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International Council on Archives Section on University and Research Institution Archives Michigan State University September 7, 2005 Preserving Electronic.

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Presentation on theme: "International Council on Archives Section on University and Research Institution Archives Michigan State University September 7, 2005 Preserving Electronic."— Presentation transcript:

1 International Council on Archives Section on University and Research Institution Archives Michigan State University September 7, 2005 Preserving Electronic Records at Tufts University Eliot Wilczek University Records Manager Digital Collections and Archives Tufts University

2 Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Eliot Wilczek Tufts University Hardware Content Application Hardware Content Application Hardware Content Application Hardware Content Application Sophisticated Delivery Tools Rich Content Decentralized Isolated Vertical Systems The Situation Perseus Digital Library Digital Collections & Archives

3 Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Eliot Wilczek Tufts University Hardware Content Application Hardware Content Application Hardware Content Application Hardware Content Application Centralized Multiple Creators Diverse Content Sustainable Sophisticated Delivery Tools Flexible Development Institutional Repository Perseus Digital Library Digital Collections & Archives The Goal

4 Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Eliot Wilczek Tufts University Hardware Content Application Hardware Content Application Hardware Content Application Hardware Content Application F lexible E xtensible D igital O bject R epository A rchitecture FEDORA Perseus Digital Library Digital Collections & Archives The Solution

5 Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Eliot Wilczek Tufts University DSpace FEDORA Fedora Comparison

6 Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Eliot Wilczek Tufts University DSpace FEDORA Ingest Tool Delivery Application Ingest Tool Search Tool Fedora Comparison

7 Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Eliot Wilczek Tufts University Fedora’s ability to serve as preservation system for university electronic records with archival value Yale University and Tufts University National Historical Publications and Records Commission Research Project

8 Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Eliot Wilczek Tufts University 1.Functional Requirements for Recordkeeping Systems 2.Functional Requirements for Preservation Systems 3.Ingest Electronic Records Process 4.Maintain Electronic Records Process 5.Report Findings 6.Future Work and Implement Findings Research Project

9 Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Eliot Wilczek Tufts University 1.Functional Requirements for Recordkeeping Systems 2.Functional Requirements for Preservation Systems 3.Ingest Electronic Records Process 4.Maintain Electronic Records Process 5.Report Findings 6.Future Work and Implement Findings Research Project

10 Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Authentic Records Are what they purport to be A judgment on records; not an element of records Trustworthy System Allows presumption of authenticity Recordkeeping System Requirements Eliot Wilczek Tufts University

11 Exerts Needs Meets Needs Records Controls  Requirements (internal/external)  Responsibilities (internal/external)  Policies  Practices Recordkeeping System  Institution  People  Procedures  Infrastructure  Applications Figure 1 Relationship of Records Controls and Recordkeeping Systems Institution Eliot Wilczek Tufts University

12 Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 1.Compliance 2.Creation & Capture 3.Maintenance 4.Classification 5. Retention & Disposition 6.Protection from Loss or Corruption 7.Preservation 8.Use Rights 9.Discover & Delivery 10. Design & Performance Recordkeeping System Requirements Eliot Wilczek Tufts University

13 Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 1.Ingest 2.Archival Storage 3.Data Management 4.Administration 5. Preservation Planning 6.Access Preservation System Requirements Eliot Wilczek Tufts University

14 Trustworthy Ingest Process Maintained Level of Authenticity Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide Eliot Wilczek Tufts University

15 Reference Model for an Open Archival Information System (OAIS) January 2002 Consultative Committee for Space Data Systems (CCSDS) ISO 14721:2003 Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide Eliot Wilczek Tufts University

16 Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide OAIS Archive Ingest Access Administer Preserve Store Data Manage Producer Consumer SIP Eliot Wilczek Tufts University

17 Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide OAIS Archive Ingest Access Administer Preserve Store Data Manage Producer Consumer SIP Eliot Wilczek Tufts University

18 Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide OAIS Archive Ingest Access Administer Preserve Store Data Manage Producer Consumer AIP Eliot Wilczek Tufts University

19 Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide OAIS Archive Ingest Access Administer Preserve Store Data Manage Producer Consumer DIP Eliot Wilczek Tufts University

20 Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide OAIS Archive Ingest Access Administer Preserve Store Data Manage Producer Consumer DIP Eliot Wilczek Tufts University

21 Producer-Archive Interface Methodology Abstract Standard May 2004 Consultative Committee for Space Data Systems (CCSDS) Preliminary Phase Formal Phase Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide Validation Transfer Eliot Wilczek Tufts University

22 Submission Agreement Producer-Archive Interface Methodology Abstract Standard May 2004 Consultative Committee for Space Data Systems (CCSDS) Preliminary Phase Formal Phase Validation Transfer Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide Eliot Wilczek Tufts University

23 Submission Agreement Agreement between Archive & Producer Instructions for Ingest Process Standards for Validation Documentation of Ingest Process Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide Eliot Wilczek Tufts University

24 Ingest Guide A: Negotiate Submission Agreement B: Transfer and Validation Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide Eliot Wilczek Tufts University

25 Ingest Guide A: Negotiate Submission Agreement B: Transfer and Validation A: Negotiate Submission Agreement A7: Use Rights A8: Privacy and Confidentiality Appraisal A1: Establish Relationship A2: Define Project A3: Records Survey A4: Record Type Appraisal A5: Format Appraisal A6: Identifier Rules A9: Feasibility Assessment A10: Finalize Submission Agreement Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide

26 A: Negotiate Submission Agreement B: Transfer and Validation B1: SIP Creation and Transfer B2: Validation B3: Transform and Attach Metadata B4: AIP Formation B5: Final Appraisal B6: Formal Accession Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide Eliot Wilczek Tufts University

