Collaboration as the keystone for
successful management of digital records.
Maureen Pennock
Digital
Curation Centre,
UKOLN, University of Bath
BATH, UK
+44 1225 386711
ABSTRACT
This proposal considers the key
role of collaboration between stakeholders, primarily in electronic records but
also digital research data, to ensure that their authenticity and integrity can
be verified and ensured for the life-time of the records, be that five years,
fifty years, a hundred years or more.
Proposal type
Individual paper. This brief proposal will form the basis of an extended paper on the same topic.
Keywords
Digital preservation, archiving, and curation; records management.
The use, management, and preservation of
electronic records is no longer a new concept. Electronic records are created
in Higher Education (HE) and other institutions in huge quantities and are used
on a daily basis by a wide range of stakeholder-groups. Commercial records
management solutions are now widely available, albeit at a cost, and research
into long-term technical preservation approaches has taken place across the
world. Yet despite this, the all-too-common scenario is that electronic records
are printed out to paper for management and preservation. The reasons for this
are numerous, and such an approach denies future re-users the functionality and original digital experience of the
original record-creating environment. This paper explores the challenges in
electronic records management that lead institutions to rely on print versions
of electronic records, and argues that although the technical challenge is a
significant one, the cultural and organisational challenges that accompany it
are no less significant and can only be adequately solved by input and
collaboration from all stakeholders in the record life-cycle.
Scientists, administrators, researchers, and other groups create increasingly vast amounts of digital records. The long-term integrity and preservation of these records in a usable form is at risk because of:
· Technology obsolescence
· The fragility of digital media
· The absence of Good Practice examples for data creation and documentation.
Digital Curation offers a framework for addressing these risks.
Digital curation is a fairly new concept in the
field of digital archiving. In the UK, it
is spearheaded by the UK Digital Curation Centre (DCC), which supports
UK institutions that store, manage, and preserve data (especially research and
record-keeping data) to help ensure its enhancement and continuing long-term
use. Digital curation addresses not only the issues of archiving and
preservation, but considers the active management and appraisal of data and
records over the entire life-cycle. Such involvement is necessary because
digital records are often created in a highly ad-hoc manner and are easily
mutable; their content, context and form are therefore at risk in a way that
was not an issue for paper-based materials. Explicit measures must be taken at every stage to ensure that records remain
authentic and their integrity assured, throughout their active and archived
life. Given the range of stakeholders with input into the creation, management,
and preservation of electronic records, this requires input and collaboration
between all parties with implicit or explicit record-creating or curating
responsibilities.
The main challenges in curating digital records and data have until recently been perceived as mainly technical: the fast pace of developments in ICT means that the technology used to produce digital records and data quickly becomes obsolete, and if the software used to create and accurately read files is 'de-commissioned' and no longer available, then access to the data and content – the records - stored in the files is at risk. Similar risks are present for storage media: not only do popular storage media formats change and hardware devices to read older types of storage media become unavailable, but the rate of bit degradation on digital storage media is often significantly faster than initially anticipated. Such degradation may not be uncovered until it is too late and the data is lost. Significant research into these issues, for all types of digital data and records, has now begun to yield real solutions and ways in which obsolescence and deterioration can be averted, the integrity of the files maintained, and the so-called 'digital dark ages' avoided.
Technical challenges are, however, only part of
the problem. Massive organisational and cultural challenges persist that continue to threaten the authenticity,
integrity, and long-term availability of usable and reliable digital records.
These challenges arise from the sheer number of electronic records that must be
managed and the relative positioning of records- and data- management within
organisational infrastructure and project goals. User-perception of electronic
records as inferior to their paper-based counterparts, failure or inability of
traditional record-keeping infrastructures to cater for the requirements of
electronic records, the absence of financial investment and policy support from
top-level management, and, most importantly for our considerations here, a lack
of collaboration and communication between stakeholders in the curation
process, are all important factors. Many of these challenges have not been
sufficiently addressed by the research community as their importance has only
recently been identified, although initiatives from, for example, the DCC [1]
and the University of Kansas [2] are beginning to fill the void.
Different stakeholder groups in HE and other institutions have
responsibilities at different stages of the curation process. As explicit
measures need to be taken at every stage of the life-cycle to ensure that
records can be considered authentic and maintain integrity over time,
communication and collaboration between these groups is vital if they are to be
aware of, and fulfil, their responsibilities. The level of collaboration thus
required to maintain the authenticity, integrity, and persistence of digital
objects is hitherto unforeseen in the field of records and information
management, and although this need to collaborate is itself a significant
hurdle, it is not insurmountable
If we consider the basic stages of the record life-cycle and the
activities within to be creation, active use, appraisal/selection, transfer,
archiving & preservation, access & re-use, and possible disposal, and
map them against the most likely immediate user stakeholders and their
responsibilities at specific stages of the life-cycle, the table opposite is
produced. This is of course a generic appropriation of roles and
responsibilities; individual institutions must apply their own organisational
infrastructure and requirements to the tasks identified in the table body. The
intention of the table is not to limit such tasks, but to illustrate the
interdependencies between the groups at different stages that make
communication and collaboration between the different groups so vital to the
success of an electronic records management strategy.
|
Manage- |
Creators |
Curators - RM |
Curators - IT |
Creation |
Policy on acceptable use |
Good practice creation |
Good practice creation guidelines |
Policy on acceptable use |
Active Use |
Policy on responsibili- |
Good practice storage and filing |
Good practice storage and filing guidelines |
Policy and practice on infrastructure provisions |
Appraisal/ |
|
Making desktop records/ |
Policy and guidelines on appraisal/ |
|
Transfer |
|
Enabling transfer from a 'push' perspective |
Effecting transfer from a 'pull' |
Providing technical transfer infrastructure |
Archiving & Preservation |
Policy on data/records archiving & preservation;
allocation of finances for archiving/ |
|
Developing archiving/ |
Providing archiving/ |
Access & Re-use |
Policy on data/records access & sharing |
|
Developing metadata-enabled access |
Providing reliable access whilst protecting archived records |
Possible disposal |
Policy on disposal |
Desktop disposal of non-transferred records |
Identifying retention schedules |
Disposing of redundant records/data; deletion of backup data |
Further details
on the specific responsibilities and how collaboration between groups increases
compliance, efficiency, and success, will be presented in the seminar.
The 'print-to-paper' scenario results largely
from a lack of digital experience in institutions with a responsibility to
manage and preserve records and data, a lack of trust in intangible digital
objects, and a lack of recognition regarding the level of cooperation between
different stakeholder parties that is necessary to ensure the persistence of
digital records. Digital records management is complex, but that is no reason
to rely instead on print-outs. As technical solutions develop, trust will grow
and experience will be gained. The final key to the solution is the development
of collaborative relationships between all parties with responsibilities for
creation, management, and preservation of digital records and data. Given the
complexity of the relationships and the interdependency between the activities
for which different groups have responsibility, it is clear that only by
collaborating together on the tasks can a successful solution be implemented.
[1] The
DCC is researching the specific organisational and cultural challenges of
digital curation as part of its ongoing
research programme.
[2]
Staff from the University of Kansas have published at least two ECAR
research bulletins that address organisational and cultural issues arising
from their attempt to develop a holistic approach to digital preservation.
See . http://www.educause.edu/ResearchBulletins/1007