4.1.1.6 Preservation Planning

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The functions of the Preservation Planning Functional Entity are illustrated in figure 4-6.

Figure 4-6 Functions of the Preservation Planning Functional Entity 650x0m2.jpg

Figure 4-6: Functions of the Preservation Planning Functional Entity

The Monitor Designated Community function interacts with Archive Consumers and Producers to track changes in their service requirements and available product technologies. Such requirements might include data formats, media choices, preferences for software packages, new computing platforms, and mechanisms for communicating with the Archive. This function may be accomplished via surveys, via a periodic formal review process, via community workshops where feedback is solicited or by individual interactions. It provides reports, requirements alerts and emerging standards to the Develop Preservation Strategies and Standards function. It sends preservation requirements to Develop Packaging Designs.

The Monitor Technology function is responsible for tracking emerging digital technologies, information standards and computing platforms (i.e., hardware and software) to identify technologies which could cause obsolescence in the Archive’s computing environment and prevent access to some of the Archive’s current holdings. This function may contain a prototyping capability for better evaluation of emerging technologies and receive prototype requests from Develop Preservation Strategies and Standards and from Develop Package Designs and Migration Plans. This function sends reports, external data standards, prototype results and technology alerts to Develop Preservation Strategies and Standards. It also sends prototype results to Develop Package Designs and migration plans.

The Develop Preservation Strategies and Standards function is responsible for developing and recommending strategies and standards, and for assessing risks, to enable the Archive to make informed tradeoffs as it establishes standards, sets policies, and manages its system infrastructure. Risk management is a suitable methodology to provide balance between needs and means, and between immediate activity imperatives and Long Term objectives of the preservation mission. Risk management can also provide useful metrics to quantify elements that are usually difficult to estimate in the decision-making process. This function provides periodic risk analysis reports to Administration addressing expected risks and their possible mitigation based on current, and on proposed updates, to operating policies, procedures and standards. This function receives reports, requirements alerts and emerging standards from the Monitor Designated Communities and Monitor Technology functions, and it receives operating policies, procedures and standards, performance information, inventory reports and summarized consumer comments from Administration. From the information this function identifies those changes that would require migration of some current Archive holdings or new submissions, for example updating AIPs with additional or revised Representation Information. This function sends recommendations on system evolution and on AIP updates to Administration This function also receives external data standards from Monitor Technology and produces profiles of those standards that are sent to Administration as proposals on their potential usage. This function also receives issues from Develop Packaging Designs and migration plans in the case of unanticipated submission requirements, and responds with advice to handle the new requirements.

The Develop Packaging Designs and Migration Plans function develops new Information Package designs and detailed migration plans and prototypes, to implement Administration policies and directives. Migration of the Content Information could involve changes to the Content Data Object and/or the Representation Information. This activity also provides advice on the application of these Information Package designs and Migration plans to specific Archive holdings and submissions. This function receives Archive approved standards and migration goals from Administration. The standards include format standards, metadata standards and documentation standards. It applies these standards to preservation requirements and provides AIP and SIP template designs to Administration. This function also provides customization advice and AIP/SIP review to Administration on the application of those designs. If this function encounters submissions that are not covered by existing standards and procedures, it can send issues to Develop Preservation Strategies and Standards and receive advice, including new standards, to assist in meeting the new submission requirements.

The preservation requirements and the migration goals received by this function tend to involve transformations of the AIP, including transformations of the Content Information to avoid loss of access due to technology obsolescence (see section 5). The response to the migration goals may involve the development of new AIP designs, prototype software, test plans, community review plans and implementation plans for phasing in the new AIPs. This process may call on expertise or resources from other functions within Preservation Planning, such as prototype development from Monitor Technology. This effort also will require consultation from the other functional areas and from the Designated Community. Once the migration plan, associated AIP designs, and software have been tested and approved by Administration, this function will send the entire migration package to Administration. These proposals for the migration plan are received and approval granted (or denied) by the ‘Establish Standards and Policies’ function of ‘Administration’. The ‘Preservation Planning’ entity develops, validates and supplies the migration packages on the basis of this approval; Administration schedules and performs the migration plans.

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