surveys case studies holding preserving · computer aided design us-interpares project...
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Holding governments, organizations, and individuals accountable
Preserving the authentic recorded memory of our society
Ensuring the trustworthiness of research sources and data
Research benefits:Surveys
Case Studies
Diplomatic Analysis
Modeling
PrototypingGlossary
Research methods:
0 0 00
11 1 1
10 How do you know it's the real thing?
Research Domain 1What is required to prove the authenticity of electronic records?
Research Domain 2How do we select electronic records for preservation?
Research Domain 3How do we preserve authentic electronic records?
Research Domain 4What policies, strategies & standards will protect the authenticity of electronic records over time?
100 years from now?
Today?
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InterPARES Project International Research on Permanent Authentic Records in Electronic Systems
'Select Electronic Records' Model version 2.1a (January 19-20, 2001). Appraisal Task Force, InterPARES Project
page 2
USED AT:AUTHOR: ApTF DATE:REV:PROJECT: 'Select Electronic
Records' model
5/4/20001/19/2001
NOTES: 1 2 3 4 5 6 7 8 9 10
WORKINGDRAFTRECOMMENDEDPUBLICATION
READER DATE CONTEXT:TOP
NODE: TITLE: NUMBER:Select Electronic RecordsA-0
A0
SelectElectronicRecords
ElectronicRecords
Electronic RecordsSelected forPreservation
Electronic Records NotSelected for Preservation
ArchivalScience
Creator'sNeeds
LegalRequirements
Information About theTechnological Context ofRecords Information About Appraisal
Decisions of Electronic Records
SocietalNeeds
ComputerEquipment andSoftware
Facilities Persons
Information FromElectronic RecordsInformation aboutPreservation Capabilities
Information AboutRecords' Contexts
Information About Electronic RecordsSelected for Preservation
AuthenticityRequirements
'Select Electronic Records' Model version 2.1a (January 19-20, 2001). Appraisal Task Force, InterPARES Project
page 3
USED AT:AUTHOR: ApTF DATE:REV:PROJECT: 'Select Electronic
Records' model
5/4/20002/6/2001
NOTES: 1 2 3 4 5 6 7 8 9 10
WORKINGDRAFTRECOMMENDEDPUBLICATION
READER DATE CONTEXT:
A-0
NODE: TITLE: NUMBER:Select Electronic RecordsA0
A1
Manage Selection Function
A2
AppraiseElectronicRecords
A3
Carry Out Disposition of
Electronic Records
ElectronicRecordsSelected forPreservation
ElectronicRecords
ElectronicRecords NotSelected forPreservation
ArchivalScience
Creator'sNeeds
Legal Requirements
AppraisalDecision
SocietalNeeds
Information About theTechnologicalContext of Records
Information AboutAppraisalDecisions ofElectronicRecords
AppraisalStrategies
DispositionRules &Procedures
Information About Disposition
Information From ElectronicRecords
Information about Preservation Capabilities
Information AboutElectronicRecords Selectedfor Preservation
Information About Appraised Electronic Records
AuthenticityRequirements
InformationAboutRecords'Contexts
'Preserve Electronic Records' Model version 5.0 July 27, 2001. Preservation Task Force, InterPARES Project
page 2 PTF_model_v5-0_diagrams.doc
USED AT: AUTHOR: Preservation Task Force DATE:REV:PROJECT: InterPARES Project
2/16/20007/6/2001
NOTES: 1 2 3 4 5 6 7 8 9 10
WORKINGDRAFTRECOMMENDEDPUBLICATION
READER DATE CONTEXT:
TOPIPWorkshop8
NODE: TITLE: NUMBER:Preserve Electronic RecordsA-0 v. 5.0
A0
Preserve Electronic Records
Archival Requirements State ofthe Art ofInformationTechnology
Institutional Requirements
Information aboutElectronic RecordsSelected for Preservation
Reproducible Electronic Records
Requested Information aboutPreserved Records
Reproduced Electronic Records
Certificate of Authenticity
Information About Preservation
Persons Responsible for PreservationFacilities
Information andCommunicationsTechnology Infrastructure
Request for Records and/orInformation about Records
Transfer of ElectronicRecords Selected forPreservation
'Preserve Electronic Records' Model version 5.0 July 27, 2001. Preservation Task Force, InterPARES Project
page 3 PTF_model_v5-0_diagrams.doc
USED AT: AUTHOR: Preservation Task Force DATE:REV:PROJECT: InterPARES Project
2/17/20007/6/2001
NOTES: 1 2 3 4 5 6 7 8 9 10
WORKINGDRAFTRECOMMENDEDPUBLICATION
READER DATE CONTEXT:
A-0
Workshop8
NODE: TITLE: NUMBER:Preserve Electronic RecordsA0 v 5.0
