ARCHIVI. a. III-n. 2 (luglio-dicembre 2008) ASSOCIAZIONE NAZIONALE ARCHIVISTICA ITALIANA ARCHIVI. a. III-n. 2 (luglio-dicembre 2008)

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1 ASSOCIAZIONE NAZIONALE ARCHIVISTICA ITALIANA ARCHIVI a. III-n. 2 (luglio-dicembre 2008) Poste Italiane s.p.a. - Spedizione in Abbonamento Postale - D.L. 353/2003 (conv. in L. 27/02/2004 n 46) art. 1, comma 1, DCB (Padova) ARCHIVI a. III-n. 2 (luglio-dicembre 2008) ISSN ISBN ,00

2 L. DURANTI - R. PRESTON International Research on Permanent Authentic Records in Electronic Systems (InterPARES 2) Experiential, Interactive and Dynamic Records LUCIANA DURANTI - RANDY PRESTON International Research on Permanent Authentic Records in Electronic Systems (InterPARES 2) Experiential, Interactive and Dynamic Records ISSN ISBN E 75,00

3 Contents INTRODUCTION p. 1 PART ONE Case and general studies in the artistic, scientific and governmental sectors Introduction p. 7 Research Methodology p. 10 Focus 1 the Arts p. 20 Focus 2 the Sciences p. 34 Focus 3 Government p. 52 General Conclusions of the Focus Task Forces p. 66 PART TWO Digital Records creation and maintenance Domain 1 Task Force Report Introduction p. 69 Research Methodology p. 71 Conceptual Basis p. 76 Characterization of the Case Studies p. 86 Addressing the Research Questions p. 93 PART THREE Authenticity, reliability and accuracy of Digital Records in the artistic, scientific and governmental sectors Domain 2 Task Force Report Introduction p. 139 Research Questions and Methodology p. 144 Focus 3 Government p. 146 Focus 2 the Sciences p. 152 Focus 1 the Arts p. 166 Relevance of the Benchmark Requirements of InterPARES 1 p. 177 Experience with a possible Maintenance Strategy p. 180 Toward Guidelines for creating and maintaining Authentic and Reliable Digital Records p. 185

4 PART FOUR Methods of Appraisal and Preservation Domain 3 Task Force Report Introduction p. 187 Research Methodology p. 194 Research Findings p. 201 Addressing the Research Questions p. 214 Toward Guidelines for preserving Authentic Digital Records p. 224 PART FIVE Modeling Digital Records Creation, Maintenance and Preservation Modeling Cross-domain Task Force Report Preamble p. 225 Chain of Preservation Model p. 227 Overview of the Chain of Preservation Model p. 230 The Business-driven Recordkeeping (BDR) Model p. 281 Overview of the Business-driven Recordkeeping Model p. 291 PART SIX Investigating the Roles and Requirements, Manifestations and Management of Metadata in the Creation of Reliable and Preservation of Authentic Digital Entities Description Cross-domain Task Force Report Introduction p. 305 Research Questions p. 308 Research Methodology p. 310 Metadata and Archival Description Registry and Analysis System (MADRAS) p. 311 Warrant Database p. 333 News Archives Survey p. 335 Metadata Specification Model p. 340 Case and General Studies Data Analysis p. 341 Overall Results p. 353 Areas for Future Research and Development p. 356 II

5 PART SEVEN Structuring the Relationship between Records Creators and Preservers Policy Cross-domain Task Force Report Introduction p. 361 Research Methodology p. 365 Case Study Data p.368 Policy Themes p. 369 Addressing the Research Questions p. 373 Toward an intellectual Framework for Policy Development p. 382 PART EIGHT Terminological instruments Terminology Cross-domain Task Force Report Introduction p. 385 Research Questions p. 387 Research Initiatives p. 388 Research Methodology p. 388 Terminology Database p. 389 Conclusions p. 392 APPENDICES Appendix 1 InterPARES 2 Project Members p. 393 Appendix 2 L. DURANTI. K. THIBODEAU, The Concept of Record in Interactive, Experiential and Dynamic Environments: the View of InterPARES p. 402 Appendix 3 InterPARES 2 Case Studies and General Studies p. 460 Appendix 4 Genesis of the Case Study Research Questions p. 468 Appendix 5 The 23 Case Study Questions p. 471 Appendix 6 Call for Case Study Proposals p. 473 Appendix 7 Diplomatic Analysis Template p. 476 Appendix 8 InterPARES 2 Reporting Framework p. 479 Appendix 9 Domain 1 Research Questions p. 481 Appendix 10 Template for Case Study Analysis ( Areas to be Covered ) p. 482 III

6 Appendix 11 Case Studies at-a-glance p. 488 Appendix 12 Domain 2 Research Questions p. 494 Appendix 13 Domain 3 Template for Case Study Analysis p. 495 Appendix 14 Chain of Preservation Model : Diagrams and Definitions p. 498 Appendix 15 Business-driven Recordkeeping Model: Diagrams and Definitions p. 591 Appendix 16 Overview of the Records Continuum Concept p. 654 Appendix 17 Metadata Schema Analysis Questions p. 658 Appendix 18 Case Study Data Relating to Metadata p. 676 Appendix 19 A Framework of Principles for the Development of Policies, Strategies and Standards for the Long-term Preservation of Digital Records p. 701 Principles for Records Creators p. 703 Principles for Records Preservers p. 713 Appendix 20 CREATOR GUIDELINES Making and Maintaining Digital Materials: Guidelines for Individuals p. 722 Appendix 21 PRESERVE GUIDELINES Preserving Digital Records: Guidelines for Organizations p. 734 Appendix 21a Benchmark Requirements Supporting the Presumption of Authenticity of Electronic Records p. 747 Appendix 21b Baseline Requirements Supporting the Production of Authentic Copies of Electronic Records p. 752 Appendix 21c Digital Records Maintenance and Preservation Strategies p. 754 Appendix 22 InterPARES 2 Project Ontologies p. 758 Appendix 23 Bibliography of InterPARES 2 Project Documents p. 761 BIBLIOGRAPHY GLOSSARY p. 781 p. 793 IV