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Slide 1: Preservation Planning using Plato Hannes Kulovits Andreas Rauber Department of Software Technology and Interactive Systems Vienna University of Technology kulovits@ifs.tuwien.ac.at rauber@ifs.tuwien.ac.at For JISC KeepIt course, Module 4, Southampton, March 2010
Slide 2: Vienna University of Technology  Vienna University of Technology http://www.tuwien.ac.at  Faculty of Computer Science http://www.cs.tuwien.ac.at - Department of Software Technology and Interactive Systems (ISIS) http://www.isis.tuwien.ac.at  People in DP Andreas Rauber Christoph Becker Mark Guttenbrunner Rudolf Mayer Florian Motlik Michael Kraxner Hannes Kulovits Stephan Strodl Petar Petrov Michael Greifeneder Evamaria Pomper Annu John
Slide 3: DP Activities in Vienna  Web Archiving (AOLA) in cooperation with the Austrian National Library  DELOS DPC (EU FP6 NoE)  DPE: Digital Preservation Europe (EU FP6 CA)  PLANETS (EU FP6 IP)  eGovernment & Digital Preservation series of projects with Federal Chancellery  National Working Group on Digital Preservation of the Austrian Computer Society, in cooperation with ONB  Digital Memory Engineering: National research studio
Slide 4: What will you know after this training? You will:  Understand the challenges in digital preservation and  Address them on both layers physical and logical.  Understand why we need to plan preservation activities  Know a workflow to evaluate preservation strategies  Be able to develop a specific preservation plan that is optimized for - the objects in your institution - the users of your institution - the institutional requirements
Slide 5: Schedule  What is Preservation Planning?  The Preservation Planning Workflow  Preservation Planning with Plato  Exercise
Slide 6: Schedule  What is Preservation Planning?  The Preservation Planning Workflow  Preservation Planning with Plato  Exercise
Slide 7: Preservation Planning Why Preservation Planning?  Several preservation strategies developed - For each strategy: several tools available - For each tool: several parameter settings available  How do you know which one is most suitable?  What are the needs of your users? Now? In the future?  Which aspects of an object do you want to preserve?  What are the requirements?  How to prove in 10, 20, 50, 100 years, that the decision was correct / acceptable at the time it was made?
Slide 8: Preservation Planning  Consistent workflow leading to a preservation plan  Analyses, which solution to adopt  Considers - preservation policies - legal obligations - organisational and technical constraints - user requirements and preservation goals  Describes the - preservation context - evaluated preservation strategies - resulting decision including the reasoning  Repeatable, solid evidence
Slide 9: Digital Preservation What is a preservation plan?  10 Sections Identification Status Description of Institutional Setting Description of Collection Requirements for Preservation Evidence for Preservation Strategy Cost Trigger for Re-evaluation Roles and Responsibilities Preservation Action Plan Preservation Plan Template
Slide 10: Preservation Planning
Slide 11: Schedule  What is Preservation Planning?  The Preservation Planning Workflow  Preservation Planning with Plato  Exercise
Slide 12: PP Workflow
Slide 13: Orientation
Slide 14: Define Basis  Basic preservation plan properties  Describe the context Institutional settings Legal obligations User groups, target community Organisational constraints New Collection Alert (NCA) Changed Collection Profile Alert (CPA) Changed Environment Alert (CEA) Changed Objective Alert (COA) Periodic Review Alert (PRA)  5 triggers
Slide 15: Define Basis Organizational structure  Mandate, Mission Statement - Provide reliable, long-term access to digital objects - Internet Archive: “The Internet Archive is working to prevent the Internet […] and other ‘born digital’ materials from disappearing into the past. Collaborating with institutions including the Library of Congress and the Smithsonian, we are working to preserve a record for generations to come.” http://www.archive.org/about/about.php - Oxford Digital Library: “Like traditional collection development long-term sustainability and permanent availability are major goals for the Oxford Digital Library.” http://www.odl.ox.ac.uk/principles.htm
Slide 16: Orientation
Slide 17: Choose Sample Objects  Identify consistent (sub-)collections - Homogeneous type of objects (format, use) - To be handled with a specific (set of) tools  Describe the collection - What types of objects? - How many? - Which format(s)?  Selection - Representative for the objects in the collection - Right choice of sample is essential - They should cover all essential features and characteristics of the collection in question - As few as possible, as many as needed - Often between 3 – 10
Slide 18: Choose Sample Objects  Stratification – all essential groups of digital objects should be chosen according to their relevance  Possible stratification strategies File type Size Content (e.g. document with lots of images, including macros) Time (objects from different periods of times)  File Format Identification - DROID - PRONOM
