Bibliography & Notes for
Universal Preservation Format

last revised: April 6, 1999
compiled by Thom Shepard


Online Publications

Douglas Armati, "Tools and standards for protection, control and presentation of data," 1996, ICSU Press.
URL: http://associnst.ox.ac.uk/~icsuinfo/armati.htm

David Bearman, "Archiving and Authenticity," The Getty Art History Information Program: Research Agenda for Networked Cultural Heritage, 1995.
URL: http://www.ahip.getty.edu/giinew/ranch/archiving/archiving1.html

David Bearman and Ken Sochats, "Metadata Requirements for Evidence" from Metadata Specifications Derived from the Functional Requirements: A Reference Model for Business Acceptable Communications, 1995.
URL: http://www.sis.pitt.edu/~nhprc/BACartic.html

Stephen Chapman and Anne R. Kenney, "Digital Conversion of Research Library Materials," D-Lib Magazine, October 1996.
URL: http://www.dlib.org/dlib/october96/cornell/10chapman.html

Paul Conway, "Preservation in the Digital World," January, 1998.
URL: http://www.clir.org/cpa/reports/conway2/

Michael Day, "Extending metadata for digital preservation," Ariadne: the Web Version, May 19 1997 issue 9.
URL: http://www.ariadne.ac.uk/issue9/metadata/

Digital Library Federation Planning Task Force, "Final Report to the DLF Policy Board for discussion and planning purposes," June1996.
URL: http://lcweb.loc.gov/loc/ndlf/plntfrep.html

European Commission on Preservation and Access, "Digitization as a means of preservation?" October, 1997.
URL: http://www.clir.org/pubs/

Maggie Exon, "Strategies for Long-Term Preservation," 1995
http://www.nla.gov.au/archive/npo/conf/npo95me.html

Mike Folk, "HDF as an Archive Format," (A part of the ISO Archiving Workshop Series), 1998
http://ssdoo.gsfc.nasa.gov/nost/isoas/dads/DADS16.html

Peter Graham, "Intellectual Preservation: Electronic Preservation of the Third Kind," 1994.
URL: http://sul-server-2.stanford.edu/byauth/graham/intpres/

Brian Green and Mark Bide, "Unique Identifiers: a brief introduction,"
URL: http://www.bic.org.uk/bic/uniquid

Margaret Hedstrom, "Digital Preservation: A Time Bomb for Digital Libraries," 1995
URL: http://www.uky.edu/~kiernan/DL/hedstrom.html

Alan Heminger and Steven Robertson, "The Rosetta Stone Model," 1998, based on thesis.
URL: http://www.airuniv.edu/au/database/research/ay1996/afit_la/rober_sb.htm

Anne R. Kenney, "Conversion of traditional data formats into digital media," The Getty Art History Information Program: Research Agenda for Cultural Heritage on Information Needs, 1995.
URL: http://www.ahip.getty.edu/giinew/ranch/conversion/conversion1.html

Carl Lagoze, "The Warwick Framework: a container architecture for diverse sets of metadata," D-Lib Magazine, July/August 1996,
URL: http://www.dlib.org/dlib/july96/lagoze/07lagoze.html

Carl Lagoze, Clifford Lynch, and Ron Daniel Jr. "The Warwick Framework:A Container Architecture for Aggregating Sets of Metadata," TR96-1593, June 21, 1996.
URL: http://www.ifla.org/documents/libraries/cataloging/metadata/tr961593.pdf

Bruce C. Lamartine, Roger A. Stutz, "Durable High-Density Data Storage,"
URL: http://esdis.gsfc.nasa.gov/msst/conf1996/B2_3Stutz.html

Dave MacCarn,"Toward a Universal Data Format for the Preservation Of Media."
URL: SMPTE_UPF_paper.html

MIL-STD-1840C, "Automated Interchange of Technical Information," June 26, 1997
URL: http://www-cals.itsi.disa.mil/core/formal/1840.htm

Simon Pockley, "Killing the duck to keep the quack," April 2, 1997.
URL: http://www.cinemedia.net/FOD/FOD0055.html

Research Library Group (RGL)Working Group on Preservation Issues of Metadata, Final Report, May, 1998 http://www.rlg.org/preserv/presmeta.html

Don Sawyer and Lou Reich, "Reference Model for an Open Archival Information System," White Book, Issue 4 (CCSDS 650.0-W-4.0), September 17, 1998
URL: http://ssdoo.gsfc.nasa.gov/nost/isoas/ref_model.html

