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Risk management

Risk management involves several stages, including identifying what can go wrong, assessing the risks and categorising them by level of risk and the implementation of strategies to minimise or negate those risks. Given the constantly evolving nature of digital preservation, risk management should be an ongoing process, to be reviewed on a continuous basis.

Articles | Books | Events | Organisations and Websites | Online tutorial | Policies, Strategies & Guidelines | Projects and Case Studies | Bibliographies | Glossaries | Journals & Newsletters | Discussion Lists | Surveys | Tools | Evaluations

Articles

Actualized Preservation Threats : Practical Lessons from Chronicling America
Littman, Justin In: D-Lib magazine (Date Created: Jul 2007) (United States of America)
This article discusses 'lessons learned' about the long-term preservation of digital content based on experience during the development phase of Chronicling America by the National Digital Newspaper Program (NDNP) development team when a number of preservation threats were actuated. The threats included media, hardware and software failures as well as operator errors.
http://www.dlib.org/dlib/july07/littman/07littman.html
AONS II: Continuing the Trend Towards Preservation Software 'Nirvana'
Pearson, David In: iPRES2007 - Special issue (Date Created: 25 Jan 2008) (Australia)
This paper was originally presented at iPRES 2007 in Beijing China. It reports on the AONS II project undertaken by the National Library of Australia in conjunction with the Australian Partnership for Sustainable Repositories. The AONS software tool allows users to automatically monitor the status of file formats in their repositories and receive notification of obsolescence risks.
http://www.infotech.ac.cn/CN/article/downloadArticleFile.do?attachType
=PDF&id=510
New Technology for Library and Information Service, iPres2007 Special Issue, Vol1, 25 Jan 2008.
Assessing Risks to Digital Cultural Heritage with DRAMBORA
Innocenti, Perla; McHugh, Andrew; Ross, Seamus (Date Created: Sep 2008)
This paper delivered at CIDOC Annual Conference 2008 (Athens 5-18 September), gives an overview of the development of the Digital Repository Audit Method Based on Risk Assessment DRAMBORA) toolkit and its methodology. It describes experiences and lessons learned from a series of 18 pilot assessment programmes undertaken internationally in diverse repositories.
http://www.cidoc2008.gr/cidoc/Documents/papers/drfile.2008-06-18.50070
58695
Safekept
Historical Assessing the Durability of Formats in a Digital Preservation Environment : the INFORM Methodology
Stanescu, Andreas In: D-Lib magazine (Date Created: Nov 2004)
INFORM (INvestigation of FOrmats based on Risk Management) was developed at the OCLC (Online Compter Library Center) as a methodology to measure the durability of various digital formats. The methodology includes six classes of risk, including software, hardware, digital object formats, migration processes, digital archive and associated organisations. Specific risk factors are identified in each of these classes. The article also describes the methodology of the measuring process, and how formats may be compared or evaluated with respect to risks affecting their preservation.
http://dx.doi.org/10.1045/november2004-stanescu
http://www.dlib.org/dlib/november04/stanescu/11stanescu.html
Defining File Format Obsolescence : A Risky Journey
Pearson, David; Webb, Colin In: International Journal of Digital Curation (Date Created: Jul 2008) (Australia)
This paper describes the process of defining file format obsolescence at the National Library of Australia for the AONS II project which was undertaken in conjunction with the Australian Partnership for Sustainable Repositories. File format obsolescence is a major risk for digital repositories. The project refined a software tool to help managers decide if preservation action is required.
http://www.ijdc.net/ijdc/article/view/76/78
KB e-Depot Digital Archiving Policy
Oltmans, Erik; van Wijngaarden, Hilde (Date Created: 2006) (Netherlands)
This paper discusses the Koninklijke Bibliotheek's policy and ambitions for digital archiving of electronic publications. It provides an overview of the KB's e-depot repository and the requirement and potential for collaboration.
http://www.emeraldinsight.com/10.1108/07378830610715464
Also available in PDF and from Library Hi Tech ISSN 0737-8831 ; Volume: 24 Issue: 4; 2006 pp. 604-613
Long-Term Preservation of Digital Information in China: Some Problems and Solutions
Jiazhen, Liu ; Peng, Du (Date Created: Jan 2009) (China)
