Preservation metadata         Andrew WaughSenior Manager, Standards and Policy  Public Record Office Victoria
Structure of the talk•   What is preservation metadata?•   Recordkeeping metadata in theory•   NAA/ANZ recordkeeping metad...
What is preservation?• The ability to be able to access content for as  long as it is required• Access means  – Being able...
Preservation metadata• Preservation metadata is the information  necessary to maintain access to content• Difference betwe...
Examples of preservation              metadata•   Identifier•   Creation date•   Title•   History information•   Relations...
Recordkeeping Metadata• The archival profession has been developing  recordkeeping (=preservation) metadata for  around a ...
RK Metadata Standards• ISO 20381 Information and documentation –  Records management processes – Metadata for  records  – ...
Metadata from a records view• Records are content, context, and structure• Record management metadata is data  describing ...
Purpose of recordkeeping              metadata• The purpose of recordkeeping metadata includes  – Protecting records as ev...
Metadata at record capture• Records are captured into a system, and  metadata is created/captured with them• This metadata...
Metadata after record capture• Metadata captured after record creation  documents what happened to a record over  time  – ...
Metadata after disposal• Metadata is a record itself, and some parts  may need to be kept after the record has been  dispo...
Four entity model• Modern Australian recordkeeping metadata  models normally are expressed in terms of  entities  – Record...
Four entity model    • ISO23081-2 s6.1
One, two, three, four entity models• The four entity model can be flattened to  facilitate implementation  – A system coul...
Metadata associated with an entity                       • ISO23081-2 s6.1
Identity metadata• Distinguishes entity from all other entities in  the domain  – Entity type (e.g. record, agent)  – Aggr...
Description metadata• Describes the entity to allow determination if  this is the entity sought  – Title  – Classification...
Use metadata• Assists long-term access to the entity  – Technical environment  – Rights (who may legal use it & under what...
Event plan• Allows the entity to be managed• Consists of management actions that are  planned to occur in the future  – Ap...
Event history• Documents the trail of past events• Who, what, when, why  – Event identifier  – Event date/time  – Event ty...
Relation• Links two (or more) entities• Implicitly bi-directional, but need not be  implemented this way• Relationships of...
NAA/ANZ metadata standard• Same content, two standards• NAA version  – Recordkeeping Metadata Standard Version 2.0  – http...
NAA/ANZ Elements                                   All Entities                                   Entity Type             ...
Future Australian Standard• Work is in progress on an Australian Standard  for recordkeeping metadata• Based on the NAA/AN...
PREMIS• Preservation metadata is the information a  respository uses to support the digital preseration  process• Supports...
PREMIS scope• Not intended to define all preservations elements,  only those that most repositories are likely to need to ...
PREMIS Data Model•   From Understanding PREMIS http://www.loc.gov/standards/premis/understanding-premis.pdf
PREMIS Entities• Intellectual Entity – set of content that is a single  intellectual unit – has no metadata in PREMIS• Obj...
Elements for Object Entities•   Unique Identifier     • Significant properties•   Fixity information      (aspects that mu...
NAA/ANZ vs PREMIS• NAA/ANZ                        • PREMIS  – Recordkeeping is about         – Deliberately focuses on    ...
Reading metadata schemas   Don’t panic at the length…
General observations• Most metadata schemes are lengthy, but  contain relatively little information• If you understand the...
Metadata schemes• Typical metadata schemes contain  – Entities (i.e. objects modelled)     • Definition     • Lists valid ...
Implementation• Metadata schemes are information models, not  implementation instructions• Adopting a scheme means that yo...
Conclusions• Preservation metadata is simply the  information that preservation professionals  use to ensure continued acc...
Conclusions (2)• Typical preservation        • Other common  metadata                      metadata  – Identity informatio...
Conclusions (3)• You only have to implement the logical model  and the mandatory elements• Standards are usually aspiratio...
