Defining Submission Agreements and Policies DigCCurr Professional Institute May 16-21, 2010 &...
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Transcript of 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
Slide 02 | 35
• 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
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 03| 35
# 04 Policy Overview# 11 Submission Agreements
– Guidance– Elements
# 33 Planning and Implementation# 35 Sources
Digital Curation Programs
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 04 | 35
Are you in:
Planning stage?
Planning and Pilot stage?
Implementation stage?
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 05 | 35
Are policies for your program:
In place?
Vetted?
Implemented?
Digital Curation Programs
Cornell: Institutional Readiness
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 06 | 35
SOURCE: Kenny & Buckley, 2005
Figure 1. Comparing the Availability of Policies to the Percent Vetted and Implemented, 2003-2005
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 07 | 35
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
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 08 | 35
Figure 2. Comprehensiveness of Digital Preservation Policies in 13 Institutions, 2005
SOURCE: Kenny & Buckley, 2005
No Policy
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 09 | 35
SOURCE: Markey et al., 2007
MIRACLE CensusFigure 6.2. Status of IR Policies at IMP Institutions
Implemented
Drafted
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 10 | 35
Tools
Submission Agreements
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide11 | 35
Phases: Producer-Archive Interactions
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 12 | 35
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.
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 13 | 35
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.
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 14 | 35
SOURCE: TAPER, 2009
Draft Element Set
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 15 |35
SOURCE: TAPER, 2009
• Submission Agreement Management
• Archive• Ingest Project Management• Producer• Records• Producer to Archive• Archival Management
Draft Element Set
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide16 | 35
SOURCE: TAPER, 2009
• Submission Agreement Management
• Archive• Ingest Project Management• Producer• Records• Producer to Archive• Archival Management
- Submission Agreement ID- Endorsement Date
Draft Element Set
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 17 | 35
SOURCE: TAPER, 2009
• Submission Agreement Management
• Archive• Ingest Project Management• Producer• Records• Producer to Archive• Archival Management
- Archive ID- Warrant to Collect
Draft Element Set
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 18 | 35
SOURCE: TAPER, 2009
• Submission Agreement Management
• Archive• Ingest Project Management• Producer• Records• Producer to Archive• Archival Management
- Accession Number- Activity Log Number- Survey Report ID
Draft Element Set
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 19 | 35
SOURCE: TAPER, 2009
• Submission Agreement Management
• Archive• Ingest Project Management• Producer• Records• Producer to Archive• Archival Management
- Records Creator Records- Recording System
Draft Element Set
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 20 | 35
SOURCE: TAPER, 2009
• Submission Agreement Management
• Archive• Ingest Project Management• Producer• Records• Producer to Archive• Archival Management
- General Records Description
- Record Type Record- Format Type- Data Span- Extent- Copyright- Access- Arrangement & Naming
Schedule- Retention Period
Draft Element Set
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 21 | 35
SOURCE: TAPER, 2009
• Submission Agreement Management
• Archive• Ingest Project Management• Producer• Records• Producer to Archive• Archival Management
- SIP Creation & Transfer- Transfer Date
Draft Element Set
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 22 | 35
SOURCE: TAPER, 2009
• Submission Agreement Management
• Archive• Ingest Project Management• Producer• Records• Producer to Archive• Archival Management
- 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
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
SA Mandatory Elements
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 23 | 35
SOURCE: TAPER, 2009
• Contact Information• Dataset Identification
Information• Dataset Description Info• Submission Information• Legal and Contractual
Obligations• Access Conditions• Validation Information• Schedule• Change Management
SA Mandatory Elements
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 24 | 35
SOURCE: TAPER, 2009
• Contact Information• Dataset Identification
Information• Dataset Description Info• Submission Information• Legal and Contractual
Obligations• Access Conditions• Validation Information• Schedule• Change Management
- Primary Contact / Producer- Primary Contact / Archive- Technical Contact / Producer- Technical Contact / Archive- Metadata Contact / Producer- Metadata Contact / Archive- Designated Community
Contacts
SA Mandatory Elements
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide25| 35
SOURCE: TAPER, 2009
• Contact Information• Dataset Identification
Information• Dataset Description Info• Submission Information• Legal and Contractual
Obligations• Access Conditions• Validation Information• Schedule• Change Management
- Title- Producer- Other contributor- ID
SA Mandatory Elements
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 26 | 35
SOURCE: TAPER, 2009
• Contact Information• Dataset Identification
Information• Dataset Description Info• Submission Information• Legal and Contractual
Obligations• Access Conditions• Validation Information• Schedule• Change Management
- Descriptive Information- Preservation Descriptive
Information- Purpose- Extent- Volume- Data dictionary
SA Mandatory Elements
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 27 | 35
SOURCE: TAPER, 2009
• Contact Information• Dataset Identification
Information• Dataset Description Info• Submission Information• Legal and Contractual
Obligations• Access Conditions• Validation Information• Schedule• Change Management
- Transfer procedures- File Formats- Metadata capture- Status reporting
SA Mandatory Elements
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 28 | 35
SOURCE: TAPER, 2009
• Contact Information• Dataset Identification
Information• Dataset Description Info• Submission Information• Legal and Contractual
Obligations• Access Conditions• Validation Information• Schedule• Change Management
- Non-Exclusive Deposit License
- Other regulations
SA Mandatory Elements
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 29 | 35
SOURCE: TAPER, 2009
• Contact Information• Dataset Identification
Information• Dataset Description Info• Submission Information• Legal and Contractual
Obligations• Access Conditions• Validation Information• Schedule• Change Management
- Designated communities- Authorization and
authentication controls- Use licenses
SA Mandatory Elements
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 30 | 35
SOURCE: TAPER, 2009
• Contact Information• Dataset Identification
Information• Dataset Description Info• Submission Information• Legal and Contractual
Obligations• Access Conditions• Validation Information• Schedule• Change Management
- Validation mechanisms
SA Mandatory Elements
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 31 | 35
SOURCE: TAPER, 2009
• Contact Information• Dataset Identification
Information• Dataset Description Info• Submission Information• Legal and Contractual
Obligations• Access Conditions• Validation Information• Schedule• Change Management
- Beginning date- End date- Frequency
SA Mandatory Elements
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 31 | 35
SOURCE: TAPER, 2009
• Contact Information• Dataset Identification
Information• Dataset Description Info• Submission Information• Legal and Contractual
Obligations• Access Conditions• Validation Information• Schedule• Change Management
- Scenarios- Decision-making
ConsiderationsOrganizational
IPR
Privacy
Services
Language
Workflow
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 32 | 35
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
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 33 | 35
Sources
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 34 | 35
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: [email protected]
Mobile: 919.259.3191
Web: http://ils.unc.edu/~hcarolyn
DigCCurr Professional InstituteDefining Submission Agreements and Policies
May 18, 2010 /Carolyn Hank
Slide 35 | 35