Slide 19: Define Sample Objects
Slide 20: Orientation
Slide 21: Identify Requirements  Define all relevant goals and characteristics (high-level, detail) with respect to a given application domain  Put the requirements in relation to each other  Tree structure  Top-down or bottom-up - Start from high-level goals and break down to specific criteria - Collect criteria and organize in tree structure
Slide 22: Identify Requirements  Input needed from a wide range of persons, depending on the institutional context and the collection IT Staff Administration Domain experts Curators Producers Managers Lawyers Technical experts Others Consumers
Slide 23: Identify requirements  Core step in the process  Define all relevant goals and characteristics (high-level, detail) with respect to given application domain  Usually four major groups  Object characteristics (content, metadata,…)  Record characteristics (context, relations,…)  Process characteristics (scalability, error-detection,…)  Costs (set-up, per object, HW/SW; personnel,…)
Slide 24: Identify requirements analogue… … or digital
Slide 25: Identify requirements Example: Webarchive
Slide 26: Identify requirements  Creation within PLATO with Tree-Editor
Slide 27: Identify requirements  Assign measurable unit to each leaf criterion  As far as possible automatically measurable  seconds / Euro per object  colour depth in bits  ...  Subjective measurement units where necessary  diffusion of file format  amount of expected support  ...  No limitations on the type of scale used
Slide 28: Identify requirements Types of scales      Numeric Yes/No (Y/N) Yes/Acceptable/No (Y/A/N) Ordinal: define the possible values Subjective 0-to-5
Slide 29: Identify requirements  Creation within PLATO with Tree-Editor
Slide 30: Identify Requirements: Example  Example Webarchiving: - Static Webpages - Including linked documents such as doc, pdf - Images - Interactive elements need not be preserved
Slide 31: Identify Requirements: Example
Slide 32: Identify Requirements: Example
Slide 33: Identify Requirements: Example Behaviour  Visitor counter and similar functionalities can be  Frozen at harvesting time  Omitted  Remain operational, i.e. the counter will be increased upon archival calls (is this desired? count? demonstrate functionality?)
Slide 34: PP Workflow
Slide 35: Orientation
Slide 36: Define Alternatives  Given the type of object and requirements, what strategies are possible and which is most suitable - Migration, emulation, other?  For each alternative, precise definition of Which tool (OS, version) Which functions of the tool Which parameters Resources that are needed (human, technical, time and cost)  Define manually or use registries via web services
Slide 37: Define Alternatives
Slide 38: Go/No-Go  Deliberate step for taking a decision if it will be useful and cost-effective to continue the procedure, given - The resources to be spent (people, money) - The availability of tools and solutions, - The expected result(s).  Review of the experiment/ evaluation process design so far - Is the design complete, correct and optimal?  Need to document the decision  If insufficient: can it be redressed or not?  Decision per alternative: go / no-go / deferred-go
Slide 39: Develop experiment  Plan for each experiment - steps to build and test SW components - HW set-up - Procedures and preparation - Parameter settings, capturing measurements (time, logs...)  Standardized Testbed-environment simplifies this step (PLANETS Testbed)  Ideally directly accessible Preservation Action Services  Ensures that results are comparable and repeatable
Slide 40: Run experiment  Before running experiments: Test  Call migration / emulation tools  Local or service-based  Capture process measurements (Start-up time, time per object, throughput, ...)  Capture resulting objects, system logs, error messages,…
Slide 41: Develop and Run Experiment
Slide 42: Evaluate experiment  Analyse the results according to the criteria specified in the Objective Tree  Preservation Characterization: Characterization Services  Evaluation analyses - Experiment measurements, results - Necessity to repeat an experiment - Undesired / unexpected results  Technical and intellectual aspects
Slide 43: Evaluate Experiment
Slide 44: Evaluate Experiment
Slide 45: Evaluate Experiment
Slide 46: PP Workflow
Slide 47: Orientation
Slide 48: Transform measured values  Measures come in seconds, euro, bits, goodness values,…  Need to make them comparable  Transform measured values to uniform scale  Transformation tables for each leaf criterion  Linear transformation, logarithmic, special scale  Scale 1-5 plus "not-acceptable"
Slide 49: Transform Measured Values
Slide 50: Orientation
Slide 51: Set Importance Factors  Not all leaf criteria are equally important  By default, weights are distributed equally  Adjust relative importance of all siblings in a branch  Weights are propagated down the tree to the leaves
Slide 52: Set Importance Factors
Slide 53: Orientation
