Ensuring the Preservation and Use of Electronic Records
Shigeo Sugimoto, Professor
Research Center for Knowledge Communities
Graduate School of Library, Information and Media Studies,
University of Tsukuba

1. Introduction
At present, almost all document creation is done electronically, with word
processor functions, etc. While many documents are printed on paper for thepurpose of distribution and publication, many are also distributed electronically,
via e-mail and the Internet. In many cases, e-mails and web documents are printedon paper only for the purpose of reading; these hard copies are discarded after
reading and the documents are preserved on electronic media. I take this as anindication of the spread of electronic documents and paperless arrangements,
which does not mean less consumption of paper but less reliance on paper as amedia to record information. At the same time, however, we face the prospect of
eventually not being able to read electronic documents created in the past.
There is a well-known awareness that the preservation of electronic documents,
and particularly those that were originally created, distributed, and utilized
electronically, is a major issue for contemporary society, with its expanding
amount of network information. It is also well known that this issue will be adifficult one to resolve completely. The main reason for this difficulty is the gap
between the length of time for which preservation is required and the service lifeof the hardware and software required for use of electronic documents. In addition,
there are difficulties differing from those of paper documents in the aspect ofcollection of documents for preservation.
Over the last few years, I have had opportunities to attend committees and groups
to discuss and study preservation of digital resources - a committee consideringcollection of network publications in the Legal Deposit System Council of theNational Diet Library, a committee researching the ideal of the management,transfer, and preservation of governmental records using electronic media in theCabinet Office, and other venues for discussion on preservation of electronic
documents. I was also given opportunities for involvement with long-termpreservation of electronic materials in the context of research regarding digital

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libraries and metadata. In this paper, I would like to set forth mainly my own
understanding of the issues obtained through these activities. I must preface myaccount with a disclaimer to the effect that my observations are based more on myown cogitation than on solidly established facts.

2. Digital archive
The term "digital archive" is often used these days. In some cases, it is used inreference to the digitization and accumulation of real-world articles, e.g., thedigitization and provision of cultural legacy. In others, it refers to the collection
and accumulation of various electronic documents. In the former case, thedigitization activities are not confined to books and manuscripts, but extend tohistorical sites themselves and intangible cultural properties such as performing
arts and crafts as well as the artifacts of both art and natural science museums.(1)As this suggests, digital archive has various objectives. In this paper, I shall deal
mainly with the collection, accumulation, and long-term preservation of digital
resources, including those created by the digitization of original materials andthose originally created in digital form.
There are also several types of electronic document archives. This list includes
web archives devoted to the collection and accumulation of documents disclosed
on the Internet, archives for the long-term preservation of electronic documents
collected by libraries and equivalent institutions, and archives for the preservationof documents created by certain organizations in accordance with their rules, e.g.,
governmental records and company records. Similarly, the term "electronicdocuments" encompasses everything from simple documents composed of plain
texts and charts created with word-processing and spreadsheet software tocomplex documents with hyperlinks, motion pictures and/or three-dimensional
images. Electronic documents are also divided into two general categories: thosecontained on compact disks or other packages and used in that form (packageddocuments) and those accumulated on servers and used in electronic networks(network documents). In this paper, I have decided not to take up the subject ofpreserving packages per se, but to view issues from the standpoint of preserving
contents, and therefore shall not make any particular distinction between the two.
Digital archives connected to networks enable us to use various documents andmaterials at any time and place. Unlike paper and concrete materials, digital ones
require hardware and software for their use. To keep the accumulated contents in a
Sugimoto 2usable condition over the long term consequently requires preservation not only ofthe materials themselves but also of the hardware and software for their use. Amid
the fast-paced advances in the related technology, preservation encompassing
hardware and software is no easy task. These circumstances are making it hard toachieve long-term preservation of electronic materials, and particularly"born-digital" ones created digitally from the start and premised on use in anelectronic environment.

3. Components for construction of digital archives
In this section I would like to view digital archives from the perspectives ofcollection, accumulation and preservation, and organization and use.
3.1 Collection
The basic construction methods for digital archives can be classified as follows.
・ Collection of materials through electronic networks¾ Collection of materials publicly available on the Internet and othernetworks
There are two methods: selective collection based on contents andcomprehensive collection in a designated scope.
¾ Collection of materials reflecting the policy of the materials provider(e.g., organization-specific collection)
・ Collection of electronic files offline (collection of packages)
・ Collection by digitization of (real-world) objects
Collection of materials on networks is generally done automatically, using asoftware robot collecting network resources. The Uniform Resource Identifier(URI) is ordinarily used to identify materials in such collection. Because many
network materials are updated, robots repeatedly collect from the same URL insuch cases. Generally speaking, the updating and collection are not synchronous.
As a result, we must construct schemes adapted to the purpose at hand in the caseof collection of all contents in each updating. Even some materials available forpublic access on the Internet may include materials that do not accept access bycollection robots or stored in databases that cannot cope with automatic collection.
On the other hand, if the material provider and the archives cooperate in materialcollection, it would be possible to collect materials in accordance with a policy
determined by both in advance. In addition, to heighten the credibility of theSugimoto 3

archives themselves, we must also consider issues such as deposition of collectedmaterials at other archives and adaptation to changes in the organization owning
the archives.

