ii) Model Diagrams - The InterPARES Project:

MODEL INFORMATION TITLE Preserve Electronic Records

AUTHOR Preservation Task Force, InterPARES Project

MODEL TYPE IDEF(0) function model. IDEF(0) (Integration Definition for Function Modeling) is a U.S. Federal Information Processing Standard (Publication 183, as issued by the National Institute of

Standards and Technology). "A function model is a structured representation of the functions, activities or processes within the modeled system or subject area." See <http://www.idef.com> for more information.

PURPOSE The purpose of this model is to articulate the functions, information, and resources required to preserve permanent, authentic electronic records.

The InterPARES Project will use this model to identify and develop the procedures and resources required for the implementation of the conceptual requirements and criteria identified in the

project's Authenticity and Appraisal research domains.

VIEWPOINT Person responsible for preservation

SCOPE This model is constructed within the framework established by the Reference Model for an Open Archival Information System (OAIS), which is an ISO Draft International Standard (DIS). [See

<http://ssdoo.gsfc.nasa.gov/nost/isoas/> for more information.] The ‘Preserve Electronic Records’

model includes ‘Preserve Electronic Records’ model activities and related ICOMs specifically required for the preservation and delivery of authentic electronic records. While some of these activities fall within the Ingest, Distribution and Management activities in the OAIS model, the

‘Preserve Electronic Records’ model excludes aspects of those activities not essential for

preservation.

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RECOMMENDED PUBLICATION

NODE: TITLE:

Preserve Electronic Records

v 6.0

Archival Req uirements

Institutional Req uirements

State of the Art of Information Technology

Information about Electronic Records Selected for Preservation

Transfer of Electronic Records Selected for Preservation

Req uest for Record and/or Information About Record

Information and Communications Technology Infrastructure

Facilities

Persons Responsible for Preservation

Reproduced Electronic Record

Certificate of Authenticity

Reproducible Electronic Record

Req uested Information About a Preserved Record

Information About Preservation

A0

Preserve Electronic Records

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RECOMMENDED

PUBLICATION A-0

NODE: TITLE:

Preserve Electronic Records

v 6.0

Retrieved Information about a Preserved Record

Archival Req uirements

Institutional Req uirements State of the Art of

Information Technology

Persons Responsible for Preservation

Reproduced Electronic Record Retrieved Digital Components

Certificate of Authenticity Reproducible Electronic Record

Transfer of Electronic Records Selected for Preservation

Req uested Information About a Preserved Record Req uest for Record

and/or Information About Record

Information About Preservation Information about Electronic

Records Selected for Preservation

Information and Communications Technology

Accessioning Policy

Report on Authenticity of Records

Preservation Strategy

Targeted

Preservation Method Accessioned

Electronic Records

Technological

Infrastructure Retrieval Request

Management Information About Preservation

A1

Manage the Preserv ation

Function

A2

Bring In Electronic

Records

A3

Maintain Electronic

Records

A4

Output Electronic

Record

Req uester

Suppliers

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RECOMMENDED

PUBLICATION A0

NODE: TITLE:

Manage the Preservation Function

v 6.0

State of the Art of Information Technology Archival

Req uirements

Institutional Requirements

Report on Authenticity of Records Information about

Electronic Records Selected for Preservation

Information About Preservation Preservation Strategy Targeted

Preservation Method Information and

Communications Technology

Management Information About Preservation

Technological Infrastructure

Req uest for Strategy Decision

Information about Transferred and Accessioned Records

Evaluation of Execution

Determination that Records Cannot be Preserved Synthesized Requirements for

Preservation

Terms and Conditions of Transfer Information about Digital

Components of an Electronic Record

Preservation Technology Specifications A1.1

Determine Preserv ation Requirements

A1.2

Select Preserv ation Technologies

A1.3

Specify Preserv ation

Strategy

A1.4

Ev aluate Execution of Preserv ation

A2.3

Appraiser

Appraiser

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RECOMMENDED

PUBLICATION A1

NODE: TITLE:

Determine Preservation Requirements

v 6.0

Basis of Authenticity of Records Req uirements for Physical

and Logical Files

Classes of Records

State of the Art of Information Technology

Synthesized Req uirements for Preservation Information about

Electronic Records Selected for Preservation

Information about Transferred and Accessioned Records

Information about Digital Components of an Electronic Record

Types of Record Agg regates

Record Preservation Req uirements

Archival Agg regate Req uirements

Information about Presumption of Authenticity of Appraised Records Information about Presumption of Authenticity of Transferred Records