This article describes research work on the long-term preservation of Chinese digital information funded by National Natural Science Foundation of China (NSFC) since 2001. Investigations into data format migration, life cycle management of digital records and the risks in storage management of archival data are described.
http://www.emeraldinsight.com/10.1108/00330330910954389
Program: electronic library & information systems, vol. 43 no.2, pp:175-186
Mitigating Risk of Data Loss in Preservation Environments
Chadduck, Robert ; JaJa, Joseph F. ; Moore, Reagan W. (Date Created: Apr 2005) (United States of America)
This paper describes approaches to minimise the risk of data loss and to preserve authenticity and integrity within a preservation environment. It describes Grid Bricks and Data Grids and uses the National Archives and Records Administration (NARA) research prototype persistent archive as an example of how they are used.
http://storageconference.org//2005/papers/04_moorer_risk.pdf
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Historical Preservation Risk Management for Web Resources: Virtual Remote Control in Cornell's Project Prism
Botticelli, Peter; Entlich, Richard; Kenney, Anne R; Lagoze, Carl; McGovern, Nancy Y; Payette, Sandra In: D-Lib magazine (Last Updated: 21 Jan 2002) (United States of America)
This article provides an overview of Project Prism at Cornell University, through which a non-custodial, distributed model for archiving is being explored. Among its aims is to use automated strategies to monitor and validate resource integrity, in a risk-based preservation management program.
http://www.dlib.org/dlib/january02/kenney/01kenney.html
D-Lib Magazine , Vol. 8, No. 1
Risk and the Preservation Management of Digital Collections
Clifton, Gerard (Date Created: Sep 2005) (Australia)
This article discusses the risks to digital materials and ways to reduce and manage these risks. The risk areas discussed include media degradation; data, files and formats issues; collection level factors, such as lack of metadata; organisational factors and external factors.
http://archive.ifla.org/VI/4/news/ipnn36.pdf
International Preservation News No. 36, September 2005. pp. 21-23.
Risk Assessment : Using a Risk Based Approach to Prioritise Handheld Digital Information
McLeod, Rory (Date Created: 29 Sep 2008) (United Kingdom)
This paper given at PRES 2008 (British Library Conference Centre, 29-30 Sept 2008) describes a risk based assessment of the British Library's (BL) handheld media (CDROM, DVD, Tape etc.) by the Digital Preservation Team. The aim of this exercise was to assess the condition of the BL digital collections, identify strategies to mitigate those risks, and to recommend and plan actions to be taken. The paper also considers the organisational impact of using a risk based approach.
http://www.bl.uk/ipres2008/presentations_day1/20_McLeod.pdf
Risk Carriers - The Risk Faced by Handheld Media
McLeod, Rory (Date Created: 01 Jul 2008) (United Kingdom)
This paper discusses risks related to physical carriers and risk assessment and approaches to dealing with the problems at the British Library by the Digital Preservation Team.
http://archive.ifla.org/IV/ifla74/papers/084-McLeod-en.pdf
World Library and Information Congress: 74th IFLA General Conference and Council, Quebec, 10-14 Aug 2008
Historical Risk Communication Tool
ERPANET (Electronic Resources Preservation and Access Network) (Date Created: Sep 2003)
This brief paper is an introduction to the concepts and principles of risk mangement within the context of digital preservation. It provides an overview to help identify which digital resources are at risk in an organisation and to identify, categorise and prioritise the associated risks, to enable communication about risk areas and to stimulate risk management strategy development. It includes an example of a matrix for risk evaluation.
http://www.erpanet.org/guidance/docs/ERPANETRiskTool.pdf
Safekept
Historical Risk Management for Web Resources : a Case Study on Southeast Asian Web Sites
Botticelli, Peter In: RLG DigiNews (Date Created: 15 Feb 2003)
This contribution to Project Prism is a case study of 54 web sites of political and non-profit organisations in Southeast Asia. The sites were selected for their value as candidates for long term preservation. One year was spent identifying and studying risk management issues. The article discusses the problems encountered in monitoring the web sites, how the sites were monitored and the danger signs indicating content loss.
http://worldcat.org/arcviewer/1/OCC/2007/08/08/0000070511/viewer/file5
81.html#feature2
Risk Management Foundations for Digital Libraries: DRAMBORA (Digital Repository Audit Method Based on Risk Assessment)
Innocenti, Perla; McHugh, Andrew; Ross, Seamus; Ruusalepp, Raivo (Date Created: 20 Sep 2007)
This paper proposes the use of the DRAMBORA audit toolkit to ensure the digital preservation capabilities of digital libraries. The paper describes the development of the toolkit and considers its potential use in the context of digital libraries.
