(May 2011) Defining Submission Agreements and Policies

Defining Submission Agreements and Policies

DigCCurr Professional InstituteMay 15-20, 2011 & January 4-5, 2012

Chapel Hill, North Carolina, USA

Carolyn HankMay 17,2011

Start: 8:30am End: 9:15 m

DigCCurr Professional Institute

Introduction

DigCCurr Professional InstituteDefining Submission Agreements and Policies

May 18, 2011 /Carolyn Hank

Slide 02 | 36

• Policies and agreements mandatory

• OAIS Reference Model

• PAIMAS

• “ … explain why repositories carry out particular activities and, broadly speaking, how they should be carried out. “ (Source: DRAMBORA, v. 1.0, p. 54)

• Current challenge for organizations

Agenda


Slide 03| 36

# 04 Policy Overview

# 11 Submission Agreements

– Guidance

– Elements

# 33 Planning and Implementation

# 35 Sources

Defining Submission Agreements and PoliciesMay 18, 2011 /Carolyn Hank

Digital Curation Programs


Slide 04 | 36

Are you in:

Planning stage?

Planning and pilot stage?

Implementation stage?



Slide 05 | 36

Are policies for your program:

In place?

Vetted?

Implemented?

Digital Curation Programs


Cornell: Institutional Readiness


Slide 06 | 36

SOURCE: Kenny & Buckley, 2005

Figure 1. Comparing the Availability of Policies to the Percent Vetted and Implemented, 2003-2005


Cornell: Institutional Readiness


Slide 07 | 36

Figure 2. Comprehensiveness of Digital Preservation Policies in 13 Institutions, 2005

SOURCE: Kenny & Buckley, 2005



Slide 08 | 36

Mission & Governance

Service Policy

Collection Policy

Access Policy

Privacy policy

Non-Exclusive Deposit License

Format Support Policy

Withdrawal Policy

Metadata Policy

Contributor Policies

Preservation Policy

PoliciesYes | No | Don’t Know



Slide 09 | 36

Tools


Submission Agreements


Slide 10 | 36


Phases: Producer-Archive Interactions


Slide 11 | 36

SOURCE: CCSDS, 2004


Definition (PAIMAS)Submission Agreement: The agreement reached between an OAIS and

the Producer that specifies a data model for the Data Submission

Session. This data model identifies format/contents and the logical

constructs used by the Producer and how they are represented on

each media delivery or in a telecommunication session.

In the framework of this abstract methodology, the Submission

Agreement will also deal with other aspects such as validation, change

management and schedule.


Slide 12 | 36

SOURCE: CCSDS, 2004


Standing/Regular SAs (TAPER)

• Submission agreements can cover a single ingest project or serial ingest project. A standing submission agreement covers a serial ingest project while a regular submission agreement covers a single ingest. A standing submission agreement would cover an agreement between a producer and an archive to transfer records on a recurring basis. Normally, records covered by a standing agreement are going to be relatively homogeneous records that the producer creates on a regular basis.


Slide 13 | 36

SOURCE: TAPER, 2009


Draft Element Set


Slide 14 |36

SOURCE: TAPER, 2009

• Submission Agreement Management

• Archive

• Ingest Project Management

• Producer

• Records

• Producer to Archive

• Archival Management


Draft Element Set


Slide 15 | 36

SOURCE: TAPER, 2009


• Archive


• Producer

• Records



- Submission Agreement ID

- Endorsement Date


Draft Element Set


Slide 16 | 36

SOURCE: TAPER, 2009


• Archive


• Producer

• Records



- Archive ID

- Warrant to Collect


Draft Element Set


Slide 17 | 36

SOURCE: TAPER, 2009


• Archive


• Producer

• Records



- Accession Number

- Activity Log Number

- Survey Report ID


Draft Element Set


Slide 18 | 36

SOURCE: TAPER, 2009


• Archive


• Producer

• Records



- Records Creator Records

- Recording System


Draft Element Set


Slide 19 | 36

SOURCE: TAPER, 2009


• Archive


• Producer

• Records



- General Records Description

- Record Type Record

- Format Type

- Data Span

- Extent

- Copyright

- Access

- Arrangement & Naming Schedule

- Retention Period


Draft Element Set


Slide 20 | 36

SOURCE: TAPER, 2009


• Archive


• Producer

• Records



- SIP Creation & Transfer

- Transfer Date


Draft Element Set


Slide 21 | 36

SOURCE: TAPER, 2009


• Archive


• Producer

• Records



- SIP to AIP

- Archival Description Standard

- Respect de Fonds


SABT: SUBMISSION AGREEMENT BUILDER TOOLhttp://tutaper.svn.sourceforge.net/viewvc/tutaper/