27 A1: Establish Relationship A2: Define Project A3: Records Survey A4: Record Type Appraisal A5: Format Appraisal A6: Identifier Rules A7: Use Rights A8: Privacy and Confidentiality Appraisal A9: Feasibility Assessment A10: Finalize Submission Agreement Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide A: Negotiate Submission Agreement

28 First Appraisal Should we accession? A1: Establish Relationship A2: Define Project A3: Records Survey A4: Record Type Appraisal A5: Format Appraisal A6: Identifier Rules A7: Use Rights A8: Privacy and Confidentiality Appraisal A9: Feasibility Assessment A10: Finalize Submission Agreement Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide A: Negotiate Submission Agreement

29 Define Records Creator Record Type Format Dates Identification Rules Extent A1: Establish Relationship A2: Define Project A3: Records Survey A4: Record Type Appraisal A5: Format Appraisal A6: Identifier Rules A7: Use Rights A8: Privacy and Confidentiality Appraisal A9: Feasibility Assessment A10: Finalize Submission Agreement Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide A: Negotiate Submission Agreement

30 Standing Resources Preservation Formats Record Types Identifier Rules Creators Security Procedures System Capacities A1: Establish Relationship A2: Define Project A3: Records Survey A4: Record Type Appraisal A5: Format Appraisal A6: Identifier Rules A7: Use Rights A8: Privacy and Confidentiality Appraisal A9: Feasibility Assessment A10: Finalize Submission Agreement Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide A: Negotiate Submission Agreement

31 Resources Creators Record Types Preservation Formats Identifier Rules Security Procedures System Capacities Records Creator Record Type Format Identification Rules Dates Extent A1: Establish Relationship A2: Define Project A3: Records Survey A4: Record Type Appraisal A5: Format Appraisal A6: Identifier Rules A7: Use Rights A8: Privacy and Confidentiality Appraisal A9: Feasibility Assessment A10: Finalize Submission Agreement Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide A: Negotiate Submission Agreement

32 Resources Creators Record Types Preservation Formats Identifier Rules Security Procedures System Capacities Records Creator Record Type Format Identification Rules Dates Extent A1: Establish Relationship A2: Define Project A3: Records Survey A4: Record Type Appraisal A5: Format Appraisal A6: Identifier Rules A7: Use Rights A8: Privacy and Confidentiality Appraisal A9: Feasibility Assessment A10: Finalize Submission Agreement Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide A: Negotiate Submission Agreement

33 Second Appraisal Can we accession? A1: Establish Relationship A2: Define Project A3: Records Survey A4: Record Type Appraisal A5: Format Appraisal A6: Identifier Rules A7: Use Rights A8: Privacy and Confidentiality Appraisal A9: Feasibility Assessment A10: Finalize Submission Agreement Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide A: Negotiate Submission Agreement

34 Finalize Submission Agreement Endorse human-readable version Code machine-readable version A1: Establish Relationship A2: Define Project A3: Records Survey A4: Record Type Appraisal A5: Format Appraisal A6: Identifier Rules A7: Use Rights A8: Privacy and Confidentiality Appraisal A9: Feasibility Assessment A10: Finalize Submission Agreement Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide A: Negotiate Submission Agreement

35 B1: SIP Creation and Transfer B2: Validation B3: Transform and Attach Metadata B4: AIP Formation B5: Final Appraisal B6: Formal Accession Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide B: Transfer and Validation Eliot Wilczek Tufts University

36 Submission Agreement Guides SIP Preparation Supplies Validation Rules Dictates Transformation Defines Target Repository B1: SIP Creation and Transfer B2: Validation B3: Transform and Attach Metadata B4: AIP Formation B5: Final Appraisal B6: Formal Accession Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide B: Transfer and Validation Eliot Wilczek Tufts University

37 Records Preparation SIP Format Rules Record Format Rules Metadata Standards Transfer Procedures B1: SIP Creation and Transfer B2: Validation B3: Transform and Attach Metadata B4: AIP Formation B5: Final Appraisal B6: Formal Accession Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide B: Transfer and Validation Eliot Wilczek Tufts University

38 Processing Technical Validation Format Transformation Attach Available Metadata Turn Records into AIPs B1: SIP Creation and Transfer B2: Validation B3: Transform and Attach Metadata B4: AIP Formation B5: Final Appraisal B6: Formal Accession Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide B: Transfer and Validation Eliot Wilczek Tufts University

39 Final Appraisal Intellectual Review Transformation Review Metadata Review Last Chance to Reject B1: SIP Creation and Transfer B2: Validation B3: Transform and Attach Metadata B4: AIP Formation B5: Final Appraisal B6: Formal Accession Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide B: Transfer and Validation Eliot Wilczek Tufts University

40 To Repository Submit to Repository Issue Acknowledgement Post-processing B1: SIP Creation and Transfer B2: Validation B3: Transform and Attach Metadata B4: AIP Formation B5: Final Appraisal B6: Formal Accession Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide B: Transfer and Validation Eliot Wilczek Tufts University

41 Implications Carefully document decisions Base decisions on documented policies, procedures, information Regularize decision-making steps Automate accessioning, preservation, descriptive work Scaleable Shift focus Processing records to Articulating resources Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide Eliot Wilczek Tufts University

42 Fedora and the Preservation of University Records http://dca.tufts.edu/features/nhprc/index.html Digital Collections and Archives, Tufts University http://dca.tufts.edu Digital Collections and Archives, Tufts University http://www.library.yale.edu/mssa Fedora http://www.fedora.info Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Thank You Eliot Wilczek Tufts University

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