3.2 Accumulation and preservation
The objectives of electronic document preservation cannot be attained merely byproper accumulation and preservation of the digital data contained in the form ofbit string. For this reason, archives must accumulate and preserve the information
required for use of the data along with the documents. The Open Archival
Information System (OAIS) describes an archival reference model. Besides theoriginal data, the system contains information needed for their reproduction, andpreserves them in the form of a package also containing information required forpreservation.
Regardless of the type of digital material, we cannot expect preservation to beperfect. Even if archives precisely retain information required for reproduction
and preservation, they will not be able to reproduce the materials if the hardware
and software required for reproduction go out of existence. Furthermore, in thecase of materials including hyperlinks to external materials, it would not be easy
to keep the link in effect. Problems of this nature may readily be imagined fromelectronic documents in our midst today, such as text created by word processor.
Therefore, preservation of materials must be preceded by studies to determine thepermissible degree of loss of the functions possessed by the originals.

3.3 Organization and use
Although they do not necessarily enable long-term preservation, metadata areindispensable for it. Metadata description elements have been proposed forpreservation based on the aforementioned OAIS. In addition, standards have been
established for metadata directed to archives for electronic materials, asexemplified by Encoded Archival Description (EAD) and Metadata Encoding andTransmission Standard (METS). Preservation Metadata Implementation Strategy(PREMIS) is a new metadata standard for digital preservation. Thus, the library
and archives community have made significant efforts to develop metadata
standards to archive and preserve digital resources.
In general, preservation of electronic materials requires description of not only theSugimoto 4

contents of the subject materials but also their form, the environment required fortheir preservation, their preservation history, and other matters. Metadata
descriptions required for preservation are apt to be complicated. This creates aneed to curtail costs entailed by them. While descriptions of file types and othersuch items can be automated in certain respects, it would be preferable to attach
metadata at the stage of creation of the materials if possible, in order to hold down
the cost of description of their contents.
Another key consideration is measures to heighten the utility of the materials
preserved, by means of functions for search of materials and navigation within thearchives. Such functions would depend on the nature and objective of the archives.
The basic requisite ones would probably be a capability for searching based on thedescription of the content of materials digitized as image data and navigation
resting on key words excerpted from the materials, for example. Archives would
also have to enhance their utility for various types of users, including children andstudents on all levels, adult members of the general public, and experts. This
would demand special displays on the Web profiling the archive materials withreference to some specific themes, and explanations, etc. telling prospective users
about the archive contents and method of use. Another task that must not be
overlooked will be assurance of archive accessibility to all regardless ofdisabilities.
As archives evolve, a capability for inter-archives access will presumably assume
increasing importance. Because archives vary in respect of character, this points toa need for functions enabling access to and search of a wide range of archives
while making the most of the features of each.
To endow archives with such additional value will require studies to determine
methodology for archival organization that has arrangements for both sharing anddistinguishing, with reflection of the unique personality of each one.

4. Electronic preservation of governmental records
In this section, I would like to outline what I have learned through the discussions
in the aforementioned committee studying the ideal of the management, transfer,and preservation of governmental records by electronic media in the Cabinet
Office and my research visits to the National Archives of Australia and others.
Many of these observations may appear to be only natural on reflection, but I shallrelate them here because they have stayed in my mind.
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(1) Digital archives for libraries and digital archives for the National Archives
Libraries, museums, and the National Archives began to take approaches to digitalarchives at an early stage in the explosive spread of the Internet in the 1990s. The
aim is to make precious information resources available to anyone at any time andplace, through electronic networks.
The words "digital archives for a library" immediately conjure up the image of an
accumulation of digitized historical records and precious materials. The Archives,too, are taking analogous approaches to digital archives of historical and preciousmaterials. I do not see any substantial difference between the two in this respect.
Both are also attempting to build archives for materials that were born digital. For
this reason, they share various difficulties. The gaps between them instead surface
as a difference of nature. For example, whereas libraries essentially collectpublished documents (materials in the public domain), Archives collectdocuments created in the process of work. This leads to differences in respect ofthe precision required in collection, scope of collection, and relationship between
the document author and the archives. In spite of their mutually different
personalities, however, the two have much in common, and it goes without sayingthat they must engage in the sharing of knowledge and technology supporting
their digital archives and cooperate in provision of services.

(2) Electronic documents - definition, identification/discrimination, and othermatters
The prospect of preserving materials that were born digital raises the question of
how to define electronic documents as the subjects of preservation. Electronic
documents have key attributes in their dynamic properties, i.e., their amenability
to alteration of the form of display in correspondence with the user and use
environment, production of a single document by dynamic combination ofcomponents contained in data bases, and possession of hyperlinks. This suggests aneed for redefinition of the mass of documents that are the subjects ofpreservation. We must decide, for example, whether the forms displayed on
specified browsers should be considered documents, or to confine usage of theterm to those documents accumulated on servers. At present, it would presumably
be appropriate to regard word-processed text, the output of spreadsheet software,and other works reflecting the conventional image of printed matter as documents.
Further in the future, however, I suspect we will need to build a shared

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understanding on the nature of the electronic documents to be preserved. This, inturn, will require a lot of experience and a good understanding of the rapidly
evolving technology.

