Defining Submission Agreements and Policies DigCCurr Professional Institute May 16-21, 2010 &...

Defining Submission Agreements and Policies

DigCCurr Professional InstituteMay 16-21, 2010 & January 5-6, 2011

Chapel Hill, North Carolina, USA

Carolyn HankMay 18,2010

DigCCurr Professional Institute

Introduction

DigCCurr Professional InstituteDefining Submission Agreements and Policies

May 18, 2010 /Carolyn Hank

• 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

# 04 Policy Overview# 11 Submission Agreements

– Guidance– Elements

# 33 Planning and Implementation# 35 Sources

Digital Curation Programs

Are you in:

Planning stage?

Planning and Pilot stage?

Implementation stage?

Are policies for your program:

In place?

Vetted?

Implemented?

Digital Curation Programs

Cornell: Institutional Readiness

SOURCE: Kenny & Buckley, 2005

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

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

Cornell: Institutional Readiness

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

SOURCE: Kenny & Buckley, 2005

No Policy

SOURCE: Markey et al., 2007

MIRACLE CensusFigure 6.2. Status of IR Policies at IMP Institutions

Implemented

Drafted

Submission Agreements

Phases: Producer-Archive Interactions

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.

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.

SOURCE: TAPER, 2009

Draft Element Set

SOURCE: TAPER, 2009

• Submission Agreement Management

• Archive• Ingest Project Management• Producer• Records• Producer to Archive• Archival Management

Draft Element Set

SOURCE: TAPER, 2009

- Submission Agreement ID- Endorsement Date

Draft Element Set

SOURCE: TAPER, 2009

- Archive ID- Warrant to Collect

Draft Element Set

SOURCE: TAPER, 2009

- Accession Number- Activity Log Number- Survey Report ID

Draft Element Set

SOURCE: TAPER, 2009

- Records Creator Records- Recording System

Draft Element Set

SOURCE: TAPER, 2009

- General Records Description

- Record Type Record- Format Type- Data Span- Extent- Copyright- Access- Arrangement & Naming

Schedule- Retention Period

Draft Element Set

SOURCE: TAPER, 2009

- SIP Creation & Transfer- Transfer Date

Draft Element Set

SOURCE: TAPER, 2009

- SIP to AIP- Archival Description

Standard- Respect de Fonds

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

UPDATENew Slide 05/17/10

SOURCE: TAPER, 2009

SA Mandatory Elements

SOURCE: TAPER, 2009

• Contact Information• Dataset Identification

Information• Dataset Description Info• Submission Information• Legal and Contractual

Obligations• Access Conditions• Validation Information• Schedule• Change Management

SOURCE: TAPER, 2009

- Primary Contact / Producer- Primary Contact / Archive- Technical Contact / Producer- Technical Contact / Archive- Metadata Contact / Producer- Metadata Contact / Archive- Designated Community

Contacts

SOURCE: TAPER, 2009

- Title- Producer- Other contributor- ID

SOURCE: TAPER, 2009

- Descriptive Information- Preservation Descriptive

Information- Purpose- Extent- Volume- Data dictionary

SOURCE: TAPER, 2009

- Transfer procedures- File Formats- Metadata capture- Status reporting

SOURCE: TAPER, 2009

- Non-Exclusive Deposit License

- Other regulations

SOURCE: TAPER, 2009

- Designated communities- Authorization and

authentication controls- Use licenses

SOURCE: TAPER, 2009

- Validation mechanisms

SOURCE: TAPER, 2009

- Beginning date- End date- Frequency

SOURCE: TAPER, 2009

- Scenarios- Decision-making

ConsiderationsOrganizational

Privacy

Services

Language

Workflow

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 groupIdentify regulatory landscapeDevise policy frameworkDraft, vet and reviseMake availableEstablish regular reviews

Sources

Consultative 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

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

ROARMAP. http://www.eprints.org/openaccess/policysignup/

SHERPA/RoMEO. http://www.sherpa.ac.uk/romeo/

Tibbo, H.R., Hank, C., & Lee, C.A. (2008). Challenges, Curricula, and Competencies: Researcher and Practitioner Perspectives for Informing the Development of a Digital Curation Curriculum. In Archiving 2008: Final Program and Proceedings, June 24-27, 2008, Bern, Switzerland, 234-238. Springfield, VA: Society for Imaging Science and Technology. http://ils.unc.edu/digccurr/poster_hank_lee_tibbo.pdf

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

Thank You.CAROLYN HANK

Email: hcarolyn@email.unc.edu

Mobile: 919.259.3191

Web: http://ils.unc.edu/~hcarolyn

Defining Submission Agreements and Policies DigCCurr Professional Institute May 16-21, 2010 &...

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