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International Council on Archives Section on University and Research Institution Archives

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

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International Council on Archives Section on University and Research Institution Archives

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  1. Preserving Electronic Records at TuftsUniversity International Council on Archives Section on University and Research Institution Archives Michigan State University September 7, 2005 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 The Situation Perseus Digital Library Sophisticated Delivery Tools Rich Content Decentralized Isolated Vertical Systems Application Application Content Content Hardware Hardware Digital Collections & Archives Application Application Content Content Hardware Hardware Eliot Wilczek Tufts University

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

  4. Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 The Solution FEDORA Perseus Digital Library Flexible Extensible Digital Object Repository Architecture Application Application Content Hardware Content Hardware Digital Collections & Archives Application Application Content Hardware Content Hardware Eliot Wilczek Tufts University

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

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

  7. Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Research Project 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 Eliot Wilczek Tufts University

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

  27. Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide A: Negotiate Submission Agreement 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

  28. Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide A: Negotiate Submission Agreement A1: Establish Relationship First Appraisal Should we accession? 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

  29. Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide A: Negotiate Submission Agreement A1: Establish Relationship Define Records Creator Record Type Format Dates Identification Rules Extent 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

  30. Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide A: Negotiate Submission Agreement A1: Establish Relationship Standing Resources Preservation Formats Record Types Identifier Rules Creators Security Procedures System Capacities 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

  31. Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide A: Negotiate Submission Agreement A1: Establish Relationship Records Creator Record Type Format Identification Rules Dates Extent Resources Creators Record Types Preservation Formats Identifier Rules Security Procedures System Capacities 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

  32. Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide A: Negotiate Submission Agreement A1: Establish Relationship Records Creator Record Type Format Identification Rules Dates Extent Resources Creators Record Types Preservation Formats Identifier Rules Security Procedures System Capacities 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

  33. Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide A: Negotiate Submission Agreement A1: Establish Relationship Second Appraisal Can we accession? 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

  34. Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide A: Negotiate Submission Agreement A1: Establish Relationship Finalize Submission Agreement Endorse human-readable version Code machine-readable version 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

  35. Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide 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 Eliot Wilczek Tufts University

  36. Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide B: Transfer and Validation 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 Eliot Wilczek Tufts University

  37. Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide B: Transfer and Validation 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 Eliot Wilczek Tufts University

  38. Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide B: Transfer and Validation 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 Eliot Wilczek Tufts University

  39. Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide B: Transfer and Validation 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 Eliot Wilczek Tufts University

  40. Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide B: Transfer and Validation 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 Eliot Wilczek Tufts University

  41. Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide 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 Eliot Wilczek Tufts University

  42. Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Thank You 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 Eliot Wilczek Tufts University

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