Thom Shepard, "Universal Preservation Format Update" D-Lib Magazine, November 1997.
URL: http://www.dlib.org/dlib/november97/11contents.html

Society of American Archivists, "Statement on the Preservation of Digitized Reproductions,"
URL: http://www.archivists.org/governance/resolutions/digitize.html

Task Force on Archiving of Digital Information (Research Library Group & Commission on Preservation and Access), "Preserving Digital Information," May 1, 1996.
URL: http://www.rlg.org/ArchTF/

Donald Waters, "Archiving Digital Information: A presentation to the OCLC Research Library Directors' Conference, Dublin, Ohio, March 12, 1996."
URL: http://pantheon.cis.yale.edu/~dwaters/rlactalk.html

Donald Waters, "What are Digital Libraries?"
CLIR Issues, No. 4, July/August 1998
URL: http://www.clir.org/pubs/issues/issues04.html

Stuart Weibel and Juha Hakela, "DC-5: the Helsinki Metadata Workshop: a report on the workshop and subsequent developments: official report of the Helsinki DC Meeting." D-Lib Magazine, February 1998,
URL: http://www.dlib.org/dlib/february98/02weibel.html

Brian K. Zuzga, "Tape Archiving Using the Time Capsule File System"
URL: http://www-swiss.ai.mit.edu/~boogles/papers/tcfs-thesis/thesis.html

Print Publications

Andrew H. Bartlett, Homi Fatemi, and Marc H. Eberle, "Ultra high density data storage using charged particle technology," Data Storage Magazine, 1997.

Commission on Preservation and Access, "Magnetic tape storage and handling: a guide for libraries and archives," National Media Lab, June 1995.

Terry Cook, "It's 10 o'clock: do you know where your data are?" Technology Review, January 1995 v98 n1 p48(6).

Paul Conway, "Selecting microfilm for digital preservation: a case study from Project Open Book," Library Resources and Technical Services, January 1997 v40 n p67-83.

Samuel Demas and Jennie L. Brogdon, "Determining copyright status for preservation and access: defining reasonable effort," Library Resources and Technical Services, October 1997 v41 n4 p323-333.

Richard M. Dougherty, "Getting a Grip on Change," American Libraries, August 1997 p140-145.

Engineering Committee Report, "SMPTE Header/Descriptor Task Force: Final Report," SMPTE Journal, June 1992, p411-429.

Michael Ester, "Digital image collections: issues and practice," Commission on Preservation and Access, December 1996.

Samuel C. Florman, "From here to eternity," Technology Review, April 1997 v100 n3 p63(1).

Peter S. Graham, "Requirements for the Digital Research Library," College and University Research Libraries, July 1995 v56, No. 4: 331-39.

Margaret Hedstrom, "Electronic records research: what have archivists learned from mistakes of the past?" Archives and Museum Informatics, 1996 v10 n4 p313-325.

Jurgen Heitmann, "User requirements and technologies for automated storage and retrieval," SMPTE Journal, February 1998 p100-104.

Alan Howell, "Digital imaging technology for preservation and access: a Cornell University library workshop," LASIE, March 1996 v27 n1 p26-38.

Katharina Klemperer and Stephen Chapman, "Digital libraries: a selected resource guide," Information Technologies and Libraries, September 1997 v16 n3 p126-131.

Klaus-Dieter Lehman, "Making the transitory permanent: the intellectual heritage in a digitized world of knowledge," Daedalus, Fall 1996 v125 n4 p307(23).

Dave MacCarn, "Toward a universal data format for the preservation of media," SMPTE Journal, July 1997 v106 n7 p477-479.

Deanna B. Marcum, "The preservation of digital information," Journal of Academic Librarianship, November 1996 v22 n6 p451-454.

Cherrie Noble, "Reflecting on our future," Computers in Libraries, February 1998, v18 n2 p50-54.

Norman Paskin, "Information Identifiers," Learned Publishing, April 1997, v10 n2, p135-156.

Jeff Rothenberg, "Ensuring the longevity of digital documents," Scientific American, January 1995, v272 n1 p42-47.

Thom Shepard, "Introduction to the Universal Preservation Format Initiative," Archival Outlook, July/August 1998 p24.

Thom Shepard, "The Universal Preservation Format: Background and Fundamentals," Annotation, March 1998 p7-8.

Thom Shepard, "The Universal Preservation Format: A Standard Toward Preserving Information Integrity," Infinity, the Newsletter of the SAA Preservation Section, Spring/Summer 1998 v14 n1 p4.