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Andrew waugh

  1. 1. Preservation metadata Andrew WaughSenior Manager, Standards and Policy Public Record Office Victoria
  2. 2. Structure of the talk• What is preservation metadata?• Recordkeeping metadata in theory• NAA/ANZ recordkeeping metadata standard• PREMIS – standard for preservation metadata• Practical reading and implementing tips• Conclusions
  3. 3. What is preservation?• The ability to be able to access content for as long as it is required• Access means – Being able to find the content – Extract information from the content – Understand the context of the content – Be confident of the history of the content
  4. 4. Preservation metadata• Preservation metadata is the information necessary to maintain access to content• Difference between short and long term access is one of degree of metadata, not kind• As preservation professionals, we are rarely interested in the content, just managing it. Preservation metadata is the basic information that we use to do our job
  5. 5. Examples of preservation metadata• Identifier• Creation date• Title• History information• Relationship between objects• Data formats
  6. 6. Recordkeeping Metadata• The archival profession has been developing recordkeeping (=preservation) metadata for around a decade• This work provides a useful framework to think about preservation and metadata
  7. 7. RK Metadata Standards• ISO 20381 Information and documentation – Records management processes – Metadata for records – Part 1: Principles – Part 2: Conceptual and implementation issues• National Archives of Australia (and Archives New Zealand) - Recordkeeping Metadata Standard Version 2.0 – http://www.naa.gov.au/Images/AGRkMS_Final%20Edit_16 %2007%2008_Revised_tcm2-12630.pdf• Forthcoming Australian/New Zealand Standard
  8. 8. Metadata from a records view• Records are content, context, and structure• Record management metadata is data describing the context, content, and structure of records and their management through time (ISO 15489-1:2001, 3.12)• Recordkeeping metadata is the key to providing access (and hence preservation)• In practice, metadata is everything except the actual content of the record
  9. 9. Purpose of recordkeeping metadata• The purpose of recordkeeping metadata includes – Protecting records as evidence – Ensuring their accessibility and usability through time – Facilitating the ability to understand records – Helping ensure the authenticity, reliability and integrity of records – Supporting and managing access, privacy, and rights – Supporting the migration of records from one (preservation) system to another
  10. 10. Metadata at record capture• Records are captured into a system, and metadata is created/captured with them• This metadata documents – Environment in which records were created – Purpose or business activity being undertaken – Relationship with other records or aggregations – Physical or technical structure of the record – Logical structure of the record
  11. 11. Metadata after record capture• Metadata captured after record creation documents what happened to a record over time – demonstrates authenticity, reliability, usability, and integrity)• Answers the basic questions of who, what, when, where, why
  12. 12. Metadata after disposal• Metadata is a record itself, and some parts may need to be kept after the record has been disposed of to account for their existence, management, and disposition
  13. 13. Four entity model• Modern Australian recordkeeping metadata models normally are expressed in terms of entities – Records (the objects to be preserved: record, file, series…) – Agents (people who create and use the records) – The business transacted – Mandates (the rules governing the business)
  14. 14. Four entity model • ISO23081-2 s6.1
  15. 15. One, two, three, four entity models• The four entity model can be flattened to facilitate implementation – A system could only store one entity (record) which contains metadata for agents, business, and mandates – Practical because most metadata is captured at creation, subsequent changes in relationships or information less relevant
  16. 16. Metadata associated with an entity • ISO23081-2 s6.1
  17. 17. Identity metadata• Distinguishes entity from all other entities in the domain – Entity type (e.g. record, agent) – Aggregation (e.g. file, record) – Registration Identifier (the actual identifier)
  18. 18. Description metadata• Describes the entity to allow determination if this is the entity sought – Title – Classification – Abstract – Place – External Identifiers• WARNING – description elements are normally business specific
  19. 19. Use metadata• Assists long-term access to the entity – Technical environment – Rights (who may legal use it & under what conditions) – Access (access control) – Language – Integrity – Documentary form
  20. 20. Event plan• Allows the entity to be managed• Consists of management actions that are planned to occur in the future – Appraisal (To keep or not) – Disposal (Implementation of appraisal decision) – Preservation – Access Control (Changes to) – Rights (Changes to)
  21. 21. Event history• Documents the trail of past events• Who, what, when, why – Event identifier – Event date/time – Event type – Event description – Event relation (mandate, agent)
  22. 22. Relation• Links two (or more) entities• Implicitly bi-directional, but need not be implemented this way• Relationships often have a time span – Entity Identifiers (from, to) – Relationship type – Relationship description – Relationship date range
