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