Ulla de Stricker, "New information technologies," Computers in Libraries, February 1998 v18 n2 p61-65.

Maria Troy, "Video preservation: a report from the trenches," Afterimage, Sep-Oct 1996 v23 n2 p4(2)



Technical Specifications

Bento Specification, Copyright (c) 1993, Apple Computer, Inc.
Bento Design Overview (HTML)
BentoSpec1_0d5.pdf

Open Media Framework Interchange Specification, Copyright (c) 1995 Avid Technology, Inc.
URL: http://www.omfi.org/

SMPTE/EBU Task Force for Harmonized Standards for the Exchange of Program Material as Bit Streams, Copyright (c) 1998 European Broadcasting Union and the Society of Motion Picture and Television Engineers, Inc.
Final report is available!
URL: http://www.smpte.org/engr/tfhs_out.pdf

QuickTime 3.0 Technology Brief Whitepaper, Copyright (c) 1997 Apple.
URL: http://www.apple.com/quicktime/

Video Metadata Group (VMG): Metadata Dictionary.
URL: http://www-vwg.itsi.disa.mil/vmg/index.html

IronDoc
URL: http://www.obsoft.net/irondoc/

Advanced Streaming Format, January 1998.
URL: http://www.microsoft.com/ast/whitepr/astwp.htm

Advanced Authoring Format, April 1998.
URL: http://www.microsoft.com/aaf/aaf_overview.htm

Object Identification Standards
For printed and electronic music copyright ISMNs are used, while individual recordings of music can be identified using the ISRC coding scheme.
Electronic information can be identified using the naming conventions defined in ISO 9070. Each of the standards listed above is administered by a Registration Authority that keeps master records of the owners of sets of records. Assignment of individual numbers within each set is normally the responsibility of the originating company.

The original version of ANSI/NISO Z39.56-1991 established two levels of coding, a unique code for the identification of a serial title called the Serial Item Identifier and a unique code for individual contributions within a serial - the Serial Contribution Identifier. The standard has recently been significantly revised to make it more suitable for electronic use, including in the EDI and Internet (Uniform Resource Names) environments. The main changes are the introduction of a Code Structure Identifier (CSI) for different uses, a Derivative Part Identifier (DPI) to identify fragments other than articles (e.g. tables of contents, index) and a Media Format Identifier (MFI) to indicate physical format.


Digital Object Identifiers identify any type of digital information. The Digital Object Identifier (DOI) is a system for connecting "potential customers to the current owner of a digital object." Each DOI has two parts: an identifier, composed of a registrant's assigned prefix, and an item ID, which may be any existing object identification scheme, including ISBNs, SICI, BICI and PII identifiers.
DOI was designed to help manage "copyright ownership issues and to promote digital commerce and scholarly research."
http://www.doi.org/


Archiving Standards and Initiatives
AIF (Archiving Interchange Formats)
Recording format of information stored on optical disk.
http://guagua.echo.lu/oii/en/archives.html

EAD (Encoded Archival Description)
Encoding of archival finding aids using Standard Generalized Markup Language (SGML)
Sponsored by Network Development and MARC Standards Office of the Library of Congress (LC) in partnership with the Society of American Archivists. EAD defines "principles and criteria for designing, developing, and maintaining an encoding scheme for archive and library finding aids." Materials described through EAD include textual and electronic documents, visual materials, and sound recordings.
EAD development was initiated by the University of California, Berkeley, Library in 1993.
http://www.loc.gov/ead/ead.html

Reference Model for Business Acceptable Communications
http://www.sis.pitt.edu/%7Enhprc/BACartic.html

Metadata
Functional Requirements for Evidence in Recordkeeping ("The Pittsburg Project")
This research project developed a set of "well-defined recordkeeping functional requirements -- satisfying all the various legal, administrative, and other needs of a particular organization -- which can be used in the design and implementation of electronic information systems."
The project investigated how "organizational policies, culture, and use of information technology standards, systems design, and implementation" affect the functions of recordkeeping. http://http://www.lis.pitt.edu/~nhprc/

TEI (Text Encoding Initiative)
Encoding scheme for complex textual structures, sponsored by the Association for Computers and the Humanities, Association for Computational Linguistics, and the Association for Literary and Linguistic Computing. This initiative attempts to provide a standard set of SGML tag definitions to represent all kinds of electronic information for the humanities. TEI documents include a header which identifies the work and source details, and includes "tag sets" for prose, poetry, drama, speech, dictionaries and terminological databases. Considered in academic communities, both national and international, as the "best way to encode text for research applications."
http://etext.virginia.edu/TEI.html