(3) Life cycle of governmental records and foundation of document distribution
Preservation of governmental records must be positioned in the context of theoverall document life cycle beginning with creation and ending with discarding
after retention. At the stage of creation, the attachment of a certain level of
metadata for document distribution and retrieval (search) could be expected tolower the costs of metadata creation at the preservation stage. Determination of
uniform metadata rules for retrieval of governmental records and establishment ofstandards for classification would make the preservation of electronic documents
more efficient.
The desirable form of document at the active stage and that at the preservation
stage are not necessarily consistent. It is sometimes necessary to remove somefunctions of active records in order to put them into a form adapted topreservation. It follows that we need a shared understanding on the document
contents that must be preserved. To this end, it would be preferable to have aconsistent, integrated management of electronic documents anticipating theenvironment of their distribution and use, and their entire life cycle. In otherwords, there must be cooperation between the side creating documents and thatpreserving them. Document management, however, must not present obstacles tothe incorporation of new electronic document technology arising along withtechnical advances.

(4) From the survey visit to the National Archives of Australia - giving it a tryIn October 2005, I visited the National Archives of Australia to conduct a survey
on its electronic preservation of governmental records. I would like to outline
some of what I learned from this visit.
In its services, documents are sent to the Archives in packages instead of throughelectronic networks, and are accumulated on a server after a certain period of time
to check for viral contamination. The server is located in a site with full security
measures, in a network environment. I found this consideration for the practicalend quite interesting. In addition, for long-term preservation, they are developing

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the tool XENA for document preservation based on XML. Although it cannot
cope with all types of document at present, it is characterized by an ability toaccommodate document formats in widespread use, assurance of extensibility, andintegrated accumulation of metadata and documents. The Archives is also engaged
in development through open sources, and is looking to cooperation with otherorganizations. Such efforts are the best that can be taken right now.
I was deeply impressed with the stance of the Archives, which asserted that it was
only natural to preserve governmental records electronically as they were alreadybeing created and used electronically. Similarly, while it was easy to imagine theemergence of all sorts of problems with preservation of electronic documents
given their nature, the Archives took the position that difficult problems were noreason for inaction, and was determined to work on them, one at a time.
At a relatively early date, Australia established the Australian Government
Locator Service (AGLS), a classification vocabulary for organization of
governmental records, and embarked on promotion of metadata attachment at thestage of document creation based on AGLS. It strikes me that these efforts arebeing linked to the efficient distribution, accumulation, and preservation ofgovernmental records.

5. Conclusion
The preservation of electronic materials is one of the important and difficult tasksof digital libraries. The National Diet Library, for example, has been conducting
investigative research on the long-term preservation of electronic materials.(2) The
results of the discussions in the aforementioned study group on electronicmanagement, transfer, and preservation of governmental records instituted infiscal 2005 in the Cabinet Office are presented in the report submitted by thecommittee on proper management of governmental records including preservation
and use.(3)Archives receive documents from various government offices and agencies. Whilethey basically have had to take measures for preservation of only paper materials
thus far, preservation of electronic materials will presumably compel them tohandle an extremely great variety of documents. Resolution of the related
problems will demand efforts on their part, but the Archives will not be able tosolve all of them on their own. There is a need for cooperation over a larger scale.
I should also note that it will not do to abandon the idea of electronic preservation

Sugimoto 8just because of the difficulties entailed; all must be willing to take the initiativeand start doing what they can now.
It is becoming the general practice to offer an interface for provision of online
services not only to people but also to computers. Meanwhile, the user pool andthe use environment are becoming more diverse. Circumstances are demanding anadequate provision of information to anyone at any time and place, and in amanner suited to the environment of the user in question. As I see it, collaboration
with various institutions and organizations will be indispensable for achievementof services adapted to this new environment.
I do not have practical experiences in archives and the life cycle management ofgovernmental records, and the opportunity to participate in the aforementioned
Cabinet Office study committee was indeed a golden one for me in myexaminations on electronic preservation of such records. In closing, I would liketo express my deep appreciation to all concerned members of that committee, towhom I feel much indebted.

References(1) "Cultural Heritage Online," http://bunka.nii.ac.jp/ (in Japanese, accessedSeptember 2007).
(2) National Diet Library, "Long-term Preservation and Use of Digital
Information," report and website at:
http://www.ndl.go.jp/jp/aboutus/preservation.html(In Japanese, accessed September 2007).
(3) Committee on proper management, preservation, and use of governmental
records (Cabinet Office), "Report on centralized management in theintermediate stage and on management, transfer, and preservation by means ofelectronic media," 2006, p32.
http://www8.cao.go.jp/chosei/koubun/kondankai14/houkoku.pdf(In Japanese, accessed September 2007).

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