International Council on Archives Section on University and Research Institution Archives Michigan...

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


Tufts University


September 7, 2005


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


The Goal


Tufts University


September 7, 2005


Hardware

Content

Application

Hardware

Content

Application

Hardware

Content

Application

Hardware

Content

Application

Flexible

Extensible

Digital

Object

Repository

Architecture

FEDORAPerseus Digital Library


The Solution


Tufts University


September 7, 2005


DSpace

FEDORA

Fedora Comparison


Tufts University


September 7, 2005


DSpace

FEDORA

Ingest Tool

Delivery Application

Ingest Tool

Search Tool

Fedora Comparison


Tufts University


September 7, 2005


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


Tufts University


September 7, 2005


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


Tufts 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


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



Tufts 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



Tufts University


September 7, 2005

1. Ingest

2. Archival Storage

3. Data Management

4. Administration

5. Preservation Planning

6. Access

Preservation System Requirements


Trustworthy Ingest Process

Maintained Level of Authenticity


Tufts 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


Tufts University


September 7, 2005

Ingest Guide



Tufts University


September 7, 2005

Ingest Guide

OAIS Archive

Ingest AccessAdministerPreserve

StoreData ManageProducer Consumer

SIP



Tufts University


September 7, 2005

Ingest Guide

OAIS Archive



AIP



Tufts University


September 7, 2005

Ingest Guide

OAIS Archive



DIP


Producer-Archive Interface Methodology Abstract Standard

May 2004


Preliminary Phase

Formal Phase


Tufts University


September 7, 2005

Ingest Guide

Validation

Transfer


Submission Agreement

Producer-Archive Interface Methodology Abstract Standard

May 2004


Preliminary Phase

Formal Phase

Validation

Transfer


Tufts University


September 7, 2005

Ingest Guide



Agreement between Archive & Producer

Instructions for Ingest Process

Standards for Validation

Documentation of Ingest Process


Tufts University


September 7, 2005

Ingest Guide


Ingest Guide

A: Negotiate Submission Agreement

B: Transfer and Validation


Tufts University


September 7, 2005

Ingest Guide


Ingest Guide




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


Tufts University


September 7, 2005

Ingest Guide

Ingest Guide



B: Transfer and ValidationB1: SIP Creation and Transfer

B2: Validation

B3: Transform and Attach Metadata

B4: AIP Formation

B5: Final Appraisal

B6: Formal Accession


Tufts University


September 7, 2005

Ingest Guide



A2: Define Project

A3: Records Survey




A7: Use Rights





Tufts University


September 7, 2005

Ingest Guide


First Appraisal

Should we accession?


A2: Define Project

A3: Records Survey




A7: Use Rights





Tufts University


September 7, 2005

Ingest Guide


Define Records

Creator

Record Type

Format

Dates

Identification Rules

Extent


A2: Define Project

A3: Records Survey




A7: Use Rights





Tufts University


September 7, 2005

Ingest Guide


Standing Resources

Preservation Formats

Record Types

Identifier Rules

Creators

Security Procedures

System Capacities


A2: Define Project

A3: Records Survey




A7: Use Rights





Tufts University


September 7, 2005

Ingest Guide


Resources

Creators

Record Types

Preservation Formats

Identifier Rules

Security Procedures

System Capacities

Records

Creator

Record Type

Format

Identification Rules

Dates

Extent


A2: Define Project

A3: Records Survey




A7: Use Rights





Tufts University


September 7, 2005

Ingest Guide


Second Appraisal

Can we accession?


A2: Define Project

A3: Records Survey




A7: Use Rights





Tufts University


September 7, 2005

Ingest Guide


Finalize Submission Agreement

Endorse human-readable version

Code machine-readable version


A2: Define Project

A3: Records Survey




A7: Use Rights





Tufts University


September 7, 2005

Ingest Guide


B1: SIP Creation and Transfer

B2: Validation


B4: AIP Formation

B5: Final Appraisal



Tufts University


September 7, 2005

Ingest Guide




Guides SIP Preparation

Supplies Validation Rules

Dictates Transformation

Defines Target Repository


B2: Validation


B4: AIP Formation

B5: Final Appraisal



Tufts University


September 7, 2005

Ingest Guide



Records Preparation

SIP Format Rules

Record Format Rules

Metadata Standards

Transfer Procedures


B2: Validation


B4: AIP Formation

B5: Final Appraisal



Tufts University


September 7, 2005

Ingest Guide



Processing

Technical Validation

Format Transformation

Attach Available Metadata

Turn Records into AIPs


B2: Validation


B4: AIP Formation

B5: Final Appraisal



Tufts University


September 7, 2005

Ingest Guide



Final Appraisal

Intellectual Review

Transformation Review

Metadata Review

Last Chance to Reject


B2: Validation


B4: AIP Formation

B5: Final Appraisal



Tufts University


September 7, 2005

Ingest Guide



To Repository

Submit to Repository

Issue Acknowledgement

Post-processing


B2: Validation


B4: AIP Formation

B5: Final Appraisal



Tufts 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 toArticulating resources


Tufts University


September 7, 2005

Ingest Guide


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


Tufts University


September 7, 2005

Thank You


International Council on Archives Section on University and Research Institution Archives Michigan...

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