A1
Manage thePreservation
Function
A2
Bring inElectronicRecords
A3
MaintainElectronicRecords
A4
OutputElectronic Records
Requester
State of the Art of Information Technology
Transfer ofElectronicRecordsSelected forPreservation
Archival Requirements
AccessionedElectronicRecords
Institutional Requirements
RetrievalRequest
Information aboutElectronicRecordsSelected forPreservation
Management InformationAbout Preservation
RetrievedInformationaboutPreservedRecords
Retrieved DigitalComponents andInformation
RequestedInformation aboutPreserved Records
Request for Recordsand/or Informationabout Records
Persons Responsiblefor Preservation
Certificate ofAuthenticity
ReproducibleElectronic Records
Accessioning Policy Report on authenticityof records
ReproducedElectronicRecords
TargetedPreservationMethods
Preservation Action Plans
Preservation Strategies Information About Preservation
Terms andConditions forTransfers
InformationRequired to CertifyAuthenticity
InfrastructureTechnology
1
Preserving Authentic Electronic RecordsA Report on the InterPARES Project
US-InterPARES ProjectInternational Research on Permanent Authentic Records in Elec tronic Systems
Philip B. EppardECURE 2001 US-InterPARES Project
International Research on Permanent Authentic Records in Elec tronic Systems
Purpose of the InterPARES ProjectTo develop the theoretical and methodological knowledge essential for the permanent preservation of records generated electronically.
To formulate model policies, strategies, and standards capable of ensuring their preservation.
Previous UBC Project
Born out of previous UBC research.n "The Preservation of the Integrity of Electronic
Records" ("The UBC Project").n Defined the requirements for creating, handling
and preserving reliable and authentic electronic records in active recordkeeping systems.
With U.S. Department of Defense.n Developed DoD Records Management standard
5015.2.
US-InterPARES ProjectInternational Research on Permanent Authentic Records in Elec tronic Systems
Participants
International TeamNational Research Teamsn Canada, USA, Italy, Australia, China
Multi-National Research Teamsn Europe (UK, Ireland, France, Netherlands, Sweden)
National Archival InstitutionsGlobal Industry Team
US-InterPARES ProjectInternational Research on Permanent Authentic Records in Elec tronic Systems
2
Organization
Task Forces1. Authenticity 3. Preservation2. Appraisal 4. Strategies
Glossary Committee
US-InterPARES ProjectInternational Research on Permanent Authentic Records in Elec tronic Systems
Methods & Analysis
Contemporary Archival Diplomatics
Functional Analysis
Narrative Analysis
IDEF0 Activity Modeling
US-InterPARES ProjectInternational Research on Permanent Authentic Records in Elec tronic Systems
Authenticity Task ForceResearch Question:
• What is required to prove the authenticity of electronic records?
Research Methods: • Literature Review• Functional & Narrative Analysis of Case
Studies• Contemporary Archival Diplomatic Analysis
US-InterPARES ProjectInternational Research on Permanent Authentic Records in Elec tronic Systems
3
Template for Analysis
Based on elements of records identified by the study of diplomatics
1. Medium2. Extrinsic elements3. Intrinsic elements4. Annotations5. Context or framework
US-InterPARES ProjectInternational Research on Permanent Authentic Records in Elec tronic Systems
Systems Studied by ATF
Relational databases
Accounting systems
Records management systems
Patent grants systems
Student Registration Systems
Info Management Systems
Government Registries
Computer Aided Design
US-InterPARES ProjectInternational Research on Permanent Authentic Records in Elec tronic Systems
Conceptual Requirements for Assessing Authenticity
Benchmark requirementsn Before records are transferred to the
preserver’s custody
Baseline requirementsn After records are transferred to the
preserver’s custody
US-InterPARES ProjectInternational Research on Permanent Authentic Records in Elec tronic Systems
Benchmark Requirements1. Expression of Record Attributes &
Linkage to Record2. Access Privileges3. Protective Procedures: Loss and
Corruption of Records4. Protective Procedures: Media and
Technology
US-InterPARES ProjectInternational Research on Permanent Authentic Records in Elec tronic Systems
4
Benchmark Requirements (cont.)
