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.
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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 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 Application Application Content Content Hardware Hardware Isolated Vertical Systems Digital Collections & Archives Application Application Content Content Hardware Hardware Eliot Wilczek Tufts University Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 The Goal Centralized Institutional Repository Perseus Digital Library Application Multiple Creators Application Content Diverse Content Content Hardware Sustainable Hardware Sophisticated Delivery Tools Digital Collections & Archives Flexible Development Application Application Content Content Hardware Hardware Eliot Wilczek Tufts University Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 The Solution Flexible Extensible Digital Object Repository Architecture FEDORA Perseus Digital Library Application Application Content Content Hardware Hardware Digital Collections & Archives Application Application Content Content Hardware Hardware Eliot Wilczek Tufts University Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Fedora Comparison DSpace FEDORA Eliot Wilczek Tufts University Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Fedora Comparison Delivery Application DSpace Ingest Tool Ingest Tool Search Tool FEDORA Eliot Wilczek Tufts University 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 Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Research Project 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 Eliot Wilczek Tufts University Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Research Project 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 Eliot Wilczek Tufts University 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 Figure 1 Relationship of Records Controls and Recordkeeping Systems Exerts Needs Records Controls Institution Requirements (internal/external) Responsibilities (internal/external) Policies Recordkeeping System Institution Practices People Procedures Infrastructure Applications Meets Needs Eliot Wilczek Tufts University Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Recordkeeping System Requirements 1. Compliance 2. Creation & Capture 3. Maintenance 6. Protection from Loss or Corruption 7. Preservation 8. Use Rights 4. Classification 9. Discover & Delivery 5. Retention & Disposition 10. Design & Performance Eliot Wilczek Tufts University Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Preservation System Requirements 1. Ingest 2. Archival Storage 3. Data Management 4. Administration 5. Preservation Planning 6. Access Eliot Wilczek Tufts University 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 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 Preserving Electronic Records at Tufts University ICA/SUV Michigan State University September 7, 2005 Ingest Guide OAIS Archive Ingest Producer Administer Preserve Store Data Manage Access 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 Producer Administer Preserve Store Data Manage Access 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 Producer Administer Preserve Store Data Manage Access 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 Producer Administer Preserve Store Data Manage Access 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 Producer Administer Preserve Store Data Manage Access Consumer DIP Eliot Wilczek Tufts University 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 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 Submission Agreement Formal Phase Transfer Validation Eliot Wilczek Tufts University 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 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 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 Ingest Guide A: Negotiate Submission Agreement 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 B: Transfer and Validation 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 Ingest Guide 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 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 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 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 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 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 Resources Creators Record Types Preservation Formats Identifier Rules Dates Security Procedures Extent 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 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 Resources Creators Record Types Preservation Formats Identifier Rules Dates Security Procedures Extent 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 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 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 A2: Define Project A3: Records Survey Endorse human-readable version A4: Record Type Appraisal Code machine-readable version 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 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 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 B1: SIP Creation and Transfer B2: Validation B3: Transform and Attach Metadata Dictates Transformation B4: AIP Formation Defines Target Repository B5: Final Appraisal B6: Formal Accession Eliot Wilczek Tufts University 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 B1: SIP Creation and Transfer B2: Validation B3: Transform and Attach Metadata Metadata Standards B4: AIP Formation Transfer Procedures B5: Final Appraisal B6: Formal Accession Eliot Wilczek Tufts University 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 B1: SIP Creation and Transfer B2: Validation B3: Transform and Attach Metadata Attach Available Metadata B4: AIP Formation Turn Records into AIPs B5: Final Appraisal B6: Formal Accession Eliot Wilczek Tufts University 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 B1: SIP Creation and Transfer B2: Validation B3: Transform and Attach Metadata Metadata Review B4: AIP Formation Last Chance to Reject B5: Final Appraisal B6: Formal Accession Eliot Wilczek Tufts University 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 B1: SIP Creation and Transfer B2: Validation B3: Transform and Attach Metadata Post-processing B4: AIP Formation B5: Final Appraisal B6: Formal Accession Eliot Wilczek Tufts University 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 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