Chain of Preservation (COP) Model
For the complete model in PDF, including definitions, download the file here.
Consultation Draft, August 2007
Introduction: This model of the activities conducted during the management of records throughout their “lifecycle” integrates three pre-existing models: the model, produced by the UBC Project during 1994-97, of the activities in managing current records and the two models of the functions of selection and preservation of electronic records produced during the first phase of the InterPARES Project, 1998-2001.
Scope and Perspective: Although the Chain of Preservation (COP) model is based on the perspective of the entity responsible for long-term preservation of digital records, it indicates and shows the relationship among the activities of records creators and records preservers. Consequently, the COP model has within its scope all the phases or stages in the life of digital records, from the time they are generated, through their maintenance by their creator, and during their appraisal, disposition and long-term preservation as authentic memorials of the actions and matters of which they are a part. In particular, the model identifies all the activities and important, specific actions that must be undertaken to ensure that digital records are properly generated in the first instance, maintain their integrity over time, and can be reproduced at any time throughout their existence. As well, it characterizes the data and information that must be gathered, stored and utilized during the various processes of management throughout the lifecycle. The COP model also identifies the constraints or controls on the various activities and actions it characterizes.
Purpose: Please note that this version of the COP model should be considered a consultation draft. While it has been discussed within the InterPARES Project, further discussion from other viewpoints and with other experts is still required so that it can benefit from such dialogue and evolve to a more refined stage. In particular, further work is needed on the definitions, the description of the diagrams and the validation of the model. The current version has, however, been sufficiently developed to provide insight into the approach taken and an understanding of the underlying concepts. It is based on experience and as such on a logical construction of existing knowledge. It is now offered as an instrument for feedback on which people are encouraged to comment .
As is now generally acknowledged, digital preservation is, fundamentally, a distributed process involving various (and variously interested) stakeholders, each of whom becomes involved with the records at particular stages of their lifecycle. Thus, it is imperative that records creators and preservers develop strategies for instituting and sustaining more active and integrated records management relationships that take into account authenticity concerns throughout the entire chain of custody, from creation through preservation. To this end, the COP model, in combination with other products of the Project, especially the Policy Framework, highlights the need to make explicit the nature of such relationships and identifies the key activities that will help promote and sustain them. Initially, the COP model served as a research tool during the various phases of the analysis of InterPARES 2 Project case studies, recordkeeping metadata and policy issues. That research is now complete. At this point, the COP model is being promoted as an audit tool for helping creators and preservers identify and isolate the key deficiencies in their current records management frameworks, especially with respect to irreconcilable or conflicting records creation, management and preservation activities in relation to the full records lifecycle, so that the necessary steps can be taken by both records creators and preservers to better harmonize their activities in support of the long-term preservation of authentic digital records.
Methodology: The COP model was created using IDEFØ (Integrated Definition Function Modeling) modeling software. IDEFØ is a U.S. Information Processing Standard, as described in Publication 183 of the National Institute of Standards and Technology. A function model is a structured representation of the functions, activities and processes within the modeled system or subject area. For an introduction to IDEFØ modeling, see “Integrated Definition Function Modeling (IDEFØ): A Primer.” For more detailed information, http://www.idef.com.
Composition: The COP model consists of a series of diagrams depicting all the activities involved in the life-cycle management of digital records together with a glossary of all the terms appearing on the diagrams. To understand the model in this form, interested parties should consult the accompanying narrative as well as carefully read the glossary definitions of terms used on the diagrams.
Acknowledgements: Many InterPARES researchers contributed to this model. It was produced from January 2004 to November 2005 under the direction of Terry Eastwood, who wishes to acknowledge the vital assistance of three research assistants on this task: Bart Ballaux, Rachel Mills and Randy Preston.