Slide 54: Analyse results  Aggregate values in Objective Tree - Multiply transformed measurements in leaves with weights - Sum up across tree  Results in accumulated performance value per alternative at root level ranking of alternatives  Also results in performance value for each alternative in each sub-branch of the tree  combination of alternatives  Basis for well-informed and accountable decisions  Different aggregation methods, e.g. sum and multiplication
Slide 55: Analyse results
Slide 56: Analyse results Example: Electronic documents Alternative Total Score Weighted Sum 4.52 4.53 4.26 4.22 4.17 3.43 3.38 3.28 Total Score Weighted Multiplication 4.31 0.00 3.93 3.99 3.77 0.00 0.00 0.00 PDF/A (Adobe Acrobat 7 prof.) PDF (unchanged) TIFF (Document Converter 4.1) EPS (Adobe Acrobat 7 prof.) JPEG 2000 (Adobe Acrobat 7 prof.) RTF (Adobe Acrobat 7 prof.) RTF (ConvertDoc 4.1) TXT (Adobe Acrobat 7 prof.)  Deactivation of scripting and security are knock-out criterium (PDF)  RTF is weak in Appearance and Structure  Plain text doesn’t satisfy several minimum requirements
Slide 57: Image case study
Slide 58: PP Workflow
Slide 59: Schedule  What is Preservation Planning?  The Preservation Planning Workflow  Preservation Planning with Plato  Exercise
Slide 60: Preservation Planning with Plato Plato     Preservation Planning Tool Reference implementation of planning workflow Web-based application, release 2.0 Nov. 12 2008 Documents the process and ensures that all steps are considered  Automates several steps  Creates a preservation plan (XML, PDF)  Technical basis: Java Enterprise Beans, EJB 3 (Hibernate) Based on JBoss Application Server JBoss Seam Integration Framework Java Server Faces with Facelets XML Import/Export
Slide 61: Preservation Planning with Plato Plato  Assists in analyzing the collection - Profiling, analysis of sample objects via Pronom and other services  Allows creation of objective tree - Within application or via import of mindmaps  Allows the selection of Preservation action tools
Slide 62: Preservation Planning with Plato Plato     Runs experiments and documents results Allows definition of transformation rules, weightings Performs evaluation, sensitivity analysis, Provides recommendation (ranks solutions)
Slide 63: Preservation Planning with Plato What Preservation Planning produces:  Basic Preservation Plan: - PDF: Preservation Plan.pdf - XML: Preservation Plan.xml  That was developed in a solid, repeatable and documented process  That is optimal for the needs of a given institution and for the data at hand
Slide 64: Conclusions  Preservation Planning to ensure “optimal” preservation  A simple, methodologically sound model to specify and document requirements  Repeatable and documented evaluation  Basis for well-informed, accountable decisions  Concretization of OAIS model  Follows recommendations of TRAC and nestor  Generic workflow that can easily be integrated in different institutional settings  Plato: - Tool support to perform solid, well-documented analyses - Creates core preservation plan http://www.ifs.tuwien.ac.at/dp http://www.ifs.tuwien.ac.at/dp/plato
Slide 65: Schedule  What is Preservation Planning?  The Preservation Planning Workflow  Preservation Planning with Plato  Exercise
Slide 66: Exercise Time! The Scenario  National library  Scanned yearbooks archive  GIF images  The purpose of this plan is to find a strategy on how to preserve this collection for the future, i.e. choose a tool to handle our collection with.  The tool must be compatible with our existing hardware and software infrastructure, to install it within our server and network environment.  The files haven't been touched for several years now and no detailed description exists. However, we have to ensure their accessibility for the next years.  Re-scanning is not an option because of costs and some pages from the original newspapers do not exist anymore.
Slide 67: Exercises  Exercise 1: Basic questions, Collection • Describe your collection, your objects • Describe the designated community, organisation… - Document that shortly to have a common basis  Exercise 2: Requirements definition - Define the assigned branch of the tree - Assign measurable units - Set high-level importance factors
Slide 68: Exercise 1 – Choose Sample Records • Stratification – all essential groups of digital objects should be chosen according to their relevance • Possible stratification strategies – – – – File type Size Content (e.g. document with lots of images, including macros) Time (objects from different periods of times) • File Format Identification – DROID – PRONOM
Slide 69: Exercise 2 – Requirements definition  Use Freemind to model the requirements - Freemind installer provided on USB stick (for all operating systems)  Define requirements and associate scale - Yes/No scales can be specified by the text 'Y/N‘ - 'Y/A/N' denotes Yes/Acceptable/No. - If you want to specify arbitrary values such as 'same/slight differences/unusable', you should separate the values by a slash. - If you enter any other text, this is assumed to be the measurement unit of a numeric scale, such as 'seconds' or 'MB'.
Slide 70: Exercise 2 – Requirements definition  Example scales: