This presentation was provided by Karen A. Wetzel of NISO, Mary Alice Baish of The American Association of Law Libraries (AALL), Keith Johnson of The Stanford Digital Repository, Victoria Reich of Stanford University Libraries, and Carl Grant of ExLibris North America, during the NISO Webinar "Digital Preservation: Current Efforts" held on January 14, 2009

1. • Digital Preservation: An Introduction
– Mary Alice Baish, Director, Government Relations Office, American Association of Law
Libraries (AALL)
• Filesystem Metadata: An Unsolved Problem in Digital Preservation
– Keith Johnson, Stanford Digital Repository Preservation Architect
• CLOCKSS, A Global Archive:
Libraries and Publishers Preserving the Past for the Future
– Victoria Reich, CLOCKSS Board member and Director, LOCKSS Program, Stanford
University Libraries
• Going from Zero to Live with an Automated Digital Preservation System:
Planning, Process and Results Based on the New Zealand Experience
– Carl Grant, President, Ex Libris North America
– Mike Thuman, Digital Preservation Director, Ex Libris North America
NISO Webinar • January 14, 2009
Digital Preservation:
Current Efforts
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NISO Webinar • January 14, 2009
Digital Preservation:
An Introduction
Mary Alice Baish, Director,
Government Relations Office,
American Association of Law Libraries
FILESYSTEM METADATA: A
PROBLEM UNSOLVED FOR DIGITAL
PRESERVATION
Keith Johnson, Preservation Architect
Stanford University
keithj@stanford.edu

2. WHO AM I?
File Wrangler
THE ISSUE:
A significant problem with filesystem metadata:
They are not portable!
DIGITAL PRESERVATION AT ITS MOST
BASIC…
Preserving access to stored digital files over time.
or
Maintaining file portability across time.
IN THE DIGITAL PRESERVATION CONTEXT,
FILESYSTEMS ARE NICE…
Powerful, simple, universal metaphor
Facilitates simplification (and hence cost-
reduction) through encapsulation
Encourages static approach—particularly
germane for data “at rest”

3. FILESYSTEMS’ CONSTRUCTIVE DECEIT
Variable conflation of data and metadata
Sampling of storage-based filesystems:
FAT16
FAT32
NTFS
HFS+ (with or without extensions)
UFS
EXT, EXT2, EXT3
ZFS
ISO9660 (with or without extensions)
Sampling of network-based filesystems:
NFS
CIFS
(FTP? HTTP? RSYNC?)
WHAT LOOKS AND FEELS LIKE A “FILE” IS
REALLY METADATA…
Metadata in Filesystem:
File Name (!!!)
Dates
Identity keys (typically numeric and instance-specific)
Permissions
Pure Filesystem artifacts:
Directories (i.e., folders)
Links (Strange in UNIX…)
Symlinks (Aliai, Shortcuts, etc.)
Metadata in the Operating System:
Identity Metadata and Semantics
Real Names
Descriptions, group memberships, group descriptions, etc.
WHY IS ALL OF THIS DETAIL AN UNSOLVED
PROBLEM FOR DIGITAL PRESERVATION?
Portability across Time:
Portability across Systems:
Portability across Filesystems
…but Filesystems are incompatible
with each other!
PLAIN OLD INCOMPATIBILITIES
Sample list (not complete):
Filename issues:
Is Filesystem case-sensitive? i.e., are /mydirectory/Myfile.txt
and /mydirectory/myfile.txt the same file, or different files?
Unix(-like): Always Different
Windows: Usually the Same, but can be Different (context-sensitive and highly ambiguous)
Mac: Usually the Same, but can be Different (though not ambiguous)
Characters reserved by the Filesystem
FAT Illegal: |?*<":>+[]/ control characters
UNIX(-like) Illegal: / null
NTFS Illegal: / null
Characters reserved by the Operating System
Windows Illegal: / : * ? " < >
UNIX(-like) Illegal: / null

4. PLAIN OLD INCOMPATIBILITIES
Continued:
Missing functionality:
Multiple hard links
Specialized Dates (Last-backed-up, for instance)
Permissions
Some schemes are more inclusive than others
Are Access Control Lists (ACLs) implemented, and if so, how?
Soft-links and context-specific behavior
Unpredictable tools:
Tend to be Operating System- and/or Filesystem-specific
Silent, destructive behavior:
File or Metadata omissions
File changes (for instance, in FTP text-mode)
WHAT WE NEED:
Embedded, portable file Metadata
Perhaps a new container format?
Akin to “tags” in many file formats—e.g., “ID3” tags
in MP3 audio files
Tools that handle incompatibilities predictably,
consistently, and non-destructively
Stanford Digital Repository engaged in research to
discover and/or design such tools
“SPOORE” file container…
THANK YOU
Keith Johnson
Stanford University
keithj@stanford.edu
ononon
Controlled Lots of Copies Keep
Stuff Safe
Victoria Reich
CLOCKSS
www.clockss.org

