packaging and
  transferring metadata and content
• To explore the use of open source software and
  tools to add functionality to and extend the
  storage layer of repository software applications
• To create a Digital Preservation User Guide
  describing the model and its implementation

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• Disaggregated model
• Institutional repository for access
• Supra-institutional preservation service

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Developing the Model

• Review of the OAIS Model
• Map OAIS functionality onto the proposed
  disaggregated model
• Identify workflows and processes at IRs
• Identify rights and responsibilities of each
  party
• Identify and assign services and actions to be
  carried out and apportion these
• Review and define AIPs, DIPs and SIPs
• Work up draft processes and procedures

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Functionality

• Each party required to provide an agreed level of
  functionality
• Repositories likely to provide
• Support for publishing metadata to be harvested
• One or more methods for transferring content
  across the network
• Alerting mechanisms for updated/additional
  content
• Preservation Service likely to provide
• Support for harvesting metadata and content
• One or more methods for transferring content and
  metadata back into institutional repository
• File format conversions tools integrity
  checking metadata extraction obsolescence
  checking alerting and migration etc.

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Repository Archiving

• Investigate and implement automated transfers of
  data between institutional repositories and
  preservation repository
• Review DSpace and Eprint APIs, storage layers and
  module add-on capabilities
• Prototype and test SRB as a common storage medium
• Prototype and test API based access mechanisms
• Prototype and test external synchronisation
  mechanisms

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Preservation Actions

• Investigate the processes required to enable
  changes and updates to e-print content that
  ensures their long-term integrity and
  preservation
• Create repository integrity checking and
  reporting services
• Create repository obsolescence checking,
  reporting and migration services
• Investigate remote alerting service capabilities
• Investigate mechanisms for automatic creation of
  new versions, or migration and redeposit

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Metadata and METS

• Review existing metadata captured by repositories
  against agreed administrative and preservation
  metadata set
• Identify additional metadata requirements and
  capture methods
• Review the potential for the use of METS within
  the SHERPA environment
• As a framework for combining and packaging
  metadata
• As a transfer mechanism for metadata and e-prints

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Implementation

• Preservation plans drawn up
• Risk assessment finalised
• Policies and procedures finalised
• Cost models and business case developed
• Implement services

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Digital Repository Preservation User Guide

• The User Guide will recommend standards, best
  practice, protocols and processes that might be
  used in the management, preservation and
  presentation of e-print repositories
• Will draw on experiences of SHERPA and other
  relevant projects, and include case studies
• Will complement Beagrie and Jones The
  Preservation Management of Digital Material
  Handbook

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Developing the SHERPA DP Trusted Repository
Model

• Disaggregated model
• Analysing and integrating
• Institutional Repository workflow and processes
• Preservation Service workflow and processes
• OAIS as an ideal(?) functional model
• Lifecycle of an e-print

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Institutional Repositories
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Developing the SHERPA DP Trusted Repository
Model

• Analysing and integrating
• Institutional Repository workflow and processes
• Preservation Service workflow and processes
• Lifecycle of an e-print
• OAIS as an ideal(?) functional model

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Preservation Service
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Developing the SHERPA DP Trusted Repository
Model

• Analysing and integrating
• Institutional Repository workflow and processes
• Preservation Service workflow and processes
• Lifecycle of an e-print
• OAIS as an ideal(?) functional model

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Implementation is rarely easy.

• Ingest The services necessary to accept
  information packages from a Producer, QA, create
  an archival version
• Archival Storage The services required to
  duplicate, store, and maintain the deposited data
• Data Management Functions required to populate a
  search database, to allow the user community to
  locate a resource, and administer the archive in
  its entirety
• Preservation Planning Responsible for the
  development and review of the preservation plan
• Access The facilities available that allow users
  to locate, request and receive information
  packages in a usable form
• Administration Responsible for managing the
  day-to-day operation of an OAIS and coordinating
  the activities of the above five OAIS functions

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OAIS Mandatory Responsibilities

• Negotiate for and accept information from
  information Producers
• Obtain sufficient control of the information
  provided to the level needed to ensure Long-Term
  Preservation
• Determine which communities should become the
  Designated Community and, therefore, should be
  able to understand the information provided
• Make the preserved information available to the
  Designated Community
• Ensure that the information to be preserved is
  independently understandable to the designated
  community without needing the assistance of the
  experts who produced the information
• Follow documented policies and procedures which
  ensure that the information is preserved against
  all reasonable contingencies, and which enable
  the information to be disseminated as
  authenticated copies of the original, or as
  traceable to the original
• (OAIS Reference model, page 3-1)

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Responsibilities..

• E-print repositories must
• Implement appropriate repository software
• Develop selection, retention and ingest polices
• Develop a rights framework
• Specify a minimum metadata set, and provide
  details to the Preservation Service
• Agree and implement a system for Persistent
  Identifiers
• Support mechanisms for harvesting of metadata
  (and content)
• Implement a mechanism for transferring IPs to the
  Preservation Service
• Alerting mechanisms for updated/additional
  content

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Responsibilities..

• Preservation Service Must
• Undertake preservation planning
• Evaluate contents of archive and undertake risk
  assessment
• Recommend updates to migrate current holdings
• Develop recommendations for preservation
  standards and policies
• Agree and implement a system for Persistent
  Identifiers
• Monitor changes in technology environment, users
  service requests, and knowledge base
• Develop detailed migration and test plans

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Responsibilities..

• Preservation Service Must
• Undertake preservation actions
• Provide a permanent storage facility
• Create and manage multiple copies of content,
  including off-site storage
• Manage storage hierarchy
• Refresh/replace media
• Provide disaster recovery capabilities
• Implement migration plans and migrate holdings as
  appropriate
• Manage version control

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Many outstanding issues.

• Best method for encapsulating the many elements
  of an e-print information package?
• Agreeing and assigning PIDS who, where, and
  how? Single bibliographic record or multiple
  PIDS?
• What about audit trails?
• Who is the master and who the slave? Or will
  this become a truly egalitarian and shared model
  for digital preservation?

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Further Information

• http//www.ahds.ac.uk/about/projects/
• andrew.c.wilson_at_ahds.ac.uk
• kirti.bodhmage_at_ahds.ac.uk
• gareth.knight_at_ahds.ac.uk