http://www.delos.info/index.php?option=com_content&task=view&id=597&It
emid=328#programOK
Risk Management Infokit
oint Information Systems Committee (JISC) (United Kingdom)
JISC infoNet has developed a risk management framework tailored to the needs of the education sector which, whilst primarily aimed at projects, can be adapted for any institutional need. infoKits are core resources, covering key frameworks and topics relating to planning and implementing information systems. These are complemented by applied infoKits which use the generic frameworks and apply them to specific types of implementation.
http://www.jiscinfonet.ac.uk/InfoKits/risk-management
Safekept
Historical Risk Management of Digital Information : A File Format Investigation
Arms, Caroline R. In: RLG DigiNews (Date Created: 15 Jun 2000) (United States of America)
This article is a review of the CLIR sponsored Cornell University Library study of the same name. The study concentrated on migration as a digital preservation strategy. There were seen to be three different categories of risk related to the infrastructure, file format and conversion process. Different methods and tools were applied to assess risk included workbooks, reader software and test migrations. It was found that risk could be quantified and access to the original file format specifications was crucial to evaluating risks.
http://worldcat.org/arcviewer/1/OCC/2007/08/08/0000070513/viewer/file1
579.html#technical1
Security of Digital Collections: The BnF Distributed Archiving & Preservation System (SPAR) Operating Safety & Reliability
Chilloh, Adoté (Date Created: Aug 2008) (France)
This article describes operating safety, reliability and risk management applied to SPAR, the distributed archiving and preservation system developed at the Bibliothèque nationale de France (BnF).
http://archive.ifla.org/VI/4/news/ipnn45.pdf
International Preservation News No. 45 August 2008 pp 21-24
Significance of Storage in the ‘Cost of Risk’ of Digital Preservation
Addis, Matthew; Miller, Ant; Wright, Richard (Date Created: 29 Sep 2008)
This paper given at iPRES 2008 (British Library Conference Centre, 29-30 Sept. 2008) discusses the significance of storage, costs and risks of digital storage systems for preserving audiovisual material. It looks at cost and cost-of risk modelling, minimisation of risk and cost of risk and mitigation of loss. It argues that not compressing the data is best for mitigation of loss and reduction of the cost of risk.
http://www.bl.uk/ipres2008/presentations_day1/21_Wright.pdf
Safekept
Historical Virtual Remote Control : Building a Preservation Risk Management Toolbox for Web Resources
Buckley, Ellie; Entlich, Richard; Kehoe, William R.; Kenney, Anne R.; McGovern, Nancy Y. In: D-Lib magazine (Date Created: Apr 2004) (United States of America)
Importance of Internet archiving was brought to public attention after material archived by the Wayback Machine was accepted in the US court. Cultural institutions face legal as well as technical challenges when they attempt to archive the Internet and much of the content is therefore lost. Cornell University Library's Virtual Remote Control (VRC) initiative differs from most web archiving projects by its emphasis on monitoring websites over time, with capture being used only as a last resort. The process is envisaged to be fully automated in the future via a Toolbox software that is being developed, but at present considerable human input is necessary.
http://www.dlib.org/dlib/april04/mcgovern/04mcgovern.html
New What Small Projects Producing Digital Resources Need to Know About Digital Preservation
Dobreva, Milena; Ikonomov, Nikola (Date Created: 11 Jun 2009)
This paper given at ELPUB 2009 (10-12 June 2009, Milan Italy) consider case studies of three projects (TEXTE, KT-DigiCult-Bg and the Parallel Archive) producing digital resources including: stand alone resources; material for ingest into a larger repository; and highly dynamic content. The digital preservation risks for each project are analysed and recommendations made.
http://conferences.aepic.it/index.php/elpub/elpub2009/paper/view/163/6
8
Your Data at Risk : Why You Should be Worried About Preserving Electronic Records
National Council on Archives (Date Created: Sep 2005) (United Kingdom)
This document was launched at the Society of Archivists Conference 2005 in Norwich. It explains the main issues concerning digital preservation and its urgency, and suggests strategies to help establish a digital preservation capability. It also lists sources of further help and assistance. The document is aimed at managers and administrators.
http://www.ncaonline.org.uk/materials/yourdataatrisk.pdf

