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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. - PowerPoint PPT Presentation
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International Council on Archives
Section on University and
Research Institution Archives
Michigan State University
September 7, 2005
Preserving Electronic Records at Tufts University
Eliot WilczekUniversity Records ManagerDigital Collections and ArchivesTufts University
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 SituationPerseus Digital Library
Digital Collections & Archives
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
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
Flexible
Extensible
Digital
Object
Repository
Architecture
FEDORAPerseus Digital Library
Digital Collections & Archives
The Solution
Preserving Electronic Records at
Tufts University
ICA/SUV Michigan State University
September 7, 2005
Eliot Wilczek Tufts University
DSpace
FEDORA
Fedora Comparison
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
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
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
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
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
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
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
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
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
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
Preserving Electronic Records at
Tufts University
ICA/SUV Michigan State University
September 7, 2005
Ingest Guide
OAIS Archive
Ingest AccessAdministerPreserve
StoreData ManageProducer Consumer
SIP
Eliot Wilczek Tufts University
Preserving Electronic Records at
Tufts University
ICA/SUV Michigan State University
September 7, 2005
Ingest Guide
OAIS Archive
Ingest AccessAdministerPreserve
StoreData ManageProducer Consumer
SIP
Eliot Wilczek Tufts University
Preserving Electronic Records at
Tufts University
ICA/SUV Michigan State University
September 7, 2005
Ingest Guide
OAIS Archive
Ingest AccessAdministerPreserve
StoreData ManageProducer Consumer
AIP
Eliot Wilczek Tufts University
Preserving Electronic Records at
Tufts University
ICA/SUV Michigan State University
September 7, 2005
Ingest Guide
OAIS Archive
Ingest AccessAdministerPreserve
StoreData ManageProducer Consumer
DIP
Eliot Wilczek Tufts University
Preserving Electronic Records at
Tufts University
ICA/SUV Michigan State University
September 7, 2005
Ingest Guide
OAIS Archive
Ingest AccessAdministerPreserve
StoreData ManageProducer Consumer
DIP
Eliot Wilczek Tufts University
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
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
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
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
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
Ingest Guide
A: Negotiate Submission Agreement
B: Transfer and Validation
B: Transfer and ValidationB1: 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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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 toArticulating resources
Preserving Electronic Records at
Tufts University
ICA/SUV Michigan State University
September 7, 2005
Ingest Guide
Eliot Wilczek Tufts University
Fedora and the Preservation of University Recordshttp://dca.tufts.edu/features/nhprc/index.html
Digital Collections and Archives, Tufts Universityhttp://dca.tufts.edu
Digital Collections and Archives, Tufts Universityhttp://www.library.yale.edu/mssa
Fedorahttp://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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