Dublin Core and releted metadata formats
Description of network resources
The Dublin Core Metadata Element Set represents a simple resource description record. It is intended to provide a foundation for electronic bibliographic description to improve structured access to information on the Internet. It aims to facilitate the description, organisation, discovery, and access of network information resources.
http://purl.oclc.org/metadata/dublin_core/

The subsequent Warwick Framework was designed to provide "a modular solution for combining Dublin Core with other metadata." Under this framework, a Dublin Core package might be one of many packages, including packages for terms and conditions, archiving and preservation, and content ratings.
During 1997 a set of attributes, known as the Canberra Qualifiers, was proposed to further refine the core elements. This data was updated in Dublin Core Qualifiers/Substructure in October 1997. A working group has been set up to identify how Dublin Core attributes can be employed in languges other than English. An Internet draft based on this work was published in February 1997.
http://www.oclc.org/oclc/research/publications/review96/warwick.htm




Notes on Technical Specifications:
The Bento Container
- "Bento is defined by a set of rules for storing multiple objects so that software that understands these rules can find the objects, figure out what kind of objects they are, and use them correctly."
- May contain one or more objects (like a file or chunk of RAM) of any size or complexity, as well as information about these objects.
- Japanese for "lunch box with many compartments"
- Standard format, published by Apple in 1993 as a subset of its OpenDoc specification, defines a format for containers of compound content and an application to get at them.
"Bento Specification," Revision 1.0d5, July 15, 1993.

Open Media Framework (OMF)
Interchange
- Format for the interchange of digital media data among different platforms
- Uses Bento containers.
- Encapsulates all information required to transport digital media, also the rules to combine & present the media.
- Supports existing digital media types and the ability to support future types.
- Includes rules to identify the original sources of the digital media data.

April, 1997: Apple reduced investment in OpenDoc technologies, which include Bento.
- We are moving more of our resources for component technology toward Java-based
technology, which we believe is becoming the industry standard."
- CI Labs, developers of OpenDoc, has been dissolved by its Board of Directors and will transition its key assets to sponsor companies which include Apple, IBM and Just Systems.
- Last release of OpenDoc: Mac OS 8 from "Letter to OpenDoc Developers"
April 11, 1997

Post-Bento Technologies

JavaBeans
- portable, platform-independent component model written in Java
- developed in collaboration with industry leaders:
  * Apple, Borland, IBM, JustSystem, Microsoft, Netscape, Rogue Wave, SunSoft, Symantec et al
- a bridge between proprietary component models
- allows developers to build components to run in
container applications.
http://splash.javasoft.com/beans/faq/faq.general.html

IronDoc
- developed by David McCusker, former Apple engineer in charge of OpenDoc storage and Bento
- "public domain structured storage system for creating object networks of multimedia content in a database comprised of a single file (or a single logically contiguous block of memory)"
- similar in structure to Bento
- infrastructure for developing compound document architectures
- stores large quantities and a wide variety of heterogenous content in a single database
http://www.obsoft.net/irondoc/irondoc/irondoc.htm

QuickTime 3.0 (Apple)
- industry-standard, software architecture
- standard for the storage of digital media compositions in a container format
- widest possible range of digital media
- platform neutral, open, extensible
- consists of 3 elements:
  * QuickTime Movie file format
  * QuickTime Media Abstraction Layer
  * Quicktime media services

QuickTime Media Abstraction Layer
- Audio and image data compression and decompression
- Image format conversion, scaling, composition, and transcoding
- Audio mixing, sample rate conversion, format conversion
- Audio and video effects and transitions
- Synchronized storage read and write
- Media import and export

Quicktime media services
- ability to work with nearly any video compression format, also uncompressed video
- hardware abstraction layer
- isolates tools from the underlying implementation of each compression format
- allows users to install and use new video hardware

QuickTime & OMF (Open Media Framework)
- OMF Importer: new extension to QuickTime
- developed by Avid in cooperation with post-production and broadcast industries
- OMF previously not supported by desktop-editing applications
- now easy for QuickTime-enabled tools to work with OMF
- allows users to use OMF files directly, requiring no recompression
http://www.quicktime.apple.com/qt30/whitepaper


Please send any corrections and/or recommendations to:

Thom Shepard
thom_shepard@wgbh.org
UPF Project Coordinator
URL: http://info.wgbh.org/upf