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Books

Safekept
Historical Risk Management of Digital Information : A File Format Investigation
Gregory W. Lawrence, William R. Kehoe, Oya Y. Reiger, William H. Walters and Kenney R. Anne (Date Created: Jun 2000) (United States of America) Reviewed by: Risk Management of Digital Information : A File Format Investigation
This report is based on investigations by Cornell University Library with support from CLIR on the identification of risks to digital file formats during migration. A work book for risk assessment was developed, identifying risk categories, measuring risk using worksheets, matrixes and evaluation of conversion comparison software. Two migration case studies are also discussed: one for image files and one for numeric files.
ISBN: 1-887334-78-5
http://www.clir.org/pubs/abstract/pub93abst.html
Available on CLIR's website or paper copy for US $20.00

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Events

Building Trust in Digital Repositories Using the DRAMBORA Toolkit
27 Apr 2007 , British Library, London
Digital Curation Centre
(United Kingdom)
This tutorial sponsored by the Digital Curation Centre provided an overview of the need for an evidence-based evaluation of digital repositories and a demonstration of the use of the DRAMBORA toolkit to design, develop, evaluate, and refine new or existing trusted digital repository systems and workflows.
http://www.dcc.ac.uk/events/drambora-london-2007/
Presentation slides available from web site.
Data-intensive Research and Analysis, Preservation Environments and the Data Grid : Tutorial
30 Sep 2005 , Baume Theatre (Room 213). Ground Floor, Peter Baume Building, The Australian National University, Canberra (Australia)
This one day tutorial given by Reagan Moore was preceded by a public lecture Data Intensive Research- Challenges and issues for which the overheads are available.
http://www.apsr.edu.au/events/Data_intensive_research_and_analysis.htm
DPE, PLANETS and CASPAR Third Annual Conference : Costs, Benefits and Motivations for Digital Preservation
29 - 30 Oct 2008 , Nice, France
WePreserve
(France)
The third annual conference from DigitalPreservationEurope (DPE), Preservation and Long-term Access through Networked Services (Planets), Cultural, Artistic and Scientific knowledge for Preservation, Access and Retrieval (CASPAR), the main preservation projects co-funded by the European Commission, had as its theme Costs, Benefits and Motivations for Digital Preservation. It provided practical demonstrations of preservation solutions that can be implemented today. Presentations available from the programme link.
http://www.wepreserve.eu/events/nice-2008/

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Organisations and Websites

DRAMBORA Interactive : Digital Repository Audit Method Based on Risk Assessment
Digital Curation Centre; DigitalPreservationEurope (Regularly Updated)
This website describes the DRAMBORA toolkit and allows download of the toolkit which was released by the Digital Curation Centre and DigitalPreservationEurope. The toolkit allows repository administrators to self assess their capabilities, identify weaknesses and strengths based on risk assessments. A flyer is available for download in JPEG or PDF formats.
http://www.repositoryaudit.eu/
Safekept
Historical Virtual Remote Control
Cornell University (United States of America)
Virtual Remote Control (VRC) was a research initiative to develop a risk management approach to providing access to Web resources over time, including setting up a model, framework as well as identifying tools that can help institutions deal with the web material. VRC model can include the capturing of web sites, but that is not its essential component, since organisations using it may wish only to monitor web sites due to possible legal technical and other limitations. Site includes evaluations of available web tools. VRC emerged from Cornell University's participation in Project Prism.
http://irisresearch.library.cornell.edu/VRC/index.html