A1.1.1 Determine Transfer &

Storage Requirements

A1.1.2 Identify Archival Properties That Must be Preserved

A1.1.3 Determine Requirements for Reconstituting and

Presenting Records

A1.1.4 Determine Requirements for Reconsitituting and Presenting

Archival Aggregates

A1.1.5 Determine

Basis for Authenticity

A1.1.6 Synthesize Requirements

for Perservation

A3

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RECOMMENDED

PUBLICATION A0

NODE: TITLE:

Bring In Electronic Records

v 6.0

Accessioning Policy

Technological Infrastructure

Targeted Preservation Method Preservation Strategy

Accessioned Electronic Records Transfer of

Electronic Records Selected for Preservation

Reg istration Procedure

Retrieved Information about Presumption of Authenticity

Notification of Receipt

Reg istered Transfer

Req uest for Information about Authenticity

Conforming Transfer

Rejected Transfer

Preservable Records

Rejected Accession

Record of Accession A2.1

Register Transfer

A2.2

Verify that the Transfer is Authorized

A2.3

Examine Electronic

Records

A2.4

Accession Electronic Records

A3.1

Submitter

A3.1

Submitter

Accessioning Dossier

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RECOMMENDED

PUBLICATION A2

NODE: TITLE:

Examine Electronic Records

v 6.0

Accessioning Policy

Technological Infrastructure

Preservation Strategy

Rejected Transfer Conforming

Transfer

Preservable Records

Req uest for Strategy Decision Mapped Records and

Digital Components

Digital Components of a Record That Cannot be Preserved

Conforming Digital Components

Non-Conforming Digital Components A2.3.1

Map Records and Digital Components

Within Transferred Materials

A2.3.2

Verify that the Records in the Transfer Can be Preserv ed and Reproduced

A2.3.3

Take Action Needed to Preserv e the

Record

A4 Output Records A3.3 Update Digital Components A1

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RECOMMENDED

PUBLICATION A0

NODE: TITLE:

Maintain Electronic Records

Accessioned Electronic Records

Method for Updating Components

Information about Accessioned Records

Preservation Strategy

Retrieved Information about a Preserved Record Basis of Authenticity

of Records

Storage Method

Retrieved Digital Components Retrieval Request

Req uest for Digital Components

Targeted

Preservation Method

Information about Digital Components

Digital Components that Need Updating Digital Components of

Accessioned Electronic Records

Updated Storage Information

Updated Digital Components Information about Updated

Digital Components

A3.1

Manage Information

About Records

A3.2

Manage Storage of Digital Components

of Records

A3.3

Update Digital Components

A1.1

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RECOMMENDED

PUBLICATION A3

NODE: TITLE:

Manage Information About Records

Preservation Strategy

Basis of Authenticity of Records

Retrieved Information about a Preserved Record Retrieval Request

Information about Accessioned Records

Information about Digital Components Information about Updated

Digital Components Updated Storage Information

Req uest for Digital Components Maintained

Information About Digital Components

Maintained Information About Records

Information Identifying Digital Components of a Req uested Record

Req uest for Information about Authenticity Retrieved Information about Presumption of Authenticity A3.1.1

Maintain Information about Records

A3.1.2

Retrieve Information about Records

A3.1.3

Retrieve Information about Digital Components

A2 A2

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RECOMMENDED

PUBLICATION A3

NODE: TITLE:

Manage Storage of Digital Components of

A3.2

Storage Update Method Storage Method

Req uest for Digital Components

Retrieved Digital Components Digital Components

of Accessioned Electronic Records

Updated Storage Information Updated Dig ital

Components

Monitoring Method Problem Correction Method Retrieval Method

Stored Dig ital File

Refreshed File

Recovered File Storage Problem

A3.2.1

Place Record Components

in Storage

A3.2.2

Refresh Storage

A3.2.3

Monitor Storage

A3.2.4

Correct Storage Problems

A3.2.5

Retrieve

Components

from Storage

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RECOMMENDED

PUBLICATION A0

NODE: TITLE:

Output Electronic Record

Req uested Digital Components

Packaging Method

Persons Responsible for Preservation Preservation Strategy

Retrieval Request

Retrieved Information about a Preserved Record

Reproducible Electronic Record

Certificate of Authenticity

Reproduced Electronic Record Req uested Information About a Preserved Record

Req uest for Record and/or Information About Record

Req uested Reconstituted Record Retrieved

Digital Components

Presentation Method Record Reconstitution

Method

Targeted Preservation Method

Accounting for Unsatisfied Req uest Req uest Control

Report of Problem with Retrieval Response

A4.1

Manage the Request

A4.2

Review Retrieved Components and

Information

A4.3

Reconstitute Record

A4.4

Present Record

A4.5

Package Output

Req uester