5. Establishment of Documentary Forms
6. Authentication of Records
7. Identification of Authoritative Record
8. Removal and Transfer of Relevant Documentation
US-InterPARES ProjectInternational Research on Permanent Authentic Records in Elec tronic Systems
Baseline Requirements
1. Controls over Records Transfer, Maintenance, and Reproduction
2. Documentation of Reproduction Process and its Effects
3. Archival Description
US-InterPARES ProjectInternational Research on Permanent Authentic Records in Elec tronic Systems
Authenticity FindingsAuthenticity often expressed implicitly, rather than explicitly
Medium in not significant in assessing authenticity of records
Records are inextricably embedded in their contexts
US-InterPARES ProjectInternational Research on Permanent Authentic Records in Elec tronic Systems
Appraisal Task Force
Research Question: • How do we select electronic records for
preservation?
Research Methods• Literature Review• Activity Modeling
US-InterPARES ProjectInternational Research on Permanent Authentic Records in Elec tronic Systems
5
Select Electronic Records A-0USED AT:AUTHOR: ApTF DATE:
REV:PROJECT: 'Select ElectronicRecords' model
5/4/20001/19/2001
NOTES: 1 2 3 4 5 6 7 8 9 10
WORKINGDRAFTRECOMMENDEDPUBLICATION
READER DATE CONTEXT:
TOP
NODE: TITLE: NUMBER:Select Electronic RecordsA-0
A0
SelectElectronicRecords
ElectronicRecords
Electronic RecordsSelected forPreservation
Electronic Records NotSelected for Preservation
ArchivalScience
Creator'sNeeds
LegalRequirements
Information About theTechnological Context ofRecords Information About Appraisal
Decisions of Electronic Records
SocietalNeeds
ComputerEquipment andSoftware
Facilities Persons
Information FromElectronic Records
Information aboutPreservation Capabilities
Information AboutRecords' Contexts
Information About Electronic RecordsSelected for Preservation
AuthenticityRequirements
Select Electronic Records A0
USED AT:AUTHOR: ApTF DATE:REV:PROJECT: 'Select Electronic
Records' model
5/4/20002/6/2001
NOTES: 1 2 3 4 5 6 7 8 9 10
WORKINGDRAFTRECOMMENDEDPUBLICATION
READER DATE CONTEXT:
A-0
NODE: TITLE: NUMBER:Select Electronic RecordsA0
A1
Manage Selection Function
A2
AppraiseElectronicRecords
A3
Carry Out Disposition of
Electronic Records
ElectronicRecordsSelected forPreservation
ElectronicRecords
ElectronicRecords NotSelected forPreservation
ArchivalScience
Creator'sNeeds
Legal Requirements
AppraisalDecision
SocietalNeeds
Information About theTechnologicalContext of Records
Information AboutAppraisalDecisions ofElectronicRecords
AppraisalStrategies
DispositionRules &Procedures
Information About Disposition
Information From ElectronicRecords
Information about Preservation Capabilities
Information AboutElectronicRecords Selectedfor Preservation
Information About Appraised Electronic Records
AuthenticityRequirements
InformationAboutRecords'Contexts
Appraisal FindingsAssess authenticity of the records
Determine the feasibility of preservation
Records must be appraised early
The appraisal decision must be regularly monitored
US-InterPARES ProjectInternational Research on Permanent Authentic Records in Elec tronic Systems
Preservation Task Force
Research Question:n How do we preserve authentic electronic
records?
Research Methods:n Literature Reviewn Surveysn Case Studiesn Activity Modeling
US-InterPARES ProjectInternational Research on Permanent Authentic Records in Elec tronic Systems
6
Preserve Electronic Records A-0 Preserve Electronic Records A0
Preservation Findings
Identification of digital components of electronic records
Systematic & dynamic controls for preservation
Archival requirements for preservation
US-InterPARES ProjectInternational Research on Permanent Authentic Records in Elec tronic Systems
Preservation Findings (cont.)
‘Original’ electronic records vs. copies of electronic records
Preservation means reproduction
Chain of preservation
US-InterPARES ProjectInternational Research on Permanent Authentic Records in Elec tronic Systems
7
Strategies Task Force
US-InterPARES ProjectInternational Research on Permanent Authentic Records in Elec tronic Systems
Research Question:n What policies, strategies and standards
will protect the authenticity of electronic records over time?
Adapt the recommendations of the other task forces to each national environment
Further Information
US-InterPARES Websitehttp://is.gseis.ucla.edu/us-interpares/
InterPARES Websitehttp://www.interpares.org
US-InterPARES ProjectInternational Research on Permanent Authentic Records in Elec tronic Systems
InterPARES 2Records generated by interactive,
dynamic, experiential, sensory and performance systemsn Electronic Government
n The Arts
n eCommerce
US-InterPARES ProjectInternational Research on Permanent Authentic Records in Elec tronic Systems