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Policies, Strategies & Guidelines

Digital Continuity : An Introduction to the Wider Context : Draft for Public Consultation March 2009
The National Archives (UK) (Date Created: Mar 2009) (United Kingdom)
This guidance document (11 p.,155.4 kb) has been issued by The National Archives (UK) Digital Continuity Project to raise awareness in government agencies of the issue of digital continuity in managing information risk.
http://www.nationalarchives.gov.uk/documents/an-introduction-to-the-wi
der-context.pdf

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Projects and Case Studies

KB e-Depot Digital Archiving Policy
Oltmans, Erik; van Wijngaarden, Hilde (Date Created: 2006) (Netherlands)
This paper discusses the Koninklijke Bibliotheek's policy and ambitions for digital archiving of electronic publications. It provides an overview of the KB's e-depot repository and the requirement and potential for collaboration.
http://www.emeraldinsight.com/10.1108/07378830610715464
Also available in PDF and from Library Hi Tech ISSN 0737-8831 ; Volume: 24 Issue: 4; 2006 pp. 604-613
Safekept
Historical Risk Management of Digital Information : A File Format Investigation
Gregory W. Lawrence, William R. Kehoe, Oya Y. Reiger, William H. Walters and Kenney R. Anne (Date Created: Jun 2000) (United States of America) Reviewed by: Risk Management of Digital Information : A File Format Investigation
This report is based on investigations by Cornell University Library with support from CLIR on the identification of risks to digital file formats during migration. A work book for risk assessment was developed, identifying risk categories, measuring risk using worksheets, matrixes and evaluation of conversion comparison software. Two migration case studies are also discussed: one for image files and one for numeric files.
ISBN: 1-887334-78-5
http://www.clir.org/pubs/abstract/pub93abst.html
Available on CLIR's website or paper copy for US $20.00
New What Small Projects Producing Digital Resources Need to Know About Digital Preservation
Dobreva, Milena; Ikonomov, Nikola (Date Created: 11 Jun 2009)
This paper given at ELPUB 2009 (10-12 June 2009, Milan Italy) consider case studies of three projects (TEXTE, KT-DigiCult-Bg and the Parallel Archive) producing digital resources including: stand alone resources; material for ingest into a larger repository; and highly dynamic content. The digital preservation risks for each project are analysed and recommendations made.
http://conferences.aepic.it/index.php/elpub/elpub2009/paper/view/163/6
8

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Bibliographies

Espida Bibliography
Espida (Last Updated: Jan 2007) (United Kingdom)
This bibliography was produced as part of the Espida (An Effective Strategic Model for the Preservation and Disposal of Institutional Assets) project. It has sections on cultural heritage & digital preservation, Economics, Knowledge management, risk, strategic & business management and value. The ESPIDA project was completed in January 2007.
http://www.gla.ac.uk/espida/documents/espida_bibliography.pdf
Historical Risk Management Resources
Kenney, Anne R.; McGovern, Nancy Y. (Last Updated: May 2002)
Part of Cornell University's Virtual Remote Control toolbox, this bibliography includes publications and websites containing information ranging from risk management generally to specific information on risk management for digital projects and resources.
http://irisresearch.library.cornell.edu/VRC/riskresources.html

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Tools

DRAMBORA Interactive : Digital Repository Audit Method Based on Risk Assessment
Digital Curation Centre; DigitalPreservationEurope (Regularly Updated)
This website describes the DRAMBORA toolkit and allows download of the toolkit which was released by the Digital Curation Centre and DigitalPreservationEurope. The toolkit allows repository administrators to self assess their capabilities, identify weaknesses and strengths based on risk assessments. A flyer is available for download in JPEG or PDF formats.
http://www.repositoryaudit.eu/

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Related Topics: Digital preservation policies

Broader Topic: Management

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