1. Fedora Users’ Conference Rutgers University May 14, 2005 Researching Fedora's Ability to Serve as a Preservation System for Electronic University Records Kevin L. Glick Electronic Records Archivist Manuscripts and Archives Yale University Eliot Wilczek University Records Manager Digital Collections and Archives Tufts University Robert Dockins Fedora Project Analyst Digital Collections and Archives Tufts University

2. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Records data or information in a fixed form created or received in the course of individual or institutional activity and set aside (preserved) as evidence of that activity for future reference Form Content Fixity Structure Context

3. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Electronic Recordkeeping Systems Institution Recordkeeping Systems composed of People Requirements Practices Procedures Infrastructure Applications Responsibilities Policies Recordkeeping Controls include

4. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Definition of Preservation The whole of the activities and processes involved in the technical stabilization and physical and intellectual protection of resources through time Not possible to preserve an original electronic record The initial act of storage through reproduction Appraisal of enduring value & technical feasibility of preservation Determination of preservation strategy

5. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Recordkeeping System Requirements 1.Compliance 2.Creation & Capture 3.Maintenance 4.Recordkeeping Framework 5. Retention & Disposition 6.Protection from Loss or Corruption 7.Preservation 8.Use Rights 9.Discover & Delivery 10. Design & Performance

6. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Digital Preservation System Requirements 1.Ingest 2.Archival Storage 3.Data Management 4.Administration 5.Preservation Planning 6.Access 7.Security 8.Design & Performance

7. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Reference Model for an Open Archival Information System (OAIS) January 2002 Consultative Committee for Space Data Systems (CCSDS) ISO 14721:2003 OAIS Overview

8. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Producer OAIS Archive Consumer SIP Manage Store Preserve Access Ingest OAIS Overview

9. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Producer OAIS Archive Consumer SIP Manage Store Preserve Access Ingest OAIS Overview

10. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Producer OAIS Archive Consumer Manage Store Preserve Access Ingest AIP OAIS Overview

11. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Producer OAIS Archive Consumer Manage Store Preserve Access Ingest DIP OAIS Overview

12. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Producer OAIS Archive Consumer Manage Store Preserve Access Ingest DIP OAIS Overview

13. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Producer-Archive Interface Methodology Abstract Standard May 2004 Consultative Committee for Space Data Systems (CCSDS) OAIS Overview Preliminary Phase Formal Phase Validation Transfer

14. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 OAIS Overview Submission Agreement Producer-Archive Interface Methodology Abstract Standard May 2004 Consultative Committee for Space Data Systems (CCSDS) Preliminary Phase Formal Phase Validation Transfer

15. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Negotiate Submission Agreement Submission Agreement Agreement between Archive & Producer Instructions for Ingest Process Standards for Validation Documentation of Ingest Process

16. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Ingest Guide A: Negotiate Submission Agreement B: Transfer and Validation Ingest Guide

17. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Ingest Guide A: Negotiate Submission Agreement B: Transfer and Validation A: Negotiate Submission Agreement A1: Establish Relationship A2: Collection Appraisal A3: Feasibility Forecast A4: Format Appraisal A5: Record Type Appraisal A6: Identifier Rules A7: Use Rights and Security A8: Finalize Submission Agreement Ingest Guide

18. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Ingest Guide A: Negotiate Submission Agreement B: Transfer and Validation B1: SIP Creation and Transfer B2: Automated Validation B3: Normalize and Attach Metadata B4: Human Appraisal B5: Formal Accession B6: SIP to AIP Transformation Ingest Guide

19. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Ingest Guide Trustworthy Ingest Process Maintained Level of Authenticity

20. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Negotiate Submission Agreement A1: Establish Relationship A2: Collection Appraisal A3: Feasibility Forecast A4: Format Appraisal A5: Record Type Appraisal A6: Identifier Rules A7: Use Rights and Security A8: Finalize Submission Agreement

21. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Negotiate Submission Agreement A1: Establish Relationship A2: Collection Appraisal A3: Feasibility Forecast A4: Format Appraisal A5: Record Type Appraisal A6: Identifier Rules A7: Use Rights and Security A8: Finalize Submission Agreement First Appraisal Should we accession?

22. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Negotiate Submission Agreement A1: Establish Relationship A2: Collection Appraisal A3: Feasibility Forecast A4: Format Appraisal A5: Record Type Appraisal A6: Identifier Rules A7: Use Rights and Security A8: Finalize Submission Agreement Define Records Creator Record Type Format Dates Identification Rules Extent

23. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Negotiate Submission Agreement A1: Establish Relationship A2: Collection Appraisal A3: Feasibility Forecast A4: Format Appraisal A5: Record Type Appraisal A6: Identifier Rules A7: Use Rights and Security A8: Finalize Submission Agreement Second Appraisal Can we accession?

24. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Negotiate Submission Agreement A1: Establish Relationship A2: Collection Appraisal A3: Feasibility Forecast A4: Format Appraisal A5: Record Type Appraisal A6: Identifier Rules A7: Use Rights and Security A8: Finalize Submission Agreement Standing Resources Preservation Formats Record Types Identifier Rules Creators Security Procedures System Capacities

25. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Negotiate Submission Agreement A1: Establish Relationship A2: Collection Appraisal A3: Feasibility Forecast A4: Format Appraisal A5: Record Type Appraisal A6: Identifier Rules A7: Use Rights and Security A8: Finalize Submission Agreement Resources Creators Record Types Preservation Formats Identifier Rules Security Procedures System Capacities Records Creator Record Type Format Identification Rules Dates Extent

26. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Negotiate Submission Agreement A1: Establish Relationship A2: Collection Appraisal A3: Feasibility Forecast A4: Format Appraisal A5: Record Type Appraisal A6: Identifier Rules A7: Use Rights and Security A8: Finalize Submission Agreement Resources Creators Record Types Preservation Formats Identifier Rules Security Procedures System Capacities Records Creator Record Type Format Identification Rules Dates Extent

27. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Negotiate Submission Agreement A1: Establish Relationship A2: Collection Appraisal A3: Feasibility Forecast A4: Format Appraisal A5: Record Type Appraisal A6: Identifier Rules A7: Use Rights and Security A8: Finalize Submission Agreement Finalize Submission Agreement Sign paper version Code electronic version

28. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Transfer and Validation B1: SIP Creation and Transfer B2: Automated Validation B3: Normalize and Attach Metadata B4: Human Appraisal B5: Formal Accession B6: SIP to AIP Transformation

29. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Transfer and Validation B1: SIP Creation and Transfer B2: Automated Validation B3: Normalize and Attach Metadata B4: Human Appraisal B5: Formal Accession B6: SIP to AIP Transformation Submission Agreement Guides SIP Preparation Supplies Validation Rules Dictates Normalization Defines Target Repository

30. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Transfer and Validation B1: SIP Creation and Transfer B2: Automated Validation B3: Normalize and Attach Metadata B4: Human Appraisal B5: Formal Accession B6: SIP to AIP Transformation Content Preparation SIP Format Rules Record Format Rules Metadata Standards Transfer Procedures

31. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Transfer and Validation B1: SIP Creation and Transfer B2: Automated Validation B3: Normalize and Attach Metadata B4: Human Appraisal B5: Formal Accession B6: SIP to AIP Transformation Automated Processing Technical Validation Format Normalization Stock Metadata

32. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Transfer and Validation B1: SIP Creation and Transfer B2: Automated Validation B3: Normalize and Attach Metadata B4: Human Appraisal B5: Formal Accession B6: SIP to AIP Transformation Final Appraisal Intellectual Review Normalization Review Metadata Review Last Chance to Reject

33. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Transfer and Validation B1: SIP Creation and Transfer B2: Automated Validation B3: Normalize and Attach Metadata B4: Human Appraisal B5: Formal Accession B6: SIP to AIP Transformation To Repository Issue Receipt Create AIP Submit to Repository Post-processing

34. Preservation System for Electronic University Records Fedora Users’ Conference Rutgers University May 14, 2005 Thank You Fedora and the Preservation of University Records http://dca.tufts.edu/features/nhprc/index.html Ingest Guide http://dca.tufts.edu/features/nhprc/reports/3_1_draft.html