Getting to Grips with Standards

1
Getting to Grips with Standards

• Sarah Higgins,
• HATII, University of Glasgow
• DCC Standards Advisor

2
Outline

• Benefits of standards
• Costs of standards
• Pre-ingest - standards considerations
• Reference Models / Frameworks
• OAIS
• PAIMAS
• ISO 15489
• Digital object file formats
• Identifiers
• Metadata Standards
• Security Standards

3
Benefits of Standards -1

• Communities are based on Standards
• Allows full community participation
• Enables community aims to be achieved
• Shared terminology, procedures, architectures
• Share resources
• Interoperability
• Hardware
• Software
• Data exchange

4
Benefits of Standards - 2

• More effective business processes
• Efficiency savings
• Reduced cost
• Increased profit where applicable
• Legislative compliance

5
Benefits of Standards - 3

• Sustainable and viable system
• Reduction of design work
• Effective workflows
• Responsibilities addressed at planning stage
• Policies, guidelines and agreements
• Human
• Computer aided
• Automated
• Enables future certification as a Trusted Digital
  Repository

6
Costs of Standards

• Restrictive
• Time consuming
• To learn
• To implement
• To staff
• Benefits outweigh costs

7
DCC Diffuse Standards Registry

• Information on most of the Standards discussed
  can be found in the DCC Diffuse Standards
  Registry.
• http//www.dcc.ac.uk/diffuse/
• If its not there yet, its coming soon!

8
Reference Models / Frameworks

• ISO 147212003 - Open Archival Information
  Systems Reference Model (OAIS)
• ISO 206522006 - Producer-archive interface --
  Methodology abstract standard (PAIMAS)
• ISO 154892001 Information and documentation --
  Records management

9
OAIS -1

• Consultative Committee for Space Data Systems
• Good on ingest and post-ingest activities
• Weak on pre-ingest activities
• Basis for other initiatives
• PREMIS data dictionary
• Trusted Digital Repository Audit and
  Certification

10
OAIS - 2

• Mandatory responsibilities
• Negotiate for and accept appropriate information
  its producers
• Obtain sufficient control of information to
  ensure Long-Term Preservation.
• Determine the Designated Community
• Ensure information preserved is independently
  understandable to the Designated Community
  without expert assistance
• 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 traceable
  as the original.
• Make the preserved information available to the
  Designated Community.

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OAIS - 3

• Functional model

SIP Submission Information Package AIP
Archival Information Package DIP Dissemination
Information Package
12
OAIS - 4

• Information model
• Data object
• Metadata
• Preservation
• Hierarchical description
• Representation information
• Packaging
• Persistent identifiers

13
OAIS - 5

• Not for the faint hearted
• No implementation recommendations
• Break down into constituent parts
• Identify staff responsibilities at start
• See Cornell Universitys project MathArc
  Ensuring Access to Mathematics Over Time

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(No Transcript)
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PAIMAS

• OAIS prequel
• Deals with pre-ingest actions
• Pre-ingest initial contact, feasibility
  studies, scope, draft SIP definition, draft
  submission agreement
• Formal definition final SIP design, transfer
  conditions, access restrictions, delivery
• Transfer phase actual transfer, preliminary
  processing of SIP
• Validation phase SIP validation, follow-up
  action with producer

16
ISO 15489 - 1

• Origin Australian Records Management standard
• Part 1 General - best practice framework
• Part 2 Guidelines implementation guidelines
• Covers full life-cycle of a record
• What to create
• Capture formats, technologies
• Documentation
• Appraisal
• Retention or destruction

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ISO 15489 - 2

• Ensures records are
• Properly maintained
• Easily accessible
• Correctly documented across lifecycle
• Disposal
• Transparent
• Pre-determined criteria

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ISO 15489 - 3

• Defines records management principles general
• What to create
• Format, structure, technology
• Metadata linkage, management
• Use requirements
• Organisation of records
• Risk not maintaining records
• Legal and organisational requirements standards
• Safe storage and maintenance
• Evaluation of processes