5. ononon
Mission
Ensuring access to published
scholarly content over time; a
community-governed partnership
of publishers and libraries working
to achieve a sustainable and
globally distributed archive. ononon
Publishers
American Medical Association
American Physiological Society
Elsevier
Nature Publishing
SAGE
Taylor & Francis
IOP
OUP
Springer
Wiley Blackwell
Waiting List
ononon
Alberta
Australia National University
Hong Kong
Indiana
NYPL
OCLC
Rice
Stanford
Virginia
Span geographic, political, and legal boundaries
Archive Nodes
ononon
Goals
•Build a community-governed archive
•Keep digital preservation inexpensive
•Don!t charge for access
•Be sustainable

6. ononon
Governance
Three-tiered structure 501(c)(3)
• Board
• Executive Committee
• Council
ononon
Officers
Co-Chairs: "Michael Keller, Stanford
Gordon Tibbetts, BePress
Treasurer: Geneva Henry, Rice
Secretary: Victoria Reich, Stanford
Executive Committee:
•" Elsevier
•" Taylor and Francis
•" Univ of Edinburgh
ononon
2007
Outstanding Collaboration Award
ononon
Goals
• Build a community-governed archive
• Keep digital preservation inexpensive
• Don!t charge for access
• Be sustainable

7. ononon
Keep Preservation
Inexpensive
• Library budgets strained.
• More $ spent on digital preservation =
less $ to acquire new content.
• When times are tough, digital
preservation will not be a priority.
• If you stop preserving the information, it!s
gone. ononon
Technology
Private LOCKSS Network
ononon
Library Stewardship
Ingesting and Preserving
• Subscribed Content
• Non-subscribed content
Building comprehensive collections
ononon
Alberta
Australia National University
Hong Kong
Indiana
NYPL
OCLC
Rice
Stanford
Virginia
Span geographic, political, and legal boundaries
Archive Nodes

8. ononon
Goals
•Build a community-governed archive
•Keep digital preservation inexpensive
•Don!t charge for access
•Be sustainable
ononon
When is content available from
the archive?
ononon
Trigger Events
Ceases operations and titles are not
available from any other source.
Ceases to publish a title and it is not
offered elsewhere.
Removes back issues and they are
unavailable elsewhere.
Delivery platform fails over a sustained
period of time.
ononon
Redefined
Trigger Events
Owner gives unconditional consent to
the release of such content to the
general public, or
Content is determined to be unavailable
from any publisher for at least six
consecutive months.

9. ononon
Trigger Events
In Practice
Content brings the publisher
little or no income
ononon
ACCESS: WHO & WHEN
ononon
2 Triggered Titles
SAGE
• Auto/Biography
• Graft
Hosted and available for free
• Stanford University
• University of Edinburgh ononon

10. ononon ononon
Triggered Content
ononon
Triggered Content
ononon
Triggered Content

11. ononon
Goals
•Build a community-governed archive
•Keep digital preservation inexpensive
•Don!t charge for access
•Be sustainable
ononon
Sustainability
OA goal requires different model
• Raise endowment
• Low or no fees after 5 years
ononon
Partial Funding via
Endowment is Key
When times are tough, digital
preservation will not be a priority.
If you stop preserving the information,
it!s gone.
ononon
Partial Funding via
Endowment Is Feasible
Leverage existing technology
• LOCKSS preserves web published
content; evolved to preserve new genres
(ejournals, books, blogs…)
Leverage existing infrastructure
• Libraries as custodians of culture.

12. ononon
Support
Library Publisher
$25-30 M $15,000
$20-25 M $12,000
$15-20 M $ 9,000
$13-15 M $ 7,800
$11-13 M $ 6,600
$9-11 M $ 5,400
$7-9 M $ 4,200
$5-7 M $ 3,000
$4-5 M $ 2,400
$3-4 M $ 1,800
$2-3 M $ 1,200
$1-2 M $ 600
$ <1 M $ 450
$200+M " $25,000
$50-200 " $15,000
$10-50M " $9,000
$5-10M " $ 5,000
$1-5M "" $ 2,500
$- 1M " " $ 1,000
Back File - FREE
Front File -$0.25/article
Fee Capped $75,000/year
ononon
Goals
Build a community-governed archive
• Participate in our industry!s future, influence policy,
practice, standards
Keep digital preservation inexpensive
• Leverage existing infrastructure
ononon
Goals
Don!t charge for access
• Triggered content free to all
Be sustainable
• Strive for an endowment
ononon
Victoria Reich
www.clockss.org
Ask Me Questions!