DISCLAIMER

SOURCE: TAPER, 2009



SA Mandatory Elements


Slide 23 | 36

SOURCE: TAPER, 2009

• Contact Information

• Dataset Identification Information

• Dataset Description Info

• Submission Information

• Legal and Contractual Obligations

• Access Conditions

• Validation Information

• Schedule

• Change Management




Slide 24 | 36

SOURCE: TAPER, 2009








• Schedule


- Primary Contact / Producer

- Primary Contact / Archive

- Technical Contact / Producer

- Technical Contact / Archive

- Metadata Contact / Producer

- Metadata Contact / Archive

- Designated Community Contacts




Slide 25 | 36

SOURCE: TAPER, 2009








• Schedule


- Title

- Producer

- Other contributor

- ID




Slide 26 | 36

SOURCE: TAPER, 2009








• Schedule


- Descriptive Information

- Preservation Descriptive Information

- Purpose

- Extent

- Volume

- Data dictionary




Slide 27 | 36

SOURCE: TAPER, 2009








• Schedule


- Transfer procedures

- File Formats

- Metadata capture

- Status reporting




Slide 28 | 36

SOURCE: TAPER, 2009








• Schedule


- Non-Exclusive Deposit License

- Other regulations




Slide 29 | 36

SOURCE: TAPER, 2009








• Schedule


- Designated communities

- Authorization and authentication controls

- Use licenses




Slide 30 | 36

SOURCE: TAPER, 2009








• Schedule


- Validation mechanisms




Slide 31 | 36

SOURCE: TAPER, 2009








• Schedule


- Beginning date

- End date

- Frequency




Slide 32 | 67

SOURCE: TAPER, 2009








• Schedule


- Scenarios

- Decision-making


Considerations

Organizational

IPR

Privacy

Services

Language

Workflow


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E.g., Statutory body; Institutional mandates

E.g., Copyright; Publisher agreements

E.g., Personal identifiers, Culturally sensitive information

E.g., Authentication and Authorization

E.g., Understandability; Consistency

E.g., Transfer scenarios; PAIMAS stages


Policy PlanningEstablish a policy planning group

Identify regulatory landscape

Devise policy framework

Draft, vet and revise

Make available

Establish regular reviews



Slide 34 | 36


Slide 35 | 36


SourcesConsultative Committee for Space Data Systems. “Producer-Archive Interface Methodology

Abstract Standard.” (CCSDS 651.0-B-1: Blue Book, Issue 1). Washington, DC: National Aeronautics and Space Administration, May 2004. http://public.ccsds.org/publications/archive/651x0b1.pdf

Digital Curation Centre and DigitalPreservationEurope. Stage 2: Document POLICY and Regulatory Framework in “DCE and DPE Digital Repository Audit Method Based on Risk Assessment, V. 1.0”, February 2007, pp. 51-61. http://www.repositoryaudit.eu/

Kenny, A. R. & Buckley, E. (2005). Developing Digital Preservation Programs: the Cornell Survey of Institutional Readiness. RLG DigiNews, 9 (4). http://worldcat.org/arcviewer/1/OCC/2007/08/08/0000070511/viewer/file3612.html

Markey, K., Rieh, S. Y., St. Jean, B., Kim, J., and Yakel, E. Census of Institutional Repositories in the United States: MIRACLE Project Research Findings . February 2007: http://www.clir.org/pubs/reports/pub140/contents.html#abb

Tufts Accessioning Program for Electronic Records (TAPER). Submission Agreements: Element Set,” and Submission Agreements: Case Study One,” January 3, 2009. http://dca.tufts.edu/?pid=136&c=166

http://public.ccsds.org/publications/archive/651x0b1.pdf

http://www.repositoryaudit.eu/

http://worldcat.org/arcviewer/1/OCC/2007/08/08/0000070511/viewer/file3612.html

http://www.clir.org/pubs/reports/pub140/contents.html

http://dca.tufts.edu/?pid=136&c=166

http://dca.tufts.edu/?pid=136&c=166

Merci.CAROLYN HANK

Email: [email protected]

Phone: 514-398-4684


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(May 2011) Defining Submission Agreements and Policies

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Transcript of (May 2011) Defining Submission Agreements and Policies