  23. 23. NAA/ANZ metadata standard• Same content, two standards• NAA version – Recordkeeping Metadata Standard Version 2.0 – http://www.naa.gov.au/Images/AGRkMS_Final%2 0Edit_16%2007%2008_Revised_tcm2-12630.pdf – Based on five entities (Record, Agent, Business, Mandate, Relationship) – Defines 26 elements with 44 sub-elements – Includes extensive element schemes
  24. 24. NAA/ANZ Elements All Entities Entity Type Mandatory Element Category Conditional Element Identifier* Optional Element Name* Date Range DescriptionRecord Agent Business Mandate RelationshpJurisdiction* Jurisdiction* Jurisdiction* Jurisdiction* Related Entity*Security Class* Permissions* Security Class* Security Class* Change History*Security Caveat* Contact* Permissions* Security Caveat*Rights* Position* Coverage*Language* Language*Coverage*Keyword*Disposal*FormatExtent*MediumIntegrity CheckLocation*Document FormPrecedence
  25. 25. Future Australian Standard• Work is in progress on an Australian Standard for recordkeeping metadata• Based on the NAA/ANZ metadata standard• Focus on relationships
  26. 26. PREMIS• Preservation metadata is the information a respository uses to support the digital preseration process• Supports the viability, renderability, understandability, authenticity, and identity of digital objects• Built on OAIS reference model• Data dictionary & supporting materials – http://www.loc.gov/standards/premis/
  27. 27. PREMIS scope• Not intended to define all preservations elements, only those that most repositories are likely to need to know in order to support digital preservation• Excludes – Format specific metadata (even for a class of format) – Repository specific metadata and business rules – Descriptive metadata – Detailed information about media or hardware – Information about agents, apart from minimum required for identification – Information about rights and permissions, except those that directly affect preservation functions
  28. 28. PREMIS Data Model• From Understanding PREMIS http://www.loc.gov/standards/premis/understanding-premis.pdf
  29. 29. PREMIS Entities• Intellectual Entity – set of content that is a single intellectual unit – has no metadata in PREMIS• Object Entity – things actually stored in a repository – Representation Object – collection of all file objects necessary to represent an intellectual entity – File Object – discrete object on a computer file system – Bitstream Object – portion of a file• Event Entity – contains the history of an Object• Rights Entity – rights and permissions about object• Agent Entity – actors involved in events or rights
  30. 30. Elements for Object Entities• Unique Identifier • Significant properties• Fixity information (aspects that must be• Size preserved) • Environment• Format (infrastructure required• Original Name to use)• Creators • Storage media• Inhibitors (things • Digital signatures designed to prevent use) • Relationship with other entities
  31. 31. NAA/ANZ vs PREMIS• NAA/ANZ • PREMIS – Recordkeeping is about – Deliberately focuses on relationships, so includes preserving the files that the context of objects form a digital object – which is often necessary context is important, but to understand the object not documented – Documents the – Documents critical management plan for the information necessary to object use objects
  32. 32. Reading metadata schemas Don’t panic at the length…
  33. 33. General observations• Most metadata schemes are lengthy, but contain relatively little information• If you understand the typical structure, it is easy to quickly pick out the information you need• Metadata schemes tend to be aspirational – what the drafters thought you should do, often beyond what can do or have to do
  34. 34. Metadata schemes• Typical metadata schemes contain – Entities (i.e. objects modelled) • Definition • Lists valid elements – Elements (i.e. specific pieces of information) • Definition • Mandatory, optional, conditional flag • Repeatable or not • Structure (child elements) – Element schemas (i.e. controls over the values that can be used) • Lists of valid values (e.g. States) • Format controls (e.g. dates)
  35. 35. Implementation• Metadata schemes are information models, not implementation instructions• Adopting a scheme means that your implementation has the – mandatory elements – conditional elements (if relevant) – (perhaps) some of the optional elements – The element structure is correct• Metadata schemes are often associated with a representation standard (e.g. in XML) – Still not an implementation – often just for exchange
  36. 36. Conclusions• Preservation metadata is simply the information that preservation professionals use to ensure continued access to objects• What is viewed as essential depends on your discipline (what features is it necessary to preserve?) – E.g. archivists are concerned about context, librarians less so
  37. 37. Conclusions (2)• Typical preservation • Other common metadata metadata – Identity information – Description – Technical details and – Management Plans organisation of the – Relationships between objects to be preserved objects – Rights and access – History of object
  38. 38. Conclusions (3)• You only have to implement the logical model and the mandatory elements• Standards are usually aspirational – include metadata that is nice to have, but not essential• Specific representations (e.g. XML) are for data exchange, not how you must implement them internally

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