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ISO 15489 - 4
Step C Identify requirements for records
Step B Analyse business activity
Step E Identify strategies
Step A Conduct preliminary investigation
Step F Design records system
Policy
Design
Step D Assess existing system
Standards
Implementation
Step H Conduct post-implementation review
Step G Implement records system
20
ISO 15489 - 5

• Practical implementation - help
• PD ISO/TR 15489-2 2001Information documentation
  Records management Part 2 Guidelines
• Effective Records Management. A Management Guide
  to the Value of ISO 15489-1
• Effective Records Management. Practical
  Implementation of ISO 15489-1
• Effective Records Management. Performance
  Management for ISO 15489-1

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ISO 15489 - 6

• Implementation benefits
• Policy and procedures reviewed or developed
• High profile for project
• Awareness of issues
• Recognition that all involved
• Organisational asset of records recognised
• Dr Julie McLeod and Sue Childs Assessing the
  impact of ISO 15489 the first international
  standard for records management, October 2005

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Digital object file formats - 1

• For long-term preservation
• Non proprietary
• Open source
• Well documented
• Facilitates
• Curation
• Reuse
• Future migrations

23
Digital object file formats - 2

• Examples
• JPEG digital image thumbnails
• TIFF high quality digital images
• PDF/A-1 documents with look and feel
• (ISO 19005-1, Document management electronic
  document file formats for long-term preservation)
• HTML web pages
• XML data or text

24
Identifiers -1

• Identifiers
• Enable
• Long-term accessibility
• Location tracking
• Re-use
• Actionability
• Provenance identification
• Show organisational commitment to a resource

25
Identifiers - 2

• Globally or locally unique?
• Opaque or semantic methods?
• Binding to metadata?
• Persistent identifier systems
• PURLs
• Archival Resource Key (ARK)
• The Handle System
• DOI

26
Metadata Standards - 1

• Metadata is kept alongside a data object to
  ensure it is
• Retrievable
• Identifiable
• Usable
• A structured set of elements to describe an
  information resource and its intellectual
  property rights
• Facilitates the management of content

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Introduction to Metadata, Getty Information
Institute
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Metadata standards - 2

• Metadata structure standards
• Ensure consistent structure
• Enable data sharing across a discipline
• Enable data searching
• Examples
• Dublin Core basic high level searching
• ISAD(G)2 archival material, hierarchical
• VRA Core 3 digital images
• PREMIS data dictionary digital preservation
• eGMS government materials
• ISO 23081 2006 Metadata for records

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Metadata standards - 3

• Metadata mark-up standards
• Make metadata machine readable
• Enable automated searches
• Examples
• XML DTDs and schema - domain specific
• EAD archival material,
• GML geographic information
• TEI full text searching
• MARC library materials

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Metadata standards - 4

• Metadata content rules
• Enable consistent data entry
• Includes authority files, thesauri,
  classifications, ontologies
• Examples
• AACR2 LCSH
• UNESCO Thesaurus
• ISO 8601 date structure YYYY-MM-DD
• ISO 639 country codes
• RFC 3066 language
• DCMI Vocabularies

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Metadata standards - 5

• Metadata packaging standards
• OAIS compliant archival packages complex
  objects
• tiff image
• jpeg thumbnail
• technical metadata
• descriptive metadata
• administrative metadata
• Examples
• METS
• IEEE LOM
• MPEG 21-DIDL

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Metadata standards 6 METS document structure
optional
METS
Header
optional
optional
optional
Administrative metadata
Descriptive metadata
Behavioral metadata
required
optional
File Inventory
Structure map
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Metadata standards - 7

• Implementation
• Choose appropriate
• Structure standard
• Content rules
• Mark-up standard
• Packaging standard
• Develop profile
• May be different for different file formats and
  purposes

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Metadata standards - 8

• Metadata cost
• best possible data you can afford content and
  mark-up
• Consider auto-generation of as much as possible
• can present simpler datasets, but difficult to
  enhance at later date
• Classification and indexing expensive but
• provides entry point
• surfaces information a free text search cant
• aids consistency

35
Security Standards

• BS ISO/IEC 177992005 Information technology.
  Security techniques. Code of practice for
  information security management
• BS ISO/IEC 270012005 Information technology.
  Security techniques. Information security
  management systems. Requirements