13. Carl Grant, President, Ex Libris North America
January 2009
Going from Zero to Live with an
Automated Digital Preservation
System
50Agenda
• Preservation. Why/What?
• Planning for preservation
• Implementation Process
• Q & A
51We all know why … 52
What makes long term storage of digital
information difficult?
• Deterioration of the storage medium
• Obsolescence of the storage medium
• Obsolescence of the software
• Obsolescence of the hardware required to run
the software
• Failure to document the format adequately
• Long-term management
http://www.dpconline.org/docs/reports/uknamindthegap.pdf

14. 53What is NOT preservation?
Backing up digital objects is NOT preservation!
54What is preservation?
“Digital preservation combines policies, strategies and
actions that ensure access to information in digital formats
over time.”
55Agenda
• Preservation. Why/What?
• Planning for preservation
• Implementation Process
• Q & A
56National Library of New Zealand
• 2003: National Library act extends legal deposit
to electronic publications
• November 2003: Business case presented to
the government
• July 2004: National Digital Heritage Archive
(NDHA) established
• July 2005: Business requirement specification
• January 2006: Functional requirement
specification

15. 57National Library of New Zealand
• January 2007: Development partnership concluded
• May 2007: Scoping concluded
• December 2007: Meeting with Ex Libris concluded
open issues
• January 2008: Finished second round of specs
• 2008 Coding, testing Ex Libris.
• November 2008: Soft launch of system.
• January 2009: Ex Libris announces general release
of product.
58Preservation - Planning
59
Best Practices
• Preservation is not “after-the-fact”.
• The cost of preservation is substantial and ongoing.
Preservation - Planning 60
Best Practices
• Funding must include:
• Staffing
• Hardware
• Software/Subscription – SaaS services.
• Support services
• Training
• Number of preservation repositories planned?
(Multiply cost by...)
Preservation - Planning

16. 61
Best Practices
• Today, many objects are born digital.
• Read, learn, educate….
• Form a consortium.
• Policies are not optional
Preservation - Planning 62
Best Practices
Develop the Policies/Guidelines
• Materials/objects to be supported?
• For how long (retention)?
• Who can submit?
• Withdrawals permitted? When and by whom?
• IP and rights/access control.
• Metadata standards to be applied.
• Who owns the content?
Preservation - Planning
63
Best Practices
Develop the Policies/Guidelines
• Statement of archive type (dark, open)?
• Copyright compliance policies.
• How do the policies get coordinated/finalized?
• Community collections (creation/management
responsibility)
Preservation - Planning 64
Performing a Needs Assessment/Analysis
• What objects exist that you wish to preserve?
• Format/Number/Size/Growth of objects?
• What new objects are you planning on?
• How will they be acquired?
• Feature sets needed?
• Submission processes
• Metadata needed
• Copyright/Access rights management.
• Discovery/Searching capabilities
• Architecture
Preservation - Planning

17. 65
Performing a Needs Assessment/Analysis
• Common Services possible with an preservation
repository:
• Integrate a discovery tool for analog and e-resources for
enhanced access to collections
• Interoperability and data exchange between repositories,
collaboration and e-learning systems.
• Expose to broaden access and impact of collections data and
metadata to external Information providers
• Preserve digital data that now encapsulates the human record
be the resources from publishers or community members.
• Digital curation and migration services
Preservation - Planning 66Agenda
• Preservation. Why/What?
• Planning for preservation
• Implementation Process
• Q & A
67
Planning the Implementation
• Cost sharing/recovery
• All services to be provided for free? Or fee?
• Which services?
• Put in place cost sharing agreements.
• Build organizational support
• Who to involve?
• Define roles, responsibilities, reporting structures.
• Create an Advisory Board? Who will sit on it?
• Sell the preservation services from the TOP down.
Preservation - Implementation 68
Organizational Preparedness
Educate your team:
• Why you need a preservation system?
• Differences between repositories, preservation
systems and websites (Flickr, Amazon S3, etc)
• Collections that will be preserved
• Content submission guidelines/policies
• Learn from preservation efforts underway, note things
liked and things not.
Preservation - Implementation

18. 69
Organizational Preparedness
Educate your team:
• How a Library adds value to preservation:
• Selection
• Ease of submission processes
• Metadata maintenance.
• Long-term maintenance of objects.
• Ensuring migration-forward capabilities
• Digitization services
• Support services.
• Outreach services.
Preservation - Implementation 70
Implementing Preservation Services
• Prepare the infrastructure:
• Server requirements
• Software requirements
• Programming/Customization needed done?
• Access controls in place
• Policies in place?
• Data security/Disaster recovery plan in place?
• Integrate preservation into existing workflows.
• Migrate content into preservation repository.
• Roll out a limited version – work out kinks.
Preservation - Implementation
71
Implementing Preservation Services
• Scale up the services.
• Market the services:
• Promote services.
• Liaisons – assign and manage
• Name and brand the preservation services
• Fine tune the interfaces and workflows.
Preservation - Implementation 72Agenda
• Preservation. Why/What?
• Planning for preservation
• Implementation Process
• Q & A

19. Thank You!
Carl.Grant@exlibrisgroup.com
Questions?
All questions will be posted with presenter answers on the NISO
website following the webinar:
www.niso.org/news/events/2009/digpres09/
Digital